Documenti di Didattica
Documenti di Professioni
Documenti di Cultura
ITA created the Working Group 19 in 2001, on the occasion of the 27th
General Assembly at Milan. After collecting various national reports
about the particular experiences made with Conventional Tunnelling in
the member countries, after the 30th General Assembly at Singapore the
working group started on the elaboration of the inter-national report and
completed the Work during the 32nd General Assembly at Seoul.
The aim of the working group is to create a report as a guideline for
clients, contractors and tunnelling engineers to promote international
understanding by unifying the terminology and by presenting an overview
of the current state of the art. The contents are valid for most parts of the
world. Therefore the report highlights only the most important principles,
but does not deal with the details.
The report starts with a definition of Conventional Tunnelling and illustrates
some principles of Conventional Tunnelling. The high flexibility and the
wide field of application of Conventional Tunnelling are highlighted.
The following main subjects will be dealt with this report:
Design, Construction Methods, Monitoring During Construction,
Construction Contract and Site Organisation.
The report is applicable basically to all types of underground structures,
such as traffic tunnels, caverns, hydro tunnels, pipe tunnels and
shafts. However, specific questions (e.g. concerning shaft and cavern
construction) are not covered.
Not all items are specific to Conventional Tunnelling but some generally
applicable information has to be given to gain a better understanding.
This report is not a recipe book that would enable inexperienced readers
to make decisions.
Especially in Conventional Tunnelling the knowledge of experienced
engineers is essential for successful construction.
Annexes .........................................................................................................26-27
1.1. Definition of Conventional 1.2. Principles of Conventional Using this standard set of equipment the
Tunnelling Tunnelling following changes can easily be applied
during construction if ground conditions
The definition of what is “Conventional Conventional Tunnelling is carried out in a change or if monitoring results require action:
Tunnelling” is rather arbitrary, and subject cyclic execution process of repeated steps
to variations, depending on the concept of excavation followed by the application • Increase or decrease of support, e.g. the
adopted. of relevant primary support, both of which thickness of shotcrete, number and/or
If the concept is based on excavation depend on existing ground conditions and lengths of rock bolts per linear meter of
equipment, the term conventional tunnel ground behaviour. An experienced team of tunnel, spacing and dimensions of steel
could apply to any tunnel that is not tunnel workers (miners), assisted by standard arches, number and lengths of spiles,
excavated by a Tunnel Boring Machine (TBM). and/or special plant and equipment shall application of shotcrete at the tunnel face,
But today in tunnelling the TBM method has execute each individual cycle of tunnel bolting the face etc.
become very common and thus could also construction.
be regarded as “conventional”. The Conventional Tunnelling Method mainly • Variation of ring closure time - which is the
using standard equipment and allowing time between the excavation of a section
access to the tunnel excavation face at of the tunnel and the application of partial
Conventional Tunnelling in the context almost any time is very flexible in situations or or full support - or variation of ring closure
of this report means the construction of areas that require a change in the structural distance from excavation face
underground openings of any shape with a analysis or in the design and as a result of
cyclic construction process of this also require changes in the support • Introduction of primary support ring closure
measures.
• excavation, by using the drill and blast • Variation of explosives charge per blasting
A standard set of equipment for execution of
methods or mechanical excavators except round and variation of detonator sequences.
Conventional Tunnelling may consist of the
any full face TBM
following items: Other variations in the design enable one to
react to changes in the stand-up time of the
• mucking
• Drilling jumbo to drill holes for blasting, ground encountered:
rock bolting, water and pressure release,
• placement of the primary support elements • Increased or decreased length of excavation
grouting etc.
such as round (common round lengths vary from 0,5
– steel ribs or lattice girders m to 4,0 m)
• Road header or excavator in cases where
– soil or rock bolts
blasting is not possible or not economic
– sprayed or cast in situ concrete, not • Partial excavation by splitting the excavation
reinforced or reinforced with wire mesh or face into the crown, bench, and in-vert
•Lifting platform allowing the miners to reach
fibres excavation steps or even further in pilot and
each part of the tunnel crown and of the
sidewall galleries and in stag-gered bench/
tunnel face
invert excavations
• Lifting equipment for steel sets
In case exceptional ground conditions
• Loader or excavator for loading excavated
are encountered - regardless of whether
ground onto dump trucks
predicted or not - the Conventional Tunnelling
Method can react with a variety of auxiliary
• Dump trucks for hauling excavated ground
construction technologies like
• Set of shotcrete manipulators for application • Grouting: consolidation grouting, fissure
of wet or dry shotcrete. grouting, pressure grouting, compensation
grouting
Conventional Tunnelling in connection with the Conventional Tunnelling enables: Conventional Tunnelling is especially
wide variety of auxiliary construction methods convenient for:
enables experienced project managers to • A greater variability of the shapes
make the most appropriate choice to achieve • Difficult ground with highly variable ground
safe and economic tunnel construction even • Better knowledge of the ground by using conditions
in situations with changing or unforeseen systematic exploratory drillings at tunnel
ground conditions. It allows reacting in both level ahead of the face • Projects with highly variable shapes of cross
directions - depending on the ground - either section
changing to the less favourable or towards • Greater variability in the choice of excavation
the more favourable side. This flexibility methods according to the ground • Projects with a higher risk of water inflow
makes Conventional Tunnelling the most conditions under high pressure
advantageous tunnelling method in many
projects. • Greater variability in the choice of excavation • Projects with difficult access
sequences according to the ground
Underground works, constructed by conditions • Short tunnels
Conventional Tunnelling, include linear tunnels
It is the responsibility of experienced
such as railway tunnels, motorway tunnels or • Easier optimisation of the primary support
engineers to make the most appropriate
hydro tunnels, but also hydroelectric caverns, using the observational method in special
choice according to the science of
underground storage caverns, metro and cases
engineering and their personal experience for
railway stations. They can be located at a
a safe and economic tunnel construction.
shallow depth or under high overburden, in • A greater variability in the choice of auxiliary
stable or loading ground, under genuine rock construction methods according to the
pressure, below the phreatic surface or in dry ground conditions
conditions.
The Conventional Tunnelling Method (CTM)
is the best for projects with highly variable
ground conditions or for projects with variable
shapes.
2.3.3. Evaluation and presentation of the 2.3.5. Description of the geological hydrothermal transformations
results of the geological investigation conditions • In situ stresses and assumed tectonic
The origin of all data shall be documented in The geological description shall be provided for residual stresses
a clear and comprehensive way. It has to be each geological unit or homogeneous zone. • Fault zones, such as zones of rock
stated whether the information derives from: The basis for this is given by the geological mechanically transformed by tectonic
• Field or laboratory tests investigation. The qualitative description processes (kakirite, cataclasite), as well
• References to the technical literature shall, as far as possible, be accompanied by as karst formations must be specifically
• Information in existing geological reports quantitative information. recorded. Such zones shall be described
• Empirical values Geological units in soil are normally described like homogeneous geological zones,
• Estimates or assumptions as geological formations of the same origin depending on their extent and frequency. The
Known gaps in the results presented shall be (e.g. moraines, river gravels, weathered marl, geometrical data on the position in space of
pointed out. The investigation and measure- and clay deposits). The description of the soil is the discontinuities and fault zones shall be
ment methods shall be described. In the based on standard classifications, combining reported both as absolute in space as well as
determination of the geotechnical properties of information concerning the petrography of relative to the structure (e.g. with respect to
soil and rock using laboratory and field tests, the components and their properties (shape, the tunnel axis).
standardised methods shall be employed if degree of roundness, degree of weathering,
possible. strength, swelling capacity etc.). The soil 2.3.6. Description of the hydrogeological
structure (layering, anisotropy) as well as any conditions
2.3.4. Extent of site investigations special features has to be described (e.g. the The local and regional hydrogeological
The extent of the site investigations in the presence of blocks or organic constituents). conditions shall be described. In particular,
design phase shall be project-specific, The description shall be supplemented by aquifers, their possible interaction, groundwater
executed in suitable steps, corresponding to further information, e.g. grain size distribution, build up and barriers as well as the regional
the planning stage and to the complexity of permeability, density de-gree of saturation, flow conditions and the relationship to surface
the geology and taking into account economic behaviour when exposed to free water, etc. waters shall be summarized.
criteria. In zones of predicted hazards (such as In particular the following items shall be
faults, discontinuities, cavities, etc.), in portal In the case of rock, one must distinguish described:
areas and in zones with small overburden between rock description based on an intact • The possible effects of the structure during
the ground may have to be studied in greater specimen and the description of the rock mass its realisation and service life on the existing
detail. as a whole. The rock specimen description hydrogeological conditions (quantitative and
The extent of the site investigations carried out in-cludes mineral content, structure and texture qualitative effects)
during construction depends on the actual as well as the petrographic identification. •The possible effects of the groundwater
conditions encountered and the predicted The description of the rock mass includes the on the facilities during construction (water
hazards (discontinuities, cavities, occurrence following elements: inflow) and operation due to pressure effects,
of gas and water). The investigations serve to • General geological structure (homogeneous chemical aggressiveness, sintering etc.
specify measures to reduce and manage the zones, sequence of different types of rock, • The type of circulation (pores, discontinuities,
risks in accordance with the hazard scenarios. stratification, foliation, density, fault zones karst), the permeability parameters, the level
etc.) of the groundwater, the flow direction of the
• Description of the discontinuities water, etc., in each aquifer
• Degree of weathering, karst formation,
Geology
2.3.7. Description of the geotechnical 2.4. Layout of underground The vertical and horizontal alignment of the
properties structures tube(s) also depends on several factors such
The geotechnical properties of soil and as:
rock shall be described. Measurements of 2.4.1. Choice of tunnel system and of • The use of the tunnel (maximum longitudinal
geotechnical properties, such as the strength, alignment gradient, minimum curvature)
deformability, swelling and permeability The tunnel system comprises all underground • The drainage considerations during
parameters, abrasivity shall indicate the works that are necessary to achieve the construction and operation
number of specimens, range of values and planned use and ensure the safety of persons • The accessibility and natural hazards in the
spatial validity. Comparative values, empirical and material assets. Besides the main tunnel portal areas
values and estimates shall be denoted as tube(s), the tunnel system may comprise, e.g. • The ground conditions
such. The sources of information shall be cross-passages, adits and shafts as escape
given. routes or other ancillary structures such as If possible, the alignment should be adapted
For rock it is necessary to distinguish clearly ventilation shafts or caverns for technical to the ground conditions in an early phase
between the geotechnical data for the equipment. The choice of the tunnel system of the project, as hazards and the respective
intact rock itself and the discontinuities (rock is based mainly on operational, organisational construction time and cost risks can be
boundaries, fracture surfaces, karst) as well as and safety considerations. The ground avoided or re-duced by the choice of a
the filling in of the cavities. conditions and the topography (layout of the different alignment.
access tunnels and shafts) may also have an Aspects of execution or operation and safety
2.3.8. Description of gas occurrences influence on the selection of the tunnel system. (such as the necessity of intermediate adits,
The occurrence of rocks with a potential gas For example, construction time and cost risks ventilation shafts or escape adits) may also
source or with gas reservoirs together with may be different for a twin tunnel than for a influence the choice of the alignment. This is
the corresponding migration paths as well double-track tunnel. particularly true for long tunnels.
as already known indications of gas in similar The ground conditions shall be taken into
geological formations shall be investigated account when specifying the spacing between
within the design framework. From this it must two adjacent tunnel tubes. In special cases
be clear, whether the possibility of gas deposits (e.g. branching, portal region) other criteria may
and flooding exists and what effects are to be be decisive.
expected due to the escape of gas in order to Similar considerations apply to the selection of
plan appropriate hazard mitigation measures. the location and axis orientation of caverns.
2.4.2. Shape of the cross section The shape and the size of the cross section 2.5. Excavation and support
The shape and the dimensions of the depend also on the ground conditions, as
cross section of underground openings are the latter determine the extent of the required 2.5.1. General
determined essentially by support measures in the construction stage The aim of the structural design is the
• The serviceability requirements associated (tunnel support) and in the service stage determination of an economic final structure
with the use of the underground works, (permanent lining). Inadmissible reduction and a construction method fulfilling the safety,
• The geological-geotechnical conditions and in size of the opening due to ground serviceability and environmental protection
• Construction aspects convergence must be avoided by means of requirements for the given ground conditions.
additional excavation to account for ground The design engineer is responsible for an
The required clearance profile is a key factor deformations and corresponding support accurate design.
in the determination of the cross section of measures. The structural design serves as a basis
the underground opening. The clearance Weak rock zones, squeezing or swelling rock for the approval procedures, the tender
profile is defined according to the scope of and soft ground (soils) require a circular cross documents (determination of excavation and
the structures, e.g. railways, metro, highways, section or at least a horseshoe-shaped cross support classes and their distribution) and the
utility lines, access, escape routes, storage, section including an invert arch. determination of the excavation and support
power plants, protective shelters or military Economic considerations and the availability of methods used on site.
installations. Besides the scope of the the necessary equipment may be decisive for The design work consists of the preparation
structure, further serviceability criteria required the construction method and have, therefore, of different structural alternatives taking
by the client can be decisive for the choice of a considerable influence on the shape of into consideration the relevant boundary
cross section, e.g.: the cross section. In contrast to TBM or conditions, checking the feasibility and
• Additional space requirements for operating shield tunnelling, the cross section of tunnels assessing the implementation possibilities with
and safety equipment (cable installations, excavated by conventional methods can be regard to fulfilling the design requirements.
signalling systems, signage, lighting, freely chosen within the constraints of the The successful construction of underground
ventilation, etc.) geological conditions. works depends on the detailed consideration
• Aerodynamic requirements The main shapes are: of all factors that are relevant for the structural
• Required water-tightness with respect to • Horseshoe cross section behaviour. In underground works, the structure
water inflow from the ground or water losses • Horseshoe cross section with an invert arch comprises the ground surrounding the opening
from the opening (e.g., the requirement of • Circular cross section and all temporary or permanent support ele-
a complete sealing against pres-surised ments necessary for equilibrium or limitation of
groundwater necessitates an invert arch or In the determination of the shape and deformations. The factors governing struc-tural
even a circular cross section) dimensions of the cross section attention behaviour can therefore be summarised as
• Maintenance requirements must be given to tolerances with respect to follows:
• Requirements arising from the safety and driving accuracy, construction tolerances and • Ground structure and properties,
rescue concept (escape routes within surveying tolerances. hydrogeological conditions
the tunnel, availability of the facilities in • Initial stresses
emergencies) • Dimension and shape, location and
alignment of the opening
• Method of excavation (in the cross section
and in the longitudinal direction)
• Support measures (temporary and
permanent)
2.5.2. Outline of the design process In the next step excavation and support supported in short steps. In another alignment
The design is developed stepwise, beginning classes have to be developed for each section there may be medium firm rock, so
with the determination of zones with the alignment section. These are determined by that here an excavation and support class
same ground behaviour during construction the predicted ground and water conditions. must be planned with two partitions of the
(homogeneous zones) and ending with the cross section, with drill and blast excavation
definition of the excavation and support These classes describe the way to proceed in long steps and with reduced support
classes. with the excavation steps and the support measures. For each alignment section the
In a first step, the project area is subdivided measures, each within a certain and defined planned excavation and support classes
into homogeneous zones having similar range. The classes vary according to the should be adapted to the most likely ground
conditions with respect to: anticipated ground behaviour upon excavation. conditions as well as to potential hazard
• Geological and hydrogeological conditions conditions that can be deduced from the
(based upon the description of the ground, The main features of the excavation and geotechnical conditions.
see Section 2.3). support classes are the period between
• Topographical conditions (e.g. depth of excavating and supporting, the requirement Subsequently, the potential hazards are
cover, slopes in the vicinity, etc.). of subdividing the cross section, the necessity described and analysed in detail by taking into
• Environmental aspects (e.g., structures at of advanced support measures and the account the selected preliminary technical
the surface, nearby underground structures, requirement of supporting the face. In poor solution. Depending on the results of this
groundwater resources to be protected, etc.) ground conditions, for example, the cross assessment, mitigation measures are planned.
section will be divided in several headings, These may be modifications of the initial method,
The definition of the tunnel segments has to
which must be carefully excavated and introduction of additional support elements
be based on the current knowledge in each
project stage. The number of tunnel segments
is project-specific and depends on the design Geological Investigations
(Geological Data Report)
stage, as well as on the complexity of the
geological conditions in the project area. In
general, a rough subdivision of the alignment Description and assessment (hazard scenarios)
will be sufficient in early planning stages, for each geological unit
(Geological Design Summary Report)
while the increased information in subsequent
stages may necessitate a higher resolution.
Project Requirements =>
In the following step, based upon experience Definition of the shape of the cross section
and simplified calculations, a rough
assessment of the project conditions, potential Experience, preliminary calculations =>
hazards and necessary measures is carried out Definition of the excavation method and the support
and a preliminary decision is made concerning
the cross section and the construction method Structural analysis
for each section of the alignment. (ground-structure interaction)
or even the selection of another method. The 2.5.3. Hazards and their mitigation • Seismic actions (e.g. at transition between
assessment is carried out for each construction The recognition and the assessment of underground construction and cut-and-cover
stage as well as for the operation phase. potential hazards as well as the planning construction)
As a rule all types of construction procedure of appropriate mitigation measures are • Effects on springs and surface waters
have their own specific hazard scenarios that fundamental to the design of underground
have to be evaluated in detail. Therefore, the structures. The hazards, individually or in combination,
technical solution is developed iteratively by In the present document, the term “hazards” constitute possible hazard scenarios. The de-
repeating the procedure sketched above until means an event that has the potential to scription of the hazards in the form of hazard
a solution is determined that fulfils all safety and impact on matters relating to a project, which scenarios is primarily qualitative and should, if
serviceability criteria for the alignment section could give rise to consequences associated possible, be augmented by quantitative data.
under consideration. with: Causes and mechanisms shall be reported.
a) Health and safety The assessment of hazards should cover
It may be useful to work-out technically
b) The environment the different locations of the underground
equivalent design alternatives for each alignment
c) The design construction works and the surrounding rock
section and select the final solution in the next
d) The design schedule mass as well as the different construction
stage, where a synthesis over the different
e) The costs for the design stages and the planned service life.
alignment sections is carried out by also taking
f) The execution of the project The assessment shall be carried out in close
into account construction time and cost con-
g) The construction schedule cooperation with the experts involved in the
siderations as well as aspects of the execution
h) The costs associated with construction project (designer, engineering geologist and
of the construction works. For example,
i) Third parties and existing facilities including resident engineer).
frequently changing the excavation and support
buildings, bridges, tunnels, roads, surface and
methods will, in many cases, be technically and
subsurface railways, pavements, waterways, In general, hazards can be counteracted by
economically unfeasible.
flood protection works, surface and subsurface avoidance, prevention or hazard reduction
Based on the results of the previous steps the
utilities and all other structures/infrastructure hazard, for example:
alignment is divided into regions with similar
that can be affected by the execution of the • Choice of a different alignment
excavation and support requirements. Both
works. • Choice of a structure with less susceptibility
excavation and support have to be determined
with respect to the considered hazards
to a large extent prior to the construction.
Hazards shall be identified and evaluated on • Choice of a structure that is able to suffer
All possible geological conditions should be
a project-specific basis and their consequent local damage and the loss of an individ-ual
addressed with a defined range of excavation
risks must be identified and quantified by risk structural element or a whole section of the
and support methods as well as the probability of
assessments through all stages of a project structure without total failure
occurrence.
• Choice of a structure that does not fail
In the final step, the design must be transformed Possible hazards in underground construction without prior warning
into a cost and time estimate for the tendering include, but are not limited to: • Choice of suitable geotechnical auxiliary
process. Excavation and support classes • Collapse of roof or of the ground above the measures
are specified, based on the evaluation of opening up to the ground surface • Choice of suitable construction materials
the excavation and support measures. The • Rock fall • Appropriate structural analysis and
excavation and support classes form the • Rock burst dimensioning
basis for compensation clauses in the tender • Failure of the working face • Careful detailing of the structural elements
documents. An excavation and support • Reduction of section (convergence) including waterproofing and drainage
class may be assigned to more than one • Heave of the tunnel floor due to swelling • Execution as planned and carried out with
tunnel section, as the same measures can be • Deterioration of lining due to aggressive proper care
appropriate for different conditions. groundwater • Suitable execution checks and warning
To establish the bill of quantities a prediction • Ground surface settlement or heave causing systems (monitoring with instruments, see
of the distribution of excavation and support damage (e.g. when tunnelling under traffic section 4)
classes is required. This distribution has to be routes, buildings, bridges, dams, etc.) • Special protective measures for neighbouring
established for the most probable conditions • Inflow of water or mud structures and plant
and should also include the likely variations of • Escape of gas (methane, radon, etc.) or • Measures to deal with critical events
excavation classes resulting from the ground release of dangerous substances into the • Appropriate monitoring and maintenance
conditions. When establishing the distribution atmosphere like dust affecting the lungs
of excavation and support classes along the (quartz, asbestos)
alignment the heterogeneity of the ground has to • High temperatures in the rock mass or in the
be considered. groundwater
Both the assessment of the hazards and the 2.5.4. Structural analysis and dimensioning comprises the entire structure, i.e. the ground
design of the mitigation measures are based Design decisions should be made on the basis surrounding the opening and the temporary
on an in-depth understanding of the underlying of a cautious qualitative and quantitative analysis or final support elements. It connects actions,
mechanisms, experience from previous of all relevant factors. Besides engineering geometrical quantities and the properties of the
similar projects, structural analysis and careful judgement based upon the engineer’s own fund construction materials and the ground for the
dimensioning (Section 2.5.4). The planned of experience, modern methods of structural purpose of structural analysis. The ground model
construction method must be evaluated with analysis (i.e. numerical methods) may be applied. is part of the structural model and comprises,
respect to safety and serviceability (i.e., that in an idealised way, the geological structure and
displacements are within acceptable limits) The quantitative verification of structural safety properties of the ground. The structural model
requirements for all construction stages. or serviceability may be dispensed with if must be suitable for predicting the structural
Furthermore, the compliance with environmental the respective design requirements can be behaviour in the dimensioning situations under
requirements (surface settlements, vibrations, adequately ensured using well-proven design consideration. It should, on the one hand,
ground water disturbance, etc.) should be and/or execution measures. In fact, some approximate as closely as possible the real
checked. The variability of the influencing factors actions can often be mitigated better using situation and, on the other hand, be as simple
has to be considered in the assessment. design measures or by eliminating the action as possible. The methods of structural analysis
than by dimensioning according to limit states. In should be based on standard engineering
As far as possible, the structural concept, the order to judge the effectiveness of constructional practice or empirically proven theory.
dimensioning and the construction methods and execution measures, reliable, comparable
shall be checked and assessed according to and transferable experience must be available. Depending on the particular questions to be
experience gained on comparable projects. answered by the analysis, different structural
Substantial divergences from normal The proper use of structural analysis requires a models may be decisive. It is possible to
construction practice shall be analysed and thorough understanding of and a “feel” for the assume different models for the same problem
substantiated. In the assessment of the complex processes involved in the construction (behaviour hypotheses) and carry out a variation
implementation possibilities special attention shall of underground openings as well as a good of parameters of each model. In this manner it
be paid to background in geotechnical and structural is possible to single out the important factors
• The simplicity of execution, engineering. Therefore structural analysis cannot and to compare the results corresponding to
• The insensitivity to unavoidable execution make up for inadequate experience or intuitive pessimistic and optimistic estimates.
inaccuracies or possible errors in execution, insight into the problems. Thus the information Attention shall be given to parameters exerting
• The ability to adapt to possible changes in provided by structural analysis supplements the a large influence. The results of the structural
ground behaviour, and basic knowledge that is expected of a tunnelling analysis shall be checked for plausibility,
• The execution of the works engineer. One is less likely to go wrong, keeping in mind that they do not refer to the
therefore, when one starts from the wealth of actual conditions but to the model considered.
For the evaluation of the individual hazards (with knowledge already accumulated in tunnelling The validity of the computational results is
and without remedial measures), a risk analysis practice and then fits the information obtained conditioned by how well the model corresponds
should be carried out by means of a qualitative by structural analyses into the framework of this to reality. Since structural modelling also involves
assessment of the probability of occurrence basic knowledge. subjective assumptions, the final results are
and by a quantification of the impact. Due to The goal of the analysis is to investigate not beyond doubt. Structural analyses provide
the fact that the different input data is normally quantitatively the behaviour of the structure useful indications, but not proofs of the structural
quite inaccurate a simple qualitative method (described basically in terms of deformations behaviour. Computations, therefore, cannot
is recommended rather than complicated and stresses) in the considered dimensioning dictate important decisions but only provide a
mathematical models. A simple and efficient situations taking into account the critical reason for these decisions.
method of risk evaluation is to determine the risk influence factors. The starting point of the
R as the product of the probability of occurrence structural analysis is the conceptual design. The dimensioning situations, the assumptions
P multiplied by the impact or loss of time I (Risk made in the structural analysis, the analytical
R = P x I). The probability of occurrence and the A clear formulation of the particular problem models and the verifications of structural safety
amount are estimated values. facing the en-gineer is required before carrying and serviceability shall be clearly documented
out a structural analysis. On the basis of this in the technical report. Computational results
The evaluation criterion and intervention strategy formulation of the problem a suitable structural should be presented in the form of diagrams,
are project-dependent. The value of risk R after model can be established and the variations which give a good summary of the results
implementing planned remedial measures is the in the required input data can be defined by and allow various computed cases to be
remaining, unavoidable risk. specifying of the upper and lower bounds. easily compared. For conclusions affecting
The structural model idealises the complex reality constructional decisions the computed
with respect to the static system, the material deformations in the ground and stresses in the
behaviour and the loads. The structural model lining are of especial value.
2.5.5. Modifications to construction 2.6. Final Lining 2.7. Tender Design Documents
method on site
Depending on the geological complexity, the An underground space ex cavated by the Based on the individual reports submitted
extent of the geological pre-investigation and Conventional Tunnelling Method may need a by the various expert teams involved in the
available experience from other projects in similar final (secondary) lining in addition to the primary project, a technical report should be prepared
geological conditions, the information concerning lining according to the requirements of the documenting the decision-making process
the ground may be subject to uncertainties. project to and summarising the results of the design.
If the structural behaviour cannot be • Cater for all the final load cases Finally the tender design documents should
predicted with sufficient reliability based on • Fulfil the final safety margin contain:
site investigations, structural analysis and • Include the necessary protection measures • The contract documents
comparable experience, the design may permit (e.g. water tightness) • A summary of the results of geological
or foresee construction method modifications • Guarantee the required service life time and geotechnical investigations, and the
during construction, provided that the relevant interpretation of the results
hazards can be detected and localised in time by Generally two options exist to construct the • A description of the ground and the
observations and they do not lead to sudden or final (secondary) lining: associated key parameters
uncontrollable failure (s. Section 4 “Monitoring”). • Installation of an independent secondary • A description of the possible hazards, the
Otherwise, constructional measures and suitable lining that is normally dimensioned to relevant influencing factors, the analyses
types of supports must reduce the potential withstand all the final load cases. performed, and the underlying geotechnical
hazards in order to comply with the safety The secondary lining can consist of shotcrete model
requirements. or cast in situ concrete. • The specification of excavation and support,
For the purpose of construction method According to the requirements of the project relevant scenarios considered, analyses
modifications on site, the information gained the final lining consists of unreinforced applied, and results
during execution both on the ground properties concrete or reinforced concrete (steel bars • A baseline construction plan
and on the structural behaviour shall be or fibres). • Detailed specifications concerning the
introduced into the current process of design • Installation of additional layers of shotcrete to baseline construction plan (including
and execution. strengthen the primary lining for all the final measures to be determined on site if any)
load cases. • The determination of excavation and support
In particular, the design should specify: classes, their distribution along the alignment
• Relevant mechanisms endangering safety or • The bill of quantities
impairing serviceability during construction • The technical specifications
• The information to be collected on site during • The drawings
construction, for example geological records
of the tunnel face, results of advance probing, The baseline construction plan in the tender
qualitative observations (such as signs of design documents describes the expected
excessive stress in the lining or failures of the ground conditions (geological model with
face) or monitoring results (see Section 4 distribution of ground types in the longitudinal
“Monitoring”) section), the excavation and support
• Criteria for the selection of excavation, support types (round length, excavation sequence,
or auxiliary measures overexcavation, invert distance, support quality
• That the criteria may be based upon and quantity, ground improvements, etc.) as
qualitative observations or control values (in well as zones, where specific construction
general the deformations of the opening and requirements have to be observed. The
its surroundings) determined by structural baseline construction plan also has to contain
analyses or experience clear statements describing which measures
• The actions to be taken for every foreseeable cannot be modified during construction,
significant deviation of the observational as well as the criteria and the actions for
findings from the expected ones possible modifications and adjustments during
• A management concept with all technical construction.
and organisational provisions to allow a timely
decision-making process during construction
During construction, all relevant data, concepts,
considerations and decisions shall be recorded
in such a way that a review of the decision
making process is possible.
Drilling and blasting, full face Mechanical excavation, top heading bench
Both excavation methods can be used in the
same project in cases with a broad variation
of ground conditions. In both excavation
methods the excavation is carried out step
by step in rounds. The round length generally
varies from 4 m in good conditions to 1 m or
less in soil and poor ground conditions (e.g.
squeezing rock). The round length is the most
important factor for the determination of the
advance speed.
3.3. Primary Support The most common elements for the primary and the assessment of the actual ground
support are conditions. The selection of the support
The purpose of the primary support is to • Rock bolts elements has to consider the onset of effect
stabilize the underground opening until the • Shotcrete (not reinforced and reinforced and the support pressure of each element.
final lining is installed. with fibres or wire mesh) Additional elements for the primary support
Thus the support placement is primarily a • Steel ribs and lattice girders can be placed in the rearward area according
question of occupational health and safety • Meshes to the requirements of the structural analysis,
but it is also a question of the usability of the • Lagging the ground conditions and the construction
tunnel itself as well as of the protection of the sequence.
envi-ronment (neighbouring buildings, lines of These elements are applied individually or The baseline construction plan indicates the
communication in or above ground facilities, in combination in different types of support support types available for each homogenous
etc.). depending on the assessment of ground zone in the geotechnical model and contains
In many cases it may become necessary to conditions by the responsible site engineers limits and criteria for possible variations
apply the support system in combination with and by taking into account the corresponding or modifications on site. The baseline
auxiliary constructional measures. design. In each round, elements of the construction plan also contains warning
primary support have to be placed up to the criteria and remedial measures for the case
excavation face for reasons of safety and when acceptable limits of behaviour are
health and according to the structural analysis exceeded.
Rockbolts
Grouting
The different techniques for grouting are
consolidation grouting, fissure grouting,
pressure grouting and compensation
grouting.
Grouting can be carried out in the tunnel Jet grouting
excavation as face grouting or as radial
grouting from the excavated tunnel or from a
pilot tunnel. The most commonly used grout
material is cement. In special cases chemical
products such as resins or foams are also Ground freezing
applied. In these cases the environmental
and safety restrictions have to be considered
specially.
Jet grouting
Face grouting
Pipe umbrella
Face anchors
4.1. Objectives of monitoring procedures can obviously be applied only for Displacements have the advantage that
the case of ductile structural behaviour. in a mathematical sense they represent
Field monitoring is an indispensable element integrated quantities and are basically not
of modern tunnelling. The purpose of the Decision-making based on measurements subjected to local effects. Stresses, strains or
instrumentation may be: is impossible when the structural behaviour changes in curvature, on the other hand, are
• Checking the structural behaviour with is brittle (e.g. rock bursts or tunnel face differential quantities, whose validity is limited
respect to safety and/or serviceability instabilities), as the predictions of deformation to local regions (scale effect). Therefore the
criteria, mainly during construction and in values close to collapse are highly unreliable. observation at several successive points will
some cases during service life. be necessary to obtain a distribution over a
• The quantification of structural response The planning of a monitoring program should sufficiently large area.
to a specific method of construction and include the following steps:
checking the effectiveness of specific • Prediction of the mechanisms that control In some cases, for example the construction
support measures. behaviour of underground openings in swelling rock
• The comparison of theoretical predictions • Selection of parameters to be monitored or in the presence of difficult groundwater
with the actual structural behaviour and the • Prediction of the magnitude of change conditions, measurements of contact
assessment of the material parameters of • Selection of instrumentation and its stresses or groundwater pressure can be a
the ground. accuracy very relevant and sensitive measurement.
• Checking adjacent structures and facilities • Instrument location plan With the selection of the parameters to be
for their safety and serviceability as a result • Redundancy of instrumentation monitored the instrument types are also
of the construction of the tunnel. • Data collection plan selected. The instrument resolution and
• Data processing, required range are given by the predicted
Due to its quality, monitoring data can also • Interpretation and report plan maximum of the magnitude change.
be used for clearing disputes between
contractual partners or between the client and However, the accuracy depends not only
third parties. Therefore a further objective is: 4.2. Physical quantities and on the resolution, but also on the measuring
• Documentation of evidence related to the instrument selection principle used for the instrument. Additionally,
tunnel construction and the effects on instruments with a large range often have
adjacent facilities. The most important physical quantities to a lower resolution and accuracy. Finally, in
be monitored can be subdivided in following selecting the instrument, availability, durability,
Instrumentation can also help to advance the groups: maintenance and calibration requirements as
state-of-the-art in technology in a particular • Deformations (displacements, strains, well as costs also have to be considered.
geotechnical context (e.g. urban subway changes in inclination or curvature)
construction). The monitoring results often • Stresses (contact stresses, boundary stress
provide a very valuable insight into the ground on a beam, state of stress) and forces on
deformation pattern and failure mechanisms, structural elements (bolt force, normal load
contribut-ing thus to the project optimisation on a compression element or steel arch)
in terms of safety, construction time or cost. • Piezometric levels
• Temperatures
The results of field measurements can
be used to assess structural behaviour
with respect to safety and/or serviceability
requirements. In such cases, the
determination of acceptable behaviour should
include threshold values of key indicator Monitoring
parameters. The monitoring results should
be evaluated in combination with other
observations in order to decide whether
Monitoring
corrective measures are necessary or not.
Deviations from past deformational behaviour, The most common monitoring method is the
such as an unexpected acceleration over measurement of displacements, for example
several readings without ongoing construction convergence of the underground opening or
activities in the vicinity of the monitoring ground surface settlements.
section, must be analysed immediately. Such
4.3. Monitoring layout and plan 4.4. Organisational issues 4.5. Other observations and
measurements
The monitoring layout is determined by the In contract documentation, responsibilities for
predicted mechanism or behaviour of the installation and commissioning, calibration, • Geotechnical observation of the rock
structure. For example, it must be established provision of baseline data, monitoring, mass (type of rock mass, weathering,
if pointwise measurement is adequate or if information flow, data interpretation and geotechnical classification, the strength of
measurements along profiles or over surfaces reporting must be clearly defined. the rock mass, zones of weakness, foliation,
are necessary. For the definite location etc.)
of the instruments the zones of primary For the owner it may be advantageous to
concern and critical areas, in which additional appoint an independent monitoring contractor • Hydrogeological observation (changes of
instrumentation may be required to get who carries out the monitoring work and, the water table level, changes of the water
meaningful results, should be identified. The on a real-time basis, delivers the results to level in wells, verification of the connection
layout and spacing between instrumentation all par-ties involved in the execution of the between ground water in the zone near the
arrays will depend on factors such as the tunnel project (client, designer, construction surface and at depth, quality of the water,
stratigraphy, level of detail and degree of manager if present, contractor, etc). The chemical composition)
redundancy required as well as the location evaluation of the monitoring results should
of the tunnel in relation to nearby existing also be carried out on a real-time basis by • Quantity of the water (inflow to the tunnel)
structures. a suitably experienced third party (either
the client with his consultant or the design • Geophysical measurements (indicates
The plan of data collection includes engineer responsible for the detailed design failure in homogeneous rock mass)
details about frequency of readings, data of the tunnel). The contract conditions should
transmission and data storage. Readings may provide the necessary empowerment to • Seismic and acoustic measurements (in
be taken at intervals, continuously (real time), persons to implement immediate stabilizing case of drill and blast excavation)
depending on specific construction stages or works according to the results of the
time events. monitoring.
Monitoring
Monitoring
5.3.3. Differing Site Condition clause 5.3.5. Partnering 5.3.7. Full geotechnical disclosure
The Differing Site Condition (DSC) clause was In the last few years partnering clauses have Experience has shown that full disclosure
established as a measure of allocation of risk been included in tunnelling contracts. The of geotechnical information would reduce
between the client and the contractor relative goal of this process is to minimise disputes the risk to both the client and the contractor
to the ground condition. In exchange for lower and to prevent them from escalating in time and thus the project costs. Therefore
initial bids, the client bears some portion or all and value by resolving them at the lowest it is important for clients to invest in a
of the risk regarding subsurface conditions. possible level in the project organization. comprehensive geotechnical program.
It attempts to establish a win-win attitude
In the case of low bids, bid contingencies are between the project participants, including The information should be included in the
paid by the client, regardless whether adverse the client, the contractor, the engineer, and contract documents. The intent of the
conditions are encountered or not. On the the construction manager. This process disclosure of geotechnical information is to
other hand, DSCs are paid only if they are encourages dialogue among the various share and allocate construction risk between
encountered. participants and relies on reasonable people the client and the contractor.
to resolve disagreements reasonably. It
There are two categories of DSCs: seeks to eliminate adversarial posturing and The Geotechnical Data Report (GDR) contains
• Category 1 governs when subsurface positioning that often develop when disputes all the raw data, including boring logs, records
conditions differ from those indicated and claims arise. Through this process a of measurements, and field and laboratory
in the contract. This is based solely on series of dialogues and interactions are tests and their results. It is recommended
what is stated in the contract, including developed whereby the team members are that the Geotechnical Data Report be made a
geotechnical data or geotechnical encouraged to work out differences in the contract document in order to provide to the
interpretation included in the contract best interests of the project. When an issue is potential bidders with the same information
documents. not resolved at the lowest level, it is brought that the design engineer used in the design.
• Category 2 applies when conditions, up to a higher level for resolution.
which were not known to the contractor In the Geotechnical Design Summary Report
at the time of contracting, differ from those 5.3.6. Value Engineering (GDSR) the design engineer’s interpretation
normally encountered in the area. It is To stimulate innovative approaches within the of the data, anticipated ground behaviour,
generally related to unusual conditions and limitations of the contractual requirements, and the identification of the conditions which
not based on contract documents. cli-ents opt to include a value engineering affect the design and which may impact on
clause in the contract. Relaxing the design construction should be shown.
It is important to note that to recover on the criteria where not critical or meeting the intent
DSC clause the contractor must demonstrate of the design more efficiently via creative The Geotechnical Baseline Report (GBR)
the impact on costs and time and must show approaches achieves efficiency. The savings establishes quantitative values for selected
causality. achieved by value engineering are shared conditions anticipated to have great impact
between the client and the contractor. It is on construction. These values are established
5.3.4. Escrow bid documents important to assess the potential effects of through technical interpretation of the data
In this process the selected contractor’s bid differing site conditions on the design as and financial considerations of risk allocation
documents are placed in an escrow, that modified by the value engineering. and sharing. The advantages of this report
is, held in trust by a third party and turned are ease of administration of contractual
over to the grantee only upon fulfilment of a clauses, unambiguous determination of
condition. These documents would then be entitlement, clear basis of contractor’s bid,
utilised if needed to assess a fair entitlement and clear allocation of risk between client
and adjustment for additional work, differing and contractor. If baseline values are defined
site condition issues and claims. However, in optimally, this can result in minimising
this process clients fear that the contractor contingency of the bidders while limiting the
could condition the bids while contractors fear client’s risk to a reasonable level.
that they could lose confidentiality of means
and methods. This process has not been
used extensively.
The organisation of the project execution is 6.2. Design engineer The site construction manager is responsible for
highly dependent on the selected contract The client commissions a design engineer to the general management and supervision on
model. Nevertheless the organisation of a project perform the tasks of planning and design of the the construction site with regard to quality and
is decisive for its success. project during the different project stages. costs. This involves checking the proper use
For design bid build-contracts the following After obtaining the corresponding construction and handling of construction materials, helping
model is often used in Conventional Tunnelling: and design approval the tendering is carried to implement the integral occupational health
out. The design engineer prepares the tender and safety concept, establishing measurement
6.1. Client documents, evaluates the tenders and schedules and checking the contractor’s bills.
The overall project management is primarily the formulates the contract award document on Finally the site engineer supervises the
responsibility of the client and comprises the behalf of the client. rectification of defects.
general supervision of the construction work,
basic decision-making, determining which During construction the design engineer 6.4. Specialists and experts
measures to adopt in the case of technical prepares the detailed design. If the design In addition, as needed, the client uses specialists
supervision, financial or schedule variations and engi-neer is not the same consultant as for the and consultants, who are usually commissioned
deciding upon remedial measures to correct site supervision a close relation to the site shall directly by the client. These are, e.g., geologist,
defects. be established and the roles and responsibilities geotechnical engineer, hydrogeologist,
clearly defined. It is recommended that for environmental specialist, architect, building
The ground belongs to the client. Therefore conventional tunnelling, the design engineer is physicist, surveyor, safety officer, gas engineer,
unforeseen ground conditions are the client’s also the site supervision consultant for the tunnel independent checking engineer, etc. The work
risk. excavation. of the specialists includes, among other things,
giving expert advice to the design engineer and
In certain circumstances the client may augment The design engineer and site supervision the client.
his staff by hiring a project manager and/or a accompany the structure into service after com-
construction manager. The project management pletion of the work. They prepare the asbuilt 6.5. Contractor
team will act as an extension of the client’s documents and maintenance plans. The selected contractor carries out the work
staff and will oversee the project performance according to the contract documents. Means
technically, financially and in accordance with and methods are generally the contractor’s
the project schedule. The construction manager 6.3. Site supervision responsibility and the inability to perform under
oversees the implementation of the project The client commissions a consulting engineer the prescribed conditions is the risk to be
during construction. with the overall supervision of the construction absorbed by the contractor.
work (site construction manager). In many cases
the site engineer is the same consultant as the 6.6. Dispute review board
design engineer in order to ensure an unshared The commitment of a dispute review board (see
engineering responsibility towards the client. 5.3.2) is highly recommended.
The site supervision safeguards the interests
of the client and carries out the agreed work
observing the recognized rules in that field while
optimising costs and schedules.
Client
Independant Review
Engineer
Contractor
ITA WG 2, Research; ITA Guidelines for ITA WG 3, Contractual Practices; ITA ITA WG 12, Shotcrete use; Guideline
tunnelling risk management, Tunnelling and Position Paper on Types of Contract, for the Design of Tunnels, Tunnelling and
Underground Space Technology, Vol.19 Tunnelling and Underground Space Underground Space Technology, Vol. 3
(2004), No. 3, pp 217 – 237 Technology, Vol. 11 (1996), No. 4, pp 411 (1988), No. 3, pp 237 – 249
– 429
ITA WG 3, Contractual Practices; ITA
Recommendations on Contractual Sharing ITA WG 7, General approaches to design;
of Risks, Tunnelling and Un-derground Guideline for the Design of Tunnels,
Space Technology, Vol.7 (1992), No. 1, pp Tunnelling and Underground Space
5–7 Technology, Vol. 3 (1988), No. 3, pp 237 –
249
Organisation
Address
Heinz Ehrbar
AlpTransit Gotthard Ltd.
Zentralstrasse 5
CH 6003 Lucerne
Switzerland
heinz.ehrbar@alptransit.ch
ITA Secretariat c/o EPFL - Bât. GC - Station 18 - CH - 1015 Lausanne - Tel. : + 41 21 693 23 10 - Fax : + 41 21 693 41 53
Email : secretariat@ita-aites.org - Web : www.ita-aites.org