U.S. Army Corps of Engineers
CECW-ED Washington, DC 20314-1000

No. 1110-2-2901 30 May 1997

Engineering and Design

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

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


Colonel, Corps of Engineers
Chief of Staff

This manual supersedes EM 1110-2-2901, dated 15 September 1978, and Change 1, dated
19 February 1982.

U.S. Army Corps of Engineers
CECW-EG Washington, DC 20314-1000

No. 1110-2-2901 30 May 97

Engineering and Design

Table of Contents

Subject Paragraph Page Subject Paragraph Page

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

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


EM 1110-2-2901
30 May 97

Subject Paragraph Page Subject Paragraph Page

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


EM 1110-2-2901
30 May 97

Chapter 1 construction methods for rock tunnels and shafts is vastly
Introduction different than for tunnels or shafts in soft ground. There-
fore, tunnels and shafts in soft ground is not covered by
this manual.

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

b. Since construction contracting is a major consider- 1-6. Terminology
ation in underground construction, the manual discusses
some of the basic issues relating to contract document Appendix B contains definitions of terms that relate to the
preparation; however, contract preparation is not covered. design and construction of tunnels and shafts in rock.

c. The procedures in this manual cover only tunnels
and shafts in rock. The general design philosophy and


is 2-4. inrush of water or 2-1 . Design ing. Either way. unless the General Considerations contractor is prepared for them. For example. and it is difficult to define their properties with anomalies that may affect tunnel construction. Unfortunately. selection of lining type. Methods and Standards of Design ways different from other design and construction projects. construction. lyzed. the defini- a. standards or codes of design for tunnels are hard to find. in spite of the variability of modate these stresses with acceptable displacements. geologic materials are inherently tunneling conditions. flexible Adding to the complexity is the fact that many aspects of design and redundancies and safeguards during construc. In addition. The geologic materials. initial ground support. geologists also participate in the design and assessment of most tunnels must traverse a variety of geologic materials. b. This will permit the 2-1. economy. Uncertainties geologic materials and the variety of demands posed on persist in the properties of the rock materials and in the finished underground structures. thus improving safety. Note: details of initial ground support design are usually left to the contractor to complete. operations. Considering the variability and complexity of itself rather than an engineered material. envi- by improving the ground’s inherent rock mass strength ronmental concerns. the rock tion of modes of failure that can. turning the unexpected into the expected. and principles of tunnel design that will lead to safe ments will occur. Thus. and commercial contracting practices (modulus). This can be accomplished knowledge from many disciplines. selection of remedial measures dealing with anomalous sure during construction. interpret all available data to ascertain c. Rock as a Construction Material b.or long-term displacements may must be a careful and deliberate process that incorporates occur and it must be reinforced. The rock mass is often able to accom. in effect. requires consideration of strain compatibility with the rock ods of construction. or other components. an essential part of explorations and design revolves around defining possible and probable occurrences ahead of time. mass. If the rock is unstable. adaptable or insensitive to variations in the ground. EM 1110-2-2901 30 May 97 Chapter 2 occurrence of gases can cause great distress. rock falls. design of underground structures b. 2-2. In fact. Teamwork in Design an underground structure. This manual emphasizes methods to anticipate ground behavior based on geologic knowledge. These uncertainties must be overcome by sound. but a definition of the degree of stability or safety factor of the structure is elusive. slabb. Thus. raveling. Geologic anomalies and unexpected geologic fea- tures abound and often result in construction difficulties or risks to personnel. Approach to Tunnel and Shaft contractor to be prepared. Very few engineers either by preventing failure initiators such as rock falls or know enough about design. is still the main building material of the tunnel or shaft structure. stable rock mass around the opening in the ground. The engineering geologist may characteristics. differing site condition claims will be minimized. ground support requirements. d. be ana- stresses are perturbed around the opening and displace. it is not surprising that way the rock mass and the groundwater will behave. with or without to make all important decisions alone. When a tunnel or shaft is excavated. and details of construction must remain require the help of geohydrologists or other specialists. Engineering any certainty along a length of tunnel or shaft. often reinforced with dowels. Design and Construction and the duration of construction. Because of the risks and uncertainties in tunnel and shaft construction. the design design of man-made components to stabilize the rock of tunnels must involve selection or anticipation of meth. a. rock mass behavior are not well understood and that the tion. Design and construction of tunnels and shafts in rock require thought processes and procedures that are in many 2-3. and economical structures. or excessive short. the the character of which may be disclosed only upon expo. More than for any other type of structure. and the selection of lining must be selected with adaptability and redundant basic tunnel alignment. and define geologic features and variable. reinforcement. ground reinforcement and conditions. in many cases. Engineering geologists plan and carry out geo- logic explorations. because the principal construction material is the rock mass a. cannot be carried out by one or a few engineers. shotcrete. the rock mass.

establish the geometric framework on which all design is noxious or explosive gases. the type of project will involve of tunnel lining type and participate in the selection and conveyance of water for one purpose or anotherChydro- design of initial ground support components such as steel power. and Ashow-stoppers@ must be found. should be considered: i. and tunnel finish this manual. as well as access permit requirements. select the appropriate coordinate system. such as hot formation water. details are discussed in later sections of ment and profile. diversion. Structural engineers analyze steel-lined pressure of a concept for a facility to meet this need or take advan- tunnels and penstocks and help analyze reinforced concrete tage of the opportunity. impact of the facility. Structural engineers also assist in the basic choices underground components. etc. the following public involvement efforts. Design concepts must be f. site access. $ Alternatives such as shafts versus inclines and surface penstocks versus tunnels or shafts. Feasibility studies and concept development. Construction engineers experienced in underground $ Alternative hydraulic concepts must be analyzed. initial ground support. implementation. etc. other facilities. and steel lining and to maximize tunneling in rock geotechnical engineering must be considered in all stages of where final lining is not required. design. Geotechnical engineers participate in the design b. longer alignments. road detours. They may also lead or participate in locations. etc. consideration of alternate. formulation of the contract documents and required safety and quality control plans. 2-5. Show-stoppers are insurmountable constraints. Environmental staff provides necessary research most feasible general scheme including preliminary project and documentation to deal with environmental issues and location and geometry. and assessment of ground support requirements.EM 1110-2-2901 30 May 97 c.). $ Tunneling hazards. use of design of remedial measures. a. and the staff preparing the commercial part of the contract documents. geology. the selection of remedial measures dealing (1) Activities during this phase concentrate mostly on with anomalous conditions. and impacts and to determine the h. Reconnaissance and conception. which may require tion engineer). The following is an overview of the design and 2-2 . works must be retained for consultation and review of hydraulic grade lines defined. (roughness) requirements and must be consulted for analysis and opinion when criteria may become compro. (2) Alternative solutions are analyzed to define the obstacles.) or geologic problems (tunneling through planning. j. They also participate in the air cushion. $ Difficult geologic conditions. required relocation of g. Project concep- mised or when alternative solutions are proposed. hot formation waters. Hydraulics engineers must set the criteria for align. based as well as benchmarks. surge chambers. ing and design (CADD) operators. benefits derived from the project exceed the cost and envi- ronmental impact of the project. line and grade. tion in the reconnaissance stage involves the identification and definition of a need or an opportunity and formulation d. pressures in the tunnel. the drafters/designers/computer-aided draft. For most USACE projects with linings. Civil engineers deal with issues such as construc. Economic feasibility requires that the basic tunnel alignment. gaseous ground. The Process of Design and Implementation $ Tunnel depth selection to minimize the need for Aspects of tunnel engineering and design. constraints. flood control. e. etc. and controls for con- struction. criteria. selection of lining type. extensively fractured rock. such as environmental problems (infringement on National Park treasures or endangered species. and relocation of utilities and if present. and issues of economy. water supply for irrigation sets. drainage and muck disposal. and deep. Other professionals involved include at least the specification specialist. or other purposes. as well as the need required or anticipated methods of construction and the for appurtenant structures. the cost estimator (often a construc. developed to a degree sufficient to assess the cost and tion site location and layout. In the selection of line and grade. Civil engineers or surveyors prepare base maps for villages.

geotechnical exploration concrete. Trade-off studies may be required to determine the relative value of alternative $ The number of private properties for which ease. designs (e. usually varies with ground conditions. Available geologic information must also be consulted. portals. stormwater c. and the effect on existing groundwater ration of contract documents. Survey. (4) The preliminary design will also include an $ Schedule demands requiring tunnels to be driven assessment of methods and logistics of construction. as well as roads and at environmentally acceptable locations. (4) This phase of the work should culminate in a complete implementation plan. $ Spoil sites locations. protection. $ Geotechnical data. nel(s) and the location of all appurtenant structures should be set. as discussed in Chapter 4.g. including plans and sched. participation are also usually required. early time to determine if sufficient information is avail- able to make a reliable determination of feasibility or if $ Site: existing conditions. other facilities. design. alignments acceptable for hydraulic performance? Will the added cost under public streets are desirable. Environmental and permitting work. at an $ Tunnel line and grade and all geometrics. lowing information: engineering surveys must establish topographical and cul- tural conditions and constraints. $ Environmental impacts. temporary support of excavations. land and ease- ment acquisition. Strategies for public $ Protection of existing structures. covering separate aspects of the proposed facility. and detailed mapping must be carried out. $ Erosion and siltation control. signing. is the greater roughness of an unlined tunnel ments are required. able work areas. traffic maintenance and control. public participation efforts. The construction stage: Final design and prepa- dust. existing utilities. disposal areas. In urban areas. $ Portal and shaft layouts. (2) Survey networks and benchmarks must be estab- lished. construction should be obtained. and testing.g. $ Final lining where required (concrete. during final design. 2-3 . to avoid passing under a large number of dum. noise and d. EM 1110-2-2901 30 May 97 $ Access points and construction areas near available prepared. access. several hundred feet off. and hydrologic data acquisition must also be completed in this phase and geotechnical data reports $ Appurtenant structures and details.. if appropriate. and construction. reinforced (3) Geologic field mapping. (1) During this stage. long stretch of the San Diego outfall tunnel was planned to be (not actually built at this time) (5) Preconstruction planning and engineering culmi- placed under the ocean. the line and grade of the tun. nates with the preparation of a General Design Memoran- shore. steel). such as traffic. ules for data acquisition. $ Criteria for contractor-designed temporary facili- ing required for construction control may be performed ties. continue through preliminary design. often accompanied by feature design memoranda private properties. com- from more than one adit. largely based on existing $ Survey benchmarks and controls. (1) Contract drawings will generally include the fol- (3) During the feasibility and early planning stages. including existing utilities and $ Sequence of construction. conditions. e. mapping will include all affected cultural features. patible with schedule requirements. In urban areas. shafts. Property ownerships must be researched.. and most information required for final design and $ Initial ground support for all underground spaces. Preconstruction planning and engineering. avail- supplementary information must be obtained. Example: A of multiple headings be worth the resulting time savings?). permitting. mapping and air photos.

This report presents the designers' interpretation of rock conditions and their effects and forms the basis for any $ Instrumentation and monitoring layouts and details. data. but the CM team must ascertain purposes and are not counted on to assist in maintaining that a safety plan is prepared and enforced. such as hydrostatic testing. it is common to provide will be responsible for interpretation of monitoring data and minimum earth pressures for design of temporary earth for recommending action on the basis of monitoring retaining walls. Modern contracting practice requires full disclosure of geologic and geotech. Typical examples of permanent monitoring facilities (GDSR) or Geotechnical Baseline Report (GBR) usually is include observation wells or piezometers to verify long- also prepared and made a part of the contract documents. relationship between contractor and the Government and the terms of payments to the contractor. and supporting staff is the work but are not part of the finished work are the usually established for construction oversight. the review of contractor submittals. When the designer deems it (2) During construction. For example. usually in the form of data reports avail. the designer may be specified. ated in the facility for operational reasons. a Geotechnical Design Summary Report ity. of project-specific specifications. or schedule of the work. they are not however substitutes for careful crafting by the operator. Others may be able to the contractor. Preparation of such reports is not practiced by USACE at this time. with few $ Site restoration. the designer participates in necessary for the safety. differing site conditions claims. (2) Permanent monitoring devices may be incorpor- nical information. and other construction equipment. initial progress for payment. (1) Before an underground facility is declared to be completed. (1) A construction management (CM) team consisting ponents that are used by the contractor in the execution of of a resident engineer. For work conducted by other installed to verify continued safe performance of the facil- authorities. exceptions. may be (4) While Standard Specifications and specifications required. certain tests. 2-4 . term groundwater effects. completed structure or serve a function in the completed structure must be designed fully by the design team. temporary ventilation facilities. This team is responsibility of the contractor to design and furnish. Commissioning and operations. (2) All segments of the work that are part of the e. (3) The specifications set down in considerable detail the responsibilities of the contractor and the contractual f. Com. charged with ascertaining that the work is being built in These include temporary structures such as shaft collars accordance with the contract documents and measures and temporary retaining walls for excavations. Where instrumentation minimum requirements or criteria for portions of this work and monitoring programs are implemented.EM 1110-2-2901 30 May 97 $ Cathodic protection. The design team should also be represented at the job site. quality. long-term stability. and as-built drawings are furnished for future use lists. inspectors. Manuals of operations and maintenance are used on past projects are useful and may serve as check prepared. Construction. Safety on the job site is the respon- ground support in tunnels that are strictly for temporary sibility of the contractor.

c. chemically very stable 7 Colorless Breaks with conchoidal frac- ture Clay Minerals Aluminosilicates with crystal size too small to be 2-3 Usually white. The mechanical properties of the mass. This chapter describes the geologic parameters 3-1. Rocks are natural materials whose composition can be highly variable. The mineralogy of a rock is generally of behavior. and occur- under the forces introduced by the excavation. Relatively stable minerals brown to black flakes on weathering Muscovite often twinkles in flakes on rock surface Chlorite Chemically a hydrous iron-magnesium 2-2. less Weathers relatively easily feldspar) or sodium and calcium (plagioclase feld. The site geology provides the setting for any the rock mass. olivine) 3-1 . Hematite (Fe2O3). mechanical. or May occur as sheets that seen with a low-powered microscope black give a characteristic clayey soapy texture Micas Aluminosilicates of potassium (muscovite mica) or 2-3 Muscovite is colorless. while rock Table 3-1 Common Minerals Mineral Group Chemical Composition Hardness Color Other Characteristics Feldspars Aluminosilicates of potassium (orthoclase 6 White or grey. intact rock properties affect stress-induced modes minerals present. 3-2. in situ stresses in the undisturbed rock underground structure. established estimates and associated uncertainties for these parameters. Chemically complex calcium and sodium sium Minerals aluminosilicates rich in iron and magnesium (hornblende. fixed chemical compositions. General pertinent to the design of underground openings. EM 1110-2-2901 30 May 97 Chapter 3 mass propertiesCgreatly affected by discontinuities and Geology Considerations weatheringCaffect opening stability during and after construction. Properties of Intact Rocks mated. delineates geologic boundaries. rences of groundwater and gases. augite. They are usually aggregates of b. They are mainly characteristics. durability and excavation effort. ferrous iron ores are green and grey Iron Ores Oxides. These parameters form hydrologic conditions establish the quantity and pressure of the basis for predicting the performance of underground water that must be controlled. Once the designer has structures. For each type and chemical properties that differ from those of other of rock. and provides silicates. brown to (FeS2) black Ferromagne. a.5 Green Soft. The geo. the performance of the rock mass can be esti. Each mineral in a rock has physical. clues as to geologic or hydrologic hazards. grey. commonly pink spar) with 3-dimensional structures Quartz Silica. The most common minerals work subdivides the rock mass into rock types of varying found in rocks are given in Table 3-1. Break readily along close potassium-magnesium-iron (biotite mica) with biotite is dark green or parallel planes. This geologic frame. The geologic stratigraphy and structure form the mineral particles although a few rocks form as amorphous framework for exploring and classifying the rock mass for glasses. pyrite 5-7 Dark green. It dis- cusses the geomechanical properties of the intact rock and a. carbonates. Minerals are inorganic substances with unique design and construction purposes. forming thin sheet structures. and the design of an underground structure can proceed. effects of weathering and discontinuities such as rock describe how the geologic materials deform and fail joints and faults on rock mass performance. breaks readily and aluminosilicate forms flakes Calcite Chemical composition CaCO3 3 Ferric iron ores are red and brown.

since individual given in Table 3-4. olivine) are considerably harder morphic rocks that provides a useful framework. and meta- quartz. and its texture depends on the rate at 3-2 . 5. and texture. and saturation. sedimentary. mudstone). The relative volumes c. the rock formation’s mode of origin can be deter- weathering processes. However. the Moh's scale of hardness (Table 3-2) provides tion systems have been developed in terms of mineral a field procedure that can assist in identifying minerals composition. The classification scheme for sedimentary rocks is cause anisotropy in a rock. The composition depends on the it weathers or disintegrates on exposure and how abrasive kind of molten material (magma) from which it it will be to cutting tools during excavation. d. and simplifications are in order for engineering b. Although the mineralogy of a rock will influence for metamorphic rocks is given in Table 3-5. Their classification scheme affect the strength of a rock. siltstone. Anhydrous silicates (feldspars. and how it for igneous rocks is given in Table 3-3 and is based on deforms. such as the chemical compo- of molten material that originates in or below the sitions of the grains and cementation. schist. coal). Other factors. grain size. marble.EM 1110-2-2901 30 May 97 which the material cools. groups based on their mode of origin: density. These form deep in the earth Orthoclase feldspar 6 Penknife from preexisting rocks of all types in response to Quartz 7 Steel file increases in temperature or pressure or both Topaz 8 (gneiss. will affect how easily earth's crust. augite. Mineral characteristics influence the engineering applications. Rocks are broadly classified into three major and weights of these three constituents determine porosity. Simons. crystallizes. Within each of these groups. Slow rates of cooling Table 3-2 promote larger crystal-sized rock (pegmatite). or Fluorite 4 minerals that are chemically precipitated (rock Apatite 5 Iron nail salt. This classification is based on the mineral particles are small. e. determined by examination of thin sections in microscope. hornblende. from the accu- mulation of organic debris such as shell Copper penny fragments and dead plants (limestone. generally needed to define the engineering properties of rocks. For example. These form from cemented Finger nail aggregates of transported fragments of rock Calcite 3 (sandstone. and Matthews (1982) pro- properties of a rock. mechanical tests on rock samples are on grain structure and mineralogy.5 Window glass (3) Metamorphic rocks. The systems used for according to their hardness and in characterizing rocks. or even amorphous Talc 1 glasses (obsidian). Clayton. The classification scheme a whole. the study of geology are rather elaborate for engineering purposes. within and stronger than most other common minerals and can which the engineer can work. gypsum. separate classifica- However. These form from the solidification rock material. Gypsum 2 (2) Sedimentary rocks. slate. Minerals with marked cleavage can mined. The porosity of the rock has an important effect on the permeability and strength of the (1) Igneous rocks. each particle usually has little mode of deposition and the chemical composition of the direct influence on the mechanical properties of the rock as rocks as well as particle size. Moh's Scale for Measuring the Hardness of Minerals whereas fast-cooling rates produce fine crystal- Standard Mineral Hardness Scale Field Guide lized rock (basalt. rhyolite). The composition of the metamorphosed rock depends Corundum 9 on the original material and the temperature and Diamond 10 pressure. limestone). Intact rock material contains grains and intergran- ular pores filled with air and water. quartzite). its texture reflects the deformational forces. Large amounts of a relatively soft mineral such crystal size. Because crystal size is dependent on rate of as mica or calcite can result in rapid breakdown due to cooling. It is based the behavior of a rock. origin and grain size for igneous. especially when the mineral forms a posed a simplified system for rock identification based on significant part of the rock. its cuttability.

no feldspars GRANITE DIORITE GABBRO PERIDOTITE Medium At least 50% of the rock is medium grained. but individual minerals may be difficult to identify. dance. PITCHSTONE clay-bearing rocks (shales and mudstones) can swell or voids (pore space). It may be black. EM 1110-2-2901 30 May 97 Table 3-3 Igneous Rocks Acid Intermediate Basic Ultrabasic Grain Size Light-Colored Rocks Light/Dark-Colored Rocks Dark-Colored Rocks Dark-Colored Rocks Very Rock consists of very large and often well-developed crystals coarse of quartz. The engineering properties of a rock generally rapidly cooling lava particularly associated with escaping depend not only on the matrix structure formed by the gases will yield a porous rock. Outlines of crystals are not usually visible even with the grained aid of a hand lens. Pore spaces are largely made up of and drying cycles. The rock is often RHYOLITE quently porphyritic. purple. feldspar mica. dense. augite together with some texture. In the case of igneous rocks. Individual banded. brown. In sedimentary rocks. MICRO-GRANITE MICRO-DIORITE DOLERITE Fine At least 50% of the rock is fine grained. black with a splintery fracture when broken and generally feels soapy or waxy to the touch. OBSIDIAN Rock is glassy and contains few or no phenocrysts. but the crystals are to diorite. whereas a f. becomes red or green when grey) and may be banded. The rock usually feels dense. or green) and fre. granular texture. grained Rock is light colored with an Rock may be medium to dark Rock is dark colored and often Rock is coarse grained and equigranular texture (majority in color with more or less greenish with abundant dark in color (dull green of grains approximately the equigranular texture and con. inclusions. The rock usually feels and augite in abundance but 2 mm abundance. It is often black in color and has a charac- teristic vitreous luster and conchoidal fracture.06 mm Rock is similar in appearance Rock is similar in appearance Rock is similar in appearance crisscrossed by veins of to granite. cracks. Rock is light colored with a very low specific gravity and highly vesicular. Rock is light colored (often Rock is medium to dark in Rock is black when fresh and pale reddish brown or pinkish color (shades of grey. grains. brown. minerals may be difficult to SERPENTINITE identify. plagioclase (about 60%) and to black) with a granular same size) and contains tains < 20% quartz with feld. All rocks in this category may be vesicular. It is often 0. It contains olivine > 20% quartz with feldspar in spar and horneblende in abun. vesicular and/or amygdaloidal. a slow-cooling magma will make a relatively nonporous rock. olivine. generally much smaller. and frequently rare minerals grained 60 mm PEGMATITE Coarse At least 50% of the rock is coarse grained enough to allow individual minerals to be identified. weathered. or grey in color with a characteristic dull or waxy luster. but crystals are and often greenish with a fibrous minerals and/or generally much smaller. and disintegrate (slake) when exposed to atmospheric wetting weak particles. Crystal outlines are generally visible with the aid of Rock is greyish green to grained a hand lens. minerals but also imperfections in the structure such as 3-3 . Typical geotechnical parameters of continuous irregular capillary cracks separating the mineral intact rock are shown in Table 3-6. BASALT PUMICE ANDESITE Glassy Rock is glassy and contains few or no phenocrysts. grain boundaries.

EM 1110-2-2901 30 May 97 3-4 .

EM 1110-2-2901 30 May 97 3-5 .

Joints. Foliation immediately with dilute HCl). materials present and the size of grading and packing of the granular constituents. They occur as a result of geological activities. The mechanical breaks in the rock a. thermal metamorphism associated with sure: igneous intrusions and is generally stron- MIGMATITE ger than the parent rock: HORNFELS Rock contains abundant quartz and/or feldspar. Physical discontinuities are present in all rock have zero or low tensile fine-grained Rock is medium to coarse grained with a platy. oriented giving rise to a granular texture: Fine grained tation such that the rock splits easily into QUARTZITE thin plates: (META-QUARTZITE) SLATE porosity will depend largely on the amount of cementing $ Drill core and drill hole description. and provide more or less tortuous pathways Rock masses and their component discontinuities can be for water to flow. Faults. deformability. Foliations tend to tion. Rock consists mainly of quartz (95 per- vidual grains cannot be recognized in cent) grains that are generally randomly hand specimen) with a preferred orien. the results are not representative of $ Outcrop description. Ultimate strength of the rock $ Terrestrial photogrammetry. if present is essentially a product of be irregular and best seen in field expo. the in situ rock. with a preferred orientation. Therefore. Often the rock consists of alter- nating layers of light-colored quartz Rock contains more than 50-percent and/or feldspar with layers of dark. The discontinuities 3-3.06 mm PHYLLITE Rock consists of very fine grains (indi. and Bedding Planes introduce defects into the rock mass that alter the proper- ties of the rock material. Table 3-6 provides descriptions of the most com- monly encountered discontinuities. will depend on the strength of the matrix and the contact between the grains. (Fine to coarse grained. GRANULITE ance: 0. then the is well developed and often nodulose: rock is termed: SCHIST DOLOMITIC MARBLE 2 mm Rock consists of medium. calcite (reacts violently with dilute HCl). prismatic or needlelike minerals granular texture and is often banded. parameters derived from 3-6 .EM 1110-2-2901 30 May 97 Table 3-5 Metamorphic Rocks Fabric Grain Size Foliated Massive Rock appears to be a complex intermix Rock contains randomly oriented mineral of metamorphic schists and gneisses and grains. is colored biotite and hornblende. b. Foliation generally light in color with a granular is often best seen in field exposures: texture: GNEISS MARBLE Coarse grained Rock consists mainly of large platy crys. If the major constituent is dolomite in- tals of mica showing a distinct subparallel stead of calcite (dolomite does not react or parallel preferred orientation. Foliation is This rock type is associated with regional Medium grained slightly nodulose due to isolated larger metamorphism: crystals that give rise to spotted appear. increase rock masses. Unless rock properties are established at described by the following principal methods: a scale that includes representative samples of these defects within the test specimen. Folia- granular igneous rock.

strength. Sheeting joints Rough. surfaces are common in lavas Other joints often widely and sills. Other sedimentary features Commonly close. Metamorphic Slaty cleavage Closely spaced. degree and style of jointing. and High cohesion where intact but Less mappable than slaty clea- persistent planar integral dis. conjugate sets may be sile joints. Often associated with high ground. May be of any engineering properties such as and extrapolation providing the angle. recognizable. and geological history is according to geological history. flow. tence and high strength. tight. Often low shear strength partic. and complexity strength. Usually almost May mark changes in lithology. recognized as photo lineations associated with zones of water flow or act as barriers to due to localized erosion. Boundaries between different Often mark distinct changes in Mappable allowing interpolation daries rock types. Joints Ashear@ or Atensile@ according to dently where systematic and often occur as related groups probable origin. 1992. minor shearing during consoli. dation. topography. Weather. Lithological boun. therefore. Commonly adverse viduality and relationship with surface. as a result of unloading. Mappable. Faults Fractures along which dis. formed under tension (parallel to slopes). May cracks may aid interpretation become open due to weathering and affect shear strength. parallel. Applicable to Tectonic joints Persistent fractures resulting Tectonic joints are classified as May only be extrapolated confi- all rocks from tectonic stresses. parallel to the ground meters. often widely spaced May be persistent over tens of Readily identified due to indi- fractures. ing concentrated along them in otherwise good quality rock. and permeability. EM 1110-2-2901 30 May 97 Table 3-6 Classification of Discontinuities for Particular Rock Types Rock or Soil Type Discontinuity Type Physical Characteristics Geotechnical Aspects Comments Sedimentary Bedding planes/ Parallel to original deposition Often flat and persistent over Geological mappable and. and unloading. horizontal in unfolded rocks. Slaty cleavage Close parallel discontinuities formed in mudstones during diagenesis and resulting in fissility. understood. Larger intrusions typi. Major faults often dreds of kilometers. Shear joints where geological origin is or Asets. understood. Joints may die out explained in terms of regional laterally resulting in impersis- stress field. Deep zones of weather- ing occur along faults. readily opened to weathering vage but general trends continuities in fine-grained or unloading. may be extrapolated joints deposition. 3-7 . bedding plane surface and making a hiatus in tens or hundreds of meters. containing gouge. A. with such as ripple marks and mud- considerable cohesion. Commonly form barriers to groundwater flow. cross joint. Igneous Cooling joints Systematic sets of hexagonal Columnar joints have regular Either entirely predictable or joints perpendicular to cooling pattern so are easily dealt with. fairly random. many clays. Recent faults may be seismically active. Random fissures Common in recent sediments Controlling influence for Best described in terms of probably due to shrinkage and strength and permeability for frequency. Note: From A. sheared rock. providing structure understood. Practical Handbook of Rock Mass Classification Systems and Modes of Ground Failure. Not extensive but important mass feature. strong rock. spaced with variable orientation fied by doming joints and and nature. permeability. especially where placement has occurred. Low roughness. May be matched.@ Joint systems of are often less rough that ten. shape. Any ularly where slickensided or rocks either side can be scale from millimeters to hun. Afrouz.

The number of joint sets com- offer considerably less resistance to shearing than disconti. This normally refers to the mean or modal control the behavior of the rock mass. It is usually not possible to discover all important weathering or alteration of the walls. More often. Additional ground support may be required to roughness and waviness contribute to the shear strength. Even a tight weathered layer in a joint can (8) Seepage. the rock can be considered as a continuous parent rock. At (7) Filling. Both lyzed. Individual d. and block size. wall strength. gouge. The ISRM has suggested quantitative measures for follows: describing discontinuities (ISRM 1981). Discontinuities that persist smoothly and without interruption over extensive areas (9) Number of sets. should be mapped and their effect on the structure ana- ness relative to the mean plane of a discontinuity.g. and mylonite. Filling may also be thin nuum. areal extent or penetration length of a discontinuity. the mutual orientation of intersecting joint sets and result- ing from the spacing of the individual sets. filling. It provides stan- dard descriptions for factors such as persistence. Discontinuity trace length as observed directions can also affect the stabilities of cut slopes and in an exposure. The mechanical properties of discontinuities are mineral coatings that heal discontinuities. Perpendicular distance between adjacent f. so as to minimize the effect (5) Wall strength. such as a powerhouse or a major cut. Discontinuities in unfavorable (3) Persistence. where the rock is massive and the frac. it gives suggested methods for measuring tion (azimuth) and dip of the line of steepest declination in these parameters so that the discontinuity can be character- the plane of the discontinuity. Material that separates the adjacent rock the other extreme. The mechanical behavior of intensely fractured rock can sometimes be approximated to that of a soil. quartz and therefore of considerable relevance. (2) Spacing. The orienta. (1) Orientation. (10) Block size. tion of fractures relative to the exposed rock surface is also critical in determining rock mass stability. Inherent surface roughness and wavi. locking roughness asperities. Water flow and free moisture visible in considerably reduce the strength afforded by tightly inter. Outcrops and cores can also be used to 3-8 . Equivalent compression strength of of discontinuities. Attitude of discontinuity in space. g. aperture. prising the intersecting joint system. For important structures. times appropriate to reorient an important structure. roughness. This may give a crude measure of the portal areas.. medium. c. prevent particular blocks of rock from moving. Fracture spac. It is some- Large waviness may also alter the dip locally. major discontinuities (4) Roughness. Mapping of outcrops and oriented coring important component of the shear strength if rock walls are can be used to obtain statistical descriptions of joint pat- in contact. individual discontinuities or in the rock mass as a whole. tightness. 10 parameters to characterize the discontinuities and allow their engineering attributes to be established. form blocks of rock that can loosen and fall onto a tunnel if not properly supported. Discontinuities can spacing of a set of joints. walls of a discontinuity in which the intervening space is air or water filled. the adjacent rock walls of a discontinuity. The plane of the discontinuity is defined by the dip direc. This may be an discontinuities. Where necessary. Rock mass discontinuities more often than not discontinuities. Perpendicular distance between adjacent care for engineering applications. be further divided by individual discontinuities. e. seepage. Rock block dimensions resulting from ing is important since it determines the size of rock blocks. This strength may be lower than the rock block strength due to h. terns for analysis. walls of a discontinuity and that is usually weaker than the tures confined. and filling can control the shear strength and deformability of fractures. Typical filling materials are sand. calcite veins. clay. The rock mass may nuities of irregular and interrupted patterns. breccia. rock must be regarded as a disconti. Roughness. ized in a manner that allows comparison. The International Society of Rock Mechanics discontinuities may further influence the block size and (ISRM) Commission on Testing Methods has defined shape.EM 1110-2-2901 30 May 97 laboratory testing of intact specimens must be used with (6) Aperture. These are as e.

The most common measure of the intensity of rock opposed to the solid. the weathering process is greatly accelerated underground structure as part of site explorations. alluvial deposits. groundwater. and microbes. such as clay minerals and Almost all underground structures have to deal with grains of quartz. and permanent structures may have to be b. It is. found at great depth where moving groundwater has had access. mineralogy. Freeze-thaw cycles are important physical disinte. including watertight. because the discontinuities favor deep weathering as i. the top of mass discontinuities is the Rock Quality Designation weathered and sound rock below a saprolite will vary (RQD). transport or have been removed by erosional processes such as slides by the winds. breakdown of rock into progressively smaller piecesCand chemical decomposition. Methods along discontinuities. but methods of inflow analysis are presented in and can form deep crevasses filled with weathering prod. plant roots. resulting from alteration and 3-5. greatly in elevation.e. Groundwater is found almost everywhere below the ground surface. Glacial action can sweep the bedrock sur. The weathering profile is typically very irregular. made nominally watertight or designed for controlled drain- gration mechanisms. important to predict the occurrence and extent of naturally occurring acids. massive groundwater inflow ments. limestone in a wet of exploring the groundwater regime are discussed in environment will dissolve by the action of carbonic acid Chapter 4. to estimate ground e. Weathering rock. The elements most critical to the Where these features and the elevation of the top of sound weathering process are temperature and water. As an example. The saprolite retains or shaft will act as a sink or well unless made essentially many physical characteristics of the parent rock. some evaporates face clean of weathering products and leave sound rock directly or through the pores of plants. and relic seams and regime. Such an opening will disturb the groundwater the texture. In some environments the weathering products are logic cycle includes evaporation of surface water. This interplay between weathering. and precipitation. and geomorphology makes it a. ground runs off in creeks and rivers. and gradually draw joints. weakness planes where there is easy access for water. When met unexpectedly. The behavior of such material can be intermediate down the groundwater table or reduce porewater pressures 3-9 . following the trend of faults geologic and geohydrologic features of particular interest and joints. intact blocks. The characteristics of the weathered zone is depen- support requirements empirically. As a result. and some infiltrates behind. interparticle cohesion. moderately wet. occurring in many climatic environ. Diurnal and annual temperature changes also play can have a severe impact on construction and may require a role. Clay infilling of cracks and joints in or foot) or average spacings. groundwater and assess the effect of groundwater on the Therefore. and becomes a part of the body of groundwater. (4 in. Where weathering products remain in place. accept groundwater inflow. Exposed rock will deteriorate with time when difficult to predict weathering products and profiles. The ratio between fracture saprolite is often slickensided and has a low resistance spacing and tunnel dimension or room span indicates to sliding. age. Fractures and bedding planes in the rock mass are extraordinary measures for the permanent structure. A tunnel saprolite and residual soil will form. exposed to the weather. therefore.) (see Chapter 4). experienced water seeping through the ground. Occurrence of groundwater. Clay-filled joints with altered joint walls can be for tunneling. including rock are important for an underground project. defined as the core recovery using NX core. This section gives a brief description of ucts or underground caverns. and boulders of partly weathered or counting only sound pieces of core longer than 100 mm nearly sound rock will be found within the saprolite. and talus. whether the rock mass will behave more like a continuum or a discontinuum. Wet tropical climates favor deep weathering pro- deformation modulus. dent on the parent rock. Some water falling on the or streamflow. EM 1110-2-2901 30 May 97 obtain fracture frequencies (number of fractures per meter between soil and rock. d. but even more dependent on the tions between intact rock and rock mass strength and climate. Geohydrology replacement of the original mineral assemblage with more geochemically stable minerals. especially when wet. The hydro- c. and to furnish correla. Water inflow during construction must be accommodated. Section 3-5. temperate climates in high-relief terrains favor the development of steep slopes of fresh 3-4. a. The RQD measure is employed to evaluate tunnel and slope stability. The weathering process geologists should provide an interpretation of the impact of involves both physical disintegrationCthe mechanical these characteristics on the tunnel design. files.

Even for these types of decrease of inflow with time. This type of reservoir. on the basis of a sufficient number such materials can be estimated with reasonable accuracy of packer tests. tests. as well as that. It is. Fracture flow is the periphery of the zone of influence. groundwater small. the amount of water stored in an individual fracture is small. flow would increase. The permeability of however inaccurately. The b. shatter zone) controls the rate of aperture fringe of the distribution. Important geologic factors and features. with few or closed discontinuities). (e) Groundwater barriers are aquitards or aquicludes (6) When fractures are widely spaced relative to the of low permeability and may isolate bodies of size of the underground opening. with the cube of fracture aperture. directions. gravels) and many sedimentary rocks (silt.EM 1110-2-2901 30 May 97 in the surrounding aquifer until a new equilibrium is and metamorphic rocks. It is beyond the scope of this manual to as a function of pumping rates. or widely spaced. consid- flow at a given head or gradient. a few fractures are still likely to stone. flow channels through about 5 percent of the fractures. water. sandstones. For the This phenomenon is called flow channeling. location and the reduction of inflow with time. describe all aspects of the hydrology of geologic media. and the bulk struction is the instantaneous water inflow at any given of the flow follows intricate channels of least resistance. inflow is highly unpredictable. Such (c) The reservoir of water available to flow into the tests result in equivalent values of permeability. the long-term inflow rates. with emphasis on consolidated (rock-like) low intact-rock permeability and porosity. Real joints have widely varying aper- (1) For a tunnel. therefore. initial flow gradient. tures across the opening). however. tures. assuming parallel faces of the fracture. 3-10 . adequate statistical coverage. so that they do not control the flow. dominatingCyet most of the flow is through the high- bearing seam. It is estimated finished structure. extremely difficult to classify. This section describes a brief selection of geologic (3) Fracture flow dominates in geologic materials with environments. however. characterize. and sedimentary rocks including obtained where inflow into the opening matches recharge at shales. in a typical case. ered that even extensive fracture mapping (on exposures or in boreholes) will not facilitate an accurate prediction of (b) The head of water above the tunnel controls the water inflows into underground openings. In the process. On the other hand. and dolomites. sands. 80 percent of the fractures do not groundwater pressures around the structure. contribute significantly to the flow. and the inflow may be predicted. (4) Flow through an open fracture can be calculated theoretically. The head of water may also control external (5) Direct measurement of water flows under a gradi- water pressures on the finished structure. by packer tests in boreholes. (2) Porous flow occurs in geologic materials with and flow will decrease rapidly with time unless the fracture connected pores and where joints or other discontinuities receives recharge at close range. and a large number of tests are required to obtain recharge controls long-term water inflows. are important. and aquifer release areas may become recharge areas. and other porous rocks dominate the water flow. what is most important during con. most igneous materials rather than on unconsolidated aquifers. combining tunnel controls the duration of water inflow or the effects of all fractures exposed. are closed. limestones. Examples include most unconsolidated sediments (7) With more closely spaced fractures (5 to 50 frac- (silts. and predict due groundwater flows are often reversed from their natural to the innate variability of fractures in nature. and 90 percent of the The geologic features controlling these effects can be sum. conglomerates. the head may diminish with time. significant water flow groundwater and affect the volumes of water will occur through individual fractures. ent in a packer test is a more reliable means to characterize hydrologic characteristics of a fractured rock mass. for the same gradient. the likelihood of intercepting the small percentage of fractures that will carry most of the flow is (d) For the steady-state condition. Hydrologic characteristics of some geologic envi- pumping tests with observation wells to measure drawdown ronments. Characterization of unconsol- idated materials is often carried out using large-scale c. marized as follows: The distribution of fracture apertures measured in the field is often highly skewed or log-normalCwith small apertures (a) The permeability of the rock mass (aquifer. and are usually partly closed.

Plateau basalts are formed great strength of most of these rocks and their resistance to in layers with vesicular and brecciated material on top of creep. depending on the character of fracturing. (3) Volcanic rocks.2 MPa (600 psi) but more commonly at 1-2. There were 8 or 10 instances when peak flows of 1. among others. slate.000-1. Flow through the finer grained sediments. the McInnes Fault. the coarser rocks can experience porous tures. In layered sediments. of pahoehoe.100 l/s (15. (2) Sedimentary rocks (consolidated). however. sandstones. marble) at an average depth of about 450 m. mudstones.000 gpm) were experienced. Hawaiian basalt typically follows sequences mines and in power tunnels and other tunnels many hun. Box 3-1. flow or fracture flow. shales. (4) Effects of faults and dikes. silt. particularly numerous in synclines and anticlines as com- ite. It was estimated that the tunnel job had depleted some 155. quartzite. Drainage into the Goetz Fault and other faults had depleted the reservoir. ores. however. This resulted in an inflow less than 6 l/s (100 gpm) when the McInnes Fault was crossed. Case History: San Jacinto Tunnel. marls. lava. The large surges of inflow usually occurred when tunneling through impermeable major fault zones. 1940. many joints are short permeability.000 acre-feet of water from the aquifers. 21-km-long tunnel was excavated through mostly granitic rocks with zones of metamorphic rock (mica schist. notably the Goetz Fault. with estimated maximum pressures of up to 4. and contain numerous cooling frac- intact state. Source: The Metropolitan Historical Record. (b) Fractures in the softer sedimentary rocks are more likely to close with depth than in the igneous and metamor- (a) These rocks almost always have low porosity and phic rocks.5 MPa (150-350 psi). because of the typically comes from ancillary features. Another fault. but only the coarser grained of these (conglomerate. Most of the water from these formations. California The San Jacinto water tunnel was completed in 1939 for The Metropolitan Water District of Southern California as part of the Colorado Aqueduct project. EM 1110-2-2901 30 May 97 (1) Igneous and Metamorphic Rocks. (b) As a rule. schist and mica schist. Joints are often in the rock. and some pared with the flanks of folds. (a) Basalts and rhyolites are often laced with numer- ings and the number of fractures or joints decrease with ous fractures due to cooling during the genesis of these depth below ground due to the increase of compressive rocks. and water occurs and flows through fractures and do not contribute much to water flow. as well as other voids such as those left behind trees inun- stones. stresses with depth. (a) These include conglomerates. (c) Formations such as welded tuff can be highly some siltstones) have an appreciable permeability in the vesicular and porous. These rock types include. which held back compartments of groundwater under high head. Most of these dated by the lava flow. gneiss. Thus. 3-11 . the aperture of joint and fracture open. quartzite. Some porous flow can occur in highly altered rock in weathering zones. Thus. or both. gran. sandstone. (b) Basalt flows also feature large tubes created when liquid lava emptied out from under already hardened lava. both porous and fracture flow can occur. The 6-m-diam. fractures and faults can bridge and stand open even each layer. and others. Some of the interlayers dred meters deep (see Box 3-1). High-water inflows have been seen in tion is found. rock types can have a high porosity (10-20 percent). is essentially fracture flow. However. can carry immense amounts of water. springs were af- fected at a distance of 5 km (3 mi). and clinkers. Four major faults and about 20 minor faults or fractures were encountered. was approached by tunneling from both sides. Sometimes interlayer weathering and deposi- at great depth.

leaving open fis.600 l/s where pinnacles of limestone remain and where essentially (50. The source of the hot water is either form where joints or faults intersect. In such geologic materials. espe. underground organic materials. able to dissolve calcite. materials such as calcite or gypsum. (b) Calcite is only mildly soluble in pure water. of the dam. The permeability of the geologic material all water flow is through underground caverns rather than in a shear zone can be highly variable. This carbon dioxide comes from ing through a fault from the low-pressure side can result in sources other than rain infiltration. as well as for mixed-face tunneling. if not badly fractured. Thus. but meteoric water contains carbon dioxide from the air. These are most often differing groundwater levels. It is therefore important to pay attention to the carefully sealed to prevent water inflow or contamination bedrock interface. time can remove portions of the calcite. and rocks cemented with or containing quanti. rapid perched water is often found above bedrock. and locally the permeability can Hence. dissolution can result.000 gpm). depending on in rivers on the surface. struction of shafts and inclines.EM 1110-2-2901 30 May 97 (a) Small faults are often the source of fracture flow such dissolution can eventually result in sinkholes. exposed in salt or potash mines or. or when a fault offsets less permeable strata against aquifers. Karstic into tunnels. Examples of dikes acting as water barriers abound in Hawaii. the fault zone material is less permeable than the adjacent. Larger faults or shear zones have been landscapes are limestone regions with advanced dissolution. locations in the United States. The San Franciscito Dam in southern California failed largely because groundwater flow result- (a) These include limestone. even caves behind. If formation water contain- ing excess carbon dioxide is released to the atmosphere at (b) Many geologic environments are laced with dikes. On the other hand. faults act as a bar. ging problem for tunnels and other underground works that can be tight and form a groundwater barrier much like incorporate permanent drainage systems. and in a narrow region along the border of Virginia sures or cavities. in all of the states from the Thus. This occasionally results in a clog- On the other hand. of groundwater. In cold climates. seepage water will form ice (e) Some geologic materials are cemented by soluble and icicles. water flowing through fractures in limestone over Rocky Mountains and westward. known to produce water inflow of the order of 3. calcite is precipitated as a sludge that can harden be many times larger than the main body of the rock mass. carbon dioxide is released from the water The original formation of the dikes often disturbed and to form a new equilibrium with carbon dioxide in the air. many faults. anhydrite. Clearly. solved gypsum cement in the rocks forming the abutments ties of these types of materials. Shafts through or into these materials must be water. formation water pressures can be dioxide than meteoric water and is thus able to contain much higher on one side of a fault than the other. halite ing from the impoundment of water behind the dam dis- and potash. more calcite in solution. whether the zone contains mostly shattered and sheared Puerto Rico. in the Ozarks in Arkansas. Examples are found in Kentucky. underground struc- tures should be made watertight. This happens when been subject to dissolution can be most ideal for tunneling. Even cohesive ings and elsewhere and instability of underground open- residual soils above bedrock are often fractured and contain ings. If drainage occurs into under- bedrock is usually less pervious than the overburden. in nuclear waste repository work such as the Waste Isolation Pilot (5) Interface between rock and overburden. If near the surface. while calcite is dis- (6) Rocks subject to dissolution. In many cases. Since Project in New Mexico. which (7) Thermal water. Coarse sedi. and Slovenia. being easy to excavate yet self-supporting for a long time. causing cavities behind tunnel lin- ments are often found just above bedrock. the dike material. because it can cause difficulty in con. hazardous. interstitial cement or as joint fillings. Tunnel. gypsum. existing either as cially into shafts. when exposed to air. ground works in or near such geologic materials. 3-12 . tunneling through rock or large quantities of less permeable clay gouge or limestone with water-filled cavities can be difficult or even secondary depositions. solved more slowly. Larger cavities tend to and West Virginia. limestones that have never rier between two hydrologic regions. relatively permeable geologic material. which can be hazardous when falling. Gypsum is dissolved rapidly by moving formation water. Hot springs occur at numerous forms carbonic acid in the water. normal pressure. fractured the host material. such as oxidation of sudden and unexpected inflow of water. for (c) Formation water often contains much more carbon one reason or another. where dikes crossing very pervious (d) Underground works for USACE projects rarely clinker layers can form adjacent compartments with widely encounter halite or other evaporites. for example.

(c) Groundwater control during tunneling. and the avail- blasting. Groundwater cerned. the designer may be faced with the ous strata may also offer insurmountable problems if water need to reconcile very different requirements and to apply inflow is not controlled. (1) Groundwater causes more difficulty for tunneling (3) In contrast. where environmental issues are con- than any other single geologic parameter. installa. vary. It is often necessary to Therefore. sophisticated techniques to obtain the necessary estimates ing the control of water inflow. depending on the situation. overly conservative calculation may impact costs (since cost is affected by the chosen method of dealing with d. excessive inflow. Inflow predictions are needed for at least the of the project. pervi. through preferred pathways such as faults or fault (2) These impacts can affect the requirements of intersections. inflow. finds its way to the ground surface. or a combination of these methods. These requirements imply that the geometry of driving rates. Decisions Measures to prevent or mitigate the inflow of water to the must be made regarding whether probing ahead is required tunnel may be required instead of pumping. (4) As a result. the needs of groundwater analysis can have a inflow is one of the most difficult things for tunnel design. freezing. Pumping or draining may tion of wells. increasingly stringent require- following purposes. For example. (e) Environmental effects. It is impossible to assess all of these for the reasons discussed above. the water is also be the end result of groundwater inflow calculations. whether by tunnel boring machine (TBM) or the system. Deeper. qualitatively different impact on the project. or a mixture of the two. If the source ers to predict. temporary or flow estimation. the calculated vol- assessments of groundwater occurrence. Analysis of groundwater inflow. in principle. The hot water groundwater rights). Decisions must be made concern. yet many decisions to be made by the of water affected by tunnel dewatering is a surface water designer as well as the contractor depend on reasonable system of environmental significance. or the (protection of groundwater to sustain vegetation or of water is magmatic. and poten. or perhaps whether an alternate route might be better in order to avoid high-water inflows. and a gradient (determined by This is especially important when driving a tunnel down. Con- difficult to dispose of in an environmentally acceptable servative estimates may be appropriate for design purposes. not be adequate as control measures if the impact on the surrounding hydrogeologic system is to be minimized. suitable boundary conditions and permeability of the rock grade or from a shaft. rock or available elsewhere). the precise assessment of leakage inflow. calculation of withdrawal rates is important. fashion. uncertainty will be associated with groundwater- estimate the extent of water table drawdown. Water inflow also affects tunnel medium). anticipated. Apart from the obvious problems of dealing with expected flow rate and volume. The viability of a project can. grouting. for reasons of environmental protection limits is a desirable objective. Reducing this uncertainty to acceptable permanent. Often strate that the project will not significantly affect the pre- the overburden and the uppermost. umes and disposal methods can affect the basic feasibility tial effects. but generally a difficult if 3-13 . The methods of control can also by construction of slurry walls. rest on the ability to demon- (b) Groundwater control during shaft sinking. required. yield water that must be controlled to prevent instability. able sources of water must be identified. Pump-size estimates may large quantities of hot water underground. inflow). If the dewatering program is calculated to Decisions regarding choice of lining system depend on an produce a significant drawdown in a wetland. (1) The basic principles that govern the choice of methods for groundwater flow estimation requires that the (d) Pumping requirements. whether dewatering or grouting in advance or from the tunnel face will be e. The hot water often contains minerals in groundwater flow analyses to estimate of the maximum solution. ments for wetland protection can affect any project in which a significant fluctuation in the groundwater level is (a) Leakage into or out of permanent structures. A reasonable estimate of designer identify a conduit for flow (a fracture network or water inflow must be made so that the contractor can inherent permeability). Modeling of groundwater flow. in some or all reaches of the tunnel. hot strata. EM 1110-2-2901 30 May 97 meteoric water that finds its way to deep. Water can be controlled of groundwater behavior. however. or quicksand conditions. weathered rock will vailing hydrologic regime. the characteristics of the matrix. helped in part by buoy- ancy. a source of water (entrained in the acquire appropriate pumping and dewatering equipment.

Simplified methods of analysis. types of groundwater inflow. then the model results must be checked. and characteristics within that (1) It is important to distinguish between different extent can be defined. Principal rock and simulated rates of withdrawal are sustainable. If the model conduit characteristics must be identified. patterns (fracture flow. (5) An important part of the analysis process is to This is a reasonable approximation for water in a porous verify that the initial selection of model boundaries was medium such as a sand. Given the defined work has a random component. that flow is directly proportional to gradient. $ Flow from an anomaly. determination of boundary conditions should be done in concert with the $ Flow through fractures in otherwise impervious definition of the rest of the physical system. matical model or fixed boundaries generating large quanti- cific problem. Since the scale of the problem affects the area of factors). generation of results. the pres. Given this starting point. This is because uncertainty (d) Estimate of hydrogeologic parameters. hydrogeologic problem.g. valida- recharge of those bodies are not perfectly quantifiable. even though extensive testing can produce reason. the definition of the physical system. The types of bodies. and transient flow analysis. Depending on the character of the water source. the parameters of interest will depend (2) The physical system can only be approximated. at best. permeability will be important. steady-state. for media where frac. ent state of the art in geologic interpretation does not per- mit perfect knowledge of that matrix. The analysis. permeable matrix flow. stage. similar factors that govern flow within the system must be made. A large number of able estimates of the rock hydrogeology. It is usually assumed that Darcy flow applies. 3-14 . At this point. Further checks should be made in terms of characteristics: the estimates of volume loss. the characteristics of flow often depart from boundary conditions are being generated. and approximations of hydrogeologic valley. hydraulic conductivity may take on other meanings. parameters. are available for two. As tion of model performance. If the simulated results indicate that artificial tures govern. Since this step is closely related to $ Flow through porous rock. adequate. those estimates commercially available and public-domain computer codes are. including model calibration. then the extent the Darcy assumption. i. simple (3) Even the mathematics of groundwater flow are not closed solutions will have sufficient accuracy. e. rock. In a supplement direct observation to produce better estimates medium with fractures that might be principal flow con- of the physical characteristics of the rock matrix. Aquifer and predicts a long-term loss rate greater than natural recharge aquiclude units and conduits or irregularities should be over the extent of the system (e. or other factors limiting the propagation inflow can be classified as follows: of changes in the hydraulic gradient induced by tunneling must be determined. but in the method of of system geometry..EM 1110-2-2901 30 May 97 not impossible one to achieve. field permeability data can be applied (b) Determine governing boundary conditions.) must be identified based on the known physical system... (c) Identify characteristic hydrogeologic flow system. on the physical system that has been defined. Estimates lies not only in the physical system. bound. source volumes.e. imperfect. perfectly known. Water to flow equations for predictive purposes. from rainfall or other located. permeability is a variable. permeability. etc. such as a buried river ary conditions. Sometimes. ing of sensitivity can then proceed. the physical system that is of interest. and test- a result. (e) Select method of analysis. However. $ Flow through shatter zone.or three-dimensional (2. some approximating formulae or methods of analysis may be appropriate at this f. limestone cave.or 3-D). In a medium Even though geotechnical and geophysical techniques can treated as porous. associated with a The way the system behaves in terms of hydraulic flow fault. the extent of the physical system can be estimated. and analysis. aquicludes. The processes that govern recharge in the system should be checked to verify that (a) Define the physical system. duits. but should generally have the following ties of flow. The fracture net.g. etc. locations of boundaries must be revisited. Indications of this are contour lines bending at the perimeter of a mathe- (4) The sequence of analysis will depend on the spe. a model or models should be and the location of connected water bodies as well as the selected.

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

(7) Inflow from large anomalies must be judged and q = k h n f / nd
analyzed on a case-by-case basis. Theoretically, flow
through caverns or caves can be analyzed the same way as


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


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


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


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

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


EM 1110-2-2901
30 May 97

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


EM 1110-2-2901
30 May 97

Chapter 4 $ Remote sensing.
Geotechnical Explorations for
$ Preliminary geologic field mapping.
Tunnels and Shafts
$ Geophysical explorations if appropriate.

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

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

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


paying particular various times of the year is usually required. useful at the earlier stages of a project because they are relatively inexpensive and can cover relatively large vol- $ Volcanic activity. Details on the planning and execution of geophysical explorations can be $ Anhydrite. particularly in portal areas. their history dikes. in (often. for example. Color carried out. In particular. and groundwater levels taken. $ Major faults. Proximity of attention to the potential portal and shaft locations. photos from the time before construction. a detailed geologic mapping effort should be slides. land. (2) Once alignment and portal site alternatives have boundaries between rock and soil types. depth to groundwater. gypsum. Air photos are also useful for overlaying align. field verification and for planning additional site explora. infrared. drainage features. faults. A hydrological survey is necessary tion work. can be as drainage paths. and a special effort Aerial photography is used to supplement existing mapping should be made to define the groundwater regimeC data and to identify additional geologic features. $ Sinkholes and karstic terrain. including d. and bedding planes should be photos are useful for land use determination. often exposed in road cuts. water quality and temperature. Field mapping. Fea. A series of older sets of photos sometimes are handy for tracing the past e. faults. Mapping of permanent or ephemeral streams and other (1) Initial onsite studies should start with a careful water bodies and the flows and levels in these bodies at reconnaissance over the tunnel alignment. to ascertain whether tunnel construction will have a delete- ment drawings. Predominant joint defining moisture content contrasts of the ground. and made for many purposes. useful for aquifers. difficulties for underground work. Hydrogeology. etc. (1) Geophysical methods of exploration are often $ Hot springs. or swelling shales. reflection and electric resistivity surveys. lineaments. history of a locality. ing water wells in the area should be located. with computer assistance). in boreholes. all exist- bedding and the location of rock type boundaries. f. False-color mapped and their orientations plotted by stereographic photos are used for special purposes. and other geologic features.EM 1110-2-2901 30 May 97 black-and-white stereo coverage usually used for topo. Seismic 4-2 . tation growing on the site. Infrared photos show projection so that statistical analysis can be performed temperature differences and are useful. as well systems. Geophysical explorations from the ground surface. found in EM 1110-1-1802. umes of geologic material in a short time. (2) The most common geophysical explorations car- ried out for underground works are seismic refraction or $ Stress relief cracks. Maps and air photos. $ Caves. archaeological sites. Joints. and their variations along the alignment. the groundwater table may be judged by the types of vege- tures identified on maps and air photos should be verified. determined in this way. the field and condition assessed. and sometimes pumping tests. Based on surface mapping. sources of water. Satellite coverage is now available from public sources (and some private sources) in many (1) Groundwater has the potential to cause great forms and to many scales. new or old. survey should pay attention to features that could signify Additional hydrogeological work to be carried out at a later difficulties: stage includes measurements of groundwater levels or pressures in boreholes. today. rious effect on the groundwater regime and the flora and fauna that depend on it. $ Zones of deep weathering or talus. Rock outcrops. will help define the groundwater conditions. the geologist must then project the geologic conditions to the (2) In built-up areas. air photos cannot show much of elevation of the proposed underground structures so that the natural ground. graphic mapping is very well suited for geologic interpreta- tion and will divulge details such as landform definition. been set. but it is often possible to find older tunneling conditions can be assessed. provide a source for information about rock mass fracturing and (2) As a part of the hydrogeological survey. permeability testing using packers $ Slides.

and exposure to geologic hazards. After initial 4-3. rock and rock mass properties. $ Sites for muck transport and disposal. a more simpli- for purposes of construction. 4-3 . elsewhere. primarily to verify the presence or location of critical geo- logic features that could affect the feasibility of the project (2) As earlier noted. explorations should be characterized in terms of average expected con- must be carried out to acquire data not only for the design dition as well as extreme conditions likely to be of the underground structures but also for their construc. $ Legal and environmental constraints. transport routes. urements are usually used to determine the depth to groundwater. encountered. Some generalities (3) Seismic velocity is taken as a measure of rock can be stated. such as between different kinds of rock or at fault zones. required geologic data include or have a great effect on the selection of tunnel portals. $ Existing infrastructure. If there is no seismic velocity contrast across a boundary. logic and geographic environment and the functional requirement of the underground facility. $ Naturally gassy ground or groundwater with deleterious chemistry. rock mass. people with little delay in the daily construction routine. are regularly employed in the petroleum industry. deep explorations with a lower resolution. but fac- a. hydro- geology. the geologic profile. may be carried out in the later fied system may be established that can be used by field design stage. (1) The specific environmental data needs for a par- They are also useful in determining the elevation of the ticular underground project very much depend on the geo- groundwater table. General. Additional explorations during feasibility studies. presented here in the form of a quality and often used to assess rippability of the rock by checklist: ripper-equipped dozers. however. selected and all data necessary for the use of the classifica- plemental explorations. g. exploration programs for under- ground works must be planned by engineering geologists or (3) Initial literature work and mapping should identify geotechnical engineers in close cooperation with designers major components of the stratigraphy and the geologic and construction engineers. obstacles underground and ible to the seismic exploration. EM 1110-2-2901 30 May 97 explorations can measure the seismic velocity of under. seismic explorations can be designed for shallow work with high resolution and for $ Land ownership. and excavation system characteristics should be considered. Explorations for Preconstruction fact finding and mapping. An (2) Most geotechnical data for design are obtained appropriate rock mass classification scheme should be during preconstruction planning and engineering. Criteria for zonation would be site specific. structure. it is often possible to divide the Planning and Engineering tunnel alignment into zones of consistent rock mass condi- tion. the signals. which form the framework for zonation of the alignment and for the planning of the explorations. ground materials and discover areas of velocity contrasts. tion. the boundary will remain invis. tors involving intact rock. enumerated It is often appropriate to conduct initial field explorations in environmental statements or reports or in the form of borings or trenching at this early stage. These meas. work and the particular technique. (5) Electrical resistivity measurements use arrays of power source and measurement points and provide an $ Access constraints for potential work sites and image of resistivity variations in the ground. Environmental and geologic data requirements. above. During construction. For this reason. (4) Depending on the energy applied in the seismic $ Surface structures within area of influence. but sup. Each zone (1) During the engineering design phases. as well as explorations and testing tion system obtained. Deep seismic explorations. b. using sophisticated computer enhancement of $ Contaminated ground or groundwater.

It relevant design and construction conditions. In such instances. the other hand. (e. (d) Anticipate methods of construction and obtain ing types of information: data required to select construction methods and estimate costs (e. and modulus data for numerical modeling). The tunnel must be designed to deal with postulated worst-case conditions that (c) Determine and use the most cost-effective methods may never actually be encountered. in deposits of alluvial or estuarine origin. The strategy may also to discover the information sought (e. This happens.. probeholes drilled from the face of the advancing tunnel. Nonetheless. that can pose hazards or great difficulty during construction. or required intensity of explorations or the most appropriate in badly folded and faulted rock. and a tunneling method $ Material otherwise affected by water (dissolution.EM 1110-2-2901 30 May 97 (4) Particular attention should be given to the follow. depth of weathered rock.. $ Very strong (>250 MPa) and very abrasive mate- rial that can affect TBM performance.. (2) The complexity and size of an underground struc- $ Slake-susceptible material and material with poten. to determine top of rock where there $ Potential for gases. logic extrapolations to tunnel depth. maximum use must be made of organize data and to extrapolate conditions to the remote sensing and surface geologic mapping. Strategies for exploration. is a potential for mixed-face tunneling conditions or to define the extent of a pollutant plume). fault zones. ture has a bearing on the required intensity of explorations. reasonable exploration efforts. such as an underground power house or valve chamber is more diffi- $ Zones of weak rock (low intact strength. aquifers. have been driven with borehole data available only at the logic model that can be used as a framework to portals.. pleted structures and required types of analysis. On swell). no two tunnels are alike. faulted and sheared materials). able to cope with a variety of conditions is required. the design strategy should deal with the average or most com- (a) Plan explorations to define the best. mance and advance rates). tial for swell. regardless of where it is encountered. (3) Frequently. is therefore difficult to give hard and fast rules about the for example. a large underground cavern. worst. A long tunnel of small diameter does not warrant the expense of detailed explorations. some common-sense point to point may be impossible to discover with any rules can help in the planning of explorations.g. (f) Drill at least one boring at each shaft location and at each portal. 4-4 . and occasion- ally a pilot tunnel.g. closely spaced borings. tunnel alignment for exploratory drilling. in situ stress. altered cult to construct and warrants detailed analyses that include materials. and obtain the necessary data to analyze them $ Karstic ground conditions. In such instances.g. reliable design data. c. Many tunnels rate geologic interpretation so as to form a geo. $ Highly stressed material with potential for over- stress. strength. locate and define conditions pated condition. data to estimate TBM perfor- $ Top of rock. (4) In mountainous terrain. and (e) Anticipate potential failre modes for the com- caves. and monly occurring condition in a cost-effective manner and average conditions for the construction of the provide means and methods to overcome the worst antici- underground works. $ Corrosive groundwater.g. it is often difficult or very expensive to gain access to the ground surface above the (b) Use qualified geologists to produce the most accu. the variation from types of exploration. (g) Special problems may require additional explora- tions (e. seismic include long horizontal borings drilled from the portals or refraction to determine top of rock). Here. with geo- locations of the underground structures. even the most thorough explorations (1) Because of the complexities of geology and the will not provide sufficient information to anticipate all variety of functional demands. $ Water bearing zones.

2-0. (6) The question is frequently argued of how much d. end use requirements and the ocean. With this method of drilling. information has already been obtained. and heavy use was made of seis- starts with a relatively simple base case and employs fac- mic refraction profiling as well as deep digital reflection.5-2 0. and the construction drilling. (8) The required intensity of explorations will vary at (5) It may also be difficult or expensive to obtain least with the following factors: complexity of geology. For the Boston Effluent Outfall (9) A practical guide for assessing the suitability of Tunnel. it is common to use wireline boring. borehole data for tunnels under rivers and beneath lakes project environment. At the same construction cost. $ Cost of full geotechnical exploration program (bor.800 ft) long were $ Typical spacing of boreholes. the core barrel is reeled up and the core withdrawn from the barrel.8 150-300 m 15-25 m Extreme range 0. borings were drilled offshore about every 300- an exploration program is shown in Table 4-1. information must be obtained for the design of an under- ground structure.5-1. drill stem is used. at tors up or down from there.5 2-2.8-1 Increase borehole spacing in proportion to depth of tunnel Poor surface access 0. EM 1110-2-2901 30 May 97 Horizontal boreholes up to 540 m (1. then sufficient ground works is the NX-size. The base case considered is a a cost of exploration approaching 10 percent of construc- 6-m (20-ft) drainage tunnel through moderately complex tion cost. The core barrel is lowered to (7) The intensity of explorations can be measured in the bottom by a wireline and snaps into the drill bit while several meaningful ways: coring takes place. In practice. are unknown.000 m For conditions noted. even if costly. When a core run is finished. this assessment is not so simple. diam.5 Complex geology 2-3 0. and relative drilled. The guide 400 m (1.000-1. the drill string provides borehole stability.5 5-10+ variable Shafts and portals NA At least one each NA Special problems 1.5 0.5 0. but maximum use should be made cost of individual borings.3-10 15-1. by definition. For the Harlan diversion $ Number of meters of borehole drilled for each tunnels in Kentucky. because the results of the next (2) For deep boreholes. of subbottom profiling.000 m 5-1. Where large openings are required in difficult geology in a suburban area at a moderate depth of about geology. the USACE employed horizontal 100 m of tunnel.3-0. time. A minimum of borings should still be of the tunnel. a large-diameter cost saving can be assessed only on a very subjective basis. Borehole Length per 100 m % of Construction Borehole Spacing Tunnel Base case 0. Exploratory borings. time-consuming trips in and out of the ings. depth of tunnel.5 2-2. 30 m (100 ft). Table 4-1 Guidelines for Assessing Exploration Needs for Tunnels and in Rock Cost of Borings and Testing.300 ft).5 2-3 Rural 0. borings up to 360 m (1. drilled from one portal for the Cumberland Gap (Tennes- see. The add knowledge that will reduce construction cost an most common sample size used for core borings for under- amount equal to the cost of the boring. of approximately 2-in. pilot tunnels are often warranted.3-0. Kentucky) highway tunnel. The simple answer can be stated in (1) Tools and methods for exploratory borings and terms of cost-effectiveness: If the next boring does not sampling are described in detail in EM 1110-1-1804.5 Dense urban 2-4 0. geophysics) as percentage of hole with the entire drill string are avoided. multiply base case by the following factors: Simple geology 0.080 ft) long.4-0. testing. accessibility for explorations. furnished at the bottom end with a suit- able carbide or diamond bit.5 locally variable 4-5 . With this method.4 2-5 Deep tunnel 0.

Some. the remainder Common Test Methods of the hole drilled blind. Nonetheless. performed includes the following: 4-6 . require in situ testing. which are affected by joints. reference location. $ Natural gamma to measure gamma emissions ety of Rock Mechanics. (1) A number of properties can only be measured by $ Spontaneous potential to measure the potential in situ tests. Shear Torsional shear test strength Direct shear test Laboratory tests do not necessarily represent the properties Pressuremeter (soft rock) of the rock mass in situ. Testing of Intact Rock and Rock Mass Radial jacking test Diametrically loaded borehole jack a. Laboratory tests provide a quantitative Pressuremeter (soft rock) assessment of the properties of intact rock specimens. used mostly for correlation and compar- surveys are also run in boreholes in rock. Determination of properties representative of $ Caliper log to measure the borehole diameter and in situ conditions and of the undisturbed rock mass may locate washouts. The tests most commonly performed in the ing techniques. a source at locations at the ground surface with geophones times single packer tests are performed. or seismic velocity (3) Permeability tests are performed using packers to of the rock. without core. deformation Flexible plate loading test Flatjack test 4-4. and other flaws that are not present in the Permeability Constant head injection test laboratory specimens. Seismic methods using boreholes include isolate intervals in boreholes. porosity. the entire length of core is of geological interest and should be recovered. and core may be needed only at Modulus of Rigid plate loading test the depth of the underground structure. General.S. If a full sweep of downhole geophys. from radioactive materials in the ground. resistivity of the rock mass.e. Usually. images of the borehole wall (gyroscopically controlled) and information about the density. or vice versa. Test proce- tial problem. Standardized procedures for in situ tests are pub. while those performed specified in ASTM Standards. bed- ding planes. double packers insulating 10 cross-hole (hole-to-hole) methods as well as methods using or 20 ft (3 or 6 m) of borehole are usually used. as well as data for comparison and correlation with experi- ence records. International Society of Rock Mechanics. (2) The most common in situ tests performed for (5) Other downhole survey techniques can provide underground works are listed in Table 4-2. Other tests conducted in boreholes can be dures and standards for rock tests in the laboratory are performed reasonably inexpensively. mechanisms of behavior Pressure pulse technique tested in the laboratory do not always represent the mecha. Tests in boreholes and trial excavations. A common combination of surveys laboratory for underground works are listed in Table 4-3. Pumping tests nisms of behavior experienced in situ. Some of these tests can be character- (4) In many cases a suite of downhole geophysics ized as index tests. geologic correlation between Overcoring of hollow inclusion gage holes is usually possible. Bureau of Mines Borehole Deformation Gage state Hydraulic fracturing ical tools is run in the hole. and in the Rock Testing Handbook. In addition. part of the borehole. and in the Rock Testing Manual.. c. In situ stress U.EM 1110-2-2901 30 May 97 (3) On occasions. ison. core is extracted only from around Table 4-2 the elevation of the underground structure. Permeability tests should be per- formed in every borehole wherever groundwater is a poten. either in boreholes or in trial excavations or difference between an underground location and a tunnels. behavior. i. while others directly measure properties important to 1802 describes the common downhole geophysical survey. isolating the lower in the borehole. labo- ratory testing provides indices and clues to in situ behavior. $ Electric resistivity to measure variations of the b. Tests performed in the laboratory. EM 1110-1. how- Parameter Test Method ever. Recommendations of the in test trenches or pilot tunnels tend to be expensive. lished by the American Society for Testing and Materials (ASTM) and as recommendations of the International Soci.

Strength Uniaxial compressive strength Triaxial compressive strength (c) Density. e. Slake durability Swelling index (a) Slake durability test. (b) Tensile strength. (3) Stability in jointed rock. (c) Hardness and abrasivity. experience. tive assessment of rock conditions. 4-7 . purposes use experience derived from previous projects to estimate the conditions at a proposed site. These systems (b) Unconfined compressive strength. For a classification system to be successful. The following indicates some (c) Poisson’s ratio. Mineralogy and grain sizes Thin-sections analysis Differential thermal analysis X-ray diffraction (a) In situ stress. (b) Young’s modulus. quantita- (c) Joint shear strength. (1) Rock variability. Rock Property Parameter/Characterization Index properties Density (5) Sensitivity to atmospheric exposure and water Porosity Moisture content content change. (1) Rock mass classification systems for engineering (a) Rock mass index data (see later). the parameters must be relevant to (d) In situ stress. d. (a) Uniaxial compressive strength. EM 1110-2-2901 30 May 97 (c) Porosity. Poisson's ratio Time dependence Creep characteristics (e) Mineralogy. Point load index Hardness and abrasivity (b) Swelling index. (7) TBM performance (see Appendix C for details). (a) Unconfined compressive strength. Rock mass classification systems. (b) In situ water pressure. (a) In situ permeability. (d) Uniaxial and triaxial strength data. Table 4-3 Tests Performed in Laboratory (d) Pumping test data. (b) In situ stress. Use of test data. their application and be capable of being consistently rated against some set of standard descriptions or objective set of (4) Groundwater flow and pressure. combine findings from observation. rules on the basis of simple observations or measurements. Tensile strength (Brazilian) Shear strength of joints Deformability Young’s modulus (d) Moisture content. (d) Mineralogy. and engi- neering judgment to provide an empirically based. particular uses of tests and test data. Permeability Coefficient of permeability (6) Computer modeling. (b) Point load tests. (a) Index tests. (2) Stability in homogeneous rock.

large chambers 4-8 . fracture condition. RSR is fication system determining tunnel support requirements for based on an evaluation of conditions in 53 tunnel projects. Deere 1968) pro. joint orientation. however. an overall rating is established for these systems is presented in the following. and Skinner 1972. to define fracture intensity of a rock mass. deter- (b) RQD. mined on the basis of rock type origin. descriptions. the final loading condition will only be known systems. Parameter C includes the effect Table 4-4 Major Rock Classification Systems Currently in Use (Barton 1988) Name of Classification Originator and Date Country of Origin Application Rock Loads Terzaghi (1946) United States Tunnels with steel supports Stand-up Time Lauffer (1958) Austria Tunneling RQD Deere et al. It is determined by counting all pieces of sound drive on the basis of joint spacing. an essential element underground becomes available. In combination tions are summarized in Table 4-4. Although the degree of fracturing in (3) Classification systems have proven effective for a rock mass is a significant factor in determining tunnel the selection of underground opening support. in situ stresses. These conditions include groundwater that even the best geologic surveys of the site for a pro. classification of rock strength by simple index tests) or relate findings to the determination of The index is derived from standard-sized core at least actual design parameters (i. Parameter A is a general appraisal of the rock structure through which the tunnel is driven. It provides a quantitative index of rock quality in approximately and will probably vary along the tunnel terms of fracture frequency that is easily obtained and has length and be dependent on local geology and support become an accepted part of core logging procedures. The main rock classification systems cur.5 m (5 ft) in length. Skinner 1988). B. A brief description of with other parameters. other geologic conditions contribute to the perfor- plexity of geology over the length of a tunnel drive means mance of openings. Factors related to geologic conditions conditions. The optimum approach provide a complete method for establishing tunnel support allows the design to be modified as information from the or standup times. Even once the ground is within the framework of other rock mass classification known. steel sets and lagging are the method of tunnel support. rock mass. and C (Wickham. RQD is.. (1967) Deere (1968) United States Core logging. tunneling RSR Concept Wickham et al. Tiedemann. rock conditions and can still be used for tunnels where A. orientation.e. fracture posed tunnel are unable to provide a complete understand. tunnel support pressure). (a) Rock load method.. who developed a classification system for rock rock mass and for selecting appropriate ground support. The use of the rock mass that reflects support needs and stand-up these classifications for selection of initial ground support times for excavations. (c) Rock structure rating (RSR) concept.e. and opening size. The com. Africa Tunnels. support. and rock structure used in geology and geotech. The application of a classi. RQD is expressed as follows: nical engineering is a function not only of the variability of the rock materials and their properties but also of the use RQD (%) = to which the classification is put. rock hardness. conditions. tunnels was first proposed in the United States by Terzaghi It is a quantitative method for describing the quality of a (1946). Most performance. 1967. and vides a quantitative index of fracturing within a rock mass geologic structure. rock mass classification systems use RQD as a parameter rently used to assist in the design of underground excava. RQD is an empirical continuity pattern with respect to the direction of tunnel index. (1972) United States Tunnels with steel supports Geomechanics (RMR) Bienawski (1979) S.) long as recovery and expressing direction of tunnel drive.EM 1110-2-2901 30 May 97 (2) The diversity of classifications of rock material. and core over 100 mm (4 in. RQD by itself does not ing of the underground conditions. mines Q-System Barton et al. Table 4-5 shows the basic RQD is discussed in Chapter 7. loads carried by steel ribs and lagging for a variety of rock primarily steel ribs. Parameter B describes the effect of dis- based on the recovery of drill core. The system is based on visual descriptions of and to construction are grouped into three basic parameters. (1974) Norway Tunnels. Classification systems (length of core with pieces > 100 mm) can be used either to simply characterize some particular rock property and thereby facilitate the application of infor. the recovery as a percentage of the total length drilled. 50 mm in diameter over lengths of borehole of at least 1. × 100/length of core run mation into a design (i. RQD (Deere et al.

is suspected in the project area. hydrogen sulfide. They RQD = rock quality designation can be useful at tunnel portal locations. Jw/SRF is an external of groundwater inflow on the basis of overall rock mass stress index and is a measure of the active stress. This system covers the whole spectrum of rock mass qualities from heavy squeezing (1) Many types of explorations can be classified as ground to sound unjointed rocks. The RSR range of values for the parameters are provided in value of any tunnel section is obtained by summing the Chapter 7. and emergency rock mass. Several methods for gas testing are available. condition and quality of joints and presence of methane.100 Excellent mass. Gaseous conditions must be identified in advance so they The values for Parameters A. Jn = joint set number (b) Test blasting is useful for quarry development. (1) Gas sampling and testing during geotechnical RSR = A % B % C explorations are required if gassy ground. ings for the parameters are provided in Appendix C. as described in the following. explosive. Rib Ratio (RR).25 Very Poor SRF = stress reduction ratio 25 . Jr = joint roughness number (of least favorable discontinuity set) 4-9 . RSR is as follows: f. and toxic gasses. B. terms of an index. Q = RQD/ Jn @ Jr /Ja @ Jw / SRF where (a) Test pits and trenches are often excavated for foundation explorations. are 75 . Jr/Ja is a shear strength index that measures interblock strength. It is important (d) Geomechanics rock mass classification system. and orientation of commonly done by practitioners in the oil and gas industry joint or discontinuity relative to the excavation. (e) Rock mass quality. spacing of joints. form the testing and sampling. Exploration and testing for gases in the ground. that professionals with experience in the methods and The Geomechanics Rock Mass Classification System pro- familiar with safety regulations.50 Poor 50 . numerical values determined for each parameter. The rat- and environmental geotechnical engineering. selecting the appropriate ground support. The quality. Large-scale explorations. Some of the gases such as hydrogen sulfide or methane can be extremely toxic and/or explosive. g.90 Good crude measures of physical conditions defining the rock 90 . percent Description of Rock Quality Jw = joint water reduction factor 0 . Q. and C are given in Chap- can be accounted for in the design and mitigated during ter 7 together with the estimate of support requirements in construction. and response procedures for both workers and the public per- estimating the stand-up time of unsupported excavations. The system uses six large-scale explorations. but most are carried out for other pur- as follows: poses. condition of groundwater. or other gases is discontinuities. hazardous levels of flam- vides a quantitative method for describing the quality of a mable. EM 1110-2-2901 30 May 97 Ja = joint alteration number (of least favorable Table 4-5 Descriptions of Rock Quality Based on RQD (From Deere and discontinuity set) Deere 1988) RQD. (2) Exploratory drilling where there is a potential RQD. and groundwater inflow. Some of these can be useful for parameters to describe the rock mass quality (Q) combined underground works. RQD/Jn is a geometry index that can be considered as a measure of block size. where drilling can be difficult and seismic surveys ambiguous. either naturally occurring or contaminated. joint condition. including dam foundations.75 Fair The three ratios that comprise the rock mass quality. It is based on the summation of ratings for the following six rock mass parameters: strength of intact rock material.

though rarely carried out.. it is not probeholes. included in the contract documents. Probehole drilling can often be accomplished presenting geologic and geotechnical data in contract docu. or construction features. The advance rate of the drill is highway H-3 tunnels on Oahu. Pilot tunnels have been carried out for the Peachtree sub. sensitivity of the rock to weathering. Because of the volume and complexity of the TBM. Unless probehole drilling can be fitted into the usually feasible or proper to incorporate all data in the con. for all large underground openings. GDSR is found in ASCE (1991). Exploration ahead of the face is usually per- way station in Atlanta. formed using a percussion drill to a distance greater than yon. Further description of the use of the past and may still be useful.EM 1110-2-2901 30 May 97 (c) Test pumping is often carried out for deep exca. EM 1110-1-1804 sets forth principles and procedures for c. permit prereinforce. the contract documents must be made for each project. a. very needs. This report designer has determined that grouting will be an essential presents the design team’s best estimate concerning ground part of a tunnel project (e. probehole drilling can reduce TBM 4-10 . calyx holes) permit are gaged. or the driller must be shielded a. plate jacking. and Cumberland Gap.g. maintenance schedule when the machine is stopped for tract documents. inspections. drilling may have to be done through a packer. This report becomes the baseline against which contractor claims for differing site conditions (e) Large-diameter boreholes (e. excavation. Geologic Investigations During Construction explorations of rock quality in dam abutments and founda- tions and for large tunnels and chambers. limestone caves. or radial jacking tests for one or more of the following purposes: and helpful for other in situ tests. It is essential to make all geotechnical information against a high-pressure water jet. Pilot tunnels should be considered. provide a path for ventilation. from the tunnel. b. The remainder yield of pumping for dewatering. In addition to providing detailed geologic information. (f) Adits and pilot tunnels are frequently used for 4-6. A geotechnical design summary report (GDSR) tion grouting and has occasionally been useful when the may be included in the contract documents. Presentation of Geotechnical Data encountering water under high pressure. A selection of data to be presented in other purposes. and for the typical daily advance. has affected the design. Colorado. buried valleys. available to the contractors who are bidding for the project. If there is a possibility of 4-5. and other poor ground. (d) Test grouting is useful for planning dam founda. At a minimum. and otherwise be helpful for the initial ground support selection. if not tions. including choice of unlined conditions such as potentially squeezing ground). b. Such large. $ Verification of conditions assumed for final tun- (2) Extrapolations of ground behavior (especially nel lining design. test trenches. vations to determine overall permeability and probable depending on the importance of the data. during the period of blasthole drilling. shaft explorations and sometimes for tunnels in soft all boring logs. completion of the work. it must therefore be written carefully and inspection of the borehole walls. ground support cover regions of potential high water inflow. must be accomplished with care due to the difficulty in selecting $ Mapping for the record. If excavated in the crown of a large dips in the weathering profile. a pilot tunnel can be used to drain formation water. pilot tunnels permit evalua. When using a ments. to avoid ground loss and conditions to be encountered and how the geotechnical data deleterious settlement). Additional geotechnical information is sometimes diameter explorations are necessary to conduct in situ tests required during the construction of the underground facility such as flatjack. highway tunnels in Glenwood Can. to aid in future opera- scale factors. the machine usually must be stopped while drilling complete exploration and testing documentation. The drill is stopped from time to time to check the water flow into the borehole. and adit data should be ground. $ Exploration ahead of the advancing face to dis- tions to be made of the excavation effort. It is often useful for of the data would be available for review.g. and maintenance work.. Tennessee. always carried out. small scale of the pilot tunnel to the full prototype. Such boreholes have reviewed by people knowledgeable about the contractual been successful for dam and power plant explorations in the use of this document. $ Classification of rock mass to determine or verify ment of poor ground. recorded.

will usually suffice. It is. while the rock is still fresh and uncovered by debris. then a geologic the heading is made safe. or construction material. therefore. ods of mapping are described in EM 1110-1-1804. based on the characteristics of the tunnel profile and cannot be recovered. consuming. EM 1110-2-2901 30 May 97 operating time. mapping is not feasible. When initial ground support appraisal is required after each round of blasting or more includes shotcrete placed by robot or consists of precast or less continuously for a TBM tunnel. time. If mapping is required. e. At the same time. If initial ground support is selected on the basis of should never venture into the heading of the tunnel before ground conditions actually encountered. and usually unnecessary. the geologist d. it should be performed 6-deg angle from the tunnel axis. A simpler 4-11 . A complete segmental concrete lining. Meth- mapping in accordance with the Q method is tedious. often the practice to drill over the crown of the TBM at a 3. then TBM geologic materials at hand. If probehole drill steel gets stuck within the classification system. advance can be severely hampered.

The typical cycle of exca- construction when the choice of methods affects the quality vation by blasting is performed in the following steps: or safety of the work or when construction will have envi- ronmental effects. EM 1110-2-2901 30 May 97 Chapter 5 $ Controlling environmental effects. the final support has the primary (1) Most tunnels are advanced using full-face excava- role. it is not the intent to present a complete guide to tunnel construction. Construction of Tunnels and Shafts These topics are discussed in this chapter. by blasting or by mechanical means. Full. ventilation. a. tractor or include restrictive provisions in the specifications. and utilities. 5-1 . The basic components of underground construction include the following: (3) Removal of the blasted rock (mucking). $ Final ground support. stages. tion. (6) Advancing rail. Blastholes are usually drilled to a depth somewhat support may also serve a function in the permanent shorter than the dimension of the opening. However. however. followed by blasting of the remaining bench. The excavation cycle. c. blasting. $ Initial ground support. it is often necessary for the designer to specify methods of a. General greater depth certain details of construction. The designer may have reason to explore in 5-1. where the top part of the $ Surveying. There are aspects of construction where (1) Drilling blast holes and loading them with the design team may have to work closely with the con. The design team should specify or construction. There are many other variations of partial-face $ Drainage and water control. The d. followed by two crown side drifts. the terms Aprimary@ and Asecondary@ support have been used for Ainitial@ and Afinal@ support. The design team must be composed of design and construction engineers and geologists experienced in under. followed by ventilation to remove blast fumes. Apulls@ a round a little shorter (about 90 percent with good blasting practice) than the length of the blastholes. In the past. Partial-face blasting is sometimes more practical or may be required by ground conditions or equipment limita- $ Site and portal preparation. The entire tunnel face is drilled and blasted in one rary. (5) Installing initial ground support. such as blast- ing effects or TBM feasibility or projected advance rates. such as a center crown drift. at full width.and partial-face advance. tions. b. b. $ Excavation. Although it is good practice to leave many approve the proposed method of excavation. The basic shape of underground excavation in rock is still performed using an excavated opening must be selected for practicality of blasting techniques. The most common method of partial-face blasting is the heading-and-bench method. (2) Detonating the blast. two. and the blast support. or three $ Hazard prevention. (4) Scaling crown and walls to remove loosened pieces of rock. details of construction for the contractor to decide. then by the bench in one. tunnel is blasted first. 5-2. Methods and sequences of excavation affect the loads and displacements that must be resisted by While TBMs are used in many tunneling projects. most initial and permanent ground support. The bench can be excavated using $ Ventilation of the underground works. horizontal holes or using vertical holes similar to quarry blasting. explosives. initial ground round. and initial ground support is often considered tempo. Other important components of construction depth pulled by typical rounds are 2 to 4 m (7-13 ft) in include the following: depth. Tunnel Excavation by Drilling and Blasting ground construction. in many instances today. This usage is discouraged because it is misleading since in terms of end function.

(a) The V-cut or fan-cut uses a number of holes drilled face blasting include the following: at an angle toward each other. In the past. also called easer. Blastholes are typically 45 to (3) In a tunnel.) in diameter this is done in one of several ways. there is initially no free face parallel to 51 mm (1. electric or nonelectric. With a nearby free (e) Blasting agents are available for special purposes.) in diameter. c.0 times the sive ANFO (a mixture of ammonium nitrate and fuel oil) is hole spacing. tire. and velocity of detonation. electrically. Successive blasts result in a tunnel wall and Kihlstrom (1978) or Persson.) since it is not possible to drill right at the design is reviewed by the engineer for compliance with edge of the excavated opening. often used. relief excavation may not be stable long enough to per. or track mounted. ranging from 25 and precision of drilling have also improved due to new to 500 ms. The last holes to be detonated mit installation of initial ground support. water resis- remove the fragments. Holmberg. valve chambers. face. (1) The individual blasting rounds are usually designed diverging from the theoretical wall line by up to about by a blasting specialist in the contractor's employ. These are of of hole drilling has been improving rapidly. The efficiency and speed amount of explosives detonated at any time. and Lee surface shaped in a zigzag. usually in the lower middle of the face. and other characteristics.EM 1110-2-2901 30 May 97 (2) Reasons for choosing partial as opposed to full. Therefore. the tance. to form a wedge. but more often drill jumbos fragments are out of the way before the next detonation are used with two or more drills mounted. most often four excavated using partial-face blasting excavation. Millisecond delays are often used within the burn be rail. the blast wave will create fractures toward the face. Information about blasting agents and blasting ally unavoidable. and are tamped in place to fill the hole. Nonelectrical blast initiators and delays are now available (2) Effective blasting design requires attention to the and are often preferred because they are not affected by degree of confinement for the detonation of each blast stray electric currents. while those used 5-2 . The size of the drill equip- specifications. (reliever). such as Blaster's Handbook (Dupont). usually up to 125 mm (5 in. They vary in charge density per length of hole. diameter. are the contour or trim holes around the periphery. fume characteristics. the detonation may result merely in plastic deformation. with half-second delays used for the jumbos permit mucking equipment to move through the remainder. (c) Perimeter holes are usually drilled with a lookout. If a blast hole is fully confined. using electrical blasting caps or initiators. Blastholes are usually drilled the sequence and timing of the detonations and to limit the using hydraulic percussion drills. Drilling for small tunnels is are available. in Langefors be excavated. and bit wear several types. other delays are slower. Sticks or sausages of the blasthole. Millisecond delays are fast. Remaining holes are laid out and initiated must be limited for vibration control. unloaded.75 and 1. the inexpen- burden. Detonation of these (a) The cross section is too large for one drill jumbo holes first will remove the material in the wedge and allow for example: Underground openings of the sizes subsequent detonations to break to a free face.9-2 in.) in diam- (b) The size of blast in terms of weight of explosives eter. (d) Delays. is taken generally between 0.6 in. In dry rock. design can also be found in handbooks published by explo- sives manufacturers. One must be created by the blast design and explosive agents are usually 40 mm (1. Track-mounted straddle part of the blast. usually required for powerhouses. Information about the detailed design of ment requires a setback at an angle to cover the volume to blasting rounds can be found. The holes set off just after (c) The ground is so poor that the full width of the cut are the stopping holes. Design of a blasting round. or enlarger holes. so that each new detonation in one or more blastholes always will break to a free face. the blast was usually initiated jumbo to and from the face. The 100 mm (4 in. for example. The ones in the invert are called lifters. Up to 24 ms delays designs of drill rods and bits. or one or two large-diameter holes. fragment the rock between the hole and the face. The jumbos can occurs. Trim holes require special blasting agents with a very low charge per meter.or three-lane highway tunnels are usually (b) The burn cut uses parallel holes. Delays must be selected such that the rock often done with a single drill. The distance to the free face. overbreak is gener- (1993). holes close together with only two loaded. and two. are used to control See also EM 1110-2-3800. hole.

The powder factor varies greatly damage and overbreak is advantageous for many reasons: with the conditions. Control of rock among blast patterns. or when the rock is harder and (a) Less rock damage means greater stability and less more resilient. in the same type of ground. typical. The powder (b) The tunneling operations will also be safer since factor can vary from 1 kg/m3 in a tunnel with an opening less scaling is required. Blasting round with burn cut blastholes 3. the pow- der factor varies between 0. explosives per cubic meter of blasted rock) and the drill factor (total length of drill holes per volume of blasted (1) The ideal blast results in a minimum of damage rock (meter/cubic meter)). Figure 5-1 shows a face for an unlined tunnel. factor of 2.6 and 5 kg/m3. (f) Two parameters are often calculated from a blast design: the powder factor or specific charge (kilograms of d. advance 3. Typical drill (c) Less overbreak makes a smoother hydraulic sur- factors vary between 0.) in diameter and are 40 holes with a powder factor of 1. EM 1110-2-2901 30 May 97 for trim holes are often 25 mm (1 in.0 m 5-3 .9 kg/m3 and a drill used with stemming. Controlled blasting.2 m/m3.5-m2 round uses Figure 5-1. the tunnel smaller. overall economy of blasting and permit easy comparison This is achieved by controlled blasting. powder factors. Rocks with voids sometimes require large ground support required. It is greater when the confinement is greater. This 19. For most typical tunnel blasting.8 and 6 m/m3. Typical powder factors and drill hole requirements are shown on Figures 5-2 and 5-3.2 m. These are indicators of the to the rock that remains and a minimum of overbreak. well-designed round. size greater than 30 m2 to more than 3 kg/m3 for a size less than 10 m2.

and 6-8 times hole diameter in poor. is precise drilling of blast holes. hole crete to fill the excess voids. Typical powder factors (d) For a lined tunnel.EM 1110-2-2901 30 May 97 Figure 5-2. Controlled measure of success is the half-cast factor. less overbreak means less con. spacings and burdens. it takes longer to better precision than was the norm. This is the ratio blasting requires careful design and selection of all aspects of half casts of blast holes visible on the blasted surface to 5-4 . hole charges. fractured rock. (5) Inspection of the blasted surfaces after the blast (3) But controlled blasting requires more than just the can give good clues to the accuracy of drilling and the design of proper perimeter blasting. which are loaded lighter than the (4) One of the keys to successful controlled blasting remainder of the holes. (2) Controlled blasting involves a closer spacing of the contour or trim holes. causing blast damage and irregular surfaces. con. of the round-geometry. Blast damage can effectiveness with which blasting control is achieved. Deviations of blastholes tour holes about 12-15 times hole diameter in competent from their design locations quickly lead to altered spacings rock. A rule often used is to space con. and burdens. controlled blasting. The highest precision execute and uses more drill steel. Because controlled blasting generally requires more blast Modern hydraulic drills are not only quick but also permit holes than otherwise might be required. A occur long before the trim holes are detonated. For these reasons. is obtained with the use of computer-controlled drill tractors are often reluctant to employ the principles of jumbos in homogeneous rock. hole diameter. and delaysCas well as careful exe- cution of the work.

waves. a half. also readily visible and measurable. these waves can cause dam- This may be done using seismic refraction techniques and age or be objectionable to the public.1-0. Blast vibrations.2 m (4-8 in. little as 0. Blasting sets off vibrations that Other means to verify the quality of blasting include meth. Typical drill hole requirements the total length of trim holes. holes. Vibration control is 5-5 . EM 1110-2-2901 30 May 97 Figure 5-3. If sufficiently intense. propagate through the ground as displacement or stress ods to assess the depth of blast damage behind the wall. The depth of the disturbed zone can vary from as cast factor of 50 to 80 percent can usually be achieved.) with excellent controlled blast- Irregularities in the surface caused by imprecise drilling are ing to more than 2 m (7 ft) with uncontrolled blasting. e. Depending on the quality of borescope or permeability measurements in cored bore- the rock and the inclination of bedding or jointing. The regularity and appropriateness of the lookout should also be verified.

with D in meters. which says that the intensity of the vibration is a function of the square root of the charge. most well-built structures can withstand particle 5-6 .0 20 sive. The quantity H varies with 6 50 blast characteristics. 25 100 ment. V in millimeters/second. which quickly damp out in soil-like materials). for production blasting. fact. and H is the peak velocity at a scaled distance of one. In the log-log plot. $ The total charge set off by each individual delay (a delay as small as 8 ms is sufficient to separate two detonations so that their blast wave effects do not overlap).25 10 scaled distance. For a particular site or environment. $ The distance from the detonation to the point of interest. for a 156 250 given geologic medium. and 150 for the trim holes. using residential structures or other buildings and facilities. A typical range for H is 100 to 800 (metric).75. Monitoring tions and a precise relationship is not likely to evolve. ranges of data are used to develop a safe envelope publications.EM 1110-2-2901 30 May 97 particularly important in urban environments. Figure 5-4. 1. V. The quantity Allowable Change per Delay D/W1/2 is called the scaled distance. and geologic environ. the empirical peak particle velocity of 50 mm/s (2 in.60. the square-root scaling law is used. confinement. ft as a straight line on a log-log plot of velocity against 0. A typical relationship between allowable distance from the blast is a function of the following charge per delay and distance for a vibration limit of factors: 50 mm/s (2 in./s) will not damage relationship can be developed based on trial blasts. including Dowding (1985). the intensity of vibration can be estimated using scaling laws. W. and control of blasting are described in detail in several Rather. as will geologic features such as bedding with hard and soft layers. Most commonly.75 to 1. the greater percentage of the total energy will enter the ground as vibration energy). Many factors affect the measured vibra. H can vary within a single blast: 250 for the V-cut. This relationship plots Allowable Charge. With a given explosive charge and a given distance. $ The degree of confinement of the blast (the greater the confinement. 200 for production holes. it is often taken peak particle velocity. $ The character of the ground (high-modulus rock permits the passage of waves of higher frequency. (2) Damage to structures caused by blasting is related to The power B can vary from 0. It is generally recognized that a as 1. V = H (D/ W 1/2)&B Table 5-1 where B is an empirically determined power. Ground vibrations from blasting tion parameter is the peak particle velocity. H is generally smaller for shorter rounds. $ Geometric site features will sometimes focus the vibration energy. The most important vibra. Typical ranges of peak particle velocity as a function of scaled distance are shown on (1) The intensity of blasting vibrations felt a given Figure 5-4. W in kilograms of explo. lb Distance./s) is shown in Table 5-1 (SME 1992).

however. Very fresh concrete that has not set can withstand 50 mm/s (2 in. Furthermore./s) for the range above 40 Hz. Blasting usually leaves be- than blasting for shafts. Because of the cyclic nature not exist. Mucking. ity was restricted to 25 mm/s (1 in. to a degree.6 in. the Peak particle velocity at inhabited locations were limited to pile will be compact and close to the face. Provisions for passing trains or vehicles must ence to locally established codes and practice. which can be trackless (rubber tired.5 in. however. EM 1110-2-2901 30 May 97 velocities far greater than 50 mm/s (2 in.S. young concrete that has set is subject to dam- age. velocities as shown on Figure 5-5 that may be used when no local ordinances apply. These values may vary with the character of the foundation rock. tion of the frequency of the vibrations./s) for the frequency range of 2./s). permitting equipment 18. and 6 p./s) at the nearest (5) Human perception is far more sensitive to blasting uninhabited structure. veloci- vibrations than are structures. Scaling. Perception of vibrations is. in shorter much more objectionable during night hours. These kinds of restrictions resulted in contractors g. Concrete over 10 days old can withstand particle velocities up to 250 mm/s (10 in. This concern is discussed in some detail in the Underground Mining Methods Handbook (SME 1992).000 mm/s.8 in.m. Setting tunnels) or tracked (rail cars. (2) The ideal blast results in breaking the rock such its in urban areas follow: that few pieces are too large to handle./s) at the nearest inhabited structure and 50 mm/s (2 in.25 in. hind slivers or chunks of rock. (0. a func. The muck (a) For construction of the TARP system in Chicago. blasting level criteria (4) Damage of intact rock in the form of micro- fractures usually does not occur below particle velocities of (b) For MARTA construction in Atlanta. lower than 12. in longer tunnels) or belt acceptable blasting limits in an urban area requires adher. The U. loosened and isolated by 5-7 . and to move in over the muck pile.5 mm/s (0. (3) When blasting is carried out in the vicinity of fresh concrete. and 7 a. Between 10 p./s) or more. great efficiency can be achieved if peak velocity limits. Vibrations are clearly ties were limited to 15 mm/s (0. public participation may be required in setting of blasting excavation. nation. (1) Muck removal requires loading and conveying frequency vibrations. and particle veloci- ties should not exceed 50 mm/s (2 in. Bureau of Mines recommended analysis should be conducted to set blasting limits. On the other hand./s). U. off last. excessive fines usually mean waste of explosive energy. it is the generally accepted limit for blasting vibrations./s). conveyors.75 in.m.S. f. the geometry of the structure.6-40 Hz. if they are set 12. pile can be controlled by the timing of the lifter hole deto- blasting was limited to the hours of 8 a./s) or more./s). Air blast over- noticeable at peak particle velocities as low as 5 mm/s pressures were also restricted. the setting time and strength of the concrete. An important element of excavation by generally choosing mechanical excavation methods rather blasting is the scaling process.6 Hz.. Two examples of blasting lim.75 mm/s (0.m. If codes do be provided in long tunnels. The peak particle velocity in this case may have to be controlled to under 6 mm/s (0. low-frequency vibrations (<10-15 Hz) are more readily felt than high. vibrations may be equipment. Both structural concrete and mass concrete are relatively insensitive to damage when cured. For important structures./s) for frequencies under 2. peak veloc- 500-1.5 mm/s (0.2 in. 1980) has made recommendations on peak particle the same time. the pile will be spread out. depending on the strength of the rock./s) until the concrete is at least 3 days old. and other characteristics./s) and disturbing at a velocity of 20 mm/s (0. Bureau of Mines (Siskind et crews and equipment can work two or more tunnel faces at al.m. If they are set off before the crown trim holes. peak velocities must be restricted to avoid dam- age to the concrete. site-specific Figure 5-5.5 in.

shafts. are the most popular method of excavation. This work can be dangerous and must be $ Rotary cutterhead equipped with picks. This section describes road. include the following components: ened rock is usually removed by miners using a heavy scaling bar. TBMs loading onto a muck car or other device. sometimes with outriggers or jacks TBM is not cost-effective. for stabilization. Hydraulically operated rams or rock breakers cutterhead at a range of vertical locations. Such for TBM starter tunnels. equipped for a variety of different assembly. Loose rock left in place can also depending on rock hardness limitations. By far. This greatly reduces the hazard and may improve $ Turret permitting a range of horizontal motion of the speed with which this task is accomplished. ancillary adits. a.EM 1110-2-2901 30 May 97 blast fractures but remaining tenuously in place. Much underground excavation today is performed by mechanical means. and for excavation of small A typical. and large underground chambers. and loading device to the rear of the machine for off- roadheaders to TBMs of various designs. useful in many instances where a $ Base frame. Loos. Alpine Miner 100 5-8 . They may also be used Figure 5-6. Tunnel Excavation by Mechanical Means $ Loading device. cab. furnished with electric and header and TBM excavation methods and the factors that hydraulic controls of the devices and an operator’s affect the selection of mechanical excavation methods. usually an apron equipped with gathering arms. Tools are now available to make this a much less dangerous $ Hydraulically operated boom that can place the endeavor. and other chunks can fall after a period of some time. hydraulic rams. usually a crawler track many sizes and shapes. Tools for excavation range from exca. conducted with great care by experienced miners. the cutterhead. They are used to excavate tunnels by the full- face or the partial-face method. can be mounted at the end of a remotely operated hydrau- lic arm. cant danger to personnel. Most roadheaders result in nonuniform loads on the permanent lining. purposes. Roadheaders are versatile machines. posing signifi. underground openings of virtually any shape and size. 5-3. $ Chain or belt conveyor to carry muck from the vators equipped with ripper teeth. large roadheader is shown on Figure 5-6. Roadheaders come in $ Propelling device. Roadheader excavation.

000-15. where space is rotation. (3) A database covering 630 TBM projects from 1963 ratory tests. The larger machines weigh in excess of 90 tons. and scleroscope and Schmidt hammer hardness tests. or may be mounted on different bodies for special and muck buckets. the cutterhead thrust. ripping and loosening perpendicular to the boom. Typical small-to-medium roadheaders $ Greater worker safety. or can be articulated to excavate below the floor nel. The advance rate depends on the penetration per $ Less rock damage. contributing to component $ Uniform muck characteristics. a heavy. An experienced attack picks are used. following: tively into rocks of a strength less than 30 MPa (5. The spacing and jointing patterns to reduce the energy required to loosen arrangement of the picks on the cutterhead can be varied to and break the rock. The largest roadheaders can cut a face larger than 60 m2 b. wear. A TBM is from one position. and higher capital costs. Others rotate on an axis cutting. but the most common are the point operator can take advantage of the observed bedding and attack picks that rotate in their housings. Booms can be extended to reach fur. limited flexibility in response to extremes of can be obtained. depending on the direction of cutterhead carbide-tipped picks.000 psi) to 200 MPa (30. The equipment should dust generation. The cutterhead is equipped with ing of the rock. with cutting tools level. roadheaders cut most effec. geologic conditions. sturdy machine is required for cutting hard rock. The most powerful can cut rock with a strength of 150 MPa (22. slewing. Bedding and jointing also affect the efficiency of or in an arch across the face. and a steering system. and thrust. Large radial drag picks or forward rotation relative to the bedding geometry. regardless of bedding the limits of the slewing and elevating gear. and elevating forces. $ Higher advance rates.000 psi). automated operation. shield- ing to protect workers. a cutterhead thrust of more than 50 tons geometry. remove cuttings. the cutterhead and jointing. can reach a face area of roughly rectangular or oval shape. personnel and compressive strength of 60 to 100 MPa (10. Depending on the length of the boom and be capable of cutting the intact rock. cut and the rotary speed of the cutterhead. In a heavily jointed mass. Types of tests and examinations typically to 1994 has been assembled at The University of Texas at performed include thin-section analysis to determine the Austin (UT). Some cementation coefficient and the quartz content and Shore rotate in an axial direction. sequence of excavating the face. The TBM includes the cutterhead. weigh about 20 to 80 tons and have available cutterhead power of 30 to 100 KW. and tensile strength tests are also first into the face of the tunnel. unless the rock mass is fractured and bedded. such as for shaft excavation. Density.000 material conveyance. psi). cut the rock by milling as the boom forces the cutterhead. Generally. a bracing system for the TBM during limited. improve cutting. EM 1110-2-2901 30 May 97 (1) Several types and sizes of cutterheads exist. to cool ment should be made without regard to the potential bene- the pick. The torque and speed of the cutterhead determines the power of the head. a complex set of equipment assembled to excavate a tun- ther. This database supplies information on the 5-9 . compressive. The selection of equip- pressure water jets in front of or behind each pick. systems to supply power. $ Potential for remote. with cutterhead power of up to 225 KW. much like a dentists drill. longer mobilization time. porosity. With a well-stabilized (2) Disadvantages of a TMB are the fixed circular roadheader body. $ Less support requirements. The cutterhead is symmetrical of the jointed mass can be more important than cutting of about the boom axis and cuts the rock as the boom moves the intact rock. The cutting ability depends to a large measure on the pick force.000 psi) for a (1) The advantages of using a TBM include the limited duration. the cutterhead. and utilities. (3) Roadheader performance in terms of excavation rate and pick consumption can be predicted based on labo. Back-up (2) Most roadheaders can cut rock with an unconfined equipment systems provide muck transport. and suppress fits from the bedding and jointing. equipment for ground support installation. Cutting hard rock can be dynamic and cause vibrations and bouncing of the equipment. total power about 80 to 650 KW. ventilation. therefore. Bedding planes often facilitate the break- up and down or sideways. then slewing horizontally useful. by properly selecting the pattern and suit the rock conditions and may be equipped with high. which again depends on the torque available to turn $ Continuous operations. Excavation by tunnel boring machine. cutterhead purposes. mining.

km 1963-1970 81 Soil/weathered material 14 (total tunnel length in data 1971-1975 134 Major fracture zones 33 base = 2. torque. Unspecified 9 (a) Shift time. TBMs in Indicated New 318 walls.3 % 573 penetrate and break the rock at the tunnel face. causing the cutting disc tools to +3 to +10% 1 + 3 to . friction between the cutterhead/shield and the tunnel No. and 52 projects from other in the UT Database locations. No. Description of Rock and Problems Encountered on Projects 347 projects from Europe.300 range] >200 MPa 9% Number Among Projects with Special Problems Number of Database Projects Description Projects Mucking capacity limitation 7 No. TBM performance parameters. and ground support.0 m 34 system that provides thrust. Projects in Gradient >+20% uphill 40 in hard rock.5 m 104 6. Some contractors will use 24-hr shift- ing and maintain equipment as needed Aon the fly.5 m 219 Diameter Interval. These Descriptor Projects are summarized in Table 5-3. of Projects in 1963-1970 26 Excessive cutter wear 18 Completion Date Interval 1971-1975 53 Gassy ground 25 (total 630 projects) 1976-1980 122 Wide range in rock strength 43 1981-1985 139 Wide range in rock mass quality 108 1986-1990 176 Wide range in both rock strength and rock 14 1991-1994 114 mass quality High water inflow 23 Total Project Lengths. MPa 20-80 MPa 28% Table 5-2 [96 average] 80-200 MPa 52% Description of Projects in the UT Database [3 . m 3. Most database projects were Predominant Geology Sedimentary 60% excavated in sedimentary rock. In addition. these functions can be accomplished contin- 15 to 50 m 92 uously during each mining cycle.5 to 8.6 to 5. A TBM is a >8. Interval <15 m 35 In most cases. The TBM cutterhead is rotated and thrust Interval +10 to +20% 6 into the rock surface. or bracing against support installed behind the TBM. ventilation. with compressive strength (% of projects) Metamorphic 30% between 20 and 200 MPa. Figure 5-7 is a sketch of >50 m 101 a typical open or unshielded TBM designed for operation No. No. steering.0 m 36 c. A brief summary of the database is presented in Among Table 5-2. Starting Condition Direct Reuse 22 Refurbished 261 Unspecified 29 d. Igneous 10% Uniaxial Compressive <20 MPa 11% Strength.0 to 6.390 km) 1976-1980 400 Overstressed rock 7 1981-1985 530 Major equipment breakdown 30 1986-1990 666 Contract stoppage 9 1991-1994 579 No. Projects in Excavated 2 to 3.0 m 237 5. Projects in Shaft Depth No shafts 402 muck transport. TBM system design and operation. Reaction -3 to -10% 3 to applied thrust and torque forces may be developed by -10 to -20% 7 anchoring with braces (grippers) extended to the tunnel >-20% down 0 wall. rotational stability. this database includes information Database on site geology and major impacts on construction. TBMs with Indicated Open 512 Shield Types Single Shield 56 (1) TBM system performance is evaluated using sev- Double Shield 38 eral parameters that must be defined clearly and used con- Special Shield 15 sistently for comparative applications.EM 1110-2-2901 30 May 97 range of conditions and performance achievements by Table 5-3 TBMs and includes 231 projects from North America.@ As 5-10 .

The percentage of shift time during which mining occurs is the Utilization. day. including time set aside solely for maintenance purposes. The TBM clock is activated by some minimum level of propel If U and PR are expressed on a common time basis. This operating time is used to calculate the penetration rate (PR). underground temperature. and the basis for calcu. then pressure and/or by a minimum torque and the start of cut. when the TBM operates or downtime when repairs and and environment). as a measure of the cutterhead ad. or the entire project). a AR = Distance mined/Shift time clock on the TBM will record all operating time. AR is defined on the basis of Shift time = TBM mining time % Downtime shift time as: (b) Penetration rate. Advance rate can be varied by changes in either PR (such Therefore. an instantaneous penetration or as averaged over each thrust cylinder cycle or other time period listed above. Typical values of PRev can be 2 to 15 mm per revolution. The PR can also be calculated on the basis of typical values of CR range from 20 to 200 m3 per TBM distance mined per cutterhead revolution and expressed as mining hour. maintenance occur. Utilization depends more on rock quality. U (%) = TBM mining time/Shift Time × 100 and is usually evaluated as an average over a specified time period. unstable invert causing train derailments. month. Therefore. On a shift basis. commitment to maintenance. shift. AR = PR U (%)/100 vance per unit mining time. Other performance parameters deal useful for the study of the mechanics of rock cutting and is 5-11 . surface space constraints on operations). hour.. (e) Cutting rate (CR). When averaged over an of intact rock excavated per unit TBM mining time. used here. When evaluated on a whole project basis. year. U varies from nearly 100 percent to zero. the AR can be equated to: terhead rotation. There is no clear evidence that projects using a recon- Figure 5-7. It is particularly important that U is reported together with the basis for calculationCwhole project (including start-up). after start-up Aproduction@ average. the shift time on a project is all working hours. (d) Advance rate (AR). instantaneous. When the TBM is operating. CR is defined as the volume lation should be clearly defined. (c) Utilization. and per hour. alignment curves. PR values can be on the order of 2 to 10 m Again. the averaging time unit must be defined clearly. equipment condition. U. hour or a shift.e. project conditions (entry/access. The (2) TBM performance from the UT database is sum- particular case of penetration per cutterhead revolution is marized in Table 5-4. Unshielded TBM schematic drawing ditioned machine have a lower U than projects completed with a new machine. or U over some other subset of the job. contractor capabilities. as encountering very hard rock or reduced torque capacity when TBM drive motors fail) or in U changes (such as PR = distance mined/TBM mining time encountering very poor rock. values of 35 to 50 percent are typi- cal. or highly abrasive rock that results in fast PR is often calculated as an average hourly value over a cutter wear). specified basis of time (i. EM 1110-2-2901 30 May 97 here given the notation PRev (penetration per revolution). All shift time on a project is therefore either mining time and human factors (remoteness.

which little need to consider specifying new equipment for a depends on cutter position and type of cutter. and rates of material wear from disc measurements 6 weeks will be required for assembly. but more important is that the staging area for significant difference in the rock between the previous and 5-12 . Appendix C contains information on TBM perfor.5 m/TBM hr (2) In planning a project schedule. m/month 375 5 . If low grades (<3 percent preferable for tunnel mucking and specifications include prescriptive information on perform- groundwater management) and driving up hill.000 km Decreased advance rates on the order of 50 percent less for nonabrasive rock. e. and the crew learns the ropes of system operation.80 0. The start of mining life distances for the replaceable steel disc edges may be rarely occurs with the full back-up system in place.1 .0 .6 .6 schedule. about 3 to life).2 1. providing that the hazardous ground conditions for which special TBM capa- contractor has installed adequate mucking capacity for bilities are required.3.0 needed to get a TBM onsite varies from perhaps 9 to mm/cutterhead revolution 12 months for a new machine from the time of order. shielded TBMs and back-up systems are less flexible.2 percent is required for gravity drainage finished product. Therefore. Table 5-4 TBM Performance Parameters for Projects in the UT Database Confined surface space can have a severe impact on pro- ject schedule and costs.2 appropriate plans for the project. However. during which time (expressed as weight loss or diameter decrease).69 perhaps 3 to 6 months for a refurbished machine.0 ing exits. m 4. 4 to 8 weeks of mining. a lack of intermediate Advance rate. TBM cutterheads can be redesigned to ties and also thrust. linear distance of tunnel excavated per cutter change. disputes are likely. diameter. f. particularly if there is a supply. Horizontal curves in an alignment can be cation provisions are compatible with provisions in the negotiated by an open TBM with precision and little delay GDSR. however. For long tunnels. Leaving the option facilitate equipment positioning. dis- tance rolled by a disc cutter before replacement (the rolling (3) With delivery of a TBM onsite. accordingly.EM 1110-2-2901 30 May 97 either shaft or portal be adequate for contractor staging. % 38 5 . open for contractors will tend to decrease costs.17.0 . tunnel depth should be of the original TBM diameter.2 0. General considerations for TBM application. Specification options for TBMs. If there are discrepancies or ambiguities.12. A mini. Most can be expected. Tighter curves statistically significant difference in performance between should be avoided or planned in conjunction with a shaft to new and reconditioned equipment. Rebuilds are possible to ±10 percent no-delay operation. m/shift hr 1. and there is with evaluation of disc cutter replacement rate. to Utilization. Specifications Important project features that indicate use of TBM include can be either prescriptive or performance specifications. and is longer for larger diameter than for production mining should be expected for the first cutters. but the Parameters used to evaluate cutter replacement rates thrust and torque systems should also be modified include average TBM mining time before replacement. cut excavated diameters different by 1 to 2 m.3 0. disputes if curve radii are on the order of 40 to 80 m. and to nearly no time required for a direct re-use without significant repairs or maintenance. Penetration rate 3. assuming the contractor has made Diameter. Rolling a starter tunnel should be completed. With proper mainte- nance. There is no generally be used for design purposes. Portal access. km 3. Make sure all specifi- of water inflow. to more than 2. Excep- tions include very long tunnels for which major equipment (1) Experience indicates that tunnel depth has little downtime for main-bearing repairs would be disastrous and impact on advance rates in civil projects. so that a minimum radius of 150 to 400 m should (1) New versus reconditioned equipment.36.2.084 access may not have a significant impact on project Advance rate. the lead time Penetration rate 7.3 . intermediate Parameter Average Range access points can be considered for ventilation and muck- Project length. ing work and also specific standards to be achieved in the mum grade of 0. as the back-up system is installed mance evaluation and cost estimating. and cutterhead rotation rate. used TBMs can be applied reliably. rock proper. given to the need to upgrade the thrust and torque systems as opposed to shafts. but consideration should be chosen primarily by location of good rock.8. particular project. 200 to 400 km for abrasive rock. will facilitate mucking and material if TBM diameter is increased.4 2.

with the support (1) Shift records of contractor activities should be installed as the TBM moves forward. Reasonable specification requirements might (d) Record of all cutters changed. For example. must be able to cope. lattice girders. (2) Records of installed support should be maintained (e) Expectations for the contractor to supply a TBM in detail by the resident engineer. These can be incorpor- capable of a minimum PRev. amperage. (2) Level of detail in specifications. and mine straps. for only what is important and what he or she is prepared For shielded TBMs. it is very important that the resident staff gather information concerning the progress of con. and gripper pressure). and special start/end of alignment curves. a. etc. Shift reports should include the following ties. thrust pressure. and support installed. EM 1110-2-2901 30 May 97 current project. initial changing conditions on the operations of the contractor and ground support is usually installed after the round is shot vice versa. steel mesh. For TBM-driven tunnels. safety management. (e) Start and end station for each shift and for (b) Squeezing ground conditions with which the shield each stroke cycle. and blasting construction include the following: of the next round. they must be well coordinated and should be devised information: such that the process is cyclic and routine. Such information is paramount to understand and document any Initial ground support is usually installed concurrently with changing ground conditions and to evaluate the impact of the excavation. the heading should be mapped. The information important to monitoring TBM and mucked out and before drilling. g. shotcrete. groundwater (c) Adequate groundwater handling system capacity encountered. but primarily at the head. or the contractor conditions together with an assessment of rock mass qual- might be asked for information on time to install support if ity and should continue to compare mapped information stand-up time is expected to be critical to the mining with predictions made at the time of site investigation and operation. worker safety. tunnel station. The main pur- activities. The site geologist should tor to demonstrate that the mucking system capacity will be maintain maps of the tunnel walls and changing ground adequate to support no-delay mining. identified by station. relationship between excavation and initial support activi- ing. cutterhead rotation rate. onsite. the 5-13 . The key here is and TBM clock time elapsed for each stroke cycle of to specify only what is required by the designer for success mining. General struction and the encountered ground conditions. in mining and support. poses served by these support elements include stabilizing and preserving the tunnel after excavation and providing (b) Downtime including reasons for shutdown. an engineer could ask the contrac. (f) Information on ground conditions.). wear. Because of the close maintained throughout a contract. including TBM include the following: clock time and station for each replacement. update or anticipate any notable systematic changes. but may be underpowered for harder rock. and a back-up system sized ated in the tunnel geologic maps. bad bearing. Initial ground support may consist of steel ribs. A given TBM may perform acceptably in (c) Record of thrust and torque (motor-operating weaker rock. (a) Sequential time log of each shift including all rock dowels. excavation is carried out more or less continuously. operating procedures for gassy ground. Initial Ground Support During construction. disc position on the cutterhead and reason for replacement (such as disc (a) Expected short stand-up time where support instal. Record keeping and construction monitoring. For drill and blast excavations. loading. number of motors on line. (g) Information on survey/alignment control and (d) Special equipment. lation must be rapidly placed. (3) Maps of as-encountered geologic conditions (3) Contractor submittals. split disc. to provide no-delay mucking. all opportunities to view the rock at to review. The designer should ask should be made for all tunnels driven with open TBMs. 5-4. Performance specifications are preferable. As the quality of the rock increases.

EM 1110-2-2901 30 May 97 amount of required initial ground support decreases. Rock support such as concrete linings and steel sets may be installed. Initial ground reinforcement. An example of support to the rock mass. Figure 5-8. The design and construction of tunnel support fulfilling the initial and final support func. occa. b. Mechanically anchored rock boltCexpansion shell anchor 5-14 . The initial and the final ground support restrict the movements of the rock mass and offer external then comprise a composite support system. such as a cast-in-place concrete lining. nent applications. The subject is addressed herein only as it relates to to support a tunnel in weak rock behind a TBM. no other additional rock. These are referred to as ment because their long-term corrosion resistance is uncer- ground reinforcement. behave satisfactorily in the short term. After of the rock as opposed to supporting the full load of the installation of initial ground support. Initial ground rein- forcement consists of untensioned rock dowels and. rock reinforcement systems are discussed in EM 1110-1- tions is when precast concrete segmental linings are used 2907. Friction dowels are usually considered temporary reinforce- sionally. because their function is to help the tain. the initial support mass than to support it. Typical technical data on these types of rock bolts and rock mass support itself and mobilize the inherent strength dowels are given in Table 5-5. While these components may $ Mechanically anchored (rock bolts) (Figure 5-8). In other cases. tensioned rock bolts. One the construction of tunnels. $ Grouted bars (dowels) (Figures 5-9 and 5-10). phenomena such as corrosion and deformation must be considered for perma. $ Friction dowels (Figures 5-11 and 5-12). In this case. There are three types of rock issue that must be considered when contemplating the use bolts (Stillborg 1986): of initial support for final support is the longevity of the initial support components. It is much more economical to reinforce the rock support may be required. installed inside the rock mass and become part of the rock additional support. The reinforcement elements are will also fulfill the role of final support. mass.

however. be created by a direct-pull jack. It is common to have up to 10 or the hole through a tube in the center of the bar. and mixes the two components of the resin. This can be accomplished with a jack leg for hole using premade two-component cartridges. the drill jumbo used for drilling The time and method of mixing recommended by the man- the blast holes is frequently used to drill the rock bolt holes. Therefore. it should be bolts in tunnels are usually left untensioned after installa- cleaned out (usually with an air jet) and the bolt or dowel tion and become tensioned as the rock mass adjusts to the installed promptly. Split sets or a hydraulic jack (Figure 5-13) after the grout has are designed for a specific diameter hole. Grouted dowelCrebar (1) Installation. To install a rock bolt or dowel. For mechanically anchored rock bolts. Cement-grouted dowels can be Except for split sets. if the reached adequate strength. Cement grout tance. and tightened 5-15 . Rock closely controlled. Grouted bolts can be left untensioned variations in the rock. The final tension in the bolt should borehole must be drilled into the rock of a specific diame. Special rock dowel installation gear is often cartridges. 20 percent variation in the hole diameter because of move- ment and vibration of the drill steel during drilling and (2) Tensioning. to hasten the process for resin-grouted bolts. not by a torque wrench. In a blasted tunnel. Fast-set resin grout can be used hole is larger. ufacturer should be used. drilling of the hole for split sets must be takes longer to cure even if an accelerator is used. a with a torque wrench. the grout is placed in the being used. the bolt is preassembled. the bar is small installations or a drill jumbo when high productivity installed using a drill that turns the bar. For expansion anchors and grouted after installation or can be tensioned using a torque wrench and Swellex bolts. the diameter of the rock bolt hole installed the same way except that the grout is pumped into can vary somewhat. breaks open the is required. this is not a serious problem. changes in stress brought on by the process of excavation. slid into the hole. ter and length no matter what type of bolt or dowel is For resin-grouted rock dowels. used. After the hole is drilled. EM 1110-2-2901 30 May 97 Figure 5-9. it will not have the required frictional resis.

There are cases when pretensioning the following: the bolt is necessary. mine straps. Swellex bolts. bolts. $ Corrosion or foreign material on steel. in place steel mesh and mine straps. function. (4) Testing. (3) Hardware. Testing rock bolts is an important part of the construction process. and shotcrete are used to hold small pieces of rock in place between the rock $ Inadequate bond length of grout. 5-16 . End plates are generally square. such as to increase the normal force across a joint along which a wedge or block can slip. Possible reasons for faulty installations include not be pretensioned. or triangular shaped $ Inadequate placement of grout. They can also be embedded in shotcrete to provide an integral system of $ Inadequate cleaning of borehole. If the rock bolts are not $ Misalignment of rock bolt nut and bearing plate adequately installed. $ Incorrect selection of the rock bolt system.EM 1110-2-2901 30 May 97 Figure 5-10. End plates provide the reaction against the rock for tensioned bolts. Steel mesh. (Figure 5-14) held in place with nuts and washers on the ends of bars or by enlargement of the head of split sets and $ Incorrect length of borehole. they will not perform the intended assembly. Grouted dowelCDywidage ® Steel Split sets and Swellex bolts work this way since they can. Rock bolts usually have end plates $ Incorrect placement of borehole. rock reinforcement and surface protection (Figure 5-15). (Figure 5-16). round. End plates also are used to hold $ Incorrect diameter of borehole.

EM 1110-2-2901 30 May 97 Figure 5-11. displacement. The most common method of testing rock bolts or dowels is the pull-out test. If the test load or displacement is exceeded. the area are tested to see if the failure is an isolated prob- lem or indicative of a systematic problem related to all of $ No monitoring of rock bolt system performance. that rock bolt or dowel has failed and others in $ Inadequate test program. many units are tested at the 5-17 . Friction dowelCSplit Set ® $ Out-of-date grouting agents. A hydrau- $ Inadequate borehole sealing. and trouble-shoot problems. and manufac- $ Inappropriate grout mixture. Usually. turer representatives may be required to be onsite at the beginning of rock bolting operations to ensure conformance $ Damage to breather tube. lic jack is attached to the end of the rock bolt and is used to load the rock bolt to a predetermined tensile load and $ Inadequate lubrication of end hardware. Many of these problems can be avoided by adherence to manufacturer installation recommendations. their intended function. Rock bolts may be tested to failure or to a lesser value so that they can be left in place to perform $ Incorrect anchor installation procedure. the bolts or dowels.

this be applied immediately to freshly excavated rock surfaces requires costly special equipment and is only done and to complex shapes such as shaft and tunnel intersec- under unusual circumstances. and bifurcations and the include checking the tightness of a mechanically anchored ability to have the applied thickness and mix formulation rock bolt with a torque wrench. Shotcrete today plays a ally accepted in tunnel construction. and nondestructive testing by 5-18 . and personnel skills are adequately confirmed. For example. the better the instal- occur. and economy. A brittle end of tensioned rock bolts. and a more rigorous testing lation is. Shotcrete application. test the installation. Swellex bolts can be tested using nondestructive scheme is reinstated until confidence is restored. outer end and monitoring the stress wave return. Pull-out techniques by reattaching the installation pump to the end tests do not test the entire dowel. Friction dowelCSwellex ® beginning of tunneling. changes are made. However. To further because of its versatility. a dowel may be only partially grouted and still resist the pull-out force. the dowel can be overcored and Desirable characteristics of shotcrete include its ability to exhumed from the rock for direct inspection.EM 1110-2-2901 30 May 97 Figure 5-12. These uncertainties are gener. Other methods of testing tions. and credence is placed vital role in most tunnel and shaft construction in rock on tunnel performance and pull-out test results. transmitting stress waves down through the bolt from the methods. If problems stress wave reflection that is observed. installing load cells on the varied to suit variations in ground behavior. Only that length of the of the bolt and testing to see that the tube still holds the dowel that is required to resist the pull-out force is tested. enlargements. and once installation procedures. adaptability. crossovers. same amount of pressure as when it was installed. c. The less then a more moderate testing rate is adopted.

sion.9-3 Any Usual borehole 35-38 30-40 32-38 35-38 32-38 diameter. Can attain Only short lengths. install than resin diameter crucial. Figure 5-13.8 2 kg/m Bolt lengths. Grout has Takes longer to Expensive. resistance. kN 140 120 283 90 130 Ultimate load. High ble. blasting. Rapid and simple Rapid and simple diate support.6 1. Can loosen due to corrosion. In addition to steel fibers mixed with the cement and the aggregate. m Any Any Any 0. Can Competent and dura.5 16 10 steel. Special pump proper tensioning.e. Disadvantages Use only in hard rock. resistant to corro- ably. Chain link mesh or welded wire fabric has long served as the method to tunnels in North America by the USACE in 1972 in an adit reinforce shotcrete. conditions. Borehole Expensive. improving toughness and flexural strength. shotcrete used for ground support often requires reinforcement to give it strain capacity in tension Figure 5-14. Not resistant to required. Can be used in most used in most rocks.. ductility) and to give it toughness. steel. Not Difficult to install reli. Can be tensioned. installation. for variety of rocks. steel fibers Steel fiber reinforced shotcrete (SFRS) was first used in improve the fatigue and impact resistance of the shotcrete 5-19 . 14 15 9. Mesh washer end hardware (i. mm Advantages Inexpensive. Immedi. special equipment. Messy. MPa 700 570 1. % Weight of bolt steel 2 2. Imme. Good bolt loads. No ate support. limited shelf life. Immedi- be permanent. mm 16 20 20 39 26 Yield load. EM 1110-2-2901 30 May 97 Table 5-5 Typical Technical Data on Various Rock Bolt Systems Mechanically Resin-Grouted Bolts Cement-Grouted Friction Anchored Friction Anchored Item Anchored (Rebar) Bolts (Dywidag) (Split Set) (Swellex) Steel quality. Can be ate support. Tension resin dowel installation material by nature. Must check for Sensitive to tunnel bolts. High corrosion resistance.6 2. steel 180 180 339 110 130 kN Ultimate axial strain.080 Special Special Steel diameter. High corrosion installation. high bolt loads. but has now been largely supplanted by at Ririe Dam (Idaho) (Morgan 1991). Inexpensive. Rapid support. environment.

falls. initial ground support usually consists of dowels. and helps applied some distance behind the advancing face. The applica- in the design and application of shotcrete. In poor or squeezing uniform surfaces. adhesion. In blasted rock with irregular surfaces. tion of shotcrete is an essential ingredient in the construc- tion method of sequential excavation and support. the shotcrete supports blocks by a combi. shotcrete can be depending on the amount of accelerator applied. overbreaks. surfaces of rock types that are sensitive to changes of mois- and water tightness. 2 to 4 in. by adhering to the irregular surface. steel ribs or lattice girders in poor ground. additional ductility of the shotcrete is desirable. Dowels with end hardware embedded in shotcrete layer. where it (1) Range of applications. such as swelling or slaking rock. For TBM ponent. By helping prevent the initiation of rock applications include admixtures for a variety of purposes. EM 1110-2-2005 provides guidance ture content. which the potential for raveling failure. ground. mine straps. Only in a support the rock. Other relatively recent improvements to shotcrete and adhesion. some- shafts. Shotcrete also protects greatly reduces rebound and increases density. and moment resistance and sup- ports uniform and nonuniform radial loads by shell action 5-20 . On more (2) Reinforced shotcrete. mesh. This helps prevent block motion and fallout due to shear.EM 1110-2-2901 30 May 97 Figure 5-15. or steel ribs. strength. nation of shear. times. channels. shotcrete is used as an initial ground support com. thick where it sets in a matter of minutes or hours. few instances have TBMs been built with the possibility to shotcrete accumulates to greater thicknesses in the apply shotcrete a short distance behind the face. For most tunnels and is used in combination with rock bolts or dowels and. It is sprayed on freshly exposed rock in layers tunnels. shotcrete also prevents loosening of the rock mass and notable among which is the use of microsilica.

steel to the ductility of the shotcrete. and shotcrete so the rock will support tages. and. be required. It is laborious and costly to place. the tunnel face. and it must be confined properly around the perime- ASTM A 820 and steel fiber shotcrete according to ter. Lateral spacer rods (collar braces) are strips or pins. lattice girders. EM 1110-2-2901 30 May 97 Figure 5-16. it is important to make wooden supports in a tunnel is one of the oldest methods sure that no voids or laminations are occurring as the shot- in use. The lattice girders are (Figure 5-17) took the place of wood. The bottom up making certain that the rib has adequate footing steel fibers are generally 25. obtain good shotcrete quality around and behind wires. Steel ribs and lattice girders usually are because the fabric cannot be draped close to the rock sur. steel ribs fully embedded in the shotcrete. it is blocked into place with grout-inflated sacks 135 lb/yd3) without any other change to the mix. Different types of end hardware Until recently this ductility was generally achieved by of shotcrete. the use fibers increase the flexural and tensile strength but more of wood blocking is discouraged because it is deformable importantly greatly enhance the postfailure ductility of the and can deteriorate with time. with an aspect ratio. Figure 5-19 shows an application 5-21 . dations concerning the spacing of blocking points that should be followed closely (see Proctor and White 1946). and such as in faulted or weathered ground. During and after the rib to the shotcrete mix at a rate of 50-80 kg/m3 (85. The steel as lagging. is erected. steel supports may it often results in greater required shotcrete volumes. shotcrete. and dowels for a rapid transit welded wire fabric usually applied between the first and tunnel through a fault zone. filled in by shotcrete in addition to being embedded in steel lattice girders (Figure 5-18) are being used in con. length to width or usually placed between ribs to assist in the installation and thickness. mesh or straps. it is difficult to itself. d. it has several disadvan. wooden supports were used crete spray hits the steel elements. Steel ribs and lattice girders. The manufacturer of steel ribs provides recommen- ASTM C 1116. In later years. most recently. While wire fabric does add economical to reinforce the rock with rock bolts. However. Modern reinforced shot. installed in the tunnel in sections within one rib spacing of face on irregularly shot surfaces. between 50 and 70. It is usually faster and more the second coat of shotcrete. Steel ribs should be exclusively for tunnel support. Steel ribs and lattice girders are often not the junction with shotcrete. These steel fibers are added provide continuity between ribs. Installing steel and When shotcrete is used as lagging. if the anticipated rock loads are too great. In modern tunnel 38-mm-long deformed steel and lateral rigidity. The rib functions as an shotcrete. or shotcrete. Many years ago. The ribs are generally assembled from the crete is almost always steel fiber-reinforced shotcrete. Steel fibers are made and tested according to arch.

In different type of tunnel support. Steel rib examples. this case. it is necessary to have all the required pieces at the site and have adequately trained personnel ready when 5-22 .EM 1110-2-2901 30 May 97 Figure 5-17. conversion of a horseshoe-shaped flow tunnel to a circular shape in squeezing ground sole method of tunnel support but are only provided in the they are required in order to reduce delays in switching to a event that bad tunneling conditions are encountered.

followed by a cast-in-place concrete lining (two-pass lining). placing a one-pass segmental ments are bolted with gaskets for water tightness. Precast concrete segments used with TBM. but often not practical. f. the designer may not permit the length of time required to cast a lining has a number of choices to make. a water. Once a segmental lining has (1) For the completion of a long tunnel. If necessary. For most water tunnels. difficult. A tunnel. tion and mucking is likely to slow tunnel driving. Lattice girders e. provided that lining erection the groundwater table. Interference between 5-23 . such a lining is usually expensive to manufacture concrete lining. Trans- structed using shields or shielded TBMs with precast porting fresh concrete for a long distance can also be concrete segments. EM 1110-2-2901 30 May 97 Figure 5-18. watertight lining is not either a one-pass or two-pass lining. the schedule been determined to be feasible or desirable. Above lining is a practical solution. g. A gasketed and proofing membrane is placed before the cast-in-place con. the contrac- in place. Bolted or unbolted segments. tunnels. Below the groundwater table. forward using jacks pushing on the erected segmental Hence. Soft concrete transportation and placement and tunnel excava- ground tunnels in the United States are most often con. The option of casting lining concrete while tor may propose a different lining system of equal quality advancing the TBM is feasible. There are several required. bolted segmental lining must be fabricated with great preci- crete is placed. Hard rock tunnels driven with a TBM and to erect. and for many other may also be driven with some form of segmental lining. and bolting extends the time required for erection. The shield or TBM is usually moved sion. ings are often used. at least for a large-diameter that better fits his/her proposed methods of installation. expanded segmental lin. and an unbolted segmental lining is adequate. In this instance. does not significantly slow the advance of the TBM. In the end. the seg.or gas. Segment details. a fully gasketed and bolted. reasons for this choice. unbolted.

unless it is bolted to the previous segment.) to place the segment with the tolerances required. 5-24 . With a full shield tail. the prevent them from falling out until the last segment is in invert segment is placed on the shield surface at the bot. Such holding devices are not required for a bolted tom. the invert segment falls to and for most dowelled linings. details can be mixed liberally to place. holding devices are required to specific needs of this system. When the shield passes. and for practicality and economy of construc. axial. often required for precise positioning. and spiles selection of lining and joint details are shown on Fig. Lattice girders used as final support with steel-reinforced shotcrete. segments. Matching construction methods and equipment. ures 5-20 to 5-22. dowels. construc. Details are selected to meet functional The erector equipment must match the pick-up holes in the requirements. Relatively high speed motion is required to bring h. etc. be able to rotate the segment into its proper tion.EM 1110-2-2901 30 May 97 Figure 5-19. tangential. Unless each seg- tion methods and equipment must be designed to match the ment is stable as placed. the bottom. tilt. but inching speed is When a tunnel lining system has been selected. a segment to its approximate location. place. match given requirements and personal preferences. For the most part. and must have all of the motions (radial.

Types of joints in segmental concrete lining 5-25 . EM 1110-2-2901 30 May 97 Figure 5-20.

Simple expanded precast concrete lining used as initial ground support or as final ground support 5-26 .EM 1110-2-2901 30 May 97 Figure 5-21.

should be as simple as possible. and many details crete of 41. EM 1110-2-2901 30 May 97 (4) A watertight lining is difficult to obtain using segments without gaskets. (3) In the event that some segments are. density. 5-27 . (2) Water flow and velocity criteria often require a smooth lining to achieve a reasonably low Mannings num. including eccentricities resulting from mismatching adjacent rings. and moments in the lining are reduced by using unbolted joints. sealing strips or caulking are employed to retain grout filling. permitting seepage into the tunnel. erected with unacceptable offsets.000-psi) (28-day cylinder) strength or depend on the construction procedure.4 MPa (6. i. The choice also depends on the practicality and economy of grouting during construction. segments are usually stacked with strips of tim- ber as separation. During storage and transport. preferably using prefabri- cated wire mesh. (5) The lining segments must be designed to with- stand transport and construction loads. Precast con- considerations of cost and constructibility. but cannot sustain high groundwater pressures. In some lining systems. tightness. Reinforcement however. it may be necessary to perform formation grouting to reduce water flows. Alternatively. For a one-pass segmental lining. it is often not possible to obtain full expansion of all rings. Figure 5-22. (8) Once construction and long-term performance ber. In wet ground. more is routinely used for this purpose. This choice depends on the acceptability of water into or out from the tunnel during operations and the differential water pressure between the formation and the tunnel. a high-strength concrete with a high pozzolan replacement is usually desirable for (1) Selection of a segmental lining system is based on strength. Functional criteria for one-pass segmental linings. in fact. In rare instances. This may require limitations on the offset permitted requirements have been met. the hydraulic effect can be minimized by grinding down the protrusions or filling the shadows. Water pressures may be reduced by deliberately ring may be required. ground or water loads are usually of minor consequence. Functional criteria. and durability. With an expanded lining. Wedge block expanded concrete lining (7) Permanence of the finished structure requires consideration of long-term corrosion and abrasion effects. Tongue- and-groove joints are particularly susceptible to spalling. If depth may require a thicker lining or higher concrete this is not acceptable. and the edges of the groove may require reinforcement. fully gasketed and bolted linings may be used through the wet zones. (6) Joint details must be reinforced to resist chipping and spalling due to erection impact and the effect of uneven jacking on imprecisely placed segments. Invert segments must withstand uneven loads from muck trains and other loads. Lining rings used as reaction for shield propulsion must be able to withstand the distributed loads from the jacks. squeezing ground conditions at great and offsets between rings can be several centimeters. postulated or actual exterior between adjacent segment rings. an unexpanded dowelled or bolted strength. The design of invert segments must consider that the segments may not be perfectly bedded. must also be met.

EM 1110-2-2901
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5-5. Sequential Excavation and Support Chapter 9 for additional information about instrumentation
and monitoring):
Recognizing the inherent variability of geologic conditions,
several construction methods have been developed so that $ Convergence measurements, wall to wall and wall
methods of excavation and support can be varied to suit to crown.
encountered conditions. The most famous of these meth-
ods is the New Austrian Tunneling Method (NATM), $ Surveying techniques, floor heave, crown sag.
developed and commonly used in Central Europe. Much
older, and applied throughout the world, is the observa- $ Multiposition borehole extensometers.
tional method. Both of these methods are discussed in the
following sections. $ Strain gages or load cells in the shotcrete, at the
rock-shotcrete interface, or on dowels or steel sets,
a. NATM. or lattice girders.

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

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


EM 1110-2-2901
30 May 97

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

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


EM 1110-2-2901
30 May 97

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


EM 1110-2-2901
30 May 97

Figure 5-23. Ground support, Class A rock


$ No support at the portal when excellent geologic Tunnel reinforcement is usually more intense in the vicinity conditions prevail. $ Portal canopy only for rock fall protection. $ Rock reinforcement consisting of a combination of rock bolts. The types of portal treatments that may be consid. and weeps. steel mesh. Class B rock e. of the portal until the effects of the portal excavation are no longer felt. $ Rock reinforcement and a canopy for very poor ered include the following: conditions. shotcrete. 5-32 .EM 1110-2-2901 30 May 97 Figure 5-24. Ground support.

EM 1110-2-2901 30 May 97 Figure 5-25. ground conditions. with increasing groundwater pressure. Ground support. Class C rock 5-7. Shaft Construction weathered rock. beginning with overburden excavation. 5-33 . Shaft construction Most underground works include at least one deep excava. options are so numerous that it is not possible to cover all tion or shaft for temporary access or as part of the perma. The reader is referred to standard nent facility. of them in this manual. Shafts typically go through a variety of foundation engineering texts for shaft construction. and unweathered rock of various types.

size may depend on the type of equipment that must use the shaft. which is (3) Many options are available for initial ground usually of a size about two-thirds of the TBM diameter. rock. utilities. etc. A modified oil derrick.). dozers may require rippers to drop shaft. can be excavated using dry drilling able. etc. can drill holes up to some 75-m (250-ft) depth and 8-m considering the services required for the tunnel work (25-ft) diam. shaft must be able to accommodate the largest single com- ponent of the TBM. a ramp with a 10-percent grade is often cost-effective. If a TBM is used.) are sized for loosen the ground. mucking. Augers and bucket excavators mounted on a Deeper shafts servicing tunnel construction are most often kelly. soils and weathered rock. surge chamber. operated by a crane-mounted torque table attachment. the maneuverability of the excavation equipment. usually the main bearing. the also effective for this type of drilling.EM 1110-2-2901 30 May 97 Figure 5-26. The excavation size will pose limits to their ultimate purpose. If space is avail. Shallow shafts through overburden (2) Smaller shafts in good ground. (1) Large excavations are accomplished using con- ventional soil excavation methods such as backhoes and a. de-airing. In hard nent functions (personnel access. tion purposes. Shaft excavation and support through soil over- rock. including at least the following: 5-34 . and to the mining literature for deep shafts through burden. is between 5 and 10 m (16-33 ft). equipped with an (hoisting. dozers. If the shafts are used for construc. support. Sizes and shapes of shafts. Typical diameters are elevated substructure and a high-capacity torque table. methods. Shafts serving perma. circular in shape with a diameter as small as possible. supported by cranes for muck removal. where ground- are often large and rectangular in shape. ventilation or utilities. Ground support. water is not a problem. blasted tunnel temporary and permanent walls through soil and weathered b. The most common methods of shaft excavation and ground support are summarized in this section.

Portal excavation and support (H-3 tunnel. Oahu) 5-35 . EM 1110-2-2901 30 May 97 Figure 5-27.

the borehole and counterbalance the formation water pres- sure. such as ring beams slashing method of blasting. below. as briefly described in the previous subsection. lining is a cast-in-place concrete lining. equipment for mucking. This method permits shafts of 2-m (7-ft) diam to be constructed to depths of about 1. Shaft blasting tends to c. Then a tutes for diaphragm walls. (3) If underground access is available. in soils where ground. The bore acts as a large burn for circular shafts. Larger diameters can be achieved at shallower more expensive but used where they can have a depths. that the pendulum effect can assist in maintaining verti- cality of the borehole. Drilling mud is used to maintain stability of (33-50 ft) above the advancing face. often used in wet ground gear. The drill string is kept in tension. permitting blasting with great efficiency and low pow- or soil or rock anchors or tiebacks that provide more open der factors. and a drillhead is attached from expensive where they can be used. A circular shape is usually pre- alternative. Shallow shaft construction can (2. because the circular shape is most favorable for opening stability and lining design. back into the borehole. The drilling is (5) If the shaft is large enough to accommodate a done with a cutterhead. it is often floated in with a bottom closure and filled that is not too hard for driving the sheet piles. shaft excavation ters and weighted with large donut weights to provide a can be accomplished without explosives using crane service load on the cutterhead. permanent function or where ground settlements and dewatering must be controlled. and shape. and shaft lining placement. The string is turned under tension using a raise drill at the ground surface. provided that the ground is initially stable be serviced with cranes. size.200 psi). Other walls. grouted in place. cut. where they are removed. and the rock is not too hard. (4) Conventional shaft sinking using blasting tech- (5) In good ground above the groundwater table. reverse circu. has tions of the wedge cut are used rather than the burn cut been proven viable also in rock of strength up to 15 MPa typically used for tunnels. Typically. while cuttings drop into the shaft to the bot- walls usually do not require internal bracing or anchor tom. The typical arrange- arms permits installation of initial ground support. through a swivel. initial ground support installation. whether circular or rectangu. wales and struts for rectangular shafts. If the steel cas- ing is too heavy to be lowered with the available hoisting $ Steel sheet pile walls. furnished with carbide button cut. shafts or inclines. ferred.EM 1110-2-2901 30 May 97 $ Soldier piles and lagging. shorter rounds are pulled. be more difficult and more confined than tunnel blasting. so or headframe and stage equipment. Mud is circulated by injecting 5-36 .300 ft). placed 10 to 15 m lation drilling. This method requires stable support. provided circularity and continuity of the wall is ground. with external stiffeners. A pilot bore is $ Secant pile walls or soil-mixing walls as substi. but generally less drill string is lowered. A raised bore can be enlarged using the lar. The typical shaft (2) Deep shafts can be drilled using wet. roadheader. soil niques can be used to construct a shaft of virtually any nailing with shotcrete is often a viable ground support depth. usually require horizontal support. but deeper shaft construction without support. this reduces the den- water is not a problem or is controlled by sity of the drilling mud inside the string and forces mud dewatering. generally (3. Use of a bucket with extendable reamer requires more elaborate equipment. shafts can be drilled using the raise drilling method. partly with water. and the powder factor (1) Dry shaft drilling using a crane attachment or a is greater than for a tunnel in the same material. and the shaft is created by (4) Circular shafts made with diaphragm or secant pile backreaming. which ment includes a headframe at the top suspending a two. This type of shaft construction usually requires the installation of a steel lining or casing $ Precast concrete segmental shaft lining. space to work conveniently within the shaft. From there the mud is reconditioned and led $ Ring beams and lagging or liner plate. blasting.or would consist of shotcrete and dowels as the shaft is three-story stage with working platforms for drilling and deepened. and drill cuttings up the string. compressed air inside the drill string.000 m $ Diaphragm walls cast in slurry trenches. and into a mud pond. Shaft excavation through rock. drilled down to the existing underground opening. as well as to remove drill cuttings. Raise boring can also be used for nonvertical well controlled. Varia- derrick.

Poorly cemented first series of grouted holes display little or no grout take. When foundation for the temporary headframe used for construc. Nonetheless.700 ft).5 to 2 m (6-7 ft) and that both grouting and freezing rely on (7) Inclines of slopes up to about 25 deg can be bored accurate placement of the holes. Shallow groundwater can also often be controlled by limited by aperture of the fractures relative to the cement dewatering. It also serves as a for the installation of freeze pipes or for grouting. grouting or freezing can be tried. they are often the only solutions to a serious 5-8. If the estimated inflow is the bottom up. because it is very costly to work down den and weathered rock near the surface and construction the shaft. and in Association Française significant groundwater inflow. then grout 5-37 . the shaft is very deep. particle sizes. Inclines at any angle can be excavated freezing and grouting have been successfully carried out to using blasting methods. (1991). however. sometimes necessary. 80-90 percent) is the best that can be hoped forCand grouting may leave $ Grouting. granular often left to a specialist contractor to perform and imple- materials. This is usually done from the ground surface before shaft struction of a shaft collar structure that supports overbur. the sloping hole. probeholes drilled ahead of the advancing shaft. ing and grouting. ground improvement is called for. indicated. core samples will give an indication of ground stabil. Additional instability. Ground improvement for shaft sinking. General advice and design recommen- (1) Ground improvement must be considered when dations for grouting are found. If it becomes necessary to grout (3) Deep groundwater usually cannot be controlled by from the bottom of the shaft. It is not possible to obtain a perfect grout jobCa $ Dewatering. At the same grout job can be verified by judicious sequencing of drill- time. As a rule. sinking commences. high-precision drilling is required to tion as well as for permanent installations at the top of the reduce the deviation of boreholes to acceptable magnitudes. shaft perimeter. ground improvements are often advisable and and it takes some time to establish a reliable freeze wall. Considering that borehole spacings are of the order of 1. in EM 1110-2- shaft sinking involves unstable ground associated with 3506. with the help of climbing gear depths greater than 500 m (1. until results are satisfactory. thus is potentially more reliable. ment. Shaft grouting typically starts with close to the center of all shafts. into the top of usually with cement. substantial reduction of permeability (say. EM 1110-2-2901 30 May 97 (6) Most shaft construction requires the initial con. If secondary grout holes drilled after the ity as affected by groundwater inflow. While chemical grouting is often used in loose ciently shallow. foreseen. Borehole permeability the drilling of two or three rows of grout holes around the (packer) tests can be used to estimate the potential ground. for example. however. The detailed grouting design for deep shafts is groundwater is often found in potentially unstable. for example. At a shallow depth. Grout penetration into fractures is rock. It is also readily such as the Alimak climber. Both methods require the drilling of boreholes loads adjacent to the top of the shaft. Grouting Technology. the best solution is to extend the shaft sediments and overburden materials.5 to 2. it is readily appreciated using a TBM specially equipped to maintain its position in that even a deviation of 1 m can be critical.0 m (5-7 ft) apart. The effectiveness of the excessive. using packers. three while grouting can be performed more quickly. generally speaking. by dewatering. shaft. a. granular sediments and shatter zones are signs of potential this is a sign of the effectiveness of grouting. frequently just above the top of rock. consisting of a nominally tight wall. some areas ungrouted. Options for Ground Improvement potential problem. a freeze job can more readily be verified and is more likely to create a $ Freezing. Grout water inflow during construction that could occur if the injection is performed in the required zones usually from groundwater were not controlled. There are. spaced 1. (a) Grouting. On the other hand. If suffi. grout holes can be drilled and grouted as required. Profes- types of ground improvement that can be feasibly sionals in the shaft sinking business generally consider employed for underground works in rock formations: freezing to be substantially more reliable and effective than grouting. grouting in rock is collar. it is also usually tight enough that groundwater (2) An exploratory borehole should be drilled at or flow is not a problem. When difficult tunnel or shaft construction conditions are (4) Freezing is often more expensive than grouting. appreciated that both grouting and freezing are very costly. if the rock formation is too tight to grout. continuous frozen structure.

achieve the necessary reduction in ground temperature. Saline groundwater is more difficult to freeze because of its lower freezing tem. or packer time. It is important to perform the grouting before a of a freezing gallery encircling the shaft. if possible. The freezing process is placement of the final lining. The tubes can be insulated through ground that is not intended to be frozen. brine distribution pipes are often laid in a application can be designed based on the results of one or covered trench or gallery around the shaft. The strength of frozen reaches the region with the adverse condition. notably weak. to avoid delaying tunneling operations. permeability reduction is achieved. Generally. The primary purpose of applying grout is to reduce strength and thickness and thermal analyses to estimate the the ground’s permeability. the finished 5-38 . Rock tunnels withdraw caloric energy from the ground and freeze the generally do not require ground improvement as frequently water in the ground. energy consumption. Here. The brine is circulated from the as shafts. If it is found that water borehole is usually provided at the center of the shaft so inflow into the excavated tunnel is too large for convenient that displaced water can escape. it will supply new caloric energy unknown. Such probeholes can be simple formation water movement should be estimated ahead of percussion holes with a record of water inflow. sign of the final shaft lining. It is preferable to grout from the ground performance specification and leave the rest to the contrac. The velocity of tion and characteristics. Since freezing involves expansion of the formation water. based on available head and gradient data. a relief (4) Postexcavation grouting. Examples of ground improvements using grout refrigeration plant in tubes placed in holes drilled through applications are briefly described in the following. Quality control is the frozen ground. achieve the required results. the ground to be frozen. including the time required to drilling from the bottom of a deep shaft. At the tests can be performed in these probeholes. because grouting of cannot proceed during the implementation of an fissures with rapidly flowing water is very difficult. (2) Application during construction. with high water pressure. the ground can be grouted The designer of the underground work should prepare a ahead of time. it is often neces. If the formation water is not stagnant but moves adverse conditions are expected but their location is at an appreciable rate. On rare occasions it becomes It is sometimes necessary to perform radial grouting after necessary to implement a freezing installation from the the completion of the tunnel lining. radial grouting can be per- controlled by installing temperature gages at appropriate formed to reduce the inflow. Where perature.EM 1110-2-2901 30 May 97 holes are drilled in a fan pattern covering the stratum to be bottom of the shaft. plished using liquid nitrogen as coolant rather than brine. When underground freeze job. Strengthening of the ground is required energy consumption and the time required to sometimes a side benefit. (b) Freezing. the grout is first locations between freeze pipes. (3) Application after probehole drilling. Shaft excavation condition has arisen with large inflows. such as uncon- requires specialist knowledge and experience that is only solidated or poorly consolidated ground or a wide shatter available from firms that specialize in this type of work. This usually requires the construction grouted. out of the way from shaft construction activities. The detailed design of Such grout applications are particularly helpful if the water a freeze job includes the complete layout of plant and all is contaminated with pollutants or if the groundwater is freeze pipes so as to achieve a freeze wall of adequate hot. probehole drilling will help determine their loca- and delay the completion of the freeze job. suffer a substantial strength loss upon thaw. is very costly. achieved by drilling probeholes and testing the reduction of grained rocks. surface. where water flow ing of the temperature of return brine and the overall velocities are likely to be smaller than at closer distances. The grout ground surface. Ground improvement for tunneling. When grouting ber of references on ground freezing. The (1) Preconstruction application. Where it is known detailed design and execution of a freezing program that the tunnel will traverse weak ground. Quicker high-pressure water from entering the shaft through the implementation of a freezing application can be accom- drillholes. permeability. Grouting is continued until a satisfactory ing. with appropriate safety factors. The English-language literature does not offer a great num. as well as through monitor. keeping them more probeholes. Brine is usually used as the agent to b. The effects of thawing must be considered in the de. injected some distance from the tunnel. it can be car- Proceedings of the Third International Symposium on ried out from the face of the tunnel before the tunnel Ground Freezing (USACE 1982). An arrange- ground is dependent on the character and water content of ment of grout holes are drilled in fan shape some 20 to the ground and increases with decreasing temperature of 40 m (60-130 ft) ahead of the face. Some rock types. fine. sary to drill through packers or stuffing boxes to prevent Down-the-shaft freezing. One source is the cannot be applied from the ground surface. zone. therefore. tor and his specialist subcontractor.

provides additional information on the control and disposal of groundwater. It is an excellent oped through the lining. Section 3-5 provides concrete is set. (5) Freezing in tunnels. design procedure for drains will not be attempted here. Drainage and Control of Groundwater aged so long as objectionable materials do not intrude within the concrete design line. invert. Care of groundwater during construction. its depth. b. Freezing is sometimes a (4) When encountered. water should be channeled to suitable alternative to grouting for temporary ground minimize its effect on the remaining work. a brief description will be included to indicate (2) Water occurring in a tunnel during construction what is involved in providing drainage for the various must be disposed of because it is a nuisance to workers types of tunnels. The drainage system required contract may require that certain procedures be followed. Prior to construction. The densation and leakage through the tunnel joints. A detailed following discussion is for guidance. General. d. pressure behind the lining or to remove water due to con- hole ahead of the working face should be required. Others may require drainage to limit the endanger the safety of the tunnel. Freezing is particularly this. if it is expected that water-bearing joints will groundwater conditions. (7) Section 5-14. It also makes the rock (a) Pressure tunnels. In some cases. Thus. in a tunnel will depend on the type of tunnel. a. however. Permanent drainage systems. Assessment of water control requirements. (1) Care of groundwater generally is the responsibility of the contractor. the face that are pumped with grout to fill fractures and form a tunnel barrier against high inflows. Drainage for pressure tunnels more susceptible to fallout by reducing the natural cohesion may be required if normal outlets through gates or power of fine-grained constituents. This consists of a series of drainage system required will depend upon the type of holes angled forward and outward around the perimeter of tunnel and site groundwater conditions.b. and may make the placement of linings difficult or cause early weakening of the linings. estimates of the expected sources of ground. The drains are then located at the low point of the tunnel (3) The excavation sequence should be such that drain. c. but the lining must be additional advantage of revealing rock conditions more designed to resist the grout pressures. and For example. the specifications for a tunnel (1) Drainage system. The design of a permanent drainage system and the control systems required for groundwater (5) If groundwater inflow is extremely heavy and begins during the geotechnical exploration phases with an drainage cannot be accomplished effectively. effective action and should be encour- 5-9. (6) For permanent protection from the flow of water water and the expected inflow rates and volumes must be along the outside of the concrete lining. The drill hole has an drainage tunnel. 5-39 . and are provided with a shutoff valve. Ingenuity on the part of workers and supervisors can produce quick. EM 1110-2-2901 30 May 97 lining helps to confine the grout. clearly than defined by the initial investigation. excavation. The type of permanent each tunnel advance is made. however. To accomplish strengthening and inflow control. no better method identified in order for the contractor to provide adequate exists than filling with grout any void that remains after the facility for handling inflow volumes. Drainage may be provided by practice to carry a drill hole three tunnel diameters in drilling holes from the downstream portal or by a separate advance of the working face. Some tunnels may not require be present that contain sufficient head and volume to special drainage. it is age of the sections to be excavated is accomplished before desirable to provide drainage around a pressure tunnel. units do not accomplish complete unwatering of the tunnel. a pilot drift near the invert in a wet This may be done to limit the external head on the lining environment is more effective than a top heading although or to limit pressures in a slope in the event leakage devel- enlargement to full size is more difficult. the drilling of a probe. yet too impervious for setting mortar around a tube leading to a channel in the effective grout penetration. the surface of a fissure may be packed with quick- effective if the ground is weak. guidance in identifying potential sources of groundwater and for making inflow volume estimates. it will be assessment of the potential sources and volumes of water necessary to install a Agrout umbrella@ from the face before expected during construction.

Either the concrete and steel linings a drain tunnel. for the grout curtain and sufficient impervious material is crack control and bending stresses. reinforced or unrein- construction is covered in paragraph 28 and Plate 5 of forced. ring. along the tunnel is lower than the outlet end. behind the steel liner is good practice and should be done tions should be taken to prevent freezing of the drains. Pressure tunnel linings are the tunnel. Drain tunnels usually have drain 5-10.i). When the initial ground support components described in (e) Waterstop. Drainage for outlet tunnels may be ous core also should extend into the rock approximately one required to completely unwater the tunnel if some point tunnel diameter. a. EM 1110-2-2102 covers the types and use occasion. EM 1110-2-3506. To prevent uncontrolled water seepage the previous sections do not fulfill the long-term functional into a concrete-lined tunnel. the final lining will be (2) Grouting. precau. Grouting to prevent water from percolating $ Concrete reinforced with one layer of steel. depending on the location of the outlet end. lowing types: (a) Outlet works tunnels. installed along the entire length of tunnel. the location near the upstream edge of the impervi- 5-40 . grouting through radial holes drilled into the rock at intervals around the tunnel periph. Permanent holes that extend from the tunnel through the strata to be Tunnel Linings drained. Cast-in-place concrete lining. act together to resist the entire internal pressure or concrete and steel linings and the surrounding rock act together to (c) Vehicular tunnels.. a final lining is installed. an initial ground support consisting of precast of waterstops. More typically. As a minimum. If the impervious core of the embankment extends upstream from $ Concrete reinforced with two layers of steel. protection against freezing need not be the internal pressure. the type most commonly used is the from the reservoir along the tunnel bore and for consolida. Concrete linings can be of the fol- surface with grout. cast-in-place lining. the outlet tunnel also serves as designed in two ways. Contact and ring grouting for will usually consist of weep holes to limit the pressure pressure tunnels is done the same as for outlet tunnels behind the lining and an interior drain system to collect except one additional ring should be grouted at the water from condensation and leakage through the joints in upstream end of the steel liner. shafts. the crown $ Unreinforced concrete. is relatively watertight. On waterstopped. Interior drainage can be either located in the the rock around the lining of a pressure tunnel and the center of the tunnel between vehicular wheel tracks or filling of all voids is a necessity if the rock is to take part along the curbs. (c) Shafts. Consolidation grouting of the lining. Grouting in connection with tunnel constructed of cast-in-place concrete. drains can be provided that lead directly into (b) Pressure tunnels. If whether or not the rock is assumed to resist a portion of the tunnel is long. If the tunnel is located in areas where of the radial load. interlocked with the embankment grout curtain. along the tunnel bore should consist of a minimum of one largely for crack control. Recommendations are made below Guidelines for the selection of a final lining is presented in regarding special grouting treatment typically required to Section 9-1. depending on the climate and depth at which the tunnel is located. The following subsections describe cast-in- prevent drainage problems in various types of tunnels or place concrete lining and steel lining construction. or a steel lining surrounded by concrete or grout. Ring grouting (i. To limit the external head. Shafts are normally grouted the same as tunnels except that grouting is done completely around the (d) Drain and access tunnels. This lining provides a hydraulically tion grouting along pressure tunnels. When a concrete ery) is used to reduce the possibility of water percolating lining is required. the construction joints are requirements for the tunnel. available between the tunnel and the base of the embank- ment. tunnels may require a sump and pump. Consolidation grouting of the rock freezing temperatures occur during part of the year. of outlet works tunnels should be contact grouted for their entire length.e. Drainage for vehicular tunnels resist the internal pressure. Construction of Final.EM 1110-2-2901 30 May 97 (b) Outlet tunnels. In this manner. segments will also serve as the final lining (see Sec- tion 5-4. and is usu- refers to the filling of voids between concrete and rock ally cost competitive. Contact grouting smooth inside surface. Drainage from these shaft in all cases.

Other con- concrete placement. the entire cross section is placed at one the pipe within the advancing fresh concrete. advancement of the concrete is monitored through inspec- followed by placement of the crown concrete. The invert-first placement method is not ment of a full form length every day.) in size. Again. The segments are hinged through a drop pipe. last. these will then guide the tion of the lining. through which concrete is placed When schedule or other constraints require that concrete be using portable pumping equipment.3 MPa (1. or both. With the precast-invert segment must be placed through ports. If the concrete reerection. Depending on the vibrators along with provisions to use internal vibrators distance. Depending on tunnel size The slick line is gradually withdrawn. tight. addi- through the inspection ports if necessary. or the invert is placed depth of pipe burial varies between 1 and 3 m (3-10 ft). special injection ports method of placement is the full-circle concreting operation. When the final lining is horseshoe-shaped. are built into the form. the segment is made wide enough to permit all stripped within 12 hr of placement so as to permit place- traffic operations. removal through the tunnel segment being concreted. After comple- foundations are placed first. then Depending on the diameter of the tunnel. Here. the pumping may continue through the tunnel rubber tires. advantageous when a waterproofing membrane is used. the fresh concrete. steel forms are used exclusively for tunnels of all sizes. the one port always at the crown. The concrete is brought 1. placed in the crown from the 5-41 . using special form carriers that ride on rails or is pumped. waterproofing membrane.5 to (5) Concrete conveyance.200 psi) is during placement of the crown. Concrete forms are usually method. Minimum time. agitator cars. upper 270 deg of a circular tunnel are placed first to permit and for reinforced linings. (1) Placement sequence. booster pumps may be used. On (2) Formwork. Sometimes precast segments are placed in the invert depending on size of tunnel and thickness of lining. veyance methods in the tunnel include conveyors. EM 1110-2-2901 30 May 97 $ Unreinforced or reinforced concrete over full open end of the form up to the previously placed concrete. Bar- ring construction logistics constraints. Depending on the tunnel size. and invert drains tunnels with ribs as initial ground support. the most efficient (b) With the injection method. 150 to for long distances. furnished with curbs to guide the seepage into the tunnel may damage fresh concrete before placement of sidewall forms. it is inadvisable to let the fresh construction traffic to flow uninterrupted and concurrently concrete fall from the crown to the invert. Placement is accomplished point of placement. The forms often come in widths of 1. or the invert is placed first. such drain facilities should be grouted placement of the invert and the side walls. these joints can be designed for sealing or caulking. This method is sometimes sufficient. and concrete is remixed to eliminate separation. to maintain the proper consistency of method and the multiport injection method. concrete with lining placement. If possible. the and collapsible to permit stripping. Remixing may be required. it is possible to add a retarder to 200 mm (6-8 in. or nonagitated cars. transporting. the invert takes time to cure and is subject to damage Usually a strength of about 8. formation grouting may be required. When conveying concrete (a) The slick line is a concrete placement pipe. Concrete is pumped into the form space until a sloping face of the fresh concrete is created in the form space. Telescoping tional shafts are placed along the tunnel to reduce the forms permit leapfrogging of forms for virtually continuous distance of concrete conveyance in the tunnel. with provisions to add curve filler pieces to from the surface to the tunnel level either by pumping or accommodate alignment radii. L-shaped wall may be used to control water temporarily.8 m (5-6 ft). to remove water before placing concrete. Concrete must have now frequently used for circular tunnels. placement placed simultaneously with tunnel excavation and muck occurs in the direction from the previously placed concrete. the invert is (4) Groundwater control during concreting. High-water flows may require damming or pumping. This tion ports and vibrated using form vibrators and internal method will leave joints between the invert segments. piping. trammed by locomotives to the (3) Concrete placement. Sometimes. For large-diameter tunnels. but vibrators. It is also possible at this location to add an accelerator if necessary. especially in it sets. in part because achieved enough strength at this time to be self-supporting. depending using either of two methods: the conventional slick line on the system used. keeping the end of and other factors. The to protect a sensitive rock from the effects of tunnel traffic. If conveyed through a drop pipe. intersections. Water usually placed first. one to five injec- either the precast-invert segment method or the arch-first tion ports may be located at any given cross section. Side wall flow guides. with method is appropriate. The forms are usually equipped with external all the way to the point of placement. Except for special shapes at turns and occasion.

that groundwater leaks excessively into the finished tunnel. Individual pipes and joints are voids when using the slick line method. $ Waterstop placement not feasible. In most respects. tunnels with irregular overbreak. Some construction aspects of steel- utilization of formwork. D/t. such as at changes in shape stiffeners should be internally supported during transport of opening. available from usually used to limit the feathering out of the concrete at HQUSACE. Either type will result in a structurally acceptable and amount of overbreak. Fabrication and assembly of a steel forced lining is constructed. The advantage of the sloping joint is that only a low bulkhead is required. Disadvan. longitudinal joints resulting from the the highway to the site and into the tunnel for placement two-pour methods are not desirable. installation. leaving field welding to a minimum. lining is usually designed for an exterior water pressure and is furnished with external stiffeners for high external The sloping joint is often more convenient when an unrein. a low bulkhead is tion for Tunnel and Shaft Grouting. depending on tunnel size used.EM 1110-2-2901 30 May 97 maintain fluidity. Water. particularly as they affect the preparation of contract vantages include the additional time required for bulkhead documents. Pipes without external times used at special locations. deserve special attention. Voids are often the result of imperfect concrete placement 5-42 . com. reaction. The advantages of the vertical lining generally follow the same standards and practices as joint are accessibility of the joints for proper preparation. This is done through radial groutholes through the lining. using appropriate support and handling. and the probability of forming (1) Constructibility. e. provisions for maintaining reinforcing steel continuity across the joint. Transverse joints are located groutholes that have been either preplaced or drilled between pours. Hence. using (6) Construction joints.. fabric slings. Either a sloping joint or a vertical joint can be 120 to 180 deg of circumference. Voids are virtually unavoidable in blasted prior to placement. In the event result in voids when using a slick line method. (2) Handling and support. Some of the disad. Grouting is usually made to cover the upper contractor. When a tunnel lining has to The minimum thickness of the steel shell is usually taken withstand appreciable loads. in the evaluation of the maximum size of the individual stops are not used for construction joints in unreinforced pieces. significant voids cannot be tolerated. (7) Contact grouting. Water stops and expansion joints are of doubtful value in reinforced concrete linings but are some. Steel lining. treatment.g. penstocks described in American Society of Civil Engi- formation of the shortest possible length of joint. it is as tmin = (D + 20)/400. often 30 m (100 ft) apart or up to nearly through the finished lining. the steel lining is $ Formation of much longer construction joint. and tunnel must be considered face treatment to achieve desired watertightness. this method is least likely to (8) Supplementary grouting and repair. The vertical joint is most often lined tunnels. the and joining. then supplemented with an accelerator in the crown. tages of the sloping joint include the following: formation grouting can be used to tighten the ground. however. When a sloping joint is used. usually made as large as can be practically transported on tive of watertightness. intersections. Each arch-first method poses the greatest difficulty in joint sur. providing uniformity of loading and ground coated pipes must be protected from damage to coating. concrete linings. used with reinforced concrete linings. Externally rock mass. than 120. similar to open-air penstocks. and full neers (ASCE) (1993). or more essential that the lining acts uniformly with the surrounding simply tmin = D/350 (in inches or millimeters). In particular. From the perspec. A steel lining is required when leak- age through a cracked concrete lining can result in hydro- $ Underutilization of total length of the form. the invert. The internal bracing can be timber or steel stulling (see ASCE 1993) or spiders with adjustable rods. depending on the form length used by the that remain. adits. fracturing of the surrounding rock mass or deleterious leakage or water loss. except that the tunnel steel pared with the vertical joint. motion through shafts. and transitions to steel-lined and installation if their diameter/thickness ratio. so as to fill any crown voids 60 m (200 ft). pressure conditions. with dimensions in inches. It is therefore standard practice to perform contact grouting in the crown. is less tunnels. USACE has a guide specifica- joint. Leak- $ Difficulty in proper preparation of joints before the ing joints can also be repaired by grouting or epoxy next pour. b. external or internal.

Usually a relatively low their operation and are therefore obliged to follow the law strength (14 MPa. Specifically. Ventilation of Tunnels and Shafts tance similar to surface penstocks (see ASCE 1993). plugs and cap with a welded stainless steel plate. however. 2. and forced ventilation is essential to the prepared for concrete placement. be centrally aligned in the excavated tunnel and prevented sound the steel for apparent voids and mark the from distortion and motion during concrete placement. Welding procedures. The pipe must (a) After curing of the concrete (days or weeks). (7) Skin grouting. stag. including wood block. Shaft and tunnel construction generally occurs in closed. In special cases. ventilation shaft options.) holes at the flotation and internal stulling. with tiedowns to hold the pipe in place against (b) Drill 12. ting is to be performed. where heating or cooling of air may be required. The grout owner/engineer can ascertain that the contractor does. usually of concrete. USACE's EM 385-1-1. This may require the pipe to be placed on cradles. required if a conservative value of the void thickness has been assumed in design. tory.7 MPa (100 psi). applies to under- ing. Steel or concrete blocking lower and the upper part of the voids. Adequate clearances Health Requirements Manual. as enforced by OSHA. Slop. are similar to those of surface penstocks. It is often impractical to access the exterior of the pipe for welding (d) After grout has set. 5-11. welds. (not timber) is often used to resist flotation. (5) Concrete placement. The grout is a sand-cement $ An unusually long tunnel without intermediate 18-mm (0. $ Particularly extreme environmental conditions. Grout holes are drilled through the predrilled holes in following: the steel plate. If skin grou. voids on the steel surface. The purpose of skin grouting is to $ Certain potentially hazardous conditions. for ventilation specification requirements include the ers. The concrete is usually have regulations that are more stringent than Federal regu- placed using the slick line method. All welds should be tested using nondestructive testing methods using standards of accep. plugs are spaced longitudinally every 3 m (10 ft). the Occupational Health must provide a firm contact between steel and ground. it is usually according to the 0. located at the top and down 15 and 60 deg on each submittals from the contractor on ventilation items. Circumstances that may call gered. including hydration. because such specific requirements might be seen as overriding applic- (6) Contact grouting. may choose to incorporate specific ventilation require- which is termed contact grouting. such as fill the thin void that may exist between concrete and steel noxious or explosive gas occurrences. The tunnel must be properly dead-end spaces.75-in. all and Safety Act (OSHA) 10 CFR 1926 applies to construc- loose rock and deleterious materials. and up to about 600 mm (2 ft) into the surrounding rock. the side to cover the upper 180 deg of installation.5. supplementary to the applicable regulations. Grouting applications include able laws. ture can be achieved without skin grouting. Contract documents do not usually ing cold joints are usually permissible. lowing procedure: 5-43 . skin grouting is not inflow. and a safe and economical struc. In thin void between steel lining and concrete. including testing of upper hole as a vent. must be removed and groundwater inflow controlled as ground construction.000 psi. The concrete mix lations (see the California Tunnel Safety Orders). such as very hot or very cold climatic conditions. subsequent cooling will result in the creation of temporary installations such as ventilation facilities and a thin void around the pipe. tion work. Theoretically. hot water after the concrete cures. contain specific requirements for ventilation. Subpart S. EM 1110-2-2901 30 May 97 (3) Support during concrete placement. Because the concrete safety of the works. Contact grout. the concrete. such cases. plug holes with threaded and testing. and skin grouting of the ments. By requesting pipe. Some states must be provided around the pipe. the purpose is to make sure that the contractor ing is often carried out through grout plugs provided in the is aware of the specific circumstances. (c) Grout with a flowable nonshrink grout. at 28 days) is adequate. Contrac- should be selected to minimize the buildup of heat due to tors are responsible for the safety of the work. CFR 1926. applied at pressures up to 0. the tunnel designer the filling of all voids between concrete backfill and rock. Safety and discussed in the previous subsection. or between stiffeners if the pipe has external stiffen.800. indeed. also applies. follow regulations. though less satisfac. An external backup ring. may be required. using the (4) Jointing.

Signals would be monitored at the venti- covers and valves. required. tively sweeps the working places. for to working areas. consider the ambient and in situ temperatures. flexible ducting. lated airflow volume at a calculated pressure. ventilation of ancillary spaces. the ventilation system installed. ularly important. resulting. the required pressure may be too high for effec- tive fan operation at one location (air leakage from vent $ Supply of adequate quality air for workers. $ Dilution or removal of construction-generated auxiliary fan installations are often required for dust con- fumes from equipment and blasting or of gases trol. or other special services. With long ground ventilation serves at least the following purposes: vent lines. and silencers are usually owner. removal of gases or fumes. Excessive dust is generated from maximum number of personnel in the underground. $ To provide ventilation for personnel during inspec. These may the following purposes: include stoppings and brattices to isolate areas with differ- ent ventilation requirements or where no ventilation is $ To bleed off air at high points of the alignment. Fans are designed to deliver a calcu- a. and fan operation sta- tion of empty tunnels. made of flame retardant $ Smoke exhaust in the event of underground fire. local air cooling. usually at the ground surface. required to permit ventilation control for exhaust of smoke in case of fire. The principal monitors are often installed at the working area components of a ventilation system are briefly listed below: underground. $ Heating of airCsometimes required to prevent creation of ice from seepage water or from satu. Rigid-wall fan lines made of steel rated exhaust air.. mostly for exhaust. in these cases. and booster fans along the line are used. fans can be installed a suffi- nent system. designers of an underground ventilation system must booster fans. and meth. In the working areas. This requires reliable fan start control of all main and Thus. silencers are partic- should be designed almost as a part of the perma. or spot coolers can be applied $ To purge air entrained in the water. Under. carbon monoxide. Components of ventilation system. In hot environments. lation control center. types roadheader or TBM operation and is usually exhausted and number of equipment working underground. (3) Scrubbers. cooling can be applied to the entire ventilation system. Purposes of underground ventilation. retain an internal overpressure in order not to collapse. humidity. Secondary b. ods of equipment cooling employed. tus. $ For odor control and dilution of sulfide fumes in a (5) Monitors and controls. 5-44 . cient distance away from the tunnel or shaft portals to reduce noise levels. These include air pressure sewer tunnel. Fans can be very noisy. ducting or fiberglass are sometimes used.EM 1110-2-2901 30 May 97 $ Circumstances where the ventilation system is left (1) Fans. material. potential for adverse conditions (gases). entering the tunnel. alternatively. rather than a temporary installation. Heaters can be required to prevent ice example. Usually in-line axial or centrifugal fans are in place for use by a subsequent contractor or the used. When auxiliary fan systems are used. from aeration in a drop shaft. temperature. is more commonly used. mounted on the These ventilation requirements often result in the use of TBM) are often supplemented with hand-held detectors or separate permanent ventilation shafts with appropriate sampling bottles. In the permanent structure. oxygen. radon. and others). and air flow monitors within the ducting or outside.g. through scrubbers or dust collectors. lines also increase with increased differential pressure). In a sensitive neighborhood. Reversibility of fans is high ambient temperature. Stationary gas detectors located at strategic points in the ventilation system and at the face (e. projected water inflow. from forming at exhausts. (2) Fan lines. moni- toring of gases (methane. ventilation provisions may be required for at least (4) Ancillary ventilation structures. however. Flexible ducting must dust control. minimize recirculation and provide ventilation that effec- high temperature of in situ rock or groundwater. such systems shall $ Cooling of airCheat sources include equipment. where all ventilation controls would be operated.

it is better to modernize the surface and subsurface horizontal and vertical control net. survey engineers should be involved from the be used. photogrammetry and to verify existing mapping. and significant reduction in the impact of survey operations on (4) Topographic maps exist for virtually all of the tunnel advance rates. (30 fpm) is usually required. and methods. local datums that must be correlated and plays a major role in the overall engineering and construc. using existing or new $ Select basic coordinate system and horizontal and monuments and benchmarks. as defined in Hartman. they may be sufficient a. and Wang $ Procure existing map base and air photos as (1982). see SME Mining Engineering Handbook (1992) and ASHRAE Handbook (1989). and diesel equipment must be $ Provide tie-in with existing relevant coordinate provided with scrubbers and approved for underground and datum systems. where greater accuracy is effective existing-conditions data. Mobile diesel-powered equipment used under- ground in atmospheres other than gassy operations shall be $ Verify or renew existing monumentation and approved by MSHA (30 CFR Part 32). the standard reference for Technological advances in survey engineering have had a surveying is the North American Datum 1983 (NAD'83) great influence on the design and construction of tunnels for horizontal datum. To benefit from these it is necessary to indicate exactly which projection should advances. as part of the controls for vertical datums. Many localities employ. or shall be demon. optimized alignments. of tunnel and shaft construction. inception of planning through design and final construction. but 0. mapping to detailed urban utility surveys. Ventilation should achieve a working mapping activities. 5-45 . the mapping base for the existing facilities can be needs of the project. however. to develop a site-specific mapping system. operation. When specifying surveying or mapping work. Among the many important tasks to be performed obtained from recent air photos or photos flown for the at an early stage are the following: purpose. For additional design criteria of planning. Design criteria. for initial planning efforts. Surveying and mapping tasks during planning. system and remathematize the existing facilities as works properly tied to other systems and structures. some of them in digital form. Where the new structures are to be tied into existing facili- priate coordinate systems tailored to meet the specific ties. United States. The results of these surveys would provide more cost. precise necessary. Depending on the age and scale of such mapping. tion of underground structures. Surveying for Tunnels and Shafts (2) In the United States.83 m3/min (100 cfm) per brake horsepower of mapping system. EM 1110-2-2901 30 May 97 c. using either utility mapping through the actual alignment and guidance a Mercator or Lambert projection. Datum of 1988 (NAVD'88). strated to meet MSHA requirements. installed diesel equipment is required. environment of less than 27 EC (80 EF) effective tempera- ture. using photogrammetric techniques. the use of appro. Mutmansky. Air velocity should not exceed 3 m/s (600 fpm) $ Supplement mapping as required for the purpose to minimize airborne dust. an air supply of at $ Select or develop project-specific coordinate and least 2. however. $ Prepare a Geographic Information System (GIS) base for future compilation of site data.15 m/s required. and the North American Vertical and shafts. More often than not. State and local mapping technical and geographical data with topographical and systems are generally based on these systems. Gasoline-operated equipment is not permitted. From initial planning and integration of geo. Topographic and cultural data can be efforts. either because of inaccu- (1) During the planning stage. ranging from topographic required. the framework is con. supplementary data are required. more accurate extended. 5-12. reconciled.7 m3/min (200 cfm) is required for each $ Develop specifications for required surveying and worker underground. survey engineering now or have employed. layout and alignment of shaft and tunnel structures.5 m/s (100 fpm) is desirable. benchmarks. Triangulation and traverses can be performed. Typically. racies in the available data or because of changes in land structed for all future project surveying and mapping use or topography. Often. An additional air supply of 5. A minimum air velocity in the tunnel of 0. (3) It is often appropriate.

construction. verified or established for the project. In urban areas. including control of line and grade and usually the center or invert of the tunnel for a layout of all facilities and structures. highly accurate horizontal and vertical control surveys are required to tie down the (5) Benchmarks and monuments sometimes are components of the new facilities. because line-of. is able to handle required.000 m (300-3. using priate. mapping of major utilities $ Drawings showing existing conditions as appro- that may affect the project must also be procured. including required qualifica- tions of surveyors. Construction surveying and control. a GIS. preconstruction surveys should be conducted (3) The contract documents must contain all reference to establish a baseline for future effects. greater accuracy is required mapped. ance requirements.S. tion. Underground works for transporta- pleted to form the basis for securing the right-of-way. by their nature. the contractor takes on profiles and topography from the mapping efforts. or utility owners' mapping and other information as available. Property surveys must be com. networks. Air Force. This mapping should be suffi. construction benchmarks and monuments may also be stated. This includes generally at least the following: c. safe depth using special construction or tied back to stable When used in a differential mode in establishing control points at regular intervals. affected by settlements or groundwater lowering during construction. Also. overlain on (1) Except in rare instances. interferences. (6) Accurate topographic mapping is required to sup- port surface geology mapping and the layout and projection $ Specifications stating the accuracy requirements of exploratory borings. $ Mathematized line and grade drawings.EM 1110-2-2901 30 May 97 (5) Typically. The owner or construction manager may 5-46 . preanalysis of the surveying methodol- all of these types of information and to produce local maps ogy should be required to demonstrate that suffi- and cross sections as required. (2) If not already available. including all affected utilities. ciently detailed to show natural and man-made constraints to the project.000 ft) wide are required along all be used as primary controls. low cost over long distances. reasonably detailed mapping in corridors $ Drawings showing monuments and benchmarks to 100 to 1. whether existing or performed for and the required quality control and quality assur- the project. Such surveys material necessary to conduct surveying control during should be supplemented by photographs. all responsibilities for all surveying conducted for the con- Designers will use a Aworking line@ as a reference. These should be contemplated alignments. Minimum requirements to the types and general stability of b. Surveying and mapping tasks during design. require greater accuracy than most water conveyance tunnels. GPS gives relative positioning accuracies as good as two ppm. Where great accuracy is (7) A computerized database. The GPS is a satellite-based Such benchmarks and monuments should be secured to a positioning system administered by the U. buildings. in rural environments. struction work. This permits the water tunnel. At this time it may also be appropriate to secure property maps. (1) Mapping and profiling begun during planning must be completed during this phase. contractor to call on the surveyor's services exactly when portation tunnels. as well as all buildings and other man-made fea. $ Interfaces with other parts of the project. in urban areas with a great density of cultural features than tures along the alignment. All parts of the cross section needed and to schedule and control their work to avoid along the tunnel are referenced to the working line. (6) Where existing structures and facilities may be sight is not required between points. GPS is also flexible. all utilities must be (4) Generally speaking. The Global Positioning located where they may be affected by the work or on System (GPS) is helpful in providing precise references at swelling or soft ground where their stability is in doubt. as required. other facilities. cient accuracy can be obtained. but some other defined line for trans.

survey work can be obtained using electronic levels and When placing the final. This subsection explores common types of accidents in rock tunnels and (7) For a blasted tunnel. the frequency of accidents and the fatal- (6) More modern shaft transfers are often done using ity rates for underground construction have approached an optical plummet. These are sometimes made permanent marks. nel. a baseline to refraction from temperature variations along the tunnel is typically established outside the portal and subsequently wall. and the blast layout is or to minimize their likelihood of occurrence. For tunnels on a curve. during the operating life must be set accurately to ascertain parallelism of boreholes of tunnels. placed. and plummet. (8) Modern TBMs are often equipped with semiauto- mated or fully automated guidance instrumentation (e. they must usually be reset every 250 m used as a basis for tunnel surveying. or DYWIDAG systems) that offers good benchmarks and monuments as required for the work and advance rates with great precision. The poten- marked with paint marks on the face. a gross mistake) quickly can lead to a very costly misalignment. Vertical and horizontal shaft transfers those of other types of construction. better understanding of causes of accidents and how to Hobson sphere. including total station. are accurate to prevent them. Safety Requirements ter. In today's world. The owner or con. This accuracy is rarely required as a standard for tunneling (10) Considering that TBMs provided with conveyor but is useful for verification surveys. Taylor. Gotthardt in Switzerland tunnels. attention paid to the quality of the (5) Shaft transfers have often been made using a survey work and the tools used for surveying is well plumb bob dampened by immersion in a bucket of water. Such survey holes can also be used well deserved. Thus. moving from wall to wall. ment of a laser line from a laser mounted on the tunnel wall. mechanization of underground works. lasers must often usually controlled by carrying a traverse through the tun. Many years ago. Rapid. (2) The contractor's surveyor will establish temporary ZED.. and how to prevent them with its center. worse. It is also clear that a small surveying error (or method of distance measurement in tunnels. tion of 3 arc seconds. the baseline thus transferred is short and therefore not accurate. High-precision gyrotheodolites can these monuments are also employed for setting the con- now provide astronomical azimuths with a standard devia. Construction Hazards and create a baseline for tunneling. Indeed. As a result. The drill jumbo tial for failures in the long term. high-precision gent points. struction manager will also conduct verification surveys at regular intervals. EM 1110-2-2901 30 May 97 perform such work as is necessary to tie the work into blastholes. is dealt with in a later section. be reset at shorter intervals. fatality rates during construction of along the alignment for verification or correction in long classical tunnels such as the St. An automated drill jumbo can be set up using adjacent existing or new construction. a backsight or foresight can be Underground construction has traditionally been considered established by drilling a survey hole over the tail tunnel or a hazardous endeavor. independent of refraction problems. with the vertical distance measured by a suspended tape. and the Hoosac in Massachusetts were extraordinarily high. along the alignment and the proper angle of angled 5-47 . This method will help compensate for surveying errors that can arise from lateral (9) Construction survey monuments are usually refraction problems resulting from temperature differences placed at a spacing of several hundred meters and at tan- in the air along the tunnel walls. Leica. based on laser light. it is evident that contractors must (4) Electromagnetic distance measuring instruments employ the best and fastest tools for advancing the survey can provide accurate distance determinations between controls along with the TBM in order not to slow down the instrument and target very quickly and is the preferred advance. cast-in-place lining (if required). the tunnel face is marked cavern construction. Laser beams disperse with distance and are subject (3) When a tunnel is driven from a portal. Line and grade is (800 ft) or less. Two points at the shaft bottom must be established to 5-13. In such cases. partly because of a using modern equipment. and partly because of a greater degree of depths of at least 250 m (800 ft). precise level. In a shaft of small diame. this image was the tunnel alignment. their causes.g. crete forms precisely. mucking systems sometimes advance at rates over 120 m/day (400 ft/day). total-station equipment. They require establish- is expected to verify the stability of these benchmarks. laser light without marking the tunnel face.

More than one has tunnels can (and should) be measured and monitored con- been killed in this way. Rock falls result from inadequate and machinery to be buried. shutdown is appropriate. During final lining installation. causing personnel (1) Rock falls. These types of the strata. $ Hydrogen sulfide (toxic) may derive from strata (4) Flooding or inrush of water. failure result either from encountering adverse conditions that were not expected and therefore not prepared for or $ Carbon dioxide (asphyxiant. access to a body of water. delayed wedge fallouts in the crown or the sidewalls in soft rock. When not caused by rock fall or face collapse or some other tunneling in certain geothermally active terrains. The geological culprit is usually a groundwater. In instances strata or the groundwater but is more often the where the water does not naturally flow out of the tunnel. result of fire. under a rock fall. but by some failure of scalding hot water can be a hazard. Stress-induced failure additional ventilation air. San Fernando Water Tunnel in Sylmar. occurs when in a massive or interlocking rock mass the installation of gas-proof tunnel lining (used for the Los stress induced around the underground opening exceeds the Angeles Metro). or violent rock bursts in hard (5) Other harmful gases. and on occasion such intercepted an artesian well. A Port Huron. Large inflows of water equipment or human fallibility. It is also pumping capacity is available. they Rocks can fall from the crown or the sidewalls of tunnels often cost a number of casualties. Accumulates in rock. $ Carbon monoxide (toxic) can also derive from the or the breakage of a sewer or water line. (4) Gas explosions. use of explosion-proof machinery. provided that adequate also in connection with hydrocarbons. 5-48 . While recog- blast greatly reduces the exposure of personnel. Such events range in severity from boreholes. Remedial actions include (2) Stress-induced failure. Michigan. large quantities of material. California. or soft and weathered material. as evi. it can result from acidic water react- zone of weakness. Flammable and explosive gases in geology or to install instrumentation. A shielded TBM should not thought to have derived from a fault zone just ahead of the induce a sense of false security.EM 1110-2-2901 30 May 97 a. a high terminal velocity of the falling rock. The source of the water can present in sewer tunnels. notably in volcanic terrains but water is mostly an inconvenience. people. fault zone debris. often exacerbated by depressions. Other harmful gases may and brittle rock. excessive amounts of gas were also occur behind a TBM. When flooding brings with it failures can be devastating and cause multiple fatalities. More recently.g.. where a lation of rock bolts or shotcrete over the muck pile after a major methane gas explosion cost 17 lives. Thus. Examples include the or from the face of a tunnel. When gas explosions occur. adequate pumping to many lay people's intuition. Contrary e. a fault zone with fractured and shattered ing with carbonate rocks. include asphyxiants as well as toxic gases (see Sec- tion 3-7): (3) Face or crown collapse. a gas attention must be paid to prevention of rock loosening explosion in a tunnel in Milwaukee cost the lives of three around a shaft. water inflow in large quantity or at high pressure. Even a very small rock face. or predrainage of gas through advance strength of the rock. Geologists and engineers sometimes ven. The use of robots for instal. or Typical accidents are discussed below. and many have tinuously. $ Nitrogen (asphyxiant) may derive from pockets in denced by case histories (see Box 5-1). be the interception of a pervious zone or a cavern with a substantial reservoir behind it. automatic alarms or equipment been injured. support of blocks of rock that have the potential for falling or from insufficient scaling of loose blocks after a blast. In some cases. most tunnel accidents are capacity must be provided for safe evacuation. inflow of geologically affected incident. several hundred feet of tunnel can be filled with debris or mud in a short time. This is relatively rare but can be very hazardous and costly when it occurs. Gas risks can be explored by probeholes ahead of the tunnel. The geological occurrence of methane gas is dis- ture out in front of the last installed ground support to map cussed in Section 3-7. Rock falls nized as a gassy tunnel. Hazards related to geologic uncertainty. Nonetheless. geologically have also occurred when tunnel construction accidentally affected failures or accidents occur. Flooding or inrush of and groundwater. to popping or spalling. when tunneling from a shaft. sewer tunnel was driven falling down a shaft becomes hazardous because of the through Antrim Shale. particular methane explosion claimed 21 lives. cohesionless sand or silt. toxic above 10 per- from use of construction methods that were not suited for cent) may derive from strata or dissolved in the adverse condition.

. Some gases. discover gas traps. Based on the geologic environment and ground openings. of knowledge of conditions or things unforeseeable. Eighty meters of tunnel were buried in mud. faulting and Compressed-air tunneling has been known to drive folding. (b) During explorations. such as carbon monoxide and carbon dioxide. Tools are available to discover signs of hazards: airphoto and field mapping of geological features (faults. a second collapse occurred about 60 m behind the face. then methane. For ance. (6) Hazard reduction. sampling of gases in boreholes (radon. These two collapses did not result in casualties. Two weeks later. through layered volcanics: basalt.). Bottom side drifts were completed first. or mining. evaluate the risks. In this event. Large cone-shaped depressions appeared at the ground surface. a collapse occurred some 25 m behind the face. The tunnel was eventually completed using an exploratory crown drift that acted as a drain. $ Oxygen depletion can occur in soils and rocks due (a) Search for clues of geologic conditions that could to oxidation of organic matter. 823 m long. evidence of recent oxygen-depleted air into building basements. or gas. The tunnel was driven conventionally from the windward side.9 m high. After advancing about 100 m full face into the weath- ered material on the leeward side. construction difficulties of any kind. landslides. ous conditions. as expressed in the following. lack duits. explorations for or production of oil that are harmful to the body.. etc. a third. and ground support and equipment were destroyed.4 m wide and 7. If hazards are known with some cer- These findings form the basis for methods of hazard avoid. searched for in the cultural recordsCrecords of tunneling phic rocks. Case History: Wilson Tunnel Collapse This highway tunnel on the Island of Oahu was driven with dimensions 10. explo- into shafts or wells filled with carbon dioxide. volcanics. uncertainty of behavior. Ribs and lagging were used for ground support. oil. deep weathering. and the ground support was inadequate after a short period of exposure. with five fatalities. Workers have been asphyxiated going the initial search for clues of hazardous conditions. and concrete foundations and walls placed to carry the arches constructed in crown drifts. clinker. tions. Full-face excavation was not suited for this material. unusual hydrologic regimes. Traps able to collect gases confirmation of conditions and pinpointing hazardous loca- should be avoided. asphyxiation can result. then. or gas). etc. find anomalies of be said. thermal action. using full-face blasting as well as excavating tools. It may to extrapolate faults.e. while the first collapse was not yet cleaned up. During reexcavation about 35 days after the first collapse. ignored. i. especially those that contain uranium. disastrous collapse occurred. tainty. etc. If a certain hazard exposure of slides. look for evidence of hazard- are heavier than air and therefore seek low points in under. Other clues should be $ Radon gas occurs mostly in igneous and metamor. Other gases rations can be focused in the most probable directions for (methane) are lighter than air. hydrocarbons (coal. hydrology). ashes. Driving through the relatively unweathered volcanics was uneventful. hot springs. if air is driven out be hazardous. Clues may be obtained from the general of the soil into the tunnel. analysis of geologic structure and hydrology provisions could be made to eliminate the hazard. a particular underground project were foreseeable. These exposures also occur when (c) Establish plausible hazard exposure scenarios and danger signs are not noted. Deep weathering was present on the leeward side of the range but not on the windward side. that geologic accidents or exposure to geo. they can be dealt with directly and in advance. i. it appears that the contractor failed to modify his construction procedures as the ground characteristics changed drastically.e. EM 1110-2-2901 30 May 97 Box 5-1. or misinterpreted. hazards of lower probability. changes in Radon changes into radioactive radon daughters hydrology. prepare contingency plans 5-49 . hydrostatic pressure to locate hydrologic barriers or con- logic hazards are the result of things unforeseen. followed by multiple drifting. geologic environmentCcaverns in limestones.

Perform routine observations and moni. elevated equipment in tunnel or cavern). the wrong way hit by casing protruding down toring of the face conditions as well as the already exposed from the tunnel crown). sudden failure of metal and a projectile-like ping and bursting rock may include shaping the opening release of metal (do not stand in the line of bolts more favorably relative to stresses and installing (yielding) or dowels tested). special training is charges in muck pile. monitor water inflow. or dust generated from 5-50 . are required for all work. and material). loco operator facing seems to go right. and interpret rock as exposed during $ Material falling from height (down the shaft. even if everything muck train or other vehicle. etc. map. from construction.). faults due to moisture entering electric plan should be developed during exploration and design equipment). increasing ground support close to the face. fumes from burning dents are at least in part under human control or caused by plastic. unexploded training. Hazards under human control. measure concentrations of gases such as equipment or vehicles. reinforcement. or water-bearing rock. explosives fumes. temperature. as detailed as circumstances demand. many if not most tunnel acci. support methods (prereinforcement. shutting $ Overstress of rock bolt or dowel or failure of down equipment depending on methane concentration. Complacence and optimism $ Rock falls due to failure to recognize need for do not pay. Mitigation of pop. or from stacks or piles of methane and radon. causing increasing ventilation to dilute gases. electric insulation. $ Interference with special tunneling equipment (person crushed by concrete lining segment erec- (e) Remedial measures could include predrainage of tor or rock bolter. could occur due to stray currents or radio activity. limited space for movement. The examples described below burning of timber can result in loss of ground are derived from the writer’s personal knowledge and support. (d) Provide for discovering hazards during construc- tion: observe. including ice formed from seepage other relevant parameters. rock surfaces. premature initiation. which required for underground workers. exacerbated by often cramped condi- of water. Do not walk under unsupported rock unless absolutely sure of its stability. face to intercept and locate faults and pockets of water or gas. human action (or inaction). poisonous or asphyxiating gases). The ment. other moving piece of equipmentCsometimes due eabilization. modification of face advance methods (shorter to equipment malfunction. rock bolts and wire fabric. $ Fire and explosion other than from natural gas (1) As already noted. (electric fault as initiator. slipping on slick means for dealing with expected (and unexpected) inflows surfaces. mangled in conveyor belt. and anchorage during testing or installation. spiling or forepoling. as well as safety $ Blasting accidents (flying rock. b. $ Person falling from height (down shaft or from $ Atmospheric pollution due to equipment exhaust. generation of carbon monoxide and other experience and are not hypothetical examples. tions. partial-face instead of full-face advance). and poor lighting). and other materials. $ Moving-vehicle accidents (inspector run down by (f) Maintain rigorous vigilance. more often due to rounds. drill probeholes ahead of the water. grouting for strengthening and imperm. electrocution (electrician fail- should be embodied in a written plan for hazard control ing to secure circuits before working on equip- and reduction.EM 1110-2-2901 30 May 97 such that the hazards will be recognized in time during $ Person falling on the level (stumbling over equip- construction and remedial action can be taken. Safety plans and procedures. if using electric detonation). a rock fall can happen any time. Provide ment or debris left on floor. and incorporated as a part of construction contract docu- ments. Knowledge of and preparedness for hazardous conditions $ Electric accidents. ground human error).

Prevention of accidents in tunnels and other underground works requires education and training of all personnel and (4) Contractors are obliged to follow all applicable rigorous and disciplined enforcement of safety rules and Federal. the tunnel environment. they are usually made to apply. hazards. ered to enforce its safety regulations on USACE projects. Ammunition and Explosives Safety Standards. tion or TBM operation. trading. Alcohol. and local laws and regulations and are gen- regulations during construction.9 . American $ Poor lighting and limited visibility in the tunnel Congress of Government Industrial Hygienists' (ACGIH) are other contributing factors. manufacturing. dry or wet shotcrete applica. example of regulations exceeding OSHA in strictness is the State of California Tunnel Safety Orders. or from blasting (ear plugs required). administered by the Bureau of measures: adherence to ventilation requirements. it is appropriate in the contract documents to reference the most c. thus people move slower Part 57 among other things defines and lists and have a harder time getting out of the way of vehicles permissible underground. contaminants. Envi- sonnel in the detailed mechanics of tunneling make ronmental Protection Agency (EPA) regulations apply to personnel inattentive to hazards and put them in handling and disposal of hazardous materials and the wrong place at the wrong time. sometimes due to inadequate stringent than OSHA. it unauthorized action on part of worker. strictly speaking. by cars or conveyor. $ Tunnels often provide very limited space for work $ MSHA . $ Carelessness and inattention to safety requirements (3) While. Commerce in Explosives. EM 1110-2-2901 30 May 97 $ explosion. Numerous other regulations govern dards and measures. $ For DOD work. An inspection and maintenance. U. Certain grouts have been known to release fumes during curing. important for ventilation of the underground. 29CFR1926.Mine Safety and Health Act. Nonetheless. important laws and regulations. and DOD (2) It is apparent that most of these types of accident 4145.STD. and other Parts (regulate transportation of explosives). various aspects of underground safety: 5-51 . ventila- tor. it is for several reasons: rary and permanent electrical installations. Remedial $ 27CFR Part 55. Threshold Limit Values for Chemical Substances and Phys- ical Agents in the Workroom Environment (1973) is $ Often inadequate instruction and training of per. $ Heat exhaustion due to high temperature and humidity (preventable by adherence to regulations $ Department of Transportation 49CFR Part 173 regarding thermal exposure). Where local regulations exist and are more $ Equipment failure. state. erally responsible for safety on the job.26 M. most of them are typical construction accidents. DOD 6055. It is also proper to require of the contractor certain standards and measures appropriate (1) Safety of underground works other than mines is to the conditions and hazards of the project and for the regulated by OSHACthe Occupational Safety and Health USACE's resident engineering staff to enforce these stan- Act.S. 30CFR and for people to move. If they happen more commonly in $ The National Electric Code applies to all tempo- the underground environment. muck transport $ The Internal Revenue Service 26CFR Part 181. the USACE is empow- on the part of workers or supervisory personnel. Safety regulations and safety plans. and storage as well as safekeeping of explosives). DOD Contractors Safety Manual for or risk exposure could happen in many locations outside Ammunition and Explosives apply. Tobacco and Firearms (both regulate face masks. equipment movement. $ Excessive noise from drilling equipment. In fact. (2) Among other documents that apply. is the practice to permit OSHA inspection and enforcement privileges.

Safety engineers are authorized to stop tion and organization of safety program. safety takes precedence. the 5-52 . broken down to detailed subcom. no lost (8) Depending on the number of people in the con- time due to accidents. command the fullest attention of management personnel on requirements for posting information. and regulations apply to underground all types of emergencies. heavy equipment. separate program for underground (9) Construction safety is serious business and must workers. severe it is common to require the preparation of a Safety Analy. etc. and will heighten of fuel underground. eration and timely action. Components of toring of gases and dust in the tunnel. authoriza. The report also identifies all hazards. noise. which convert these than using a standard or generic plan. the contractor is required to pre. storage might not be covered by a standard plan. flame cut. protective equipment. concrete forms. and requirements to establish trained items and other items as appropriate: rescue teams. $ Timely correction of hazards. $ Policy for Substance Abuse. subject to review and approval by the resident engineer. hazards communication. personal $ Planning to avoid hazards.EM 1110-2-2901 30 May 97 (5) For complicated or particularly hazardous projects. weather. required weekly toolbox safety meetings. The National Environmental Policy Act. engineer's staff. will alert the con. With proper coop- enforcement. safety inspection of exposed ground. ting. steel erection. property damage. motor vehicles. $ Policy Statement: Elimination of accidents. fire prevention and $ Dedication to the protection of the public and the protection. cranes and hoisting. sanitation. scaffolds. moni- the level of attention to safety provisions. all sides. illumination. small tools. Likewise. entry. Data Sheets (MSDSs) and lists of hazardous chem- icals present. work platforms. (6) For all projects. tractor's work force and the number of shifts worked. blasting safety. $ Security Provisions. An effective safety program relies on the following: $ General Safety and Health Procedures: House- keeping. who are fully dedicated safety officers. $ Indoctrination and Training: Required training program for all. access and egress control including emer- tractor and the resident engineer to particular hazards that gency egress. spill. one or more safety officers may also be required on the resident $ Responsibilities: Chains of command. Reporting. gases to oxygen. submittal of Material Safety $ Dedicated safety staff. rules. pare a full Safety Plan. bomb threat. lighting and ventila- a typical Safety Plan may include the following types of tion in the tunnel. $ Incident Investigation. $ Industrial Hygiene: Respiratory protection. sis Report. material handling and storage. ladders. etc. use of CO specific Safety Analysis Report and Safety Plan. $ Active participation of all persons on the job. who will employ this plan for (7) Additional provisions applicable to underground enforcement purposes. such that ing. welding. hazardous materials. Environmental Considerations and Effects $ Emergency Procedures: Detailed procedures for Many laws. rather and CO2 breathers (self-rescuers). dealing with wall and floor openings. electrical equipment. requires work stoppage for correction. fire. works include safety of hoisting. administra. The act of preparing a project. 5-14. lock-out or tag-out procedures. the contractor may be required to employ one or two persons $ References: Applicable laws and regulations. medical. the work if a hazardous condition is discovered that tions required before commencing work. communications underground. chemical construction. Record Keep- ponents. preventive and mitigating procedures can be developed and emergency measures prepared. confined space worker. such work stoppages usually do not occur. in which all construction procedures are ana- lyzed by the contractor. $ Detection of potential hazards.

The water management system areas. usually do not result in measurable ground settle. discharge through oil-sorbent material in combination with burden. capacity to reduce suspended solids to acceptable levels ments. If unacceptable effects instability and collapse of tunnel face (or shaft bottom) are found. affect- during construction involve little incremental cost or sched. The acceptable 5-53 . (NPDES) permit program that is part of the Clean Water Act. $ Resource Conservation and Recovery Act (RCRA). excessive infiltration of ground- water into tunnels and shafts during or after construction is a. methods of shaft sinking should be adopted that do struction work typically includes preparation of an Environ. Satisfying the requirements imposed by these laws and (1) Groundwater levels should be maintained during regulations including associated permits are the focus of construction. etc. shaft through over. the Rivers and Harbors Act. entrainment of Accommodating environmental and permit requirements pollutants from underground tanks or other sources. Compen.). to avoid a number of risks other documents and are not addressed in this manual. ing surface water systems. sation and Liability Act (CERCLA). effect of dewatering). including unexpected ground settlement. This can be accom- (3) When damaging settlements are deemed possible plished through an oil-water separator or passing the for a rock shaft or tunnel project (e. if practicable. settlements of build- ings. discharge to onsite settling ponds or tanks of sufficient lized. Gross ance with performance restrictions. Regulatory $ Monitoring of construction performance (meas- programs that apply to construction include the following: urements of ground motions. (2) In many cases. Lowering the groundwater table during construction and operations. when properly stabi. Concern for the natural a result of elastic or inelastic relaxation of the ground environment. EM 1110-2-2901 30 May 97 Clean Water Act. centrations in discharged water are Ano visible sheen@ and documenting existing conditions. Design and construction sion prior to installation of the lining. should be taken: (4) Widely accepted standards for hydrocarbon con- $ Preconstruction surveys with photos or video. Early precon. constraints embodied in the EIS must be adhered to during design and construction. $ Provisions to pay for damage. On the other hand. and water quality concerns ule disruption if the requirements are effectively addressed associated with disposal. access. the Endan. b. including existing vegetation.g. the following provisions a settling basin or pond. unacceptable because wells owned and operated by private persons or public agencies may be seriously affected by (1) Ground movements and settlements occur either as lowering of the groundwater. can require tight control of water infiltration both groundwater lowering. ground movement control is a before discharging tunnel seepage into a storm water sys- major issue for tunnels and excavations in soil in urban tem or surface stream. no more than 15 parts per million (ppm). historic and cultural resources are the major requirements that apply primarily to preconstruction phases. groundwater level. times to be borne by the contractor). Monitoring of the can result in compaction or consolidation of loose or soft surface hydrology as well as observation wells is often overburden. contractual provisions should be devised that will encourage the contractor to conduct his $ National Pollutant Discharge Elimination System work with a minimum of ground motions. also known as the Super Fund Act. $ Contract requirements to limit or eliminate effects gered Species Act. (3) Effective management of tunnel seepage includes (2) Tunnels and shafts in rock. and various regulations pertaining to that can cause settlements. and contract documents. also cause ground surface depressions. not require aggressive pumping to create a cone of depres- mental Impact Statement (EIS). If shafts are required for tunnel in planning. should also have a means of detecting and removing petro- leum hydrocarbons prior to discharge. Removal of fines by seepage water or via required to ascertain effects of tunneling and show compli- dewatering wells can also result in settlements. springs. remedial action may be required. Effects of settlements and ground movements. Groundwater control and disposal.. including SARA Title III (4) In general. design. especially if below the groundwater table. if any (cost some- $ Comprehensive Environmental Response. and when excavation relieves in situ pressures or as a result of creeks.

(2) In rural areas. sharp-edged pieces of rock. desirable configurations or shapes. The potential for these to 5-54 . it may have to be transported to out after being implemented. In the mined during the design and included in the contract docu- extreme. conduct grouting and shotcrete activities so as to prevent highly alkaline water from leaving the site. provide advice on possible contamination sources. soils to determine the types and concentrations of contami. who is obliged to follow applicable regulations. and c. unsuitable for concrete aggre- ground fuel tanks have been in use for many years. Over. NPDES. leachate from landfills. tunnel. in advance of construction. Maximum abandoned industrial facilities. environment is usually disposed of by the contractor. test water and regulations can involve special management techniques. Sewer pipes and tunnels (5) Conflicts with agency staff and landowners will be must usually meet water tightness requirements laid down minimized if contractors clean up leaks and spills in the by local authorities. have emergency equipment and materials on hand to effec- tively manage water that may become contaminated by a (1) Disposal of material removed from tunnels and construction emergency. aligning the tunnel to avoid such areas may be the ments. a nominally should be incorporated in the contract requirements so that watertight lining must usually be provided to minimize compliance costs will be reflected in bids. TBM muck. or sediment can restrict management and dis- may be encountered during tunneling. Preconstruction posal options.0. and state rules and include services to contain contamination. Here. taminated by some action or facility owned by others could contamination could be removed before tunneling. has high levels of radioactive isotopes. tunnel muck in the urban discharge. Standards or policies established during the design ing other unacceptable chemicals. gasoline and fuel oil.0 and 9. This would (5) RCRA. a water supply tunnel will traverse a although some states or localities may have narrower region of brackish groundwater or brine or water contain- limits. with a firm that will provide emergency response. Avoidance also limits the are typically high and can be an inducement for contractors potential long-term liability that is associated with handling to carefully handle fuels and oils. is useful as road fill. tunnel muck produced by a TBM is useful as concrete aggregate. Documentation includes locations well removed from the point of generation. It is often thought that and disposing of contaminated solids and liquid wastes. CERCLA. or is con- and advise and assist in proper disposal. photographs and water quality data from onsite ponds and Except for special circumstances. content. consists of elongated and (8) Unexpected contamination can occur where under. (7) Leakage from underground tanks and pipelines. and permanent ground cover would be determined (9) The environmental hazard and liability are often based on the specific of each project. gate. In urban areas. In such cases. (6) Frequent. minimized by contracting. filling and leaks can result in high concentrations of however. whereas muck will be constructed. Alternatively. Waste water and spoil that has naturally high heavy metal nants. exfiltration can contaminate surrounding aquifers. produce harmful leachate. The costs for managing muck that exceeds criteria most cost-effective solution. TBM muck. shafts is often the source of considerable discussion during the environmental planning phase. A widely accepted criterion for total petro- surveys can provide an indication if current or past land leum hydrocarbon concentration is 100 ppm. Other potential sources (4) The size and shape of spoil piles is frequently an of contamination include commercial cleaning shops and issue once the location has been determined. the designer should with higher concentrations requires special disposal. tunnel muck can often be disposed tions and in identifying corrective action that must be of onsite without adversely affecting surface or ground taken. Spoil management. Corrective actions can also be tracked and closed water. systematic site inspections to evaluate construction practices are effective in documenting condi. muck.EM 1110-2-2901 30 May 97 pH range for discharged water often is between 6. Recrushing generally does not help. Muck up to uses are likely to have contaminated areas where the tunnel this concentration can be disposed of onsite. pile height and sideslope grade. or contamination from illegal (3) Total petroleum hydrocarbon concentrations in dumping or surface pits are a few of the conditions that soil. which present a hazard to work crews as well as high costs for disposal. however. infiltration. (10) On occasion. In the case of sewer tunnels. The anticipate possible adverse effects on tunnel linings as well requirements for a specific project location should be deter- as measures for proper management and disposal.

This cal enclosures. park) may be established visible dust@ outside the construction boundary and leaving for day and night by state or local agencies. 5-55 . Control of fugitive dust. former approach enables contractors to apply their exper- tise and knowledge of the area and relieves designers of e. this could be accomplished The contract documents should indicate which waters can. and prop. but can Intent. which the contractor would complete and file at the gent dust control standards may apply to construction fugi. as well as a partially completed notice of termina- result in regulatory action if there are complaints. on stackers. The contractor could make changes in the tive dust emissions for projects located in air sheds that do storm water plan. (2) Confining dust to a construction site is difficult if the site is small. Noise and vibration. (3) The latter approach gives the owner much more respectively. Storm water runoff and erosion control. Some degree the means and methods to contractors may not result in of noise monitoring prior to and during construction is acceptable dust control.. (2) Acceptable construction noise levels at a sensitive tive dust control measure. put the owner at risk if the contrac- (1) The 24-hr and annual National Ambient Air Qual. It does. Establishing a criterion for Ano receptor (e. or other nonstorm waters. and periodic site inspections are to be main- tained at the construction site. g. certifications. stabilize slopes to prevent erosion. the rock tends to produce a large percent. Larger particles are would contain the plan and a copy of the filed Notice of not always regulated by a quantitative standard. construction chemicals. the regulations. acceptable noise from construction sites larger than 5 acres was published by levels would typically range between 65 dBA and 75 dBA. permit requires EPA to be notified when construction is Construction monitoring to detect. Contractually. erly manage the disposal of excess material should be con. Strin. The with higher levels for commercial areas. noise outputs is appropriate. erecting sound walls. A typical day and night noise level limit for rural areas is 55 dBA and 45 dBA. ity Standards (NAAQS) established for dust particles 10 µm are maximum 150 µg/m3 and 50 µg/m3 of air. dwelling. started and completed but requires no other routine filings. Paved construction roads are also an effec. respec- (1) A general NPDES permit to discharge storm water tively. Raising the moisture content of muck with vibration ordinances that may apply to tunneling. even if it meets the highest standard of quality. Such particles tend to become trapped in control over compliance. An integrating precision sound level meter that provides maximum. equipment designed to achieve reduced noise levels. These water in combination with shrouds or other devices is an would be satisfied by surrounding noise sources in acousti- effective measure to confine dust in the work area. The be acquired prior to contract award. by setting a performance standard or by developing a not be discharged into surface drainage if permits cannot detailed plan that the contractor must implement. tion. advisable. EM 1110-2-2901 30 May 97 occur depends on the location and nature of the project. The procurement documents lungs and pose a long-term hazard. and equivalent (average) f. A storm water pollution prevention plan (SWPPP). hospital. state regulations may require a permit to discharge TBM prevent mud from being tracked onto public roads. For residential areas in cities. various ducted to document that spoil is being properly handled. end of the job. and onsite treatment processes. wastes. Federal and runoff from disturbed areas so that sediment is trapped. generation activities to certain times of the day. September 9. age of fines. Waste Waters. and the contractor's muck handling method involves a number of transfers. and cooling water. or by using along conveyor transfer points. predicting a contractor’s requirements for temporary facili- ties. Regulatory requirements are determined from the particular type of nonstorm water (2) The SWPPP must satisfy standards contained in discharged. Equipment and construction may cific and address techniques to divert overland flow around generate Aprocess@ waste waters that require Federal or disturbed areas. characterize. or there is heavy traffic on (1) Incorporated urban areas typically have noise and unpaved roads. EPA in the Federal Register. The plan must be site spe- d. pipe flushes and disinfectants. minimum. however. limiting noise- frequently involves situating spray nozzles at vent outlets. but only after proposing them in a form not meet the NAAQS for particulates.g. wash water from scrubbers. control state permits to discharge into surface waters. waste from properly store and handle fuel. rary muck piles that will be loaded and transported to the disposal area. that could be incorporated into the plan and receiving written approval from the owner. tor does a poor job of planning or executing the plan. 1992. and on tempo.

Many of these in a rock tunnel is not known with certainty until condi- can be used for underground works as they are. In addition. but a num. and a minimum served by another type of contract in which certain well- of disputes. serve to minimize the need for bidders to include large This permits equitable payment for portions of the work contingencies in their bid to make up for the uncertainty where quantities are uncertain. good conditions are usually presented in a GDSR. provides a (3) Contract variations in price. the required initial ground support in the preparation of contract documents. usually achieved by making all geotechnical data reports and the release of hazardous construction chemicals. a lump A principal goal in preparing contract documents is to sum type of contract is often appropriate. Most often. good model on which to start contingency planning. Clauses. The con- Specifications for initial ground support. must usually be tailored to tunnel where each different ground support scheme is conditions for the particular tunnel. tions are exposed in the tunnel. 5-56 . The clause provides (1) Underground construction can encounter that the contractor is entitled to additional reimbursement if unexpected conditions and involve incidents that can conditions (geologic or other) differ from what is repre- release pollutants into the environment. The USACE employs a large number of standard provisions and clauses (b) As an example. the contractor bids a unit price per foot should be read carefully and modified as required. All available factual subsurface information should nel. without disclaimers. A number of different contract provisions are defined parts of the work are paid for in individual lump employed to achieve these goals. suitable for different rock quality as exposed. vehicle accident involving diesel spill. (2) Full disclosure of available subsurface informa- dents include a massive loss of hydraulic fluid in the tun. ditions clause is now a standard in most contracts. acceptable quality of the work. Contracting Practices and the work is well defined with little chance of design changes. It is common practice to ber of them require modifications to make them apply to show three or more different ground support schemes or the particular working conditions and project requirements methods. as well as for tractor will then be paid according to the actual footage of tunnel and shaft excavation. blasting vibrations are discussed in Section 5-1-e. large inflow of groundwater. A number of clauses are of particular with blasting. (1) Differing site conditions. achieve a contract that will yield a fair price for the work however. The designer provides an estimate of how much example. Contingency planning. includ- ing those funded by Federal moneys. required. an activity that is readily controlled to use in underground works. requires a spill prevention. Examples of pollution-causing inci. and countermeasures plan if certain oil storage limits are exceeded. sented in the contract documents and if these conditions gies to accommodate the types of events that could result cause the contractor to expend additional time and money. Developing strate. control. in polluting water and soil is an effective method to reduce impacts and liability. (a) When a construction contract is relatively small 5-15. mate provides the basis for the contractor's bid. tion. which for USACE projects. while other parts are paid for on a unit price basis. available to the bidders.EM 1110-2-2901 30 May 97 (3) Vibration and air-blast noise are usually associated a. training for all persons in corrective actions usually made a part of the contract documents. fire. differing site conditions claims. As an of tunnel. rupture of diesel fuel tank be fully disclosed to bidders. the designer's assess- ment as to how the subsurface conditions affected the (2) Advance planning strategies include proper storage design and the designer's interpretation of construction of fuels and chemicals. stockpiling response kits and containers to his bid. This is on the surface. these are discussed briefly in achieve applicable standards. This report is housekeeping. often associated with underground works. secondary containment. This report during incidents. of underground works. underground construction contracts are better performed. Each clause contemplated for use For each scheme. this esti- different from concrete placement for surface structures. and when the geology is well defined. The differing site con- h. The use of the GDSR as a baseline document is not at this time a standard practice (3) The requirements contained in 40 CFR 112. which risks are to be borne by the owner and initiate proper cleanup. Monitoring and control of the following. and having a contract in place with which by the contractor. concrete placement for a final lining is very of each type of ground support will be needed. Several of these clauses sums. bolstered by periodic discussion in tool should carefully define what the contractor can assume for box sessions. and what will be the basis for any qualified emergency response personnel.

The docu- adjustment to unit prices if changes in quantities exceed a ments can be made available to the parties of the contract certain amount. (c) Because the DRB members have no monetary $ Payment for stopping TBM advance (hourly rate) interest in the matter (other than their DRB membership). assumptions made in calculation of prices. $ Preventive or remedial grouting. is taken into escrow shortly after the bid. unit bid documents (ASCE 1994). or 2 day's duration. conditions. DRBs are usually prices on items with small quantities. possibly on a graduated scale. Dis. Claims between the injected. including all unbalancing. accepted by the parties. At the time of escrow. Dispute Review Boards both training and indoctrination of the people involved. EM 1110-2-2901 30 May 97 (c) Other construction items that may be suited for parties and all experienced in the type(s) of work at hand unit pricing include the following as examples: and in interpreting and understanding the written word of the contract. Each quantity should recommended in conjunction with the use of escrowing of be large enough to affect the bid total. and the dispute is resolved in short order. Depending on and the DRB if all parties agree. who will render a finding of $ Supplementary payments if estimated water inflow entitlement and. interest in the project or the parties to the construction contract other than their employment as DRB members. time). (a) The USACE introduced the concept of partnering in 1989. per meter (foot) The DRB usually meets every 3 months to familiarize of grout hole. but the findings of the DRB are admissible (soil) types if excavation efforts are expected to be as evidence in court. This requires tor and owner during construction. discussed within the partnering agreement. (DRBs) go a long way toward minimizing or eliminating Partnering also includes at least the following components: disputes by fostering an atmosphere of open disclosure and rapid resolution during construction. (1) Dispute Review Board. issues involving risk sharing and indemnification may be putes also bring about adversary relations between contrac. (3) Partnering and shared risk. contractor and the owner that have not been resolved will be brought before the DRB. it is wise to watch for opportunities where the bid- der could unbalance the bid by placing excessive unit (2) Escrow of bid documents. it is often found easier to settle on of the unit prices discussed here may be excluded from this monetary awards for contract changes and differing site clause. usually 15 or 20 percent. professionally guided workshop of 1 claims is still fresh in memory. if requested. if necessary to perform probehole drilling or grout. The DRB members must have no vested $ Probehole drilling. per meter (foot). and one by the first two members. is exceeded. Contracting claims are expensive. By examining the origi- the certainty with which conditions are known. significantly different and quantities are unknown. The contractor will still have $ Different payment for excavation of different rock legal recourse. and because they are usually seasoned and respected mem- ing or to deal with excessive groundwater inflow bers of the profession. one by the owner. where the emphasis is on sively described in ASCE (1994). b. It includes a written agreement to address all (a) Legal pursuit of disputes arising from contractor issues as partners rather than as adversaries. their findings are almost always or other defined inclement. some or all nal basis for the bid. a finding of quantum (dollars. all subject to approval by both 5-57 . selected by the contractor. Other contracting techniques. when the basis for any $ A starting. items. and time-consuming. mutual understanding and appreciation and devel- opment of commitments to work together with (b) The typical DRB consists of three membersCone team spirit. the (e) There is usually a standard clause providing for documents are examined only for completeness. per hookup and per quantity of grout themselves with the project activities. These findings are recommendations only and must be agreed to by both parties. tedious. The use of DRBs is exten. while the matter is fresh and before it can damage (d) When preparing a bid schedule with variable bid relations on the job site. A copy of the contractor's prices are Aupset@ at a maximum permitted price to avoid documentation for the basis of the bid. In some cases.

Some time before Higher gradesCup to more than 12 percentCcan be used contract documents are released for bidding. mum. and finished diameter of the steel casing of that arrive in front of the DRB. length.45 m (12-18 in. a profes. major rock weaknesses such as ing of relatively long tunnels. matic systems can be used at any grade but are rarely used. all about 600 m (2.300 ft). and numerous other (15 ft) or larger (3. Tunnel Projects Most belts run straight. lation can produce shafts to a diameter of more than 6 m sional facilitator usually leads these meetings. For USACE projects this is rarely done. a grade of 17 percent is a good maxi- records. A summary is presented below of a few depths greater than 120 m (400 ft). West Virginia. Size or diameter of tunnel. and submit qualifications in accordance with specific for. Practical Considerations for the Planning of width. and New Mexico.EM 1110-2-2901 30 May 97 $ Continuing periodic partnership meetings. With rail trans- complex projects requiring contractors with special exper. which allows passing of reasonably sized train cars. 1. Pipelines using hydraulic or pneu- For many tunnels. For rapid and economical tunnel. the maximum particle size is 0. (4) Prequalification of contractors. shafts shallower than 30 m (100 ft) employ cranes traffic tunnels as well as gravity sewer tunnels.5 m (25 ft) addressing job problems but structured to approach at 80 m (270 ft) depth. Blind drilling using reverse circu- them as partners rather than antagonists. and tise.4 m (7-8 ft). Verti- types of tunnels. with a drilled diameter felt that this device has reduced the number of disputes of about 3 m. (20 ft). On occasion. For other for hoisting.3-0. the maximum size is not e. mined by functional requirements. span methods for tunneling. Staging area. a headframe is used for deeper shafts. Hard-rock TBMs have hard and fast rules apply on the selection of excavation been built to sizes over 10 m in diameter (33 ft). Rubber-tired equipment can con- mitted to submit bids on the contract. a diameter of about 4.). though 20 percent can be accommodated with muck that does not roll down the belt easily. a grade of 2 percent is normal. depending on rock strength and probably make them easier to resolve.4-3 m were driven using blasting techniques.000 ft) were driven with TBM. Rail trans- is published for contractors to review project information port usually occurs at a maximum velocity of 15 mph. The usual maximum speed is about 25 mph. but some modern belts can negoti- ate large-radius curves. The economy of TBM versus other widths for blasted openings are restricted only by rock mechanical excavation versus blasting depends on tunnel quality and rock cover. port in the tunnel. hardness. The maxi- mum depth achieved using blind drilling through hard rock (b) Experience with partnering has been good. rock type. For large and c. line. b. design details for both or all. Shaft sizes. Smaller tunnels can be USACE also include roadheader-driven tunnels in driven by microtunneling methods. it is common to prequalify contractors for bidding. Where space is available.6 km (1 mi)) tunnels. these parameters can be selected within cal conveyors are used for muck removal through shafts to certain bounds.5 m shear zones. Depending on belt 5-16. is possible. depending on depth and rock hardness.5-ft) width for horseshoe shape) factors. Blind drilling with cal staging area for a tunnel or shaft project can usually be 5-58 . the typi- limited by the method of excavation. qualifications of proposed personnel.8 m (6 ft). and all under that length exploratory tunnels are usually driven at a size of 2. practical hints for the planning of economical tunnels. an invitation with cable hoisting gear or similar equipment. This is true of most Usually. Grade or inclination of tunnel. Prequalification can veniently negotiate a 10-percent grade. Raise drilling is currently limited to about honest differences of opinion or interpretation but will 6 m (20 ft) in diameter.07-m (42-in. and financial track For conveyor belts. 3 percent is usually considered the maximum grade. it is California switch to accommodate a 1. TBM versus blasting excavation of tunnels.200 m TBM or blasting is about 2. No a.) gage appropriate to permit either of these methods and provide rail. Pilot or (4. schedule requirements. and it is is in excess of 1.5 m (10-12 ft) in size. size. Cost and schedule estimates are often required to is convenient. and grade are firmly deter. Partnering will not resolve 1. Only those compared with rubber-tired transport for longer (> about qualifying financially as well as technically will be per. depending on length. usually reaming using triple kelly is limited to about 7.000 m (3. From a recent survey of Smallest tunnel diameter or width conveniently driven by USACE tunnels. Rail transport has limited flexibility but is economical mats and requirements prepared for the project. Tunnels driven by (8-10 ft).5-m (11. but up to 25 percent apply to the contracting firm's experience and track record.1-2. Shafts excavated by blasting should be at least 3-3. Kentucky. d. size.000 ft) long. This tunnel size permits the installation of a determine the most feasible method. all tunnels greater in length than 1.

by 60 m (100 by 200 ft) or less. delays. for example in an urban area. If space is restricted. If poses. EM 1110-2-2901 30 May 97 fitted into an area of about 90 by 150 m (300 by 500 ft). contractor inconvenience. and additional costs. treatment plant and siltation basin must also be considered and many urban sites have been restricted to areas of 30 in the estimate of work area requirements. 5-59 . the water there are many ways to reduce the work area requirements. Such constraints cause An area of this size can be used for space-planning pur. contaminated drainage water must be dealt with.

Initial supports may consti- ACI's Codes and Practices for concrete design. but negative pres- analyze them. unsatisfactory long-term per- formance. excessive leakage (in or out). surge chambers. tations. 6-1 . environmental effect. and final lining considered unacceptable in terms of hazard. In principle.. outlets. The following subsections describe functional of behavior or failure must be defined. Failure modes are modes of behavior that could be ground support are described in Chapter 7. structures. gates. inclines. construction procedures based on observations. The five basic design steps are outlined below: bifurcations. the possibility of encountering contaminants. precast segmental liner installed behind ground structures. not for under. schedule during construction. Fundamental Approach to Ground ground support elements. 6-2. corrosion or excessive wear of 6-1. (1) Flow in underground hydraulic structures will be (2) Collect geologic and cultural data including all either open-channel flow or pressurized flow. or code for the design of under. final support (e. standard. EM 1110-2-2901 30 May 97 Chapter 6 (3) Determine plausible and possible failure modes Design Considerations including construction events. d. Designers often approach tunnel design by search. This is the synthesis b. Types of flow in underground hydraulic ments.S. and sensitivity of structures to settlements. and failure to meet environmental requirements. a. energy dissipators. either for a rural water conveyance tunnel such leakage might be for hydropower. Functional Requirements of Tunnels failure of function means different things for different and Shafts kinds of structures: a certain amount of leakage in an urban highway tunnel might be a failure of function. and means to deal with claims (loading of a lining). all realistic modes e. tunnels. many other modes of failure must be analyzed. venturi sections. While bending and compression are and disputes. and only parts of these codes apply to a TBM). those systems that need to maintain a functional opening for ground structures. logistics. Pressurized information required to define potential failure modes and flow is usually under positive pressure. and safety of the underground openings during (4) Design initial and final ground supports. The con- bined bending and compression in a lining). field and laboratory data. (5) Prepare contract documents. of all design efforts and may include provisions to modify ing for modes of failure that can be analyzed (e. a. com.. They include all hydraulic and geometric require. practice. intakes. or long-term failure of function. but these tute a part of the final supports. and cultural data to sures can also be encountered. Selection and design of initial c. including corro- sion and seismic effects. fresh water transport. underground structures. (1) The functional requirements are defined in a broad sense. perfectly acceptable. and valves. while Most USACE tunnels are built for water conveyance. Underground design must achieve functionality. typical and not so typi- which these can be analyzed and mitigated must be found. risk to cost or selection and design in Chapter 9. Many designers apply codes such as the design life of the project. cal modes of failure of tunnels and shafts. sediment control. Initial and after construction and for as long as the underground support includes all systems that are used to maintain a structure is expected to function.g. Underground hydraulic structures may include drop and riser shafts. There is no recognized stable. Examples include instability problems or groundwater inflow during construction.g. or flood control. define environmental effects and constraints. safe opening during construction. Final supports are U. then apply tract documents also contain all information necessary for a them to more-or-less realistic but postulated situations competitive bidding process. and Support Design settlements that may cause distress to adjacent existing structures. These data may include ownership of right-of-way. intersections. stability. or they may be the were developed for structures above ground. ancillary and environmental requirements and limi. and maintenance requirements. For underground structures. then means by requirements of tunnels and shafts. applicable failure modes for linings.

geologic conditions upstream of a section.01 percent) to facilitate under inlet control will generally flow partially full. For structural analysis. This con. is more desirable for a specific facility. This will be the case so long as the rate of through the segment. most of which are outlet is submerged. As these cavities are carried a short flow is known as water hammer. the whether pressurized or gravity flow will occur and which segment inlet or outlet can serve as the control section. it becomes pressurized. Weir equations and coefficients are dition should be avoided. and portions of the liquid vaporize. weirs. abrupt pressure increases force them significant design consideration in water tunnels because of to collapse. exceeds the open-channel capacity of the structure. pressure. the variable flow quantities and (1) Hydraulic controls are placed in a flow channel to input pressures (minimums and maximums) are given and regulate and measure flow and to maintain water levels cannot be adjusted. develops and pitting appears. Hydraulic jumps can form within open monly used to regulate and measure flow in open channels. channels if the slope of the channel is too steep or the Many variations in weir design exist. in a tunnel. or implode. in which slope. Hydraulic controls. a may limit adjustments to grade. For a gravity flow tunnel with multiple flow capacity of a section flowing under outlet control input sources or changes in cross section or grade. weakening of the lining results as fatigue releases. On the other hand. One type of transient of vapor cavities. then the size and grades must be designed to accomplish this. placed at or near the end of a tunnel segment and water In open-channel flow. the water surface is exposed to the can enter the segment at a faster rate than it can flow atmosphere. Transient pressures. Headwater depth and inlet geometry determine the driven level. various depends on the hydraulic factors upstream of the outlet. Within each segment of a tunnel. Usually. Trade. Cavitation can be prevented lower safety or load factors are used when designing for by keeping the liquid pressure at all points above the vapor transient pressures. geometry. lining failures. design of the weir. Discharge and flow depth are determined by the hydropower intake tunnel to spin the turbines. (2) Outlet control occurs when control sections are (a) Open-channel (gravity) flow hydraulic structures. In some cases. and lining of a tunnel and by the locations case size and grade are selected for that purpose. but longer tunnels are usually constructed at a inlet discharge capacity. for example in a ments. Over the full length of a tunnel. intakes. conversion of kinetic energy to pressure and can be 6-2 . damage to the structure can result. This phenomenon is a distance downstream. induced whenever the velocity of moving water in a closed ity. valves. Segments of a tunnel operating minimum slope of 0. There are many other types of transient extend into the pores of the hydraulic structure lining. Causes include changes in valve or the vapor pressure of the liquid. The open channel. Tunnel segments flowing under outlet flow into the structure does not exceed the capacity as an control will flow either full or partially full. Cavitation occurs in flowing liquids at pressures below conduit is disrupted. with subsequent formation filling of empty lines too quickly.EM 1110-2-2901 30 May 97 (2) If it is desired to maintain gravity flow conditions b. points along the alignment must be analyzed to ascertain the flow volume and velocity to make certain that this (3) Weirs are one form of hydraulic control com- condition is met. If the hydraulic jump has sufficiently accompanied by their own empirical equations for the high energy. of hydraulic controls such as gates. it may variety of flow conditions may exist in each of the seg- be desired to generate pressurized flow. air frequencies. found in most textbooks dealing with open-channel flow. gate settings. offs can be made between size and grade to determine and drop structures. and hydraulic jumps. (b) Pressurized structures. This may be a temporary condition (1) Transient pressures are a form of unsteady flow or may be the normal operating configuration of the facil. Inlet control will exist when water can flow through a tunnel segment at a greater rate than water can enter the (3) Short tunnels of 100 m (330 ft) or less can be inlet.0001 (0. The implosion and ensuing inrush the structural damage that can occur with excessive high or of liquid produce regions of very high pressure. drainage. Because of low pressures. The occurrence of cavitation is a function of turbulence in the water flow and increases with tunnel (2) Transient pressure pulses arise from the rapid roughness and flow velocity. which low pressures. When the flow rate c. flows in tunnels that can be caused by unequal filling rates Since these vapor cavities form and collapse at very high at different locations along the tunnel: air entrainment. pump or power failures.

siphon breakers.013 nificantly. Westfall (1989) emphasizes the value of presenting several (1) The roughness of a tunnel lining relative to its tunnel diameter and lining alternatives in final contract cross-sectional dimensions is fundamental to the efficiency documents. misalignment e. the more severe the change in pressure.038 Tunnel boring machine excavation.018 (3) Air entrapment can lead to increased head losses Lined with precast concrete segments n = 0. and hydraulic jumps. ment of surge tanks. a tunnel or pipe system being reflected at the ends and and flushing characteristics. regulated valve closure times. and more sig.012 elevations rather than matching the inverts. and age. The Darcy-Weisbach approach is technically the more rigorous of the two equations. structure are limited. the more rapid the velocity geometries. For velocities greater than ing from increased head loss and unsteady flow to severe 6 m/s (20 ft/s). (1) Air that occupies an empty or partially filled tunnel Velocities between about 3 and 6 m/s (10-20 ft/s) usually can become trapped and lead to operating difficulties rang. necessitate concrete linings. Velocities of less than about 3 m/s (10 ft/s) are considered safe in tunnels with no lining. Roughness. shape. affected. gravel) the velocity when pressure and temperature conditions cause dissolved should be kept below 3 m/s (10 ft/s). severe transient pressures when trapped air is Lined with steel with mortar coat n = 0. unlined n = 0. transient pressure 50 percent higher than the operating design pressure is often used. a its relative simplicity. the risk of cavitation increases. Air can enter a tunnel system by precautions like steel or other types of inner lining must be entrainment in the water at pump inlets.016 caused by a constricted flow cross section. tunnel size. sediment. (5) Factors that can adversely affect friction include overbreak and rock fallout in unlined tunnels. and lining type affect flow capacity and employed for different tunnel stretches in an example by play important structural and economic roles in water Sanchez-Trejo (1985). n) for different excavation methods foreseeable flow conditions. sand. and the wide range of roughnesses that occur change. Lined with cast-in-place concrete n = 0. transmitted and reflected where cross sections change. It can also form water will carry sediments (silt. but to different degrees. The allowable velocities in different kinds 6-3 . All complicated by changes in flow depth. air to be released.013 tunnel cross sections are avoided by matching tunnel crown Lined with steel (diam < 3 m (10 ft)) n = 0. of precast segments and concrete forms. however. Air entrapment at changes in Lined with steel (diam > 3 m (10 ft)) n = 0. irregular channel other factors being equal. Drill and blast excavation. The magnitude and propagation speed of a pressure pulse are (2) The determination of tunnel friction factors for determined by the elastic characteristics of the fluid and the use with the Manning or Darcy-Weisbach flow equations is conduit and the rate at which the velocity is changed. fluid velocities are limited so that turbulent conditions and the possibility of damage to the d Air relief. taken to protect the inside of the structure. Tunnel excavation meth. and tunnel relief valves. when multiple lining types are used. Friction coefficients for the Manning and Darcy-Weisbach equations are each (3) Transient pressures are managed by careful place. and dissipation of flow vortices at inlets. geometry. surge depth of flow. an equivalent roughness for unlined rock tunnels that is ods. (4) A study on friction losses in rock tunnels by (2) Engineering measures to reduce air entrainment Westfall (1989) recommends friction factors (Manning's include thorough evaluation of drop structures under all roughness coefficient. Vents to the ground surface frequently are used for air pressure relief. by changes in velocity. Figure 6-1 shows the basic tunnel design. and special transients and blowouts. Huval (1969) presents a method for computing with which it will convey water. sediment deposit. elimination of hydraulic jumps and lining types as follows: by reducing channel slopes or other means. the Manning (4) Transient pressures should be analyzed for each equation survives in practice because of its reasonable and every tunnel by the hydraulic engineering staff for use accuracy as an approximation for typical tunnel sizes and in the design of pressure tunnels. or a combination of these methods. Where the drop structures. Pressure pulses will propagate throughout age depending on the liner material used. EM 1110-2-2901 30 May 97 positive or negative depending on position with respect to of water tunnels are restricted by potential cavitation dam- the obstruction. For preliminary use.014 allowed to vent rapidly. (3) In practice. unlined n = 0. lining material.

by entraining sufficient air to cushion the impact. As the difference in elevation increases. The required to minimize hydraulic head losses when the tunnels are depth of the plunge pool can be determined by the use of surcharged. Drop shafts for vertical conveyance. Roughness factor calculations for unlined design. At the bottom of the drop shaft. removal of entrained air is necessary and floor impact becomes more severe. and steps should be taken to minimize it. a structure must be provided that will withstand the impact forces. The drop shaft barrel then transports the water to the lower elevation and in the process dissipates as much energy as possible. only during storm discharge periods. In that case. In cases where the tunnel hydraulic gradient can rise all the way up to the hydraulic gradient for the upper level flows. to remove any by the use of a weir located in the chamber at the base of air that mixes or entrains with the water as it descends. removal of entrained air. The inlet structure's function is to provide a smooth transition from horizontal flow to the vertical drop shaft. or by providing a plunge pool at the bottom of the shaft. When the difference in elevation between the upper level flows and the tunnel is small. Such drop descends. a plunge pool is required at the equations utilized by this method. or as a combination of the two. The flow variabil- ity of a drop shaft has a considerable influence on the Figure 6-1. and convey the water to the tunnel. A shaft that handles posite linings of different roughness can be estimated as a only storm flows will not normally require a plunge pool weighted average of the friction factors for each surface because the water surface in the tunnel will submerge the where length of wetted perimeter of each surface is used drop shaft base and cushion the impacts. (3) Variable discharge. Drop shafts forcing a hydraulic jump within the shaft. The impact of the with a concrete-paved invert. the Dyas formula: 6-4 . Drop shafts should be designed to dissipate the energy The plunge pool may be formed by a depressed sump or increase associated with the elevation drop. A drop shaft has three essential elements: an inlet structure. For instance.EM 1110-2-2901 30 May 97 (1) Drop shaft components. drop shaft floor to dissipate energy. The selection of an appropriate drop shaft for a particular use involves determining which of these factors are most important. Figure 6-2 illustrates the variation in fric- tion factor versus flow depth in a shotcrete-lined tunnel (4) Impact on the drop shaft floor. remove any entrained air. Manning's n for com. by increasing the are used in water conveyance tunnels to transfer flows from energy dissipation due to wall friction as the water a higher elevation to a lower elevation. A drop shaft may be oper- ated for steady-state flows. for weighting. water on the floor of the drop shaft can be high. This is accomplished by f. and the shaft and downstream of the shaft barrel. a vertical shaft bar- rel. Several factors must be considered in the design of drop shafts. (2) Basic consideration in drop shaft design. head loss also becomes a critical factor. for steady-state flow the water sur- tunnels face elevation in the tunnel may be below the base of the drop shaft. impacts on the drop shaft floor may be alleviated with a simple plunge pool. and a combination energy dissipator and air separation chamber. These factors are variable discharge. impacts on the drop shaft floor. shafts are typically used in flood control and CSO systems. and head loss associ- ated with the drop shaft.

Friction factors for composite lined tunnel (see Figure 6-1 for definition of symbols) 6-5 . EM 1110-2-2901 30 May 97 Figure 6-2.

Therefore. Induced direct drop. Bureau of Reclamation recommends (8) Drop manholes.S. most air entrained by the flow is allowed to dissipate before it enters the tunnel. it entrains. (10) Morning glory drop shafts. Since through the drop shaft. It is a losses will result in flow backups into streets and/or good energy dissipator and has a high air removal rate. $ Impact of the falling water on the drop shaft floor Second. which causes much of the air entrained in the flow entrained in the water. three conditions: weir control. In these jump. and differ- normally used for drops of less than 21 m (70 ft). The air core helps to evacuate the entrained air and to provide near $ Presence of air minimizes the possibility of subat. which forces bubbles to move toward the center of the drop shaft where they are $ Flow volume is bulked up and requires a larger able to rise against the relatively slower moving water. the head losses become important because a create a vortex flow down a drop shaft (see Figure 6-3). vortex. and cavitation is expected in this type of drop shaft. shaft. entrained air must be dissipated before the flow reaches the floor of the drop removed before entering the tunnel. head losses could occur if the circular crest is inadequately designed. dc = critical depth in inlet. the Disadvantages of air entrainment are as follows: helical flow has a pressure gradient. First. These categories are drop drop shaft is limited by the size of the circular crest. Model studies have laboratory model studies. 6-6 . basements. No manholes. Vortex drop shafts generally entrain less effects of cavitation. The U. The dissipation is a consequence of the wall friction as the flows spiral down at high velocity. air than other types of drop shafts for two reasons. to be released and recirculated in the zone above the hydraulic grade line. ft enter the lower sewer without climbing down the wet shaft. the flows through the inlet are spun against the shaft wall. subatmospheric. For example. The capacity of the morning glory divided into several categories. The smaller structures.5h 1/2dc (6-1) minimize turbulence. morning glory. air entraining. Drop shafts as deep as 105 m determined that the flow characteristics are controlled by (350 ft) have been constructed. a vortex drop shaft is level flow delivery system. orifice control. with air. Under of the energy is dissipated in the air separation chamber by certain conditions the tunnel hydraulic gradient may rise to either a plunge pool or by the formation of a hydraulic levels equal to those of the upper level inflow. atmospheric pressure throughout the shaft. Vortex drop with air entrainment. Various types of drop shafts shafts employ a circular crested inlet structure.EM 1110-2-2901 30 May 97 1/3 sewer to a lower sewer. a reverse flow of air occurs in the core of the is reduced by the cushioning effect of the air vortex. drop shaft. which can release odorous gases and where damage the shaft. There are several advantages and disadvantages associated the entry conditions are relatively smooth. the flows are highly stable due to the entry conditions. A typical design has a personnel access upstream of the shaft that allows maintenance personnel to h = height of drop. forming a central air core as it descends. significant energy is high-pressure air buildups. These drop shafts are designed to Depth = 0. Below the hydraulic grade line. They are have been designed and constructed based on hydraulic often used as outflows for reservoirs. Flow enters the vortex-flow drop shaft tangentially and remains in contact with the drop (5) Removal of entrained air. As the flows are spun $ In order to prevent the formation of damaging against the walls of the drop shaft. are ential head control. Several inlet configurations have been adopted to circumstances. large drop shaft head approach the level of the upper incoming flow. if this upper highly efficient when the turned gradient does not level delivery system is a sewer. ft (9) Vortex drop shafts. Drop manholes are generally used that the outlet tunnel be designed to flow 75 percent full to in local sewer systems to transfer flows from a higher eliminate instability problems. Morning glory drop (7) Types of drop shafts. As the water falls shaft wall. The advantages are as follows: shafts are effective for a wide range of discharges. large head loss may cause severe flooding in the upper Based on various model studies. The remainder (6) Head loss associated with the drop shaft. so as to prevent mospheric pressures and thus negates the harmful any cavitation. or mixes.

For larger drop shafts. up to 6 m (20 ft) in diameter with a maximum discharge capacity of 127 m3/s (4. The shaft diameter is designed to flow when tunnel gradients reach the levels of incoming flows. full with air entrained in the water. The first of these consists of a sump entrap and contain large quantities of air. bulking it up enough to fill the drop shaft. (b) Two types of direct-drop air entraining drop shafts g. This drop shaft shown in Figure 6-5 has a separate shaft for the air vent downstream from the downcomer and connected to the downcomer above the crown of the incoming pipe. The air vent recycles air into the downcomer. this requires a high chamber roof. As the air is released from the rapid filling of the downstream end of a tunnel without mixture. (a) The engineer should eliminate the harmful effects brought about by the formation of high-energy hydraulic (c) At the bottom of the shaft is the sloped-roof air jumps within the tunnel. it was determined that this type of shaft was economical up to shaft diameters of 2. separated by a vertical slotted wall. (e) Another drop shaft design is suitable for drop shafts larger than 2. transient phenomena induced by separation chamber. Larger sized versions of these the tunnel. particularly the air separation chambers. shafts that can adequately handle variable discharges. High-velocity streams of water may are discussed below. Five types of inlets for vortex-flow drop structures (f) Both structures handle a wide range of discharges and have head losses only one-fifth of those for vortex type shafts. some of it being recirculated through the slots into the drop shaft. reducing the floor impact. If the drop shaft is to be used for steady-state flows. and (a) Flow enters these drop shafts radially and descends have minimum head losses to prevent backflow problems through the shaft. shafts. This type of structure is very effective in dissi. remove entrained air. Air removal. The slots in the exhibits pulsating density variations. Figure 6-3. as shown in Figure 6-4. A large sepa.500 cfs). impacts on drop shaft floors. Air entrainment chamber with a sloping top. This design can be used in much larger drop shafts. drop shafts. drop shafts can be overexcavated and used as construction pating energy and removing entrained air.7 m (9 ft) with a maximum discharge capacity of 17 m3/s (600 cfs). The air entrained also provides a cush. wall allow air to be recirculated into the falling water in the drop shaft resulting in the reduction of large air slugs (1) Potential problems. EM 1110-2-2901 30 May 97 back up to the air vent side of the vertical shaft and rises to the surface. These shafts are the only commonly used drop (11) Direct drop air entraining drop shafts. neces- ration chamber is used at the base of the shaft and an air sitate mining a major chamber in rock with attendant rock vent is necessary to allow the air to vent before entering reinforcement and lining. a plunge pool is built directly beneath the shaft barrel to dissipate the energy.7 m (9 ft) in diameter. The causes the flow to be a heterogeneous mixture that varies air vent is located inside of the drop shaft downcomer bar. During the design of the TARP system (Chicago) in rock. and providing a more homogeneous mixture of air and water. The air separation chamber has a horizontal roof. (d) This structure requires a rather large air separa- tion chamber. (g) The large dimensions of both of these types of ion for the water. in bulk density throughout the flow cross section and rel. it follows the sloping wall of the air collector 6-7 .

Direct-drop air entraining drop shaft provisions for adequate surge shafts. the design should provide for the easy egress of surface through shafts located at any point along air from a tunnel while it fills with water. the formation of air $ BlowoutsChigh-pressure releases of air and water traps within the tunnel system. air into the tunnel from drop shafts. 6-8 . In $ GeyseringCair/water venting above the ground addition. which may lead to structural damage: $ Transient and surging flows causing rapid dynamic instability and possible tunnel collapse. $ BlowbacksChigh-pressure releases of air and water in the opposite direction of the flow. Improper design the tunnel. the introduction of entrained in the same direction of the flow. which may enter the tunnel through shafts. and the formation of vortices. can lead to one or more of the following phenomena.EM 1110-2-2901 30 May 97 Figure 6-4.

The fol- lowing steps should be taken: (a) Check the tunnel slopes for the development of supercritical flow and calculate whether a hydrau- lic jump can occur for any conceivable discharge. Although the observed damage was relatively minor. After the flood. A hydraulic jump may not occur during the maxi- mum design discharge but can occur for some lesser discharges. to determine how high these surge shafts should nels are not a severe problem. pressurization surge reaches an upstream end of the tunnel during the filling process. (2) Solutions. 6-9 . blowbacks. A transient (b) As long as the depth downstream of a hydraulic analysis should be made during the design phase jump does not reach the tunnel crown. plished by the use of remotely controlled gates at each shaft inlet. This may usually be accom- downstream. an air void can form at a bend connecting a vertical shaft to a horizontal tunnel. partial tunnel collapse. to prevent the forma- fill the voids. which have resulted in stripping the lining from tunnels and shafts. (c) Even without the formation of hydraulic jumps. When the downstream be. Direct-drop air entraining drop shaft with (b) Provide surge shafts of diameters at least equal to separate air vent the diameter of the tunnel at both upstream and downstream ends of the tunnel. The tunnel slopes should be reduced if the check shows the potential for a hydraulic jump. High-energy hydraulic conduits meet another tunnel and whenever a jumps have caused both blowouts and blowbacks. These tunnel changes diameter. A sudden reduction in the flow rate can cause this void to vent back up the shaft and cause geysering. When the occur. Water levels in other shafts will completely shut off all flows into each inlet tribu- also rise as the surge reflected by the upstream end travels tary to the tunnel. 2 of the Oroville Dam Diversion Tun- nels experienced the development of vortex. The vortex grew in size and strength as the reservoir filled during the December 1964 flood. always match tunnel rapidly escaping air pockets result in water rushing in to crowns rather than inverts. depth seals against the roof of the tunnel. EM 1110-2-2901 30 May 97 (e) Inlet No. the tunnel was dewatered and inspected throughout its entire length. Figure 6-5. and geysering. blowouts. dynamic instability (e) Provide a splitter wall to suppress the develop- due to transients can take place whenever the downstream ment of vortices in the inlet to tunnels whenever end of a tunnel is filling rapidly while air trapped within it is apparent that strong vortex development may the system cannot escape at a reasonable rate. creating loud noises and pressure waves. and severe erosion. the shock effects of air trapped downstream of the jump can create violent (c) Whenever branch tunnels or drop shaft exit impacts and associated damage. jumps within tun. water will rise rapidly in shafts (f) Provide some form of inlet control to regulate or near the upstream end. (d) Prevent entrained air from entering the tunnel from drop shafts. (d) In pressure tunnel flows. The above-mentioned problems can be prevented by proper precautions during design. tion of air pockets. it did consist of many rough scoured surfaces throughout the entire tunnel length.

sary. Significant infiltration after a nel is fully pressurized. a task that requires careful advance planning. advanced as close to the existing high-pressure source as In sewer tunnels.3 by enclosed area can then be dewatered in order to make the 3. groundwater infiltration can reduce the carrying (a) The method is restricted to the construction of a capacity available to handle peak flows. A rock trap is provided in the invert of the new cent groundwater. Next. a compressed air (2) Exfiltration from water conveyance tunnels also cushion will be created below the plug. the connection. an in-line diversion pipe or other high-pressure taps must be carried out with the help series of pipes can be installed within the existing tunnel of specialists experienced in this type of work. It is common practice to specify in the with water to a depth slightly below the water level in the contract documents permissible inflows both during and live tunnel or lake to be tapped. Two rock traps were employed. A flow cutoff 6-10 . The inflows may cause the adjacent groundwater table to be seriously lowered with resulting adverse impacts (3) Open-piercing method.EM 1110-2-2901 30 May 97 h. A shaft from ground surface to the power tunnels can result in serious reductions in available new tunnel invert is also required as close as possible to drinking water and energy supplies as well as revenue loss. (2) In-line tunnel diversion. this procedure. must then be installed around the in-line diversion pipes on both sides of the proposed connection to prevent water (1) The phenomena of infiltration and exfiltration are from flowing along the backs of the pipes into the connec- of critical importance to water conveyance tunnels. Exfiltration from water supply and tunnel below the plug. To connect a new tunnel (c) The design and construction of lake taps and to a live high-pressure tunnel.3 by 3. cushion below the plug should be checked for adequacy by remote monitoring and additional air pumped in if neces- i. the new tunnel is water supply tunnels may lead to pollution of the supply. Alaska. Obviously Since the water pressure at the time of the blast is less such connections are best made in the dry. pleted. In flood control tunnels. The tunnel near the connection should be con- structed such that. A gate is provided on the side of this shaft furthest from the rock plug to seal any water from entering (3) The extent to which infiltration and exfiltration the tunnel beyond the shaft-rock plug section. made. in the dry. the gate is closed and the tunnel different standards of water tightness to different sections (on the rock plug side of the shaft) and the shaft are filled of the tunnel. In 1988. Lake taps and connection to live tunnels. the existing tunnel may be dewatered again and the Inflows can cause loss of ground into the tunnel and result diversion pipes and cutoffs removed and the project in surface settlements and damage to neighboring struc. the Alaska District employed the Adry from tunnel level below the bottom of the lake to an method@ for a lake tap for the Snettisham project near appropriate elevation above the water surface. (1) Cofferdam. on water supply. A buffer was made of a large plug of ice. but in certain inside the newly constructed tunnel. the final connection is left unlined. This air cushion has potential for undesirable effects. lake taps. leaving a rock plug in place above the tunnel reclamation and pumping costs.6 m (11 by 11 by 12 ft) and blasted using a double burn- connection between the lake and the future shaft and tunnel hole cut pattern. Infiltration in connection in rock. trees. For tunnels that are to connect to a (b) There are several other methods to execute lake relatively shallow lake. completed. after it has been temporarily dewatered. exfiltration may cause pollution of the adja. crown. Con. Infil. When the connection is com- water conveyance tunnel is completed is unacceptable. At this point. The final plug was about 3. The rock should be reduced must be determined before the design of plug is then drilled and prepared for blasting to make the the tunnel commences. and vegetation. a ring cofferdam can be constructed taps. most of the rock cases this is not economically feasible. when filled with water. The following blasted in the connection will collect in the rock trap. It may be appropriate to apply final connection. the air after the construction of water conveyance tunnels. In this method. The charge is then detonated and the air cushion necting a new water conveyance tunnel to an existing below the plug interrupts the water column to dampen the high-pressure water tunnel or tapping a lake or reservoir is pressure shock and prevent damage to the new tunnel. Control of infiltration and exfiltration. tion. tures. infiltration contributes to increased water possible. In flood control and should be maintained until the final connecting blast is sewer tunnels. With the in-line diversion in place. In discussion highlights some alternatives. The Juneau. the new tunnel tration during construction should be reduced to acceptable connection can be made in the dry while the existing tun- levels in all types of tunnels.

lined with one-pass concrete segments. are listed below. and a much greater horizontal mass may separate or shear during excavation. time and prevent or prepare for them. Some fail. faults. Nonetheless. the shear strength of a bedding plane it has a minimal effect on flow area. may appear to be sound at first exposure. traps are recommended to collect the debris so that tunnel environment. velocities. but the unloading time during the operating life of the structure. The second series of examples apply to finished. ber of factors: Width. should be kept below 6 mm (0. Modes of Failure of Tunnels and Shafts can fall from tunnel roof.0 in.). due to excavation combined with access to air and water ure mechanisms observed during construction may be can soften and cause slaking in such beds in hours or days present throughout the operating life if not properly con. The shear strength of a joint depends on a num- standing of the forces of nature working in a tunnel envi. can be close to that of the adjoining materials. and friction is often greatly reduced. detrimental groundwater drawdown or damage due to set- tunnel grade elevation must be established with some preci. such that they lose most of their tensile and shear strength trolled. Other secondary considerations tunnels left unlined or with insufficient ground support. This dis- cussion is not exhaustive because combinations of natural (d) Joints and fractures have no tensile strength. Tunnel and shaft failure modes during struction and avoids accumulation of water in depressions construction. Accurate grade also provides better drainage during con. minerals. Because the or shaft is unlined and may collect small pieces of rock or excavation of a tunnel results in a general unloading of the debris. the tolerance on the the tunnel is largely a matter of geometry. but some of them may apply to finished design and construction. wall. forces and the effects of construction can lead to events unless they have been healed by secondary deposition of that cannot readily be categorized. or face. ±25 mm (1. local roughness. sion to maintain the hydraulic properties of the facility. The hydraulic requirements examples of failure modes are encountered primarily dur- of underground structures are of primary importance to ing construction. It is com- the earlier subsection on tunneling hazards (flooding. Some construction failure modes were discussed in and participate in the formation of rock falls. The first set of 6-11 . infilling (if any). For a cast-in-place lining. during construction. lined tunnels. this tolerance is often irrele. Failures waviness on a larger scale.5 in.) for large tunnels. others more related to the mechanics and chemistry days after excavation. and so that it will not enter turbines or valves. Surface irregularities often poor or nonexistent. For a precast segmental one-pass lining. and if these causes are (e) One discontinuity across or along the tunnel can- understood. ronment is helpful in preparing for design work. provided the tensile and shear strength of the discontinuity. a.) for relatively short (1) Failures controlled by discontinuities. If a tunnel roughness and other surface characteristics. It is convenient to distinguish between modes of failure (c) Shaley beds in a sandstone or limestone formation that occur during construction and those that occur some. or face. tlements are discussed in Section 5-14. or larger tolerance for the finished cast-in-place tunnel is often set at discontinuities.5 percent. depending on the orientation of losses. such as (1) Construction tolerances. however. mon in such bedded formations to experience rock falls gases). tunnels. Grade tolerance for the finished tun- nel is usually set at ±13 mm (0. Other requirements.25 in.5 percent is usually acceptable. The centerline bedding planes.) or more can usually be not they will separate or shear and cause a rock fall into accepted. a maximum out-of-roundness of (b) The tensile strength across a bedding plane is 0. or shears that may form zones of ±25 mm (1. Failure of environmental nature. an under.0 in. The shear strength. weakness. With open-channel flow. up to ±150 mm (6 in. A greater tolerance is given. the potential exists to discover them ahead of not form a block that will fall from the roof. for constructibility reasons.). lining thickness is not less than designated. and of the inside diameter can be set at 0. of rock masses are discussed in this subsection. the bedding plane relative to the opening. Therefore. to tunnels (a) Rock masses are usually full of discontinuities. as well as joint (2) Unlined sections may need rock traps. These are planes of weakness where the rock vant for functional purposes. fractures and joints. They all have underlying causes. inundation with water and silt to merely disfiguring cracks. wall. depending on the normal stress across the plane. and the presence of water. Whether or tolerance. However. bed- ding planes often participate in forming blocks of rock that 6-3. EM 1110-2-2901 30 May 97 j. the strength of the joint wall of tunnels and shafts range from collapse or complete (affected by weathering).

6-12 . causing rock falls loose block. gravity can help cause a cantile. However. Examples of discontinuities (in part after Proctor and White 1946) (Continued) It usually takes three intersecting discontinuities to form a unfavorable fractures through intact rock.EM 1110-2-2901 30 May 97 Figure 6-6. and stress shows several examples of how fractures and bedding concentrations around the opening can result in other planes can affect tunnel stability. Figure 6-6 vered block to fail by bending or tension. even with only two (sets of) discontinuities.

EM 1110-2-2901 30 May 97 Figure 6-6. (Concluded) 6-13 .

one or more joint sets are reach a distance of one to several meters. Examples are massive (a) Before excavation of an underground opening. These rocks clay. may yield without losing coherence while the yield display few. each set known before tunnel construction. if any. these effects greatly increase the opportun. spaced such that. are presented below. weathering can have a profound effect not only on fied in many ways. then an (4) Interlocking rocks. (b) If the rock is overstressed. it will yield or fail. behaving similar to a (3) Moderately and highly jointed rocks. were formulated originally by Terzaghi. intended for the design of steel sets.. Joints and other often seen at roughly right angles to the bedding planes. marbles. the igneous rocks. shales. the zone of damage can osity. noted. largely the result of tension fracture from cooling soon after original deposition. On this basis. intact rock may be described as rock in which discontinuities are (7) Rock failures affected by stresses. An opening that would otherwise have squeezing conditions. joints. A plastic. Schistose ductility. The Karawanken case history (see been stable could require considerable ground support due Box 6-1) is a dramatic example of tunnel collapse in a to effects of poor blasting. which may or strength that might have been available and reducing the may not be interlocking. As earlier (h) Jointed and otherwise flawed rocks can be classi. Blocky and seamy ening and weakening of the rock mass. fault gouge. (i) For purposes of underground design. jointed rock assessment can be made of the probability or frequency of masses can be moderately or highly jointed. A fractured crossing the tunnel may number 10 to 100. fault zone. excess stable with a minimum of ground support. shale). Missing in these descriptions is an indication of the degree of alteration and weathering.g. strength. Joints often 6-14 . The effect of the increase or metamorphosed rocks with distinctive layering. but the joints potential rock falls. ductile rock (e. in strength is high. These recommen- dations are found in Chapter 7.EM 1110-2-2901 30 May 97 (f) If orientations and locations of discontinuities were come in patterns. this is often called blocky or very blocky. and sedimentary rocks that have been left largely Excavation will reduce or eliminate the stress normal to the unaffected by tectonics. rocks are typically metamorphosed rocks with layers or planes of weakness that are often greatly contorted. with one to three sets of joints. where in tangential stress depends on the strength of the rock. while at the same time increase the sandstones sometimes qualify. on the average only about three to five discontinuities intersect the tunnel. limestones. Stratified rocks are sedimentary trations around holes in plates. Examples are some basalts. Recommendations for ground support based on conditions for tunneling purposes. For a long tunnel. rehealed. Interlocking. bedding plane weaknesses. With poor. with an idea of the spacing or frequency of the discontinuities. a rational determination are tight and contorted such that their inherent shear can be made of the need for ground reinforcement (e. Fault zones often contain rock that has been Combined with the stress reduction due to the excavation completely sheared into a silty or clayey material of low- of the opening. stresses in the tangential direction through stress concentra- tion. blasting energy at the perimeter will cause damage to the surrounding rock.. stability of blocks could containing mostly subparallel joints but the joint sets in theory be predicted using graphic techniques or block intersecting each other at angles. an effect similar to the development of stress concen- (2) Stratified rocks. jointed rock is often (g) When tunnels are excavated by blasting. welded tuffs the form of systematic or spot rock bolts or dowels) and and rhyolites. This damage manifests itself as a loos. Interlocking.g. its bedding planes are potential planes of weakness. the fractures are sometimes partly shear strength. or quartzites with widely spaced stresses in the rock mass are in a state of equilibrium. thus eliminating any tensile mostly chemically intact fragments of rock. and other rock masses where the jointing is the most effective orientation of such ground support. This consists of mechanical effect of the blast. not feasible. These kinds of rock are theory (Goodman and Shi 1985). but joints zone sheds load to deeper. Such gouge is often responsible for ity for rock falls. If only orientations are known. (6) Shattered or crushed rock. The blast will also create new fractures. Terzaghi's classification of rock strength. In sedimentary rocks. dolomites. Additional comments these descriptions. (5) Blocky and seamy rocks. rocks combine jointing with weak bedding planes or schist- uncontrolled blasting practices. and wall of the opening. unyielded rock. planes of weakness may open temporarily or permanently due to the pressure of escaping gases or the dynamic. One method of classification is the strength of the joints but also on the intact rock described in Section 4-4. and the stress distribution in the surrounding rock.

2 m advance per round. during which water and fines were permitted to drain from the face. 2.8-3. releasing about 4. The tunnel traverses a variety of sedimentary rocks. In some poor areas. 1. the failure might have been prevented by grout injection into the entire width of the fault zone to make the zone impermeable and stable. 3028 a crown borehole releases a water inburst. Case History: Karawanken Tunnel Collapse The Karawanken Motorway Tunnel between Austria and Slovenia was built in 1987-91.6 km long. and conglomerates. and careful remining. Ground support consisted of shotcrete varying in thickness from 50 to 250 mm. 3010. Jan. Excavation was by blasting methods.000 m3 of water and material. 3. constructing a bypass. Dec. 3028. pulling 0. EM 1110-2-2901 30 May 97 Box 6-1. This hole caves and delivers 200 m3 of material. The causes of the failure were diagnosed to be a combination of at least the following factors: 1. 1.5 m with each blast. open slots were left in the shotcrete application at the crown to permit displacements and rock relaxation. 4. followed later by an additional 400 m3 of material. 23. close by the Slovenia-Austria border and near the greatest amount of cover. Wide fault zone consists of crushed dolomite with sand and clay joint infill. Jan. Here is an abbreviated version of the series of events (see figure). A contributing factor was the lengthy New Years break. two benches were employed. Reference: Maidl and Handke (1993). 8: The caved 500-mm hole is reopened by a small explosives charge. two exploratory borings encounter water. 2. using horizontal bore holes from the face of the tunnel. 5. Later on the same day the face collapses suddenly. 4. Jan. relief drainage. If the potential seriousness had been recognized in time. clay shales. carrying 150 m3 of material. The collapse occurred at Sta. Dec. The strata are severely folded and cut by a number of fault zones. Remedial measures consisted of placing a concrete bulkhead in the tunnel. This tunnel experienced a very large collapse during construction in 1988. The tunnel is 7. and large quantities of water and sand are released. supplemented with rock bolts and steel mats as well as steel arches. The construction procedure relied upon stabilization by pre- drainage. ranging from dolomites and limestones to marls. with a crown heading followed by bench removal at 80-150 m from the crown face. Later a 500-mm drainage hole is drilled. Strength of the rock mass is reduced due to water softening. with a 90-m2 cross section and a maximum cover of nearly 1 km. Supporting pressure at the face was removed by excavation. 1989: Recommence driving after break. 27. placing a 5-m-thick ring of grout by injection. Removal of sand and clay material from the joint fillings result in loosening of the rock mass and loss of confining pressure. 3. 7: At Sta. Where squeezing ground was encountered. This is followed by more water and material inburst. 28: Five relief holes carry 60 l/s of water but soon collapse. high water pressures (up to 35 bar). based on a rock classification system. and reduced confining pressure. 3. 5. 1988: At Sta. 6-15 .

when it occurs. held in place by a nominal support of dowels or $ Stress gradient. if $ Effect of fractures on strength and ductility. Just like a frictional soil material. Properties other than the rock (e) On occasion. rock bursts. between induced stress and rock strength. pressure increases so rapidly with distance that a little local and loads on a lining can approach the overburden pres- yielding tends to stop the process of failure. or squeeze has already been discussed. In a soil. which depend on in situ stresses pieces of the rock fall off. stress relief combined with drying and wetting. A very strong rock can store up a great deal of elastic energy before it breaks. resulting. rock strength. Zero at the out change in water content. in occasionally (g) Box 6-2 shows a method of assessing modes of violent rock bursts. and the distance from the with time can result in the loosening and removal of sev- advancing face of the excavation. the highest stress concentrations zones with altered or weathered material of low strength. not the fractured rock is not held by a nominal force. here such stress conditions can lead to that the strength of a massive rock affects stress-controlled buckling. which can be calculated just as shotcrete. one type of increases with the confining pressure or the minimum stress-controlled failure is squeezing. Slaking is greatly accelerated if water is permitted to enter the latent fractures of the rock and $ Rock strength. At great depth where the stresses are high. A stronger. On the other sure. will den stress to rock strength ratio. the sharper the of a shield. This is a phenomenon brought about by the (f) Stress effects. or if the induced stress is undetermined. stronger rock. with- pal stress is the pressure in the radial direction. the strength (h) As discussed later in this section. $ Rock modulus and ductility. tures. six times the undrained shear strength of the clay. the operating parameter is the ratio means of laboratory tests. This is a slow or principal stress. marly layers in a limestone can slake when exposed to air and moisture. failures such as spalling. On the other hand. the in situ overbur.EM 1110-2-2901 30 May 97 rock. more rock gets exposed. The risk of slaking can be assessed by measured. may tend to loosen. Here the (8) Failure modes affected by mineralogy. the minimum princi. fractured rock mass usually depends on the confining pres- sure. 6-16 . then. when the overburden pressure exceeds about curve. this would be lik- wall of an unlined opening. tangential stresses induced over the strength also can result in failure or unacceptable behavior. In a rock tunnel. and it lowing factors: appears in the tunnel as loosening of flakes or chunks of material. can be very extensive. stress gradients are small and stress fracture. but here the confining fault-zone material can result in a great deal of squeeze. rapid encroachment of rock material into the tunnel. the intact rock strength can be soften the rock. low-stress concentrations are often found around flat surfaces. (c) Saturated clay-like materials. As $ Induced stresses. such as the lower cor. brittle rock will fracture and spall. then. squeezing conditions are often found in fault (d) As it turns out. The concept between the strata. hand. Box 6-3 describes various manifestations of (c) The strength of intact rock as well as that of a stress-induced failure based on rock type and rock strength. resulting in a stress-controlled raveling situation. the more rapid the increase in confining pressure. crown of a tunnel will help confine blocks of rock that might have loosened in the absence of such a confining (b) Poorly consolidated shales or marls or shaley and stress. also measurable. perhaps with some fresh fractures. when unloaded. slaking and opening shape. pieces measurable and barely possible to guess. Around an opening. depend on (at least) the fol. may yield with small displacements along frac. such as flat roofs or floors (inverts). $ Effects of stratification. sometimes partly controlled by bedding. and rock quality. often generate negative porewater pressures (suction). eral feet of rock. as discussed in Section 4-4. a low-strength ners of a horseshoe-shaped opening. failure based on induced stress level. the induced stresses. again shedding load to more distant. are usually at the sharpest curves. This is exacerbated in a (a) Some modes of failure in tunnels are largely rock formation that is horizontally stratified with little bond controlled by properties of the intact material. it increases rapidly when the ened to the squeezing or flow of a soft clay into the face wall curves but not when it is straight.

it is conceptually accurate.9-1. 0. These materials will absorb water either from the air in the saturated clay in the underground is an entirely different tunnel or from distant regions in the clay mass. Range 0. and continuity. Experience shows greater than the overburden pressure. Range 0.92 for soft or weakened joints) F3 = factor for joint orientation. these tests are useless for the purpose. but that flaws in the rock mass will permit relaxation of high stresses. Range 0. The effect of flaws is assessed using a modified RQD.8 for poor blasting) F5 = scale factor. leading to the potential for other modes of failure.0 for very wavy. however. in theory. This is possible that the amount of swell of a clay or clay shale depends on because these types of overconsolidated clays are usually the degree of cementation between clay particles. Assessing Mechnaical Modes of Failure 1. random. defined as the ratio between maximum tangential stress induced around an opening (calculated by closed solutions or numerical methods) and the unconfined compressive strength of the intact rock. favorable. and standard swell tests the types used to predict swelling of unsaturated clays at performed on unsaturated samples can be useful. If unsupported. can be predicted halted but will result in lining pressures. However. The method requires the calculation of the stress/strength ratio.0 for TBM tunnel.0 Ratio: Opening span/Joint Spacing <4 4-10 10-30 >30 Factor F5 1. These can be more prone to swelling or clay-shale has often been attempted using swell tests of than are the saturated materials. Range 0.96 0. tical stresses. As most such charts. resulting in phenomenon than the swelling of an unsaturated clay at the swelling. and discontinuous joints) F2 = factor for joint aperture and infilling.85-1. function of ratio between opening size and joint spacing. The method is based on the premise that massive rocks subjected to high stresses will suffer stress failure.0 (1. Behavior of Strong and Brittle Rock Based on RQD and Induced Stresses The following method of assessment was developed for nuclear waste repository design (Schmidt 1988) and is applicable to brittle. jointed.92-1. Such the tunnel profile. a jointed rock mass with joint blocks that are not interlocking (most tectonic joints) would most likely display a larger region of structurally controlled behavior. unfavorable. and most igneous and metamorphic rocks.0 0. hard and fast general rules have not yet been established.88 0. EM 1110-2-2901 30 May 97 Box 6-2.8-1. such as basalt.9 to 1. When the ground surface. if lined. and joint wall quality. such as quartzite. because the swelling of a 6-17 . where F1 = factor for joint expression on a large scale (waviness).85 The figure shows the predicted types of ground behavior based on stress/strength ratio and modified RQD.0 F4 = factor for blast damage.0 (0. Range 0. the clay mass will encroach on surface. on a small scale (roughness). For example. but the bounds between regions of behavior are imprecise and subject to judgment. Tertiary clays in by soil-structure analysis. but the necessary data to perform Europe have been known to produce lining pressures these analyses are difficult to obtain. interlocking rocks. rough. subjected to in situ horizontal stresses greater than the ver. welded tuff or rhyolite. marble. as follows: Modified RQD = RQD F1F2F3F4F5. (e) Unsaturated clays or clay-shales are sometimes (d) Prediction of swelling pressures in saturated clay found in tunnels.0 (1. as well as other massive or jointed rocks. the tendency to swell will be underground swelling pressures.

they can ularly in tunnels with a flat floor (horseshoe-shape) and generate substantial swelling pressures. is excessive floor heave. popping (joints. 6-18 . intact rock) 16 110 hard. welded tuff. potash · Swelling of anhydrite (up to 2 Mpa swell pressure with access to water) · Dissolution of soluble materials Note: Approximate lower limit for violent rock bursts: 18-24 ksi (125-165 MPa) such materials are exposed to water during tunneling or (f) A common failure in weak. behavior are accelerated by preexisting fractures (common This type of failure is the result of several factors: in such materials) or fractures resulting from excavation and stress redistribution.7 weak clay shale swelling when cementation destroyed 0. gabbro rock bursts 32 220 granite. shaley rock. The Peace River diversion tunnel $ For most in situ stress conditions.06 0. most igneous rocks. Manifestations of Stress-Controlled Failure Unconfined Compressive Strength Typical Rock Types Overstressed Behavior ksi MPa For Massive Rock For Jointed Rock 64 440 dense basalt. partic- due to leakage from the tunnel after completion. shale squeezing swelling accelerated by slaking of poorly water access to joints cemented shales 0.13 0.4 marl. sedimentary. hour-glass pillars 8 55 schistose rocks flaking 4 28 phyllite 2 14 lower density sedimentary. violent regional. breakouts in boreholes gneiss.8 weathered and altered rock ravelling of fissured clays 0. slate spalling. limestone spitting.EM 1110-2-2901 30 May 97 Box 6-3. local diabase. dolomite.25 1. stress slabbing chalk 1 7 tuff slow slabbing 0. strong metamorphic lesser rock bursts combined failures marble. dense.4 hard clay yielding of nonfissured clays Other effects: · Stress-induced creep in halite. Assessing Mechanical Modes of Failure 2.5 3. a flat floor case history (see Box 6-4) is an illustration of the effect of results in very low vertical and often high water on a silty shale. quartzite. Such modes of high in situ horizontal stresses.

The material is prone to slaking and weathering when exposed. limestone is also subject to anhydrite or shales containing anhydrite absorb water. EM 1110-2-2901 30 May 97 Box 6-4. In a construction situation. 11. When such mate- $ The floor is subject to construction traffic. three diversion tunnels through the left abutment were proposed. the concern is more for the likelihood of encountering voids and caverns than the (9) Effects of water. Most excavation was by roadheader. joint fillings and crushed fine materials in faults and shear zones (b) Some rocks or minerals are soluble in water. sidence or irregular loading and loss of support for tunnel lining and the ground support system. 5. Shotcrete in the roadheader section was generally sound. Water Piping phenomena are common in soils. and a test chamber in the shape of a truncated cylinder. in 1928). it was then pumped dry and inspected. Ground movements in the dry crown were about 0. (a) As discussed earlier. After completion. with unconfined com- pression strength 6 Mpa (900 psi) and modulus 3-4 GPa (440-580 ksi) perpendicular to bedding. and 45 m long was excavated.160 ksi) parallel to bedding. These include. Below the water line. The chamber is at a 107-m depth and connected to the canyon wall through an adit. where it caused softening and swelling. Peace River For the Site 3 hydroelectric project in British Columbia. multipoint extensometers. watertightness of the tunnel. but in the wet zone. Removal of $ Seepage water finds its way to the floor. Voids can cause surface sub- the floor material. caused the failure of at least one major dam (San Franciscito Dam in California. causing the gypsum cement in a sandstone by seepage water has swelling. where backward can contribute to many other modes of behavior and erosion by seepage water can cause failure of dams and failure. Ground support included two layers of fiber shotcrete and tensioned resin dowels spaced 2 m. particular attention must be paid to the causes softening in the presence of water. and resulted in displacement and spalling of shotcrete. dissolution. In this case. for about 2 years. The diversion tunnels are to be designed with a circular shape and a cast-in-place concrete lining over the initial shotcrete support. Conclusion: Shotcrete-shale bond was a problem if the shotcrete was not applied quickly. horizontally bedded silty shale with about 10 percent smectite. modes of behavior such as swelling and slaking. as are steeply dipping relaxation joints parallel to the canyon wall. 7. Bedding plane fractures are common. more so in the blasted than the mechanically excavated parts. The chamber was instru- mented with convergence gages. Confidence in the behavior of the soft shale was not great. prolonged effect of dissolution on the tunnel structure. groundwater contributes to (d) Flowing water will erode unconsolidated material. Reference: Little (1989) horizontal stresses in the floor. bounded by clean joints parallel to the tunnel wall. Cores were taken. had remained virtually unchanged and sound. The chamber was successfully excavated and supported. most notably. conducive to swelling of and accelerating dissolution. In rock masses. which rials are present. the shotcrete was badly cracked and spalled. The geologic material is a Cretaceous. and stress cells. ground movements amounted to 50-120 mm. Swelling also occurs when geologic materials such as (c) In the longer term.5 m deep. resulting in loosening and potentially collapse (see 6-19 . are particularly susceptible. prolonged water flow out of joints and shear zones can Moving water will carry away salt and gypsum in solution cause serious weakening of the rock mass by removal of and leave behind voids that can cause increased water flow fines. 6-8 Gpa (870-1.1 m wide. the chamber filled with water. but in the blasted section up to 65 percent of the shotcrete was drummy. Case History: Diversion Tunnel in Soft Shale. and drummy throughout. halite (rock salt) and gypsum. which remained dry. Water found its way through cracks and voids in the shotcrete into existing and latent fissures in the shale. using heading and bench.3 mm. Two block falls of 100-150 m3 each had occurred.5 m high. and shale from the wet zone was found to be soft and fissile. Shot- crete in the crown. with minor shrinkage cracking. but part of the adit and part of the chamber were excavated by con- trolled blasting. excavations as well as cut slopes. however.

result. or creeping ground. plying a confining pressure for the rock mass. $ Shear failure from local block load or load from a tions and actions of shotcrete support. but a more-or-less uniform loading from squeezing. If Austrian Tunneling Method (Section 5-5). port. to be followed by subsequent installation of a final especially if existing flora or operating wells are dependent lining (whether by cast-in-place concrete or additional on maintenance of the groundwater table. and bending to withstand local of the flowing water. prevents smaller fragments water on the strength of intact rock and joints. when applied to a seam of squeezing material. sometimes a combined slaking. others from properties and ing out joint fillings. the tunnel is unlined or supported only by rock bolts or dowels. (f) Inflow into tunnels will tend to drain the rock mass (c) Where shotcrete is a part of initial ground sup- and any overburden. minimum thickness of 50-75 mm: $ Compression failure from excessive external uni- $ Sealing coat to prevent atmospheric deterioration. (a) Before reviewing failure modes for shotcrete ground support. An $ As a compression arch or ring. or the action of form- in a tunnel concrete or shotcrete lining that permit the ation water. usually initiated (10) Particular failure modes for shotcrete. $ In combination with rock bolts or dowels. imperfections in its application. This also happens if there are cracks nonuniformities of the rock mass.EM 1110-2-2901 30 May 97 Box 6-1 on the Karawanken Case History). Lowering the shotcrete). Often the mucking $ Provide some degree of water inflow control. espe- cially when the water brings in fines. 6-20 . $ Shear failure resulting from loss of (or lack of) bond between rock and shotcrete. (e) Inflow into tunnels loaded with silt and sand will cause maintenance problems for dewatering pumps. system. The (g) A particular type of failure mode applies to water principle of controlled deformation of initial shotcrete tunnels in which the water pressure fluctuates. by inhibiting ground motions and sup- can seriously hamper placement of invert segments. the shotcrete Excess water can also affect the electrical system and acts to retain and improve the strength of the rock mass cause corrosion of tunneling machinery. especially if the and to help in creating a self-supporting ground arch in the water is saline or otherwise corrosive. More than one power water tunnel has failed by collapse in this way. bending and compression failure. ing shield joint will cause wear in the joint and may destroy waterproofing gaskets. rock mass. and water with fines escapes the system. pro- vided they do not impair the safety of personnel. eventually clean. shielded TBM often suffers problems when inflows exceed swelling. drying. This. such as in support is discussed further in the section on the New power tunnels with surges and water hammer effects. several tens of liters/second (several hundred gpm). the hydrostatic pressure reducing the effective stress across joint surfaces. seams subject to squeezing or swelling). from falling and start a raveling sequence. is overloaded by the water. and gouges. joint fill. bond. Contributing $ Prevents blocks of rock from falling out by shear factors in such situations are the weakening effect of the and bond strength. may be unacceptable. by nonuniform loading combined with an incom- plete ring of shotcrete. Some examples follow: flushing of joints. Shotcrete as initial unconsolidated materials. ings. the fluctuations in water pressure can result in (d) Some failure modes of shotcrete result from water flushing in and out of rock fissures. trol. As an example. form or nonuniform load. wetting. swelling. in itself. required. silt deposited in a telescop. and the seepage forces $ By shear. to withstand open TBM is not greatly affected by water inflow. and even significant flaws can be tolerated. it is useful to recapitulate the various func. Silt deposited in the invert (b) Overall. forces or forces of limited extent (local blocks. resulting in ground support can be repaired and even replaced as unacceptable surface settlement. performance requirements are less stringent than groundwater table can also result in consolidation of when shotcrete is the final support. provide ing in deposition of fines at locations where they will be overall stabilization and ground movement con- troublesome. especially soft clays. whether by rail cars or conveyor.

bolt face plates can (f) The case history in Box 6-4 shows failure modes fail by overload in the metal or by punching failure into of shotcrete exacerbated by fractures in the shotcrete and the rock. bringing down one or several bolts with it. or they may including overburden and weathered rock. or yield can occur along the bond resulting from plugging of geofabric strips and between grout and rock. generally not are considered to perform acceptably as long as there is no subject to analysis but usually controllable during applica. bond) may be acceptable as long as the ing loosening of the rock mass and increasing the rock rock mass is coherent and deformations are under control. Second. or mud. improper anchoring). raveling. Sometimes failure occurs due to faulty installation (insuffi- cient grout. If bolts are incomplete preparation of a wet. usually requires that form. tunnels. grout not properly set. (g) Whether any of these modes of performance have (g) Many potential modes of failure of a shotcrete serious consequences depends on the permanency of their application are functions of flaws in shotcrete application installation. much less The installation may be supplemented at any time with severely than on the crown of a tunnel. First. hazard to personnel and the permanent lining can be tion. acts on the shaft wall like on a tunnel wall. the shotcrete structure is amenable to analysis. Third. EM 1110-2-2901 30 May 97 $ Fracture due to excess external water pressure. (12) Particular failure modes for shafts. Where the shotcrete forms a structural arch or ring installed without problem. piping provided for draining the rock mass. gravity be temporary and not counted on for permanent support. common flaws are areas with too little or too much aggregate. $ Shear failure of shotcrete around a rock bolt or dowel plate resulting from excessive displacement (d) A systematic bolt or dowel installation can fail by (squeeze) of the rock mass. some modes of failure are more or less common than for plemented by metal straps. Application of shotcrete in a location with rock mass. increasing the rock mass modulus. By preventing loosening of the rock mass and by the element is ignored for final design consideration. or shotcrete. or curing. lining installation. squeezing ground. result in future corrosion. methods of additional ground support elements. permanent parts of the underground structure. they act to form a reinforced arch or beam design of the final lining. too high water/cement ratio. Any behavior mode that can capable of sustaining loads that may be uniform or nonuni. loosening. such a wedge can fall surface or one covered with grime. both initially and in the long term. (h) When the bolt installation is considered as part of the permanent installation. however. further increasing its strength and carrying capacity and (a) Because shafts are oriented 90E from tunnels. sometimes or tension in the steel. their value may have to be discounted for the a pattern. Other out. tension. imperfect applica. may still be acceptable. softening of the rock. wire fabric. Prestressed bolts induce compression in the rock mass. Yielding of part of the system placements. (11) Failure modes of rock bolt or dowel installations. this depends on joint spacing relative to bolt spacing and (e) Loss of rock-shotcrete bond can result from the degree of interlock between rock blocks. a (b) Bolt or dowel installations may be considered shaft is likely to encounter a greater variety of conditions. or block fall between individual bolts. (shear. (c) Individual dowels or bolts can fail in either shear resulting in excessive water inflow. mass modulus to hold rock blocks or wedges in place. bolts and dowels control or reduce displacement in the short or long term. The temporary installation is bonded to the surrounding medium and subject to external employed to arrest ground movements before permanent loads. In However. (e) A systematic bolt or dowel installation forming an tion of admixtures resulting in slow curing. some of these modes of failure (a) Rock bolts or dowels can control or reduce dis. dust. There are several reasons for that. partly deteriorated rock too short to anchor a large wedge. since a shaft penetrates the geologic strata in a vertical direction. reducing displacements. by prevent. (f) In a soft. shaft construction are generally very different from 6-21 . This usually indicates that the bolt length flowing water can result in washouts or imperfect bonding chosen was too short. Systems installed for temporary purposes only and local variations in geology and loading. or too thin an arch or a beam can fail due to overstress of the reinforced application. Bolts and dowels are often sup. or between metal and grout.

the plug can fracture or burst if it is too thin and cannot hold the pressure. it has to withstand an external pressure equivalent prevent flooding. Tunnel excavation serves its function for the expected lifetime. etc. or rock. Not infrequently. This type of tunnel causes the formation pressure to rise to a value incident is inexcusable. if not carefully controlled. often (b) The principal failure mode of concern for external because flowing groundwater brings caloric energy to the water pressure is the buckling of steel-lined tunnels. segmental Chapter 5. once they are dealt with. The following are a few examples of shaft failure long-term performance. perhaps carrying than the internal pressure. but as long as it between the tunnel and the portal cut. As a general rule. to the internal pressure. $ Stresses and strains are governed not so much by they pose no further threat. (13) Particular failure modes at portals. can also affect tion 5-7. the water pressure can result in failure initiation. sliding ing this pressure. concrete lining and escape of the water into the formation. A freeze-wall occasionally fails. when encountered during sinking. however. Some of the conditions loads as by interaction between the lining 6-22 . Tunnel linings in rock are externally contained. membrane must accept the full external water pressure and including slope failure on a discontinuity plane. typi- cally. the portal is also the intersection lining may crack or leak or deteriorate. Most of the modes of failure discussed above apply to the construction environment. the bottom of the shaft. deep-seated failures. Of course. When the tunnel is then floodplain must be equipped with a collar tall enough to emptied. properly. In addition to the typical viewed in terms of its functional requirements. they are different from aboveground structures for at least the b. leakage from the pressure flooding of the shaft from surface waters. or some combination. tunnel blasting performed with low energy. hydraulic jacking. it has not by blasting. if the perme. If these formation water pressures cannot dissipate (as in a gether could result in flooding of the shaft. Failure modes of tunnels and shafts during oper. Rockfalls can be hazardous to personnel (a) The failure of a concrete tunnel lining has to be moving in and out of the tunnel.EM 1110-2-2901 30 May 97 methods of tunnel construction. whether by bend. lining. can result in very failed. It is difficult to ascertain the caused by the internal water pressure and the formation quality of grouting. and ungrouted zones can be left that (and formation water) pressure on the exterior is lower would result in excess inflow of water. large overbreaks. if filled with rain water. A tunnel slope failure phenomena. lined structures. sinking the shaft and ignoring the aquifer alto. this impervious of any man-made cut into soil. solids. This (c) Grouting or freezing is often used to control phenomenon is discussed in Chapter 9. of overburden materials on top of bedrock. to the finished. talus. For these reasons. colluvium. following reasons: ation. Following are additional modes that apply. and the initial (b) The following discussion. the formation may be fractured by ability in the aquifer is sufficiently great. for the most part. also resulting in inrush of water. shafts constructed anywhere near a close to that in the tunnel. rock falls. ing operation a steel-lined pressure tunnel is not in danger due to external water pressure. as discussed in applies equally to cast-in-place and precast. (a) Internal water pressure can result in fracture of a ing failure or shear along the sides. but the empty tunnel must (d) Another shaft failure mode has nothing to do with accept the full external pressure without internal balancing rocks or groundwater but with the site arrangement: pressure. Dur- site and thaws the wall. especially if they are not dealt with mechanisms. (b) Shaft bottom failure is usually caused by water pressures. responsible for the failure modes. Portals are (c) A tunnel lining is often furnished with an imper- typically cut into the hillside and preferably expose sound vious membrane to control groundwater inflow that would rock. with the potential for tunnel damage. be supported by an internal structure capable of withstand- deterioration due to exposure. or worseCinstability of adjacent slopes or valley walls. as discussed in Sec. permeable formation). The portal cut is exposed to all of the failure modes otherwise be excessive. and (2) Tunnel lining failure caused by external loads. With an impervious plug above an aquifer at (1) Failures due to water pressure. Such failures can groundwater inflow and the effect of groundwater pressures occur if the lining is not designed for the hoop tension during shaft construction. Fractures are often opened in the ground due to the excavation. the ground surround- ing the tunnel must be carefully supported.

nonuniform load may be caused by strati. EM 1110-2-2901 30 May 97 structure and the ground requiring compatible $ Excess side pressure on walls of horseshoe-shaped displacements. $ The usual circular shape is inherently strong and The vulnerability of underground structures is examined in forgiving and. slope failure at a portal or in the form a mechanism of instability. In most cases. and Portals tain the stability of the arch. pressive failure in bending (rarely by uniform thrust). This can $ Except for water pressure. tures was demonstrated during the 1986 Mexico City earth- ture from the inside face due to bending does not quake. or ovalizing (racking). Nonetheless. The good performance of underground struc- tunnel. or both. a. reduced a similar amount. tendencies to generate external tension frac. The response of a tunnel or shaft is either axial especially in the crown of the tunnel. (3) Ovaling may occur due to a shear wave imping- graphic or structural geologic differences across ing nearly at a right angle to the tunnel or shaft. and the bond age. combined compression (extension) and bending-maximum and minimum stresses occur at the extremities. where subway structures in soft and very soft usually penetrate the thickness of the lining. Seismic Effects on Tunnels. resists buck. however. tunnel. Shafts. Unrelieved differential hydrostatic pressures can (2) A tunnel or shaft structure subjected to axial and also exist in such void spaces during filling or curvature motions may be compared with a beam under emptying of the tunnel. $ The rock surrounding a tunnel lining is usually buildings and other surface facilities suffered severe dam- under relatively strong compression. or usually a combination of all. upon causing large distortions. In contrast. underground structures can suffer between lining and rock is usually good. resulting in gross bending of the walls or buckling of the floor. The $ Excessive or nonuniform load on a circular lining. the seismic $ Loss of support around part of the lining due to displacement waves can vary nearly randomly in space and inadequate concrete placement or contact grouting. with friction between the blocks suffices to main. sufficient to create com. the perpendicular diameter is squeezing. time. the vulnerability of a tures due to bending are greatly resisted. (c) Structural failure of a concrete lining does occur on occasion. ground went undamaged and the subway served as the principal lifeline. Box 6-5. and moments are created 6-23 . The com- pressive stress between adjacent blocks combined 6-4. When it does it is usually for one of the (1) Earthquake waves traveling through the ground following reasons: are displacement waves. horizontal or vertical curvature. loads on the lining often also result from loss of floor strut due to exces- relax upon displacement and yield. such as effects of adjacent new $ Radial fractures in a concrete lining do not usually construction. damage in an earthquake under particularly unfavorable fore. particular structure can be assessed and a design prepared that will eliminate or minimize the effects of earthquakes. conservative or following loads. they are not sive floor heave. While the tunnel section and by nonuniform swelling or one diameter is increased. with usual dimensions. Due to scattering and other effects. generally compression (P) or shear (S) waves. or rotting of timber. ling. a tension frac. Horseshoe and other shapes are not as for- giving. dissolution. There. washout of fines. or due to compression or extension. arches without bonds between blocks. which the dynamic motion is superimposed. even with a substantial external load. $ External factors. resulting in uneven loading and support. Effect of earthquake shaking on tunnels and shafts. resulting stresses depend on the initial static stresses. once power was restored. often also for other shapes). conditions. witness voussoir vicinity of the tunnel. It is generally acknowledged that underground structures are inherently less sensitive to seismic effects than surface $ Because of net hoop compression (in a circular structures.

breaking of support timber. the bolts create a compression 6-24 . These structures remained essentially intact and passable after the seismic event. however. though violently shaken. and a few bricks and pieces of plaster loosened and fell. with surface Mercalli intensities of X to XI. or tangential to the rock sur. squirt- ing of water out of fractures during the earthquake motion. destruction was nearly 90-percent complete. Damage was noted mostly at weak spots. Production drifts in the coal mines. the tunnel remained intact and passable. Damage to underground structures. pumps and transformers in the underground were damaged. the mine openings. with an unreinforced concrete floor. showed little permanent damage. People in the mine corridors were thrown into the air up to more than 0. Beyond this range. indicating accelerations greater than one g. higher than the typical frequency band of seismic waves. or existing stresses. but on the whole. because to a tunnel supported with spot bolts and occasional shot- the resonant frequency of an underground opening is much crete support. with up to a 10-mm crack width. and where amplifica- tion can be large. Studies suggest that dynamic stress amplification at the (6) Where a pattern of tensioned bolts has been tunnel opening generally gives stresses that can be up to 10 applied as ground support. was relatively minor. Blocks of rock that compression) is small. This is occur at four points around the opening. The concrete floor of the pump station at a 30-m depth heaved up to 300 mm and experienced a crack 10 m long. It occurred in an industrial area with several coal mines.2-2. outside surface of the lining. Rail cars tipped on their wheels and lifted up to 30 deg off their rails. The first 15 m of tunnel through the clay experienced circumferential cracks 1-3 m apart and 10-50 mm wide. also occurred. the result is manifested as extension or compression (5) In an unlined tunnel. there were occasional cracks. and all miners. In contrast. There is little dynamic amplification. Tensile ference generally in compression. dust filling the air. bridges).5 m high and 1. because the seismic wavelength is almost always cracks open. designed and built for a limited lifetime through weak rocks. These transient stresses can usually are almost ready to fall can loosen and fall out due to the be considered as pseudo-static superposition on the existing shaking. were evacuated safely. such as at changes in cross section or lining material. The tunnel is 1. a horizontal crack. typical seismic wave frequency band. Similar arguments apply structure. Surface faulting extended for more than 10 km. at the inside or different from typical surface structures (buildings. Beyond this depth. whose natural frequency often falls within the face in an unlined tunnel. many transformers toppled over. The station at a 450-m depth showed a 50-mm floor heave in a 1-m area. Case History: Tang-Shan Eearthquake. some 1. they will typically close again in a fraction of much longer than the dimension of the typical underground a second. only small pieces of plaster fell off roof or walls. The inclined tunnel passes through 4 m of clay and a 62-m strata of limestone before reaching shale and coal strata.8.000 in num- ber.5 m wide.5 m traversed underground mine facilities. Down to a vertical depth of 30 m.EM 1110-2-2901 30 May 97 Box 6-5. the additional seismic stresses can occur if the initial tangential stress (usually stresses are generally inconsequential. the spacing of cracks decreased to more than 10 m. (4) Regardless of the motion induced by an earth- quake.8-2. and fault traces with displacements up to 1. without consequence. loosening and fallout of chunks of coal. located in the area of greatest surface destruction. and several hundred thou- sand lives were lost. An incline provides access to the Tang-Shan mine. Maximum and minimum stresses or 15 percent higher than pseudostatic solutions. On the surface. Performance of Underground Structures. The Tang-Shan Earthquake was of Magnitude 7. Most of this behavior occurred within a distance of some 100-150 m from the faults actually observed being displaced. and increased water flow through fractures in general. or at bases of arches. shaped to have its circum- at points around the tunnel or shaft opening. There was clearly a great reduc- tion in damage as a function of depth. Even when tension cracks occur. 20 mm wide. saw effects such as excessive loading of hydraulic mine struts. This case history demonstrates the survivability of even poorly supported tunnels and other underground openings through relatively weak rock when subject to violent earthquake motions. The tunnel is horseshoe shaped (arch and straight walls) and lined with bricks or stone blocks.3 m or along horizontally several meters. Reference: Wang (1985) around the opening. 1976. Tunnel enlargements for electrical and pumping gear are 2-3 m high and 3-5 m wide. The station at a 230-m depth experienced a floor heave of 200 mm along a length of about 7 m.

forced. secured individually. however. strategies must be planned to mitigate the effects of fault displacement. It is not possible earthquake. failure mechanism. the shear zone sufficient to prevent collapse. overdesign of the lining. they will close again after a fraction of (3) For shallow water tunnels. 6-25 . the most effective a second. Effects of fault displacement. preventing tension (2) For rail tunnels. The pipe must be supported or suspended to quick verification of the adequacy of the lining design in permit motion in any direction. in themselves. Slope stability in the b. loosened by the design must include fault displacement. relatively flexible pipe constructed within the tunnel. A ground reinforcement system of great ductility is required. if faults cannot be avoided. realign the track with acceptable lateral and vertical curves where ground motions have induced some tension in the after the event. while reinforcing the ground in and around dowels to form a compression arch. In this case. EM 1110-2-2901 30 May 97 ring around the tunnel or cavern arch. In the event that tension cracks appear on the interior surface. or shotcrete may be applied to pre- If the tunnel structure is to remain functional after the vent loosening. no consequence. pro- structure interaction and provides an upper-bound estimate viding enough space to avoid shearing the pipe due to the of strains induced in the lining. In very weak ground. A simplified method of analyzing repair and replacement may not be so easy. event of an earthquake can be analyzed using dynamic slope stability analyses. Portals are particularly vulnerable to permanent displace- ments during earthquake events. wire mesh. exterior extension is of repairs can be quickly accomplished. As discussed in Chapter 9. In a deeper tunnel. the strategy has been to build the and holding blocks in place. reasonably competent ground. and portal slopes can be rein- (1) Tunnel alignments should avoid active faults when. ground-structure interaction should be considered to avoid c. earthquake. and extension at points on the exterior and interior of the and shotcrete. tunnels in rock for seismic effects is shown in Box 6-6. lining. The method permits a fault motion. Tunnel damage is expected. Large blocks of rock loosening may be to build a structure that will resist the fault displacement. sufficient to with untensioned pattern dowels and shotcrete support. the Another potential problem is falling rocks. the tunnel may be oversized through the fault zone and a This simplified method ignores the effect of ground. Other permanent displacements of the ground. Such cracks do not usually extend through the solution may be to plan for excavation and replacement of thickness of the concrete and cannot. rock dowels. such as (7) A concrete lining will be subject to compression a combination of lattice girders. however. using tieback anchors or other devices as necessary. ever possible. form a the damaged structure after the event. Similar conditions prevail tunnel oversized through the fault zone.

usable compressive strain is about 0.<r) The maximum strain in the lining. is Emax = Vs/Cs [(3(1 . 6-26 . then the tunnel structure will conform to the free-field motion of the ground. In the free field rock mass.<r)t/R + 1/2 R/t Er/Ec {(1 . 3. The greatest/smallest strain is usually found for 2 = 45E: Emax/min = ± 0. Longitudinal Bending and Extension or Compression Obtain seismic input parameter from seismologist: Vs = maximum particle velocity from shear wave As = maximum particle acceleration from shear wave Obtain effective shear wave propagation velocity Cs of rock medium from in situ seismic survey or from relationship with effective shear modulus G (under earthquake shear strain level): Cs = %G/D where D = specific gravity of rock mass. R = tunnel radius. For a maximum earthquake design.<c2)/(1 + <r)}] where t = lining thickness. Shear modulus is related to Young's modulus Er by G = Er/2(1 + <r) where <r is Poisson's ratio for the rock mass With the assumption that the tunnel structure is flexible relative to the ground. Tension cracks due to excessive extension dynamic strains usually cannot be avoided. then. Notes Ovalizing strains are superimposed on strains pre-existing from static loads. where R = tunnel radius (strictly speaking. They will. however. shortening one diameter D by ) D and lengthening the orthogonal diameter by an equal amount. Ec = concrete modulus. generally close again after the seismic event. Seismic Analysis of Circular Tunnel Linings (Continued) 1. R = distance from extreme compression fiber to neutral axis) and 2 = angle of incidence of seismic shear wave.35 AsR/Cs2 - 2. the shear strain can be approximated by ( max = Vs/Cs. and an unlined hole driven through the rock mass would suffer an ovalizing distortion of )D / D = ± ( max (1 . <c = Poisson's ratio for concrete.EM 1110-2-2901 30 May 97 Box 6-6. Tension cracks can be reduced in size and distributed by appropriate crack reinforcement. extension) strain of the tunnel structure is Emax/min = ±( Vs/Cs) sin 2 cos 2 ± (AsR/Cs2) cos3 2.003. Ovaling or Racking A seismic shear wave impinging on a circular tunnel structure at a right angle will cause the structure to rack or ovalize. and the maximum and minimum (compression.5 Vs/Cs ± 0.

0.33) x 1/662. Er = 7200 ksf.5 x 3.6 x 32. Tunnels through stronger.2/1360 (1 .400)] = ± 3.33)(8/120) ± 1/2 * 120/8 * 7200/ (1 + 0. Vs = 3.6g.400 ksf.2/1360 (0.134 + 0. t = 8.003 .33) = 0.0. Cs = 1360 ft/sec R = 10 ft.000037 = ± 0.<c2) = 662.2/1360 [3(1 . Ec/(1 ..0 in.33 1.ok This example is for a concrete tunnel through a weak. (Concluded) 4. <r = 0. Reference: Wang (1985) 6-27 .003 .122) = 0. EM 1110-2-2901 30 May 97 Box 6-6.0031 Emax/min = ± 3. Ovalizing: ) D/D = + 2 * 3. Circular Tunnel in San Fernando Formation As = 0. Longitudinal: Emax/min = ± 0. soil-like material.00118 ± 0.00122 < 0.Los Angeles Metro.0006 < 0.2 ft/sec.ok 2. Example .35 x 0. rock-like materials would be subjected to lower seismic strains.2 x 10/13602 = ± 0.2/1360 ± 0.

2005 (Standard Practice for ShotCrete) provide additional details on these types of ground support. Deere et al. ground support was always selected numerical rock load estimate. be used in conjunction with methods of excavation and support that tend to minimize rock mass disturbance and The fundamental approach. ber blocking used with ribs permits some displacement of based on one or more postulated modes of the rock mass. Bieniawski 1979). Joint pattern (average joint spacing). EM 1110-2-2901 30 May 97 Chapter 7 (Barton. but are failure. the Geomechanics Classification Major faults. Because of the variability of geologic materials. considered include the following: what timbering was required. a. and one or more of these approaches should be used (2) Terzaghi’s rock load estimates were derived from an experience record that included tunnels excavated by Empirical rules constructed from experience blasting methods and supported by steel ribs or timbers. involving a definition loosening. discussed in Section 3-3. It was the first 7-2. The initial ground described the vertical and side loads on the ribs in terms of support may also function as the permanent ground support the height of a loosened mass weighing on the steel rib. and initird ground support systems are usurdly not subject to also presented separate ground support recommendations rigorous &sign but are selected on the basis of a variety of for tunnels excavated conventionally and by TBM as rules. Tiedeman. (Rock Structure Rating (RMR) scheme. There are three basic methodologies employed in shown in Table 7-2. Written rules for selecting ground Rock type. EM 1110-1-2907 (Rock Reinforcement) and EM 1110-2. Wickham. Tiedemann. (1970) correlated Terzaghi’s rock loads with approximate RQD values and b. 7-1. and Lunde 1974). recommendations are still sound and reasonable. and the tim- Theoretical or semitheoretical analysis methods. and the Norwegian Geotechnicai Institute’s Q-system 7-1 . The geologic parameters empirically. selecting initial ground support. acter or quality of the rock mass led to correlations between RQD and Terzaghi’s rock loads. Empirical Selection of Ground Support published. Terzaghi’s rock loads generally should not behavior. is also used. The development of the RQD as a means to describe the char. or as a part of the permanent ground support system. now used mainly as a check on other empirical methods. Initial ground support is installed shortly after (1) Terzaghi estimated rock loads on steel ribs based excavation in order to make the underground opening safe on verbal descriptions of the rock mass characteristics. Ground disturbance and loosening occur due to the blasting prior to installation of initial ground support. support were first formulated by Terzaghi (1946). Another classification Design of initiai Support and ground support selection scheme. and if the timbering failed it was rebuilt stronger. The RQD is also of the basis of two Type of discontinuities. the Rock Structure Rating (RSR. The Deere et design of components to mist these modes of al. Design of Initial Ground Suppott a. (1) The Rock Structure Rating system was devised by Wickham. This develop. The miner estimated. The rock mass descriptions are temporary and permanent functions. Lien. approximate fracture spacings as shown in Table 7-1. Terzaghi’s rock loads and the RQD. such as excavation on TBM and immediate of potential modes of failure and a selection or ground support using shotcrete and dowels. b. other rock mass characterization schemes used for initial ground support selection. Rock Structure Rating (RSR). and Skinner 1974). and Skinner in 1972. based on his experience. ment rdso led to independent ground support recommenda- tions based on RQD. Joint orientations (dip and strike). The The height is a multiple of the width of the tunnel or of initial ground support must be selected in view of both its the width plus the height. and folds. He until permanent support is installed. records of satisfactory past performance. shears. numerical rating of a rock mass that takes into account a number of geologic parameters and produces a In past centuries.

l C continuous support 9. B is tunnel width.2C 1.Hp Rock condition Remarks Initial Final u 1.94C 1. moderate depth ?. Gravel and sand 0054c 0“62c Dense to to 1. 1. 2. C = B + H. 75 m In extreme cases: (250 ft) yielding support Notes: 1. Hard and intact ‘~ ~ Lining only if spalling o 0 ~ ‘~ or popping @o 2.5Ht+/-/p) to to Loose 1.3y( pressure. Swelling up to Use circular support.1 c required great depth to 4.2C 1. Moderately blocky o 0.C to Heavy side pressure. 6. when above groundwater level. Squeezing. Hard :E stratified () 0.08C /%= o. If seepage.25B [”~ Spalling common or ~E schistose Ug “z - 3. 3.EM 1110-2-2901 30 May 97 Table 7-1 Terzeghi’s Rock Load Classification as Modified by Deere et al. For rock classes 4. 7. Massive o 0.35B Little or no side and shattered 0. 7-2 . Squeezing. 1970 Rock load.38C Side Pressure 0. continuous support 7.5B g ~ Side pressure if strata moderately jointed ~ ~ inclined.35C (59 5. Very blocky. reduce loads by 50 percent 2.25B g% and seamy 0.38C 8.l C pressure 6. Completely crushed Considerable side I.5C 10. y = density of medium.= width + height of tunnel. 5. some spalling ~o 4.6C l. seamy o to 0.

square foot as a function of RSR and tunnel width or tion. Rock center Combine with medium sets.6)B centers 2 to 3 in.O.3)B Poo? Boring machine Medium circular sets on 3.2)B ing ground) Conventional Heavy circular sets on 2-ft Pattern. Rock load (0. EM 1110-2-2901 30 May 97 Table 7-2 Support Racommandationa for Tunnele in Rook (6 m to 12 m diam) Baaed on RQD (after Deere et al. and method of Pattern. None to occasional None to occasional local RQD>90 Rock load (0. 1. Rock load up to center Combine with heavy 5-ft 4 to 6 in. center 1. 2-ft center. Mesh requirements usually will be zero in excellent rock and will range from occasional mesh (or strips) in good rock to 100-percent mesh in very paor rock.2) B“ application Conventional None to occasional light set. or more on whole section. 2. load (1. center. Notes: ‘ In good and excellent rock the suppd requirement will 4-ft 6 in. 2. 4. Pattern. ing) 260 ft. Rock load (1 . minimal but will be dependent upon joint geometry. center Combine with bolts. Fair Boring machine Light to medium sets. 6-ft Occasional local application Rock load (0. 2. or more on whole section. 25< RQD<50 4-ft center. 2. The construction parameters are size of tunnel. 5.2)B Very poo? Boring machine Very heavy circular sets on Pattern. RQD<25 (Excluding sets on 2-ft center. tunnel diameter. or more crown and sides 5-ft center. With the assumption that TBM excavation causes Weathering and Pattern.3-2. or more on whole section. or more on whole section 2-ft center. less disturbance. (Squeezing or swell. and 4-ft 3Jt 6 in. Rock load (1 .0 to 0.0-0.6 to 2. 3.6. in 6-ft 2.4)B Conventional Light sets 5-to 6-ft center. 2 Lagging requirements will usually be zero in excellent rock and will range from up to 25 percent in good rock to 100 percent in very Boor rock. 250 ft. on 5. Rock load (1.6 to Combine with medium sets.3) B tion 2 to 3 in. center 1. 4. B. 3. on crown and 6-ft centers tion 2 to 3 in.0-0. and relative orientations of joints and tunnel. 2. All of these parameters are combined as shown in diameter are shown on Figure 7-2. Table 7-3. Rock load up to center Combine with heavy sets. 7-3 . or more on crown and sides sets on 2. the RSR value is adjusted by the factor shown on Figure 7-1 as a function of tunnel size. Mown 50< RQD<75 6-ft center. center Combine with bolts. None to occasional None to occasional local applica- Rock load (0.O)B Very POOP Boring machine Medium to heavy circular 5-ft Pattern.3 to 0.6)B Conventional Medium to heavy circular Pattern.o)B Conventional Light to medium sets. to 6-ft 3-ft 6 in. 3-ft center 6 in.4. (2) Some of these are combined in various ways. direction of (3) Predicted tunnel arch rock loads in kips per drive (relative to discontinuities). squeezing or swell. Rock material properties. 4 B = tunnel width. Rock load (0. Rock load (0. 1970) Alternative Support Systems Rock Quality Tunneling Method steel SIXss Rockbolts3 ShotCrete Excellent’ Boring machine None to occasional Iiaht set. Occasional to pattern None to occasional local applica- 75< RQD40 tern on 5. Goad’ Boring machine Occasional light sets to pat. Conventional Very heavy circular sets on Pattern. the RSR value is the sum of parameters 3-ft 6 in.

Closely jointed 2-6 in. 7-4 . and vertical: 50-90 deg. altered.Parameter B: Joint Pattern. or open (4) The RSR database consists of 190 tunnel cross .EM 1110-2-2901 30 Msy 97 Table 7-3 Rock Structure Rating . Very closely jointed <2 in. sections. of which only three were shotcrete supported and 14 rock bolt supported therefore. Blocky to massive 2-4 ft 36 38 40 33 35 36 34 28 6. 1974) Anticipated water inflow Sum of parameters A + E? (gpm/1 . developed by Bieniawski (1979). RQD. dipping: 20-50 deg. the database only sup. Condition of discontinuities.Parameter C: Groundwater. Uniaxial compressive strength of rock. Poor = severely weathered.000 gpm 15 11 7 21 16 12 Heavy >1. c. 13 16 19 15 17 14 14 11 3. Moderate to blocky 12 ft 30 32 36 25 28 30 28 24 5. ports rock load recommendations for steel ribs. soft Decomp. Geomechanics Classification (RMR System).000 ft) 13-44 45-75 Joint Condition* Good Fair Poor Good Fair Poor None 22 18 12 25 22 18 Slight <200 gpm 19 15 9 23 19 14 Moderate 200-1. Joint Condition (after Wickhem et al. (1) This system. 23 24 28 19 22 23 23 19 4. Spacing of discontinuities.000 gpm 10 8 6 18 14 10 ‘ Dip: flat: 0-20 deg. Massive >4 ft 40 43 45 37 40 40 38 34 Rock Structure Rating . 2 Joint condition: Good = tight or cemented.Parameter A: General Area Geology (after Wickham et al. Moderately jointed 6-12 in. Fair = slightly weathered or altered. Massive Slightly faulted Moderately Intensely faulted or folded faulted or or folded Igneous 1 2 3 4 folded Metamorphic 1 2 3 4 Sedimentary 2 3 4 4 Type 1 30 22 15 9 Type 2 27 20 13 8 Type 3 24 18 12 7 Type 4 19 15 10 6 Rock Structure Rating . Direction of Drive (after Wickham et al. 9 11 13 10 12 9 9 7 2. 1974) Average joint spacing Strike L to axis Strike I to axis Direction of drive Direction of drive Both With dip Against Dip Both Dip of prominent joints’ Dip of prominent joints’ Flat Dipping Vertical Dipping Vertical Flat Dipping Vertical 1. Groundwater condition. uses the following six parameters: Orientation of discontinuities. . 1974) Basic Rock Type Geological Structure Hard Med.

ln = joint set number meters and their ranges as dependent on the reek mass condition. Ground support components include rock bolts (dowels). bers.0. water pressure tun- but not for TBM-driven tunnels. (1) The NGI Q-System (Barton. ESR = 3-5 for temporary mine openings. . an equivalent dimension is defined as the width of the underground opening. EM 1110-2-2901 30 May 97 and where immediate shotcmte application may not be feasible. 7-5 . and tempcmuy works. Figwe 7-3 shows a correlation between RMR and .0 for most civil works. The value of the rock qua- 1.20 lity index Q is determined by RSR ADJUSTMENT FACTOR Q = (RQWJ. the following values of ESR are recommended: blasting are presented in Table 7-6. The system is well suited for such conditions stations. Part B gives a rating adjustment based on the orientation of the disconti. The value of the ESR depends on the where B is the tunnel width. including tunnels where a final lining is later placed. ultimate use of the underground opening and the time of vation and support for a 10-m-wide tunnel excavated by exposure. (2) Other correlations using RMR have been devel- oped. access tunnels.25] nels). ranging from very good to very poor SRF = stress reduction factor reek. intersections of tunnels. Together. Recommendations for exca. shoterete. Setiln and Pereira (1983) produced a different correlation. where reek darnage is less nels. J= = joint alteration number nuities relative to the tunnel orientation.05 1. Part C JW = joint water reduction factor of Table 7-4 shows the generat classification of the reek mass based on RMR. the ground load.3 for minor traffic tunnels. The effect of strike and dip on tunneling is shown in Table 7-5.00 1. d. = joint roughness number parameters add up to the basic RMR value. and portals. circular). and for the two poorest rock classes.RMR/100) B ments. Lien and Lunde 1974) is generally considered the most elaborate and the most detailed reek mass classification system for ground support in underground works. RSR adjustment factor for TBM excavation where The components of this classification system are shown in Table 7-4.10 115 1.5 for vertical shafts (highest for the in situ modulus of deformation of the reek mass. (3) The RMR system is based on a set of case histo. ESR = 2-2. and tiiction based on The numerical values of these numbers are determined as RMR. the rating numbers for the five J. Part A of this table shows the five basic para. ✎ ESR = 1. surge cham- ries of relatively large tunnels excavated using blasting. Part D presents some numerical predictions of stand-up time. hydro- power water tunnels (except high-pressure tun- EM = 10 (RA4R/40 . .6 for permanent mine openings.) (J$JJ (JJSRF) Figure 7-1. applicable also for RMR <50: ● ESR = 1. major traffic tunnels. Unal (1983) presented the following equation for described in Table 7-7. reek mass cohesion. divided by the excavation sup- port ratio (ESR). wire mesh. including power steel ribs. measured as the rock load height: (2) To relate the Q-value to ground support require- Hb = (1 . ✎ ESR = 1. The Q-System for rock mass class#ication.

4 57.6 66.9 61.8 18.5 18.h 15.b 32u6 28.6 22.9 bo.8 43.3 41.0 66.7 47.4 72.7 288 73.5 56.6 29.5 55.6 13.6 33.3 41.b 35.5 51.8 22.8 26.3 20.0 65.5 26.3 55.5 69.3 59.7 16.6 22. F .3 18.b 71.7 66.7 72.k 62.7 62.8 24.8 28. EM 1110-2-2901 30 May 97 1 2 3 4 5 6 7 8 9 10 800 70 60 g % 50 .7 34.1 60. k 30.8 70.1 37.0 53.6 21.6 37.1 16.9 42.9 19.0 53. ksf 62.3 63. Tunnel arch load as a function of RSR and tunnel diameter 7-6 .9 23.7 21.7 26.7 39.9 16.2 32.9 56.o 65.6 18.2 44.rI 6?.7 30.7 49.h 24.3 29.7 3~. ~ g m 3(J x o 2 20 10 0 0 1 2 3 4 5 6 7 8 9 10 Rock load on arch.7 44.2 32.0 31.7 44.o 53.9 57.5 kg.5 61.7 35.5 3.3 b6.7 37.8 68.6 20.6 l?.6 k8.5 26.g ho.4 26.8 kg.3 24.6 20.6 48.— % :44.6 Figure 7-2.0 59.9 17.8 30* 73.7 21.

6-2 m 200-600 mm 60-200 mm <60 mm Rating 20 15 10 8 5 4 Condition of cfscontinuities Very rough Slightly rough Slightly rough Slickensided soft gouge >5 mm thick surfaces.0-0. ROCK MASS CLASSES DETERMINED FROM TOTAL RATINGS Rating 100+81 80 & 61 60 + 41 41 + 21 <20 Class No. Inflow per 10 m None <10 Umin 10-25 Umin 25-125 L/rein >125 L/rein water tunnel length Ratio: OR OR OR OR OR joint water pressure o 0. Rating 30 25 20 10 o 5 Ground. surfaces. walls.5-m span 1-m span Cohesion of the rock mass >400 kPa 300-400 kPa 200-300 kPa 100-200 kPa <100 kPa Friction angle of the rock mass >45” 35-45° 25-45° 15-25° <15° 7-7 . RATING ADJUSTMENT FOR JOINT ORIENTATIONS Strike and dip orientations and dips Very favorable Favorable Fair Unfavorable Very unfavorable Ratings Tunnels o -2 -5 -lo -12 Foundations o -2 -7 -15 -25 sloDes o -5 -25 -50 -60 C. CfASSIFICATION PARAMETERS AND THEIR RATINGS PARAMETER RANGES OF VALUES 1 Strength Point-load >10 MPa 4-10 MPa 2-4 MPa 1-2 MPa For this low range uniaxial of intact strength index compressive test is preferred rock >250 MPa 100-150 MPa 50-100 MPa 25-50 MPa 5-25 1-5 MPa <1 MPa material MPa Rating 15 12 7 4 2 1 0 2 Drill core quality RQD 90-1 Ocwo 75-90~o 50-75% 25-50% < 25% Rating 20 17 13 8 3 3 Spacing of discontinuities >2 m 0. walls. 1-5 mm.2-0. Unweathered weathered weathered Separation wall rock. surfaces. Gouge <5 Continuous. MEANING OF ROCK MASS CLASSES Class No. I II Ill Iv v Average stand-up time 10 years for 6 months for 1 week for 10 hr for 30 min for 15-m span 8-m span 5-m span 2. Continuous.5 major principal stress General OR OR OR OR OR conditions Completely dry Damp Wet Dripping Flowing Rating 15 10 7 4 o B.1-0. I II Ill Iv v Desmiption Very good rock Good rock Fair rock Poor rock Very poor rock D. No separation Slightly Highly mm thick. surfaces OR Not continu. EM 1110-2-2901 30 May 97 Table 7-4 Geomechanics Classification of Jointed Rock Masses A. 1 mm. <1 mm. ous.2 0.1 0.5 >0. Separation Separation c OR Separation >5 mm.

and similar public areas. long. CONSTRUCTION: DRILUNG AND BLASTING Rock Mass Class Excavation Rock Bolts (2o mm diem. .5-m Locally bolts in crown 50 mm in crown where None RMR:61-60 advance.5. Bolt invert.5 m where ing.5 m required. V Multiple drifts. Ill Top heading and bench 1. spaced 1. and Lunde (1974) provide 38 sup- arenas.5 m in 150 mm in sides and spaced 0. smn as possible after blasting. RMR:81-1OO Good rock.. 7-8 . spaced 2.. I Full face 3-m advance. Complete support 3 mm long. lagging and forepoling if with excavation.5. Systematic bolts 4-5 m 100-150 mm in crown and Light to medium ribs RMR:21-40 to 1. long. Commerce support after crown and walls with wire each mesh. Lien. the Q-system works very much like an expert sys- tem. lining is placed later. ing. Permanent support pressure. VERTICAL STRESS: BELOW 25 MPa. This .5-m Systematic bolts 5-6 m 150-200 mm in crown. Systematic bolts 4-5 m 100-150 mm in crown and None RMR:41-60 to 3-m advance in top head. system. IV Top heading and bench 1. spaced 1-1. Medium to heavy ribs RMR: <20 advance in top heading. spaced 1.5 m in 100 mm in sides. required. albeit with considerable (5) With all of the commentaries accompanying the variation: tables. port categories (see Figure 7-4) with detailed support recommendations.8 for underground railroad stations. Close invert.5-m advance in top head. 0. Poor rock. as enumerated in the annotated (3) For application to initial support. 20 m from face. Generally no support required except for occasional spot bolting.0. The following correlations apply. ESR = 0. multiply the ESR value by 1. Install support concur. A careful examination of all the commentaries . reveals that the system incorporates features of rock behav- ior not entirely evident from the basic parameters. from faca. with less than three joint sets: P = 2. spaced 1-1.EM 1110-2-2901 30 May 97 Table 7-5 Effect of Discontinuity Strike and Dip Orientations in Tunnafing Strike perpendicular to tunnel axis Drive with dip Dip 45-90° Dip 20-45° Dip 45-90° Dip 20-45° Strike parallef to tunnel axis Irrespective of strike Dip 20-45° Dip 45-90° Dip 0-20° Fair Very Unfavorable Fair Table 7-6 Gaomachanica Claaaificetion Guide for Excavation and Support in Rock Tunnala After Bieniawski (1 979) SHAPE: HORSESHOE.75 m with steel Install support concurrently crown and walls with wire 50 mm on face.0 Q-lB/Jr. WIDTH: 10 M. Fair rock. rently with excavation 10 m mesh. ● Permanent support pressure. Maximum unsupported span = 2 ESR Q0”4(m). with three or more adds to the flexibility and range of application of the joint sets: P = 2.0 JnlnQ-lD/3J. ShotCrete Steel Sets fully bonded) Very good rock. sports (4) Barton. crown and walls with wire required. Very poor rock. ShotCrete as 1. long.5.O.5 m in 100 mm in sides. where a final Table 7-8. II Full face 1. with occasional wire mesh.

. lattice girders. the use of steel by rock bolts (tensioned and untensioned). Thus. E 10 - a 8 PEREIRA. Res&ictions in ~he use of empirical ground support selection systems. For example. bolts installed around an arch will increase the 7-9 .CSROCKMASS RWU40 [RMR1 ing produces a favorable tunnel shape and a minimum of ground disturbance. it is recommended that the empirical systems. ysis to show the effect of rock bolts. System recommendations should be reinterpreted based on * 0 1020304050 6070809000 current methods of excavation. It is therefore necessary to examine the available wedge anafyses. shotcrete. their support.and (2) A major flaw of all the empiricat systems is that indicate the appropriate orientation of bolts or dowels for they lead the user directly from the geologic characteriza. tions.100 Failure due to squeezing and swelling conditions. observa. Rock bolt analyses. i 50 - 2 .or three-dimensional equilibrium equations. tion of the rock mass to a recommended ground support without the consideration of possible failure modes. A (2) For a flat roof in a horizontally layered rock number of potential modes of failure are not covered by (Figure 7-6). dowels. wire fiber reinforced shotcrete. the reinforced rock stays suspended. however. substitutes deformation and RMR for shotcrete. (6) The Q-system is derived from a database of (4) Similarly. etc. segmental concrete linings are not incorporated in Ihe For TBM-driven tunnels. manner. They are far from perfect and can sometimes lead to the selection of inadequate ground sup. x :60 : Failure due to overstress in massive rock. ribs with wire mesh. These types of analy- systems. Failure caused by moving water (erosion. TBM tunnel- GECUECMAN. 70 - EM. excessive leakage. (1) The simplest methods of rock bolt anafysis are the port. Correlation between in situ modulus of close to the tunnel face is difficult. 1 1 1 I . provide a means to select a ground support scheme based on facts that can be determined from explorations. Most theoretical methods of design for rock bolts. and the edge of the beam to carry a shear load. In :i similar tion. 7-3.).msively by ground movements. or shotcrete are based on certain assumptions regarding the (1) The empirical methods of ground support selection configuration of discontinuities. Therefore. Theoretical and Semitheoretical Methods e. a horizontal compressive stress devel- Failure due to weathering or deterioration of the ops within the zone of the bolts.2RMR. sis are useful when directions of discontinuities are known and can show which wedges are potentially unstable . Lmg and Bischoff (1982) developed an anal- some or all of the empirical methods and must be consid. new ground support methods and com- underground openings excavated by blasting and supported ponents must be considered. cable failure modes not addressed by the empirical Examples are shown in Figure 7-5. including the following: tensioned. consisting of the layers of rock tied toge[her to carry a moment. or and chain-link mesh. I 8 components. 1983. This enables the beam rock mass. either by active tensioning or p. and testing. I 1 -80 - /’ g. If the rock bolts are ered independently. 40 - (3) The empirical systems are largely based on ~ 30 - blasted tunnels and produce ground support recommenda- i ‘o - tions that are a function of the age of the empirical system. where the stability of a wedge is analyzed rock mass information to determine if there are any appli. Q-value should be increased by a factor of 5. friction dowels. dissolu. and cast-in-place concrete arches. or precast segments. For example.0. the application of shotcrete Figure 7-3. including dowels with wire mesh. must be applied. a. using two. EM 1110-2-2901 30 May 97 Failure due to corrosion of ground support 00 .

. . . .0 J. Discontinuousjoints ... . . Fair 50-75 D. . . . . . . . . . .. .1. . . . .1. . . . .. . . . . .e. . . . . . . . ROCK QUALITY DESIGNATION (RQD) A. . . . . . . . . Very poor O-25 B. . . . . . . . . . . . . . . . . . . . . . . . . . . . . are sufficiently accurate 2. . Fourormorejoint sets. . . .. . . .2 D. . . . . . Rough orirregular. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .0 if the mean spacing of the relevant joint set is greater than 3 m (iii) Jr = 0. . . . . . . . . some thick enough to prevent rockwallczmtact . . . . .5 E. . .. . . . .6 F. . .20 (i) For intersections use (3.1. . . ..5-1. . . . . Slickensided.. .3 c. . . Twojoint sets plus random . random. . . undulating random . . . . planar . planar . . . . .5 F. . . . . ”sugarcube.. . . etc. . . . . . . . . . . undulating . none or few joints . . . .. . . . . . . . . Onejoint set .. .. . .0 G.. .. . gravelly. . . . . . . . . . heavily jointed. . . . . . Poor 25-50 c.. . . . . . . .0 x Jn) Note: (ii) For portals use (2. . . . . . . . Sandy. . . .. . Good 75-90 E. . . . . . . . . . . . . . . . . .1. Crushed roc~ earthlike . .0 B. .. . .. . . . . . . Excellent 90-100 Note: (i) Where RQD is reported or measured as <10 (including O).. . . . .” etc .9 G. . . 90. . . . . . . . .. Threejoint sets . . . . . . . . . .. . . . .15 J. .. . . . . . .. . . . . . . . . . . . . or crushed. . . . . . .. . . . . . . . . . .. . . . . . . . . . . . . . . . . .0. . . . . . . . . . . . . . . . . . . . . undulating . . . . . . . . . 95. . . . . . . .. . . . . . . . . (c) No rock wallcontactwhen sheared H. . . . .. . . . .. . . inthat order. . . . . . . . . . planar . .. . Smooth. . . . .. . . Zone captaining clay minerals thick enough to prevent rockwall contact . . . . . . . . . . . . . JOINT SET NUMBER (Jn) A. Smooth.. . . . . . .2 c. . . . .3 D. . . . . . . . .. . . .5 Note: (i) Descriptions refer to small-scale features and intermediate scale features. . . .4 B. . .. . JOINT ROUGHNESS NUMBER (a) Rockwallcontact and (b) Rockwallcorrtact before 100-mm shear (Jr) A. . . . . . . . . . . . 100. . . .. .. . .. . . . .. . . . . . . .0. . . . . . . . . . . . . . .. . . . . . . . . . provided the Iineations are orientated for mini- mum strength (sheetlof3) 7-10 . . . .. . . . . . .. . . . . . . . . . . . Threejoint sets plus random . . .0 Jn) 3. Twojoint sets . . . . . . . a nominal value of 10 is used to evaluate Q in equation (1) (ii) RQD intervals of 5. . . . . . . . . . .. . . . . . . . . . . .5 can be used for planar slickensided joints having Iineations. ... . Massive. . . . . .. .12 H. . . . . . . . . . . . Slickensidad.1. . . . . . .0 Note: (ii) Add 1. . . . Onejoint setplus random . .. . .EM 1110-2-2901 30 May 97 Tabfa 7-7 Input Vafua to Estimate of Q 1. . . . . . . . . i. . . .. . . . . . .4 E. . . . . .. . . . . . . . . . Rough or irregular. . .. . .

.. .. . Sfightly altered joint walls. gypsum.05 >1. . etc . . . . . surface staining only . . . . . . . .66 100-250 c. . . 6. . . . . . etc. . . . .. Swelling-clay fillings. small clay fraction (nonsoft. . . . . . impermeable filling. . . .) . . . .. . . . . . . .. . i. . Sandy partides. and small quantities of swelling clays.e. . . graphite. . .0 (12-16°) J. . . . . clay-free disintegrated rock. .. .1-0. . . . . . . . .0 (25-35°) c.0 (16-24°) H. . i. . softening. locally . . Strongly ovarccmsolidated nonsoftening clay mineral fillings (continuous. . H.e. . . . .H. . . Dryexcavations or minor inflow. . . . but <5-mm thickness) . . JOINT ALTERATION NUMBER (Ja) Q. . . .. . . . . .J for description 6. considerable outwash ofjoint fillings . . . . . . . . . .. . . . . Medium or low overconsolidation. .. . . . . 1. . . . . . . .0 (-) O. chlorite. . . . . . . . . . ..or 13-20 (6-24°) 5. . . . . . . .000 Note: (i) Factors Cto Fare crude estimates. . . . . . . (kPa2j A. . . 1. . . .. . . . etc.or sandy-clay coatings. .. . . 13.1 >1. . . . .. . . . . 0.33 250-1. . . . EM 1110-2-2901 30 May 97 Tabfa 7-7. . . . . . . occasional outwash ofjointfillings . . . . . Exceptionally high inflow or water pressure continuing without noticeable decey. . .0 (25-30°) G. kaolinite or mica. . . . . . . . . . . . Tightly healed.0 (20-25°) E. . . . .12°) (c) Norockwall contact when sheared K. . increase JWifdrainage measures preinstalled. . .. Silty. ..e. . . 8 ofclaycoti~tion) . condition . . . . (ii) Special problems caused by ice formation are not considered. . . 3. . . .. . . .. .. . . . . . .5. . . . (see G. . .000 D. . . .0 C1OO B.P. . .o. . . . 4. . . . . (Continued) 4. ~ . .75 (-) B. L. . .or 8-12 (6-24°) N. . .000 E. . . . JOINT WATER REDUCTION FACTOR (Jw) Approx. Zones or bands of disintegrated or cmshed M. . . . . . . . 8. . Large inflow or high pressure in competent rockwith unfilledjoints . . . . . dacaying with time. . . . . . Exceptionally high inflow or water pressure at blasting.. . talc. Unaltered joint wails.000 F. . . i. . . . .0. Softening or low-friction clay mineral coatings. .or sandy-clay. . . 4. small clay fraction (nonsoftening). . .. . . . . . . . . .o. c5timin. .5 250-1. . .0. . . . . . . . . .. . .. . Medium inflow or pressure. clay-free disintegrated rock.. . Thick. . .. ... . .. . . . . . Zones or bands of silty. .e. . . . . . . . quartz orepidote 0. etc. montmorillonite (continuous.2-0.. . . . . . . . . . . (Shed 2 of 3) 7-11 . . . sandy particles.. . . . . . . .o (25-30°) D. . . . . . . . . . . . . . . . nonsoftening. . . . i. . . . . . . . . . . . .. . .. . . hard. . . . . . rock andday (see G. Also. 8-12 (6.0 (8-16”) (b) Rodrwallcontact be fore 100-mm shear F. water roes. . . . Large inflow or high pressure. . continuous zones or bands of day R. .2. . . . . but <5-mm thickness) Value of Ja depends on percent of swelling clay-size particles and access towater. . . . Nonsoftening mineral coatings.. . A. . . . . . . . . . . . . . . . . . J for description of clay 10. day-mineral fillings (continuous but<5-mm thic4mess). . . .

. . ..16 10-20 Note: (ii) For strongly anisotropic virgin stress field (if measured): when5~a1/a3c10. . . . . . . . . . . . . . . .7. .5 to5forsuch cases (see H).5 D. . 10-5 0. . . . . . . . . . . . . . . . .. . very tight structure (usually favorable to stability. . . . . . . . . . . . . ... . . . . . . .66 1. . . .66-0. . Heavy rock burst (massive rock). . . . . 10 B. . . . . 5@/~iftie relevant shear zones only influence but& notinters%t tieex~vation. . . . . . . Mild rock burst(massin rock) . . . . . . . . . . . . . . . . .5 <0. . This table applies to ground conditions that 7-12 . .. . . . . . . . . . . . . . . . . . . . ... . . Lowstiess. . . . . . . .. Mild squeezing rockpressure . .2. . . .. . . . . Mild squeezing rock pressure . which may cause loosening of rock mass when tunnel is excavated.. . . . . . . . . . . . . Table 7-9. . . Medium stress . .0 K. . . . . . . . . . . . . . . . . . . STRESS REDUCTION FACTOR (a) Weaknesszones intersecting excavation. . . . .5-2 L. . . . where : Cc = unconfined compression strength..reducecCand attoo.10-20 (d) Swe/ling rock:&emical swelling inactivity depending onpresence of water P. . . . . . . vefyloose surrounding rock (any depth) . . . . . . . . . . (b) Competent rock. . . . . Heavy squeezing rockpressure . . . . . . . . . . .5. . . . . High stress. . . ... . . .10-15 (Sheet 3 of 3) level of confinement in the zone of the bolts (see Fig. . . . . . . . andol anda3are themajor andminor principal stresses. .&Tt. . . . . . . . Single weakness zones ccmtaining clay or chemically disintegrated rock (depth of excavation c50 m) . Multiple occurrences of weakness zones containing clay or chemically disintegrated rock. . .>200 >13 2. . . . . . ... . . . . . . . .16 5-1o M. .EM 1110-2-2901 30 May 97 Table 7-7 (Concluded) 6. . single shear zones in competent rock (clay-free) (depth ofexcavation~50 m). . .5-10 R. . . . . . . . .5. . . . .. rockstressproblems c@l 0/61 (SRF) H. . . . . . . . . .&rc and O. . . . . . . (SRF) A. . . . . . . . . .. . . . Heavy squeezing rock pressure . . . . . . . .%c. (3) Analyses ofthistype led Lang (1961) to formu- ure 7-7). Multiple shear zones in competent rock (clay-free). . . .5 E. . . 200-10 13-0. . . . . . . . . Suggest SRFincreasefrom 2. . loose surrounding rock (anydepth) . . . . . . (c) Squeezing rmkplastic f/owofimompetent ro&utier theinfluence ofhighrmkpressure (SRF) N. . . . . . .5-2. . . . . . . . . . . . . . . .0 F. .0 Note: (i) Rdumtiese vduesof SRFby25. . . . . . ”etc. . . reduce Uc and at to O. . . . . . . . Lmse open joints. (iii) Fewm*remrds anilable where deptiof mown klowsutia@ islessthan spanwi&h. .. . heavily jointed or “sugar cubes. . . . . . .. . . .33 0. . . reproduced as of the material in the arch. .5 0. . . .<2. . . . . . . . . .. . . . . . . . . . . . . . . . . Single shear zones in competent rock (clay-free) (depth ofexcavation >50m) . . .. . . . . . . . . . . . .5 J. . . . near surface .33-0. .5 G. . . . . . . . . . . . . . . . . .2. Whenol/03> 10. . . . . may be unfavorable forwall stability) . .. . . .. . . . . . . . . . . . (any depth) . and at = tensile stren9th (Point load). . . . . . thus increasing the effective compressive strength late his empirical rules for rock bolt design. . . . . .5-10 0. .5 c. . . . .. Single weal%ess zones containing clay or chemically disintegrated rock (depth of excavation Mo m) . . .

diagonal tension. with bending and compression. it is possi- joint spacings are so close that raveling between rock bolts ble to determine the required thickness of shotcrete. considering the dynamic vents the displacement of blocks of rock that can potenti. shotcrete. the reek bolt pattern must be supplemented with standard structural calculations. It is possible to analyze all of these modes of fail. including the effect of variations of shotcrete modulus and strength with time. it is possible to reproduce the construction ure only if the loads and boundary conditions m known. loss. or bending (see Figure 7-8). strength for good bond to the reek surface and a high degree of ductility and toughness to absorb and block (4) Neither the falling-block or the arch theory can be ground movement. wire mesh. When shotcrete is used in ally fall. or fiber-reinforced shoterete. Shotcrete analyses. The shoterete. environment of fresh shoterete. Where the falling block and properties of the shotcrete. Where the shotcrete is (1) The function of shotcrete in tunnel construction is held by anchors and loaded between the anchors. ShotCrete also can act as a shell and accept radial the method of sequential excavation and suppofi such as loads. In (2) With the “falling block theory. EM 1110-2-2901 30 May 97 40 ao 10 1 1 I 1 1 I 1 ROCK MASS QUALITY Q=(~)x +) x [ $1 n w Figure 7-4. NATM. Given the dimensions of 7-13 .” the weight of a this fashion it is possible to estimate the load buildup in wedge of rock is assumed to load the skin of shotcrete. (3) With the “arch theory. tions of stresses in the shotcrete. assumed. bonding vation and as more layers of shotcrete are applied. by its capacity to accept expected to provide anything more than crude approxima- shear and bending and its bond to the rock surface. Rock support categories shown by box numbers. The shotcrete must have a high initial middle or as a one-way slab between rows of anchors. sequence by computer analyses. see Table 7-8 require more than spot bolting for ground support. it may be to create a semistiff immediate lining on the excavated analyzed either as a circular slab held by the anchor in the rock surface. and the shoterete shell is analyzed as an amh. using is likely. pre.” an external load is b. the shotcrete lining as the ground yields to additional exca- which can then fail by shear.

5 B(utg) 1.5-2 m 1.5-2 m 1. espeaally where the excavation height is — 225 m.5 m I +S 2-3 cm <lo <6 m S 2-3 cm I (Sheet 7 of 5) 7-14 .5-2 m I <lo 71.5-2 m +clm 11’ >30 B(tg) 2-3 m %0 B(tg) 1. Il.1 o 3. Smooth-wall blasting and thorough barring-down may remove the need for support.5-2 m I :10 >1.5-2 m 1.5 sb(utg) I . II +clm <lo >15 B(tg) 1.5-2 m 13 >10 >1. Iv +dm <lo B(tg) 1.5-2 m 1. 1.EM 1110-2-2901 30 May 97 Tabfe 7-8 Ground SuDmrt Reoomrnendation Based on Q Conditional Factora Type support RQD ~ SPAN of category ~ Ja ESR Support No tea 1* sb(utg) 2* sb(utg) 3’ sb(utg) 4’ sb(utg) 5* sb(utg) 6* sb(utg) 7* sb(utg) 8* sb(utg) Note: The type of support to be used in @tegories 1 to 8 will depend on the blasting technique. Il.5-2 m +clm 12* >30 B(tg) 2-3 m <30 B(tg) 1.5 m I 710 .5-2 m I +S 2-3 cm 14 >10 >15 B(tg) 1. 9 >20 sb(utg) <20 B(utg) 2.5 B(utg) 1. >6 m B(utg) 1-1. Iv +S(mr) 5-10 cm 16* >15 B(tg) .5-3 m 10 >30 B(tg) 2-3 m <30 B(utg) 1. v. v.5 B(utg) 1. Future case records should differentiate cate- gories 1 to 8. VI See +clm note <15 B(tg) 1. Rough-wall blasting may result in the need for single appli- cation of shotcrete.5-2 m 1.5-2 m 1.5-2 m 1. <30 B(utg) 1-1. VI X11 +S(mr) 10-15 cm 17 >30 sb(utg) I 710. II +S(mr) 5-10 cm <15 B(utg) 1. Ill 15 >10 B(tg) 1.

5 cm I <30 <1. v.11 +S(mr) 5-10 an 2rY >35 B(tg) 1-2 m 1.75 B(utg) 1 m I >10.5 m 1. Iv.5 cm xl B(tg) 1 m 1.5 m I +S(mr) 5-10 cm 24* >30 m B(tg) 1-1.5 m 1. EM 1110-2-2901 30 May 97 Table 7-8 (Continued) Conditional Factors Type support Mm ~ SPAN of category ~ Ja ESR Support Nowa 18 >5 >10 m B(tg) 1-1. Iv X11 +S(mr) 10-15 cm >10 >0.5 m 1.5 <0.5-5 cm I 70.5 m 1.5 m I +S 2-3 cm 19 >20 m B(tg) 1-2 m 1. Il.5 m 1.5 m 1.0 B(utg) 1 m I +S(mr) 2.5-7.0 S 2.5 B(tg) 1 m I +S(mr) 5 cm B(tg) 1 m Vlll. VI.75 S 2.5 B(utg) 1 m I + mr or clm 25 <lo >0.11. v. Il. 26 +S(mr) 5-7.5 <0.5 B(utg) 1 m I +S(mr) 5 cm <0. <30 >1. Il.0 B(utg) 1 m I +dm 22 <lo >1. Iv 23 +S(mr) 10-15 cm) VII <15 m B(utg) 1-1.5-5 cm (Sheet 2 of 5) 7-15 . See +S(mr) 15-30 cm note 40 m B(tg) 1-1. VI see +S(mr) 20-25 cm note <35 m B(tg) 1-2 m 1.5-5 cm >30 B(utg) 1 m I >15 m B(tg) 1-1.75 B(utg) 1 m I +S 2-3 cm <12. Ill +S 2-3 cm <5 <10 m B(utg) X11 +S(mr) 10-20 cm 21 >12. lx +S 2. +S(mr) 10-15 cm 420 m B(tg) 1-1.5 m I +dm <5 >10 m B(tg) 1-1. x. Ill +clm >5 c1O m B(utg) 1-1.

x >2 >0.5-5 cm 30 <5 S(mr) 5-7. +B(tg) 1 m x. v.25 B(tg) 1 m lx +S(mr) 5-7.Iv.25 B(tg) 1 m +S(mr) 5 cm >5 B(tg) 1 m lx +S 2.25 S(mr) 15-25 cm lx CCA(sr) 20-60 cm Vlll. xl 33” >2 B(tg) 1 m lx +S(mr) 5-7.5-15 cm Vlll. H. lx 27 +S(mr) 5-7.5 cm 34 <2 >0. 32 +S(mr) 40-60 cm lx. lx +S(mr) 7. +S(mr) 5-7.5 cm <2 S(mr) 5-10 cm lx S(mr) 7. +B(tg) 1 m xl <12 m S(mr) 10-20 cm VIII.30 m B(tg) 1 m 1. x. +B(tg) 1 m xl. xl 29* >5 0.5 cm <4.25 B(utg) 1 m +S 2-3 cm <5 >0. xl See 40m B(tg) 1 m Ill.5-25 cm lx 31 :1. >20 m B(tg) 1 m 11. x. xl. x. Il. Vlll.EM 1110-2-2901 30 May 97 Table 7-8 (Continued) Conditional Factors Type support RQD & SPAN of category ~ Ja ESR Supporl Notes >12m B(tg) 1 m 1. x. note +S(mr) 20-40 cm lx.5 CCA 20-40 cm lx. lx note +S(mr) 15-20 cm X11 CCA(sr) 30-100 cm Iv. xl. .25 B(utg) 1 m +S(mr) 5 cm <0.5 S(mr) 7.5 cm >12 m CCA 20-40 cm Vlll. +S(mr) 30-40 cm lx >20. +B(tg) 1 m CCA(Sr) 30-50 cm Vlll. >1.5 cm lx B(tg) 1 m VIII.5 cm xl >4 B(tg) 1 m lx +S(mr) 5-12. Iv. Vlll. +B(tg) 1 m xl (Sheat 3 of 5) 7-16 . +B(tg) 1 m xl >30 m B(tg) 1 m 1.Iv. x. 28* +S(mr) 20-30 cm lx See <20 m B(tg) 1 m 1.25 S(mr) 7.5-10 cm <12 m B(utg) 1 m 1. Iv. X11 CCA(sr) 40-120 cm Iv.5-15 cm lx ~0. +B(tg) 1 m x.

5-1. xl note clOm S(mr) 70-200 cm lx X111 <10 m S(mr) 70-200 cm V1l. xl ● Authors’ estimates of support. Ill S(mr) 10-20 cm lx 36* S(mr) 10-20 cm Vlll. Tensionad cable anchors often used to supplement bolt support pressures. with spacing of about 1 m (occasionally down to 0.e.. +B(tg) . for instance montrnorillonite clay (with access of water). xl +S(mr) 30-100 cm 35 >15 m CCA(sr) 60-200 cm Vlll. 0. +B(tg) 0. Insufficient case records available for reliable estimation of support requirements.5-1. Ill. lx. sea Note Xl) s. <15 m CCA(sr) 40-150 cm V1l. Tensionad cable anchors often used to supplement bolt support pressures. Several of the older generation power stations in this category employ systematic or spot bolting with areas of chain-link mesh. x. shotcrete (mr) = mesh reinforced clm = chain link mesh CCA = cast concrete arch (sr) = steel reinforced Supplementary Notes by BARTON. i.x. Key to Support Tables: sb = spot bolting = systematic bolting . Il. 3.e. and 10 m. Iv. LIEN and LUNDE 1. grouted (tg) = tensioned. Cases involving swelling. (Sheet 4 of 5) 7-17 .tg) = unpensioned.-. EM 1110-2-2901 30 May 97 Table 7-8 (Continued) Conditional Factora Type support RQD & SPAN of category ~ Ja ESR support Notaa >15 m B(tg) 1 m Il.10 m CCA(sr) 100-300 cm VIII. Several bolt lengths often used in same excavation. VI. 3. see +B(tg) 0. x. x. several bolt lengths often used in same excavation. x. X11 +S(mr) 20-75 cm xl. Room for expansion behind the support is usad in cases of heavy swelling. II note <15 m B(tg) 1 m lx. For cases of heavy bursting or “popping. +B(tg) 1 m Ill. and 7 m.0 m Il.. VIII. and 4 m. (expanding shell type for competent rock masses. x. Drainage measures are used where possible. 5.0 m xl 37 S(mr) 10-20 CM lx S(mr) 20-60 cm VIII. 2. Typical spacing 4-6 m. 6.5-1. Typical spacing 2-4 m.8 m).e. grouted post-tensioned in very poor quality rock masses. v. V1l. Final support when “popping” activity ceases. i. +B(tg) 1 m xl. 8. Several bolt lengths often used in same excavation.0 m xl >10 m CCA(sr) 100-300 cm lx 38 . and a free span concrete arch rcmf (25-40 CM) as permanent support. Ill.. i.” tensioned bolts with enlarged bearing plates often used. See +B(tg) 1 m xl.

e. The USACE has historically used 10 in.e. but it may not be effective when RQD/Jn c 1. groutad rock bolts are recommended in several support categories. Heavy rigid support is generally usad as permanent support. When it is impossible to ensure that unpensioned grouted dowels are going to be installed immediately behind the face. in an underground powerhouse. c. particularly when used in conjunction with tensionad rock bolts as indicated by Barton. and Lunde (1974) depends upon immediate installation of these reinforcing elements behind the face. 20. for exam- 100-mm layer is generally sufficient for this purpose. In North America. Lien. A sufficient length of anchored bolt might also be obtained using quick-setting resin anchors in these extremely poor quality rock masses. the final choice will depend upon the unit rates for concreting and shotcreting offered by the contractor and. and Lunde (1974) suggest shotcrete thicknesses of up to 2 m. the temporary support required before concrete (or shotcrete~ arches are formed may consist of bolting (ten~oned shell-expansion type) if the value of RQD/Jn is sufficiently high (i. possibly combined with shotcrete. D. a “sugar cube” shear zone in quartzite). Galvanized chain-link mesh should be used where it is intended to be permanent.. consid- eration should be given to using tensioned rock bolts that can be grouted at a later stage. Cases involving squeezing rock.5. >1 . Temporary support of the working face may also be required in these cases. the use of unpensioned grouted dowels as recommended by Barton. walls. This would require many separate applications. Typically. E. x. and floor in cases of heavy squeezing. unless the bolts are grouted before tensioning. XII. Serious occurrences of swelling and/or squeezing rock may require that the concxete arches are taken right up to the face. and many contractors would regard shotcrete thicknesses of this magnitude as both impractical and uneconomical. if shotcrete is cheaper. the use of concrete or shotcrete linings of up to 2 m thick would be considered unusual.5 or when a lot of day is present. When choosing weldmesh. Multiple drift method usually needed during excavation and supporl of arch. Cate- !aow 38 (SPAN/ESR >10 m only). Cases not involving swelling clay or squeezing rock. Many contractors would consider that a 200-mm-thick cast concrete arch is too difficult to construct because there is not enough room between the shutter and the surrounding rock to permit easy access for placing concrete and using vibrators. 28. while some contractors prefer 300 mm. Under appropriate circum- stances. Chain-link mesh is sometimes used to catch small pieces of rock that can become loose with time. e. B. A strong argument in favor of shotcrete is that it can be placed very close to the face and hence can be used to provide early support in poor quality rock masses. and many non-Scandinavian contractors are not prepared to consider this system. RQD/Jn -= 1.g. temporary ground-support application. X111. should be used for the reinforce- ment of shotcrete since it allows easy access of the shotcrete to the rock. Weldmesh. Obviously. and short grouted pins can be used between bolts.2-mm wires set at 100-mm intervals (designated 100 by 100 by 4. Systematic bolting (tensioned) may be added after casting the concrete. it is important that the mesh can be handled by one or two men working from the top of a high-lift vehicle and hence the mesh should not be too heavy. (sheer 5 of 5) 7-18 . Categories 16. and Lunde (1974) and that the placing of a cast concrete lining at a later stage would be a more effective way to tackle the problem. Supplementary note Unpensioned. According to the authors’ experience. Barton. This ensures that support is available during the critical excavation starae. and Lunde proposed their guide for support measures. the friction-anchored rock bolts were not yet available. 32.5 m.EM 1110-2-2901 30 May 97 Table 7-8 (Concluded) lx. and a combination of heavy steel stets and concrete would normally be used to achieve the high support pressures required in very poor ground. friction dowels are relatively inexpensive alternatives for initial. preferring to cast concrete arches instead. xl. then the temporary support may consist of up to several applications of shotcrete. At the time when Barton. upon a practical demonstration by the contractor that he can actually place shotcrete to this thickness. Many contractors would argue that a 50. in cases of swelling or squeezing. Supplementary notes by HOEK and BROWN (1980) A.. 4. For reasons of safety the multiple drift method will often be needad during excavation and supporting of roof arch. It should be attached to the rock at intervals of between 1 and 1. consisting of steel wires set on a square pattern and welded at each intersection. Chain-link mesh should never be used for this pur- pose since the shotcrete cannot penetrate all the spaces between the wires and air pockets are formed with consequent rusting of the wire. Lien. possibly using a shield as tempora~ shat- tering. Lien. This depends upon integrating the support drilling and installation into the drill-blast-muck cycle. 24.. In pmrer quality rock. If the rock mass is vet-y heavily jointed or crushed (i. 35 (SPAN/ESR >15 m only).2 weldmesh) are used for reinforcing shotcrete.5). (254 mm) as a normal minimum. Lion.

0) rp = Friction angle of sliding surface c = Cohesion of sliding surface WXF N=y A = Area of sliding surface B = Load bearing capacity of bolt (dowel) W(Fsinfl -cosf3tanrp)-cA N= B(co.5 to 3. EM 1110-2-2901 30 May 97 / N = Number of bolts (dowels) W = Weight of wedge F = Safety factor (1.satan rp+Fsina) Figure 7-5. Gravity wedga analyses to determine anchor loads and orientations 7-19 .

blocking made of concrete or connections and other details. and in poor ground in blasted tunnels. This method is more difficult to classical method of rib design is that the flexibility of the work with. The traditional (1) The still-popular classicat text provided in Proctor blocking consists of timber blocks and wedges. Design of blocked ribs. Care must be exercised to fill (1) Steel ribs are usually made of straight or bent all the voids behind each rib. steel structure. I-beams or H-beams. or a (4) Lattice girders offer similar moment capacity at a true horseshoe shape with curved legs. Their open lattice permits shotcrete to sets are also common. Recently. are also used in TBM tunnels in poor ground when a reac- tion platform for propulsion is required. Full-circle steel to handle and erect. shotcrete fills the space between the steel rib and the rock and is thus superior to other methods a. They m easier straight or curved horizontal invert strut. and a more flexible method consists of using steel rib/timber blocking system permits essentially com- special bags pumped full of concrete. They can also be used together with dowels.EM 1110-2-2901 30 May 97 Potentially unstable zone Figure 7-6. sometimes with a lower weight than comparable steel ribs. of blocking by providing for a uniform interaction between the ground and the support. with an attempt to ribs installed with blocking. for TBM starter tunnels. The designer is referred to prestress the set. This subsection deals with the selection and design (3) Shotcrete is also used as blocking material. thus forming a composite structure. Design of Steel Ribs and Lattice Girders accommodate themselves to the shape of the rock as exca- vated and form a firm contact with the rock. and wire (2) Steel sets are most often used as ground support mesh. near tunnel portals and at intersections. When well placed. and (see Figure 5-19) as the final lining. The basic theory behind the steel is often specifkxi. steel ribs are still used for many pur- poses. tightly and White (1946) is the best guide to the design of steel installed between the sets and the rock. Reinforced roof beam 7-4. spiling. Vertical loads transferred 7-20 . Structural shapes other than I. cast-in-place to the available commercial literature for the design of concrete lining. In today’s tunneling. of steel rib supports and lattice girders. These bags will plete load redistribution. bolted together to form a circular or pitched arch with straigh~ vertical side supports (legs). Steel sets b. Timbers not essential for ground support this text for details of design and several design charts and are generally removed before placing a final. Use of steel ribs and lattice girders.or be placed with little or no voids in the shadows behind the H-beams have also been used.

67 Th. If the rib was (3) When the arch is fixed at the top of a straight leg. the side pressures on the legs. and generate reactions along the sides.86 Th. In fact. When there are significant arc (h) between the blocking points (Mt = Th). the legs must be prevented from kicking in. assumed to be pinned at the blocking points. 7-21 . and there is a moment (Mb) at the block.and the max. then the the arch become essentially uniform. Loads at an angle maximum moment occurs at blocking points and is approx- with vertical have the same effect.67 Th. Thus. rib is continuous. together with invert struts. If the arch is loads result in a uniform thrust in the rib (Z’). (horseshoe) legs are often used. the moment the moment in the leg is 0. reducing to zero at the would be equal to the thrust multiplied by the rise of the bottom. The maximum moment. is Mm = Ml . Reinforced roof arch through the blocking cause a deformation suftlcient to (2) If the arch is continuous. hinged at both ends. imum moment occurs at blocking points and at points in the middle between blocking points. = 0. assumed as a hinge. the leg moments become larger. then. the maximum moment is 0. fixed at both ends. EM 1110-2-2901 30 May 97 \ Compressive Stress in Shaded Zone ‘ Arch Figure 7-7.67 M. and arched ing points. such that loads around bears against equally spaced blocking points. A%. the combined imately M_ = Mb = 0.

g... Assuming the elements behave in a ductile manner... 4. Shotcrete failure modes 7-22 . provided the arch transmits a thrust and moment to the end points of the arch.. g~w [.. weldmesh or chain-link mesh) difficult.:!.EM 1110-2-2901 30 M8y 97 Table 7-9 Empirical Design Recommendations Parameter Empirical Rule Minimum length and maximum spsoing Minimum length Greatest of (a) 2 x bolt spacing (b) 3 x thickness of critical and potentially unstable rock blocks (Note 1) (c) For elements above the springline: spans <6 m: 0.g.2 m Minimum average confining pressure Minimum average Greatest of confining pressure at (a) Above springline: yield point of elements either pressure = vertical rock load of 0........?.!l.5 x width of critical and potentially unstable rock blocks (Note 1) (c) 2.5 x span spans between 18 and 30 m: 0. Greater spacing than 2... Stress concentrations are generally higher at intersections. With continuous blocking by shotcrete.. such as in squeezing ground.1 x opening height of 40 kNm2 (c) At intersections: 2 x confining pressure determined above (Note 4) Notes: 1. +.’—.:. and rock blocks are free to move toward both openings. This reinforcement should be installed from the first opening excavated prior to forming the intersection. ..9 to 1. long heavy elements on wide centers to support the span. however. 2.1 SHEAR FAILURE DIAGONALTENSIONFAILURE c..0 m makes attachment of surface support elements (e.. .. With very large side pressure.. (1) The theory for blocked arches works adequately for curved structural elements if the blocking is able to BONOING /AOHESIVEFAILURE BENOINGFAILURE deform in response to applied loads...25 x span (d) For elements below the springline: height c18 m: as (c) above height >18 m: 0.5 x bolt length (b) 1. . Where joint spacing is close and span relatively large. ~...0 m (Note 2) Minimum spacing 0. Lattice girders with continuous blocking. and shorter.. . 3..2 x height Maximum spacing Least of: (a) 0.. the Figure 7-8.2 x (Note 3) opening width or 40 kN/m2 (b) Below springline: either pressure = vertical rock load of 0.... the superposition of two reinforcement patterns may be appropriate (e.. lighter bolts on closer centers to stabilize the surface against raveling). a full circular shape is used.

linings can be analyzed in a manner similar to reinforced concrete subjected to thrust and bending (see Chapter 9). These analyses and in situ stress. and effects of variations of material properties or finite difference methods are preferred.Other ground support (dowels. should ideally incorporate at least the following features: (3) Stresses in composite lattice girder and shotcrete Unloading of the rock due to excavation. until lining closure is achieved. tion of lattice girders and shotcrete.Lattice girder installation. 7-23 . Increase in shotcrete modulus with time as it cures. lation sequences. Figure 7-9 shows an approximation of the typicat applica- .First shotcrete application. Estimation of cross section for shotcrete-ancased lattice girders blocking does not yield significantly once it has set and Repeat for all partial face excavation sequences load redistribution is a function of excavation and instal. Moments in the composite structure should preferably be estimated using one of the methods (2) These types of analysis only yield approximate described in Chapter 9. strength at the time considered in the analysis. etc.) as applicable. results. finite element and thrusts. analysis should be performed using the applicable shotcrete . However. EM 1110-2-2901 30 May 97 Lattice Girder 7~d~ Area = (. To estimate moments for sequen. locations of maximum moments tunnel station may be constructed in stages. Application of ground support. where the ground support for a construction sequences.Subsequent shotcrete application. . they are useful to study variations in tial excavation and support. The moment capacity .667t)(t + d) Figure 7-9.

an approximately Iinew zone of maximum slope over its midportion. the strains in the x. On the Since the principle of superposition applies. when testing very weak rocks (uni. ity are as follows: sider all aspects of rock behavior. The differ- ing complexity have been developed to help the designer ent methods available for defining this modulus of elastic- understand rock mass response. sample disturbance caused by the removal of the rock sample from the ground may introduce defects that result in reduced &x= ( ox .15 direction. ASTM suggests that [he isotropic. the modulus of ehsticity is about 350 times the where uniaxial compressive strength of a rock (Judd and Huber 1961). for an isotropic homoge- neous elastic material subject to a normal stress ox in the x (e) For most rocks.axiat com- relationships in three dimensions are: pressive strength less than 3. y. unless other information is available. and a curve of Understanding rock mass response to tunnel and shaft decreasing slope at stress levels approaching failure. to define an approximate modulus of elasticity. Poisson’s Ratio lies between 0. a reduction in the value of E from the laboratory values of an order of magnitude may be in order. Average slope of the more-or-less straight line portion of the stress/strain curve. and z directions are: and 0. Poisson’s Ratio is calculated from the equation: (b) The stress/strain relationship for rock can some. but are useful in quanti- fying rock response and providing guidance in support Tangent modulus (ET) to a particular point on the design. Several approaches of vary. the Geomechanical Analyses stress/strain relationship can be generalized in the form of a curve with an increasing slope at low stress levels (related to closing of microcracks).. (1) Elastic parameters. Cy = ( CJy. curve. &x= applied stress in x-direction (f) Establishing values for elastic parameters that v = Poisson’s Ratio apply in the field takes judgment and should be made on a case-by-case basis. oJE elasticity varies over a wide range. The affected by nonlineafities in the axial and Iaterat stress- theory of elasticity idealizes a material as a linear elastic. For crude estimating purposes. homogeneous material. the stress/strain other hand.e. For critical projects it is advisable to use field tests to determine the in situ deformability of be char- acterized as elastic without material] y compromising the &z = ( Gy .v (CTY+ CTz))/E values for the laboratory-determined modulus.v (GY + ax))/E 8-1 . it is necessary opening support requirements. The modulus of Cx = CJXIE &y=&z=-v. For a strong but highly jointed rock E = modulus of elasticity mass.5 MPa (500 psi)). An elastic material is one in which all strain is instantaneously (d) Since the value of Poisson’s Ratio is greatly and totally recoverable on the removal of the stress. The methods cannot con.30. v = s[~pe of mial curve/s[ope of lateral curve times be idealized in terms of a linear elastic isotropic material.) usually from zero 10 some (a) Elasticity is the simplest and most frequently fixed percentage of maximum strength. i. Generally. Poisson’s Ratio can be assumed as 0. Stress/strain relationships. at a stress level that is some fixed percentage (usually 50 percent) of the maximum 8-1. General Concepts strength. Many rocks c. strain curves at low stress levels.v (CJz + Ox))/E (2) Nonelastic parameters. In construction is necessary to assess opening stability and order to apply elastic theory to such rocks. a. In three dimensions. applied theory relating stress and strain in a material.25. Secant modulus (E. EM 1110-2-2901 30 May 97 Chapter 8 (c) For a competent rock that is not linear elastic.

The strength of a rock is affected not only by strength of the intact rock. tensile rock type behavior when unconfined. for some rocks such as potash. applied to rock in the triaxial stress state. and other geotechnical parameters of some intact rocks are geometry. in compression where shear failure can wcur and weak in tension. (6) Mohr-Couiomb failure criterion. degree of mass. Time-dependent relationships are difficult to characterize because of the (c) The compressive strength of a rock material often difficulty selecting rock strength parameters that accurately decreases when the rock is immersed in water. with strength increasing as specimen size where decreases. (2) the the strength of an intact sample. EM 1110-2-2901 30 May 97 analysis of their performance. the material disintegrates at a certain stress. In jointed rocks. where ments may be signitlcant and must be taken into account when predicting performance. As an approximation over limited but rather an index that gives guidance on strength charac. compressive strength for rocks. the shear stress is defined as a teristics. in which the (5) Tensile strength. given in Table 8-1. it as the level of contlnernent increases. and (3) the shear strength its value. The model the rock mass. (4) Uniaxial compressive strength. elastoplastic analyses are available for analyzing the stresses and strains. test procedure. halite. Lo and Yuen (1981) have used rheologi- crd models to develop a design methodology for liner d = sample diameter (Hock and Brown 1980) design that has been applied to shales. and water content. T=c+cTnxtan$ (b) The compressive strength of a rock material is size dependent. and this value is subject to shear strength along any plane being a function of the a number of test-related factors that can significantly affect normal stress Gn on that plane. and other factors. cementation. Rock material is generally strong pressures in the interconnected pore space. the jointing factors that relate to its physical and chemical composition may very well eliminate the tensile strength of the rock such as its mineralogy. in which case the in situ rock should be considered alteration or weathering. reduced stresses may be due to dissolution of the cementa- tion binding the rock matrix or to the development of water (3) Rock strength. An approximate T = shear strength relationship between uniaxial compressive strength and specimen diameter that allows comparison between sam- an = applied normal stress ples is as follows: a-2 . Uniaxial compressive general form of the normal stress versus shear stress plot is strength usually should not be considered a failure criterion shown in Figure 8-1. time-dependent or creep move. It is useful to adjust the compressive strength values to take into account the size effect. It is most useful as a means for comparing rocks linear relationship of the normal stress as follows: and classifying their likely behavior. Failure can take the form of fracture. and shales. As a rule of field are primarily compressive and vary from unconfined thumb. Rocks exhibit a brittle. These factors include specimen size and shape. but become more plastic strength is low enough that when rock is in tension. porosity. being independent of the intermediate principal stress. or deformation tensile strength is not as significant a parameter as the beyond some specific strain level. It can be misleading based on (1) rock failure occurring once the shear stress on since field performance often depends on more than just any plane reaches the shear strength of the material. Conditions in the splits and the tensile stresses are relieved. ranges of normal stress. However. This criterion is ize the mechanical behavior of rock. Where the stresses are ‘8 (sC = cJc5~(50/d)O” sufficiently large that a failure zone develops around the tumel. For underground stability. Generally. (a) The uniaxial or unconfined compressive strength is (a) The Mohr-Coulomb failure criterion is most often the geotechnical parameter most often quoted to character. Values of tensile strength method of testing. the tensile strength of rock material is often taken near the tunnel walls to confined some distance from the as one-tenth to one-twelfth of the uniaxial compressive tumel.-) diarn sample state creep law. and loading rate. including such factors as sample size. Chabarmes (1982) has ~c50 = compressive strength for a 50-mm - established the time-dependent closure based on a steady. but also by the as having zero tensile strength. (2-in. The moisture content.

6 Basalt Colorado 2.3 106 6.4 Limestone Germany 2.2 101 1.81 58.9 180 25.4 278 22.5 Sandstone Alaska 2.77 68.2 Shale Pennsylvania 2.8 321 55.8 Andesite Nevada 2.2 223 15.9 148 18.39 3.8 Slate Michigan 2.4 Siltstone Pennsylvania 2.4 Quartzite Utah 2.4 107 11.71 46.1 148 3.5 Gypsum Canada 22 2.9 Gneiss New Jersey 2.0 15 Schist Alaska 2.1 88 3.20 4.4 58 3.8 629 23.89 10.5 126 22.58 51.7 11 1.0 53 4.65 25.76 30.0 Limestone Indiana 2.64 70.55 22.79 53.1 Conglomerate Utah 2.0 Diabase New York 2.6 226 11.70 48.2 Basalt Michigan 2.0 36 4.72 31.7 Marble Tennessee 2. EM 1110-2-2901 30 May 97 Table 8-1 Geotechnical Parameters of Some Intact Rocks (after Lama and Vutukuri 1978) Densi Young’s Uniaxial Compressive Tensile Strength Rock Type Location Y Modulus.20 21. The value obtained in this way does not take into account the joints and other discontinuities that materi- $ = angle of internal friction ally influence the strength behavior of the rock mass.0 Schist Colorado 2.2 Basalt Nevada 2.0 120 14.2 Tuff Japan 1.0 193 2.2 Dolomite Illinois 2.94 95.54 14.5 39 5.3 186 13.4 221 5.89 39.2 Sandstone Utah 2.0 103 7.47 9.62 63.37 37.75 84.5 salt Canada 2.0 Gabbro New York 3.3 130 5.72 54.03 55. the shear strength in the laboratory is determined from testing intact rock samples in 8-3 .5 Granite Georgia 2.6 36 2.8 Gneiss Idaho 2.5 Shale Utah 2.2 216 17.30 27.5 Phyllite Michigan 3.0 90 3.93 75.5 Tuff Nevada 2.1 Diorite Arizona 2.8 Quartzite Minnesota 2.7 Granite Colorado 2. (b) Generally.94 92.9 Graywacke Alaska 2.62 32.71 55.8 64 4.4 251 20.3 c = cohesion of the rock compression.64 39. GPa Strength.8 Granite Maryland 2.83 33.1 Marble New York 2.24 76.9 119 8. MPa MPa Mg/m Amphibolite California 2.91 76.0 127 11.6 162 6.70 41.6 113 2.

the ground prior to any excavation. Mohr-CouIomb failure criterion b. strata and the geological history of the rock mass. and deformations that develop when an opening is created. For a geologically undis- / turbed rock mass. The Hock-Brown failure criterion is tions. It provides the capability to include the Quantitative information from stress analyses requires that influence of several sets of discontinuities. Figure 8-1. In a homogeneous rock mass. They determine the of stress conditions likely to be encountered. The estimates that cover a wide range of rock mass conditions are given in Table 8-2. when the rock density y is constant. sive stress. this rela- tionship can be expressed as: z=(f3xcr3) ~lxmf3c/4zm where 2 c+ a“ lau Tm = 0. This behavior the boundary conditions are known. Knowledge of describe the response of an intact sample to the full range undisturlxd stresses is important. The Coulomb theory to rocks. . laboratory. the nonlinearity of the actual principaJ stress directions are often verticat and horizontal. introduced into the analyses by limited knowledge of in situ stresses. Although initial estimates can be made (b) The Hock-Brown failure criterion is as follows: based on simple guidelines. Uncertainties are may be highly anisotropic. It sets out to geology and its recent geologic history. failure envelope and the influence of discontinuities in the They are likely to be similar in orientation and relative rock mass. gravity provides the vertical component where of the rock stresses. al that point. field measurements of in situ stresses are the only true guide for critical structures.e. the vertical stress is the 01 = major principal stress at failure pressure exerted by the mass of a column of rock acting over level.EM 1110-2-2901 30 May 97 m ands are constants that depend on the properties of the rock and the extent to which it has been broken before being subjected to the stresses CTland fs3. These condi. boundary conditions for swss analyses and affect stresses tions range from uniaxial tensile stress to triaxial compres. Their magnitudes and orientation are determined by the weight of the overlying (a) To overcome the difficulties in applying the Mohr. and theoretical be estimated from a knowledge of a region’s structural considemtions. Some of the simplest clues to stress orientation can based on a combination of field.5 (0. i. (d) Hock and Brown (1988) have developed estimates c. The virgin or undis- turbed in situ stresses are the natural stresses that exist in (7) Hock-Brown failure criterion. cJ3) 1. cohesicm or the rock for the strengths of rock masses based on experience with # = angle of htemal ftfcfii of the rock numerous projects. The vertical stress due to the overlying rock is 03 = minor principal stress at failure then: ac = uniaxial compressive strength of the intact rock Oz = yh material (given by IS3= O and s = 1) 8-4 . as well as experience. In situ stress conditions. (c) In terms of shear and normal stresses. 0] =a~+ moC63+sts~ (1) In situ vertical stress.. Hock and Brown (1980) developed an empirical magnitude to those that caused the most recent deforma- failure criterion. The stress at a point in a state of incipient failure is represented by the circle through the points representing the mhimum principal stress q and the maximum prkxiil stress o.

00 Laboratory specimens S=l. Q=1O Fair Quality Rock m = 0.447 0. (normal to cleav.189 0.353 2.10 5. gneiss. quartz-diorite Intact Rock Samples m = 7.865 4.00019 0. dolerite.63 Rock hk.163 Mass S = 0.00002 Numerous heavily weathered joints spaced <50 mm with gouge. gabbro.219 0.3 to 1 m RMR=44.0205 0.947 1.301 3.00002 0. Rocks Crystals and Poorly Polymineralic morphic Crystalline oped Crystal mudstone. = uniaxial compressive strength of intact rock.782 Rock Maaa s = 0.469 0. Q=1OO Good Quality Rock m .087 1. waste rock with fines RMR = 3.95 14.85 8. Q = 0.00198 Several sets of moder- ately weathered joints spaced at quartzite diabase.oo 1.00019 0.0205 0.00019 0.00 1. dolomite.00198 0. clean compacted waste rock RMR=23.00198 0.189 0.00198 0.0205 0. and marble a.00 free from discontinuities RMR = 100. and m and s are impirical constants CSIR rating: RMR NGI rating: Q 8-5 .1 Poor Quality Rock m = 0.00019 Numerous weathered joints at 30-500 mm. limestone. EM 1110-2-2901 30 May 97 Table 8-2 Approximate Relationship Between Rock Mass Quality and Material Constants Applicable to Underground Works Coarae-Grained Lithified Arenaceoua Rocks Polymineralic Carbonate Rocks Agrillaceous with Strong Fine-Grained Igneous and Meta- with Well Devel.00002 0.78 9.3 to 1 m S =0. and slate Cleavage Rocks amphibolite.532 0. granite.00 25. siltstone.00 15.2. Developed Crystal Igneous Crystalline Rocks Cleavage shale. Q = 100 Very Good Quality m =4.0205 Several sets of moder- ately weathered joints spaced at 0.298 4.00 10.639 0.959 1.313 0.00198 0. some gouge. sandstone and andesite.1 Very Poor Quality m = 0.00 17.383 Mass S = 0.00019 0.189 0.189 0. Q=0.006 2.0205 0.598 Mass s = 0.00002 0.871 7.189 Tightly interlocking undisturbed rock with unweathered joints at 1 to3m RMR=85.00 1.00002 0.01 Empirical Failure Criterion: CT. and rhyolite norite. =“~+- a( = major principal effective stress & = minor principal effective stress ~.00 1.030 2. Q.

For this case. is difficult to estimate without field meas. the The measurements often indicate high stresses that are undisturbed Iaterat stresses would be 0. During the two horizontal principal stresses may be equal. They are that the inclusion of anisotropy broadens the range of per- generally defined in terms of the vertical stress as follows: missible values of gravity-induced horizontal stresses in rock masses. Hock and equal and are given by: Brown (1980) have compiled a survey of published data that is summarized in Figure 8-2. irregularities.25. The evaluation of the in situ state widely used in weak geologically undisturbed sediments of stress requires knowledge of the regional geology. such as coal measurements. where & represents the lateral rock stress ratio. down warping. Based on a survey of published results. respectively. The data confirm that ox = CJy = ~ h v/(1-v) the vertical stresses measured in the field reasonably agree with simple predictions using the overlying weight of rock.55. and Savage (1988) have shown stresses also depend on the depth below surface. For some ranges of anisotropic rock proper- KO = (SJCJv ties. estimates are as follows: (e) Tectonic stresses are due to previous and present- (a) For weak rocks unable to support large deviatoric day straining of the earth’s crust. gravity-induced horizontal stresses exceed the vertical stress. On removal of the load causing the higher The value of K. A lithostatic stress state is out actual measurement. and surface equalize over geologic time. This applies to (3) [n situ stress measurements. derives from the the hills—the topography. some conditions exist for which locking mineral grains. depending on whether they are due to present or partially relieved past tectonic events. faulting. The superposi- tion of these tectonic stresses on the gravity-induced stress field can result in substantial changes in both the direction Lithostatic stress occurs when the stress components at a and the magnitude of the resultant primitive stresses.35. jected to higher stresses than it is subjected to at the pres- logic history of the rock mass ensure that they are not. Guidelines for these and cementation bet ween particles. rock masses after their causes have been removed. Swolfs.33 times the vertical 8-6 . applies under appropriate geological conditions. This approach provides a lower bound estimate that the rock and generally lies between 20 and 30 kN/m3. there will be two (d) Residual stresses are the stresses remaining in horizontal principal stresses. Swolfs. point are equal in all directions and their magnitude is due Tectonic and residuat stresses are difficult to predict with- to the weight of overburden. and evapontes. In an undisturbed rock mass. stress exhibiting plastic or visco-plastic behavior. ent time. the shear stresses along fractures. The horizontal in situ (c) Amadei. should lie between about 0. reasonable estimates of horizontal stresses at depths in excess of 1 km. They may arise from stress differences. reasonable estimates can be made. It also gives stresses on existing structures in rock. Tectonic stresses may be active or remnant. assumption that the rock behaves elastically but is con- strained from deforming horizontally. it may have been sub- generally the effects of material anisotropy and the geo. Since Poisson’s Ratio for most rocks lies between 0. but a previous history of a rock mass. 0. This is called Heim’s Rule. For a typical rock with a Poisson’s Ratio of 0. Amadei. mudstones. the value of K. and Savage have shown that this can be extended to stratified or jointed rock masses. the lateral and vertical stresses tend to regional uplift. stresses.EM 1110-2-2901 30 May 97 where ‘y represents the density that is the unit weight of stress. and observations of the effects of natural measures. shales. sedimentary rocks in geologically undisturbed regions where the strata behave linearly elastically and are built up (a) During the past 20 years.2 and as low as the limiting values predicted by elastic theory. (2) In situ horizontal stress. methods for measuring in horizontat tayers such that the horizontal dimensions are in situ stresses have been developed and a database estab- unchanged. (f) The state of stress at the bottom of a V-shaped valley is influenced by the geometry of both the valley and (b) A lower limiting value of K. the relaxation of the rock is resisted by the inter- urements. the lateral stresses crXand GYare lished. Since there are three principal stress directions. However.15 and (b) Horizontal in situ stress rarely show magnitudes 0. folding.

.5 3. Variation of ratio of average horizontal stress to vertical stress with depth below surface 8-7 . EM 1110-2-2901 30 May 97 AVERAGE HORIZONTAL STRESS ‘h.0 3. av .3 I / I v / I 1 3000 1 Figure8-2. VERTICAL STRESS az 2.5 o Lid-J 500 1000 ● 1500 2000 t+-w ● ~ A O AUSTRALIA UNITEO STATES CANADA SCANDINAVIA I I1 I I 1 I 1 I ■ SOUTHERN AFRICA i o 1 8’ OTHER REGIONS 2500 \ ■ /’ I ~k=~+O.

Maximum stresses occur at the corners loads in the support. see interaction cuwe can also be defined by in situ Section 8-4). which considers the boundary and takes gravily opening. Gener. The method is a powerful conceptual tool that rock mass for tunneling has been traditionally carried out provides the designer with a framework for understanding in terms of total stresses with little consideration given to support behavior in tunnels and shafts. However. Once the excavation 8-2. there may be a wide elasticity and plasticity provide results that have relevance variation in values since the strain changes being measured to the stress distributions induced about openings and pro- are often close to the limit of the accuracy of the measur. It interprets the performance of an opening in into account. rock assumed to be isotropic. Hashash and Cook 1994. The excavation shape and the in situ stresses affect the b.and Richart 1952) structure. An early installation of the ground support stress distribution about an opening. trations are often critical in the roof and sidewalls of exca- port. The convergence-confinement method combines tributed stresses can overstress parts of the rock mass and concepts of ground relaxation and support stiffness to make it yield. They are given in Figure 8-4. and line. and the shape of the opening rock-support interaction in a circular tunnel excavated by a are the main factors that govern stress redistribution about TBM. For an underground elastic. four tunnel diameters. However.vy at environment. Absolute vatues of stress and mance of requirements for design. rock that requires support to prevent instability or collapse. homogeneous. The properties of the 8-8 . the installed support. measurements. around openings. The The construction of an underground structure within a rock tunnel is regarded as “deep” if the free surface does not mass differs from most other building activities. The ground relaxation/ and Alvarez 1994. The ground relaxation curve shown represents poor an opening. Prior to excavation. or surface topography. affect the stresses and displacements . The designer can optimize support installation These are not necessarily the maximum stresses developing to allow for acceptable displacements in the tunnel and about the opening. the method of exca- port.EM 1110-2-2901 30 May 97 attributed to denudation. c. Porewater pressures. the support will yield vations. The initial stress conditions in the rock. At shallow depths. design approaches in terms are convergence-confinement methods as they model the of effective stress anatyses are being developed (Fernandez rock-structure interaction. where they can cause localized instabilities such as spalling. shows that the approximation gives very good terms of stress concentrations and associated deformations agreement for the stresses for depths greater than about and serves as a rational basis for establishing the perfor. Figure 8-3 illustrates the concept of vation. as design approaches for weak solutions (Section 8-3) or continuum analyses (Section 8-4) permeable rocks are improved.around the opening. The elastic 8-3. Kirsch’s solution (Terzaghi . A tangential stresses on the excavation surface at the crown delayed installation of the support (Point D2) leads to and in the sidewaJl for different-shaped openings for a excessive tunnel deformation and support collapse range of in situ stress ratios. the theories of geologic history. In a yielding support system. Stress analysis within the curves. Convergence-Confinement Method is made. rock mass are complex. the in situ stresses in the rock mass are in equilibrium. The closed-form pore pressures. ally. As an example.) leads to excessive buildup of load in the sup. Stress Analysis solution for a deep circular tunnel provides insight into the stresses and displacements induced by the excavation. its determine the interaction between ground and ground sup. The redis- a. The convergence-confinement method is not limited to the construction of rock-support interaction b. Mindlin’s comprehensive solution changes in preexisting stress equilibrium caused by an (1939). Since stress concen- (Point D. c. (Point ~). the excavation creates space within a stressed disregards body forces and the influence of the bound. and no single theory is available to The horizontal stresses vary considerably and depend on explain rock mass behavior. an aboveground structure is built in an unstressed The problem is considered a plane strain problem and the environment with loads applied as the structure is con. Hock and Brown (1980) have determined the (without collapsing) to reach equilibrium Point El. the stresses in the vicinity of the opening are redistributed and stress concentrations develop. geologic structure and failure strength. Excavation configuration and in situ strt?ss stalt’.arly structed and becomes operational. The stages described in Figure 8-3 are outlined below: a. tectonics. vide a first step to estimating the distribution of stresses ing tools. Stress analyses provide insight into the the ground surface. Circular opening in elastic material.

—.-— —— 3 Slam ~ ---— --- B------ _. u Plulb alat4e &vwld I PbaIIc UrmlaM8 Gmwd / Figure8-3. mM___ h RadlaJ Dk?@acwnent of Tunnel Opanhg. — v . .—— — --— — m . A* -. ---— ——— Noaqpnll 3“ ?“ m/m m K--- ( -&/R& . Rock-supportinteraction 8-9 . ——— ~ IM91 -——. ——— /m / ——— . EM 1110-2-2901 30 May 97 /z ---- -.

Stresses predictedby elastic analysis deformation are the same regardless of the sequence of leading to its failure. however. much higher restraint is required to support d. Ratio Vertical [n situ stress Yertica[ m situ stress (After Hock & Brown. stra@ as part of the development of a yield zone. possibly over a period of time. in extreme cases. a . The sim. roof falls. In strong rocks plicity of the eIastic solution for the stresses and displace. Plastic/yield nwdeL The creation of an under. * LOIN . substan- ground excavation disturbs the stress field. In weaker rocks subject to high s~esses where induced about an opening. stresses and deformations are induced stresses can exceed the strength of the rock 8-10 . relative closure of the excavation. In the case of tial ptastic or timedependent deformations may occur. cases where the violent release of energy is not a factor. EM 1110-2-2901 30 May 97 6. estimate these effects.-0 % a .30- 6 Horizontal m situ stress Horizontal m-situ stress = ~. excavation that will require stabilization. or. displacements experienced when the tunnel is driven can slabbing of side wails. Ratio = K. rock bursts. localized spalling. Failure takes the form of gradual application of loading and excavation. Pender (1980) has pre. To weak or even competent rocks subject to high stresses. strata can ments about a circular opening provides insight into the be supported relatively easily by the mobilization of the signifkance of various parameters and can be used to residual strength of the deformed strata by low support understand the magnitude of the stresses and deformations pressures. where brittle or strain softening behavior occurs. sented comprehensive solutions for the linear elastic plane this leads to the development of a fractured zone about an strain problem that are summarized in Box 8-1. ductile or shin-hardening behavior occurs. In only be determined theoretically. 1980) Figure 8-4.

5(0” +Oh)(1.5(oV + ah)(r + a*/r) .5(1 +U){(6V+ ~)(a2/r) (CJv.5(% . stress field (av).v(1 + u)(O.**/r*) cos *~ circumferential stress mj = 0.a2/r) . Stresses Around a Circular Opening in a Biaxial Stress Field %’j J \ ill scribe stresses around a c!rc radius of tunnel shaft radial distance to any point : “$$A$*’: angular distance to any point -.appropriate for condition where a large surface loading is applied after the tunnel is constructed The displacements are: Eu = (1-u*) [0.2a2/r + a4/r3)) sin 2EI At the tunnel periphery.5(1 +o)a{(av+~)-(3-40 )(ov-@cos X3] Eva =6( 1+N)(6@h)Sin 2@ Ilillll=v j% o G. EM 1110-2-2901 30 May 97 Box 8-1.~h)(1 + 3a4/r4 . Uh. D Radial stress (~r) and tangential stress (se) along the vertical Radial stress (q) and tangential stress (se) around a circular and horizontal axes of a circular tunnel (shaft) in a uniaxial tunnel (shaft) in a hydrostatic stress field (P).oh) ( (1 .v)4a2/r.Ov)(1 -3a4/r4 + *a2/r2) sin*@ -Case 1 Stresses applied at a distant boundary .a4/r3)) Cos 2@) EV = 2(1 +u)(ov~)2a2/r+a4/r3)) sin 20 At the tunnel periphery. the displacements are: Eua = 0.5(oV .0.o.oj+sin 20 C~.qJ cos 2Q] Eva = 2(1-&’)a(ov .5(%J. the displacements are: Eua = ( l-#)a[(ov+@-2(ov .v2)(r + 2a2/r+a4/r3)-t~~(l+v)(r .5 (OrOh) ( 1 + 3a4/r4) cos 2~ shear stress % = 0.CTh)((l .appropriate for analysis of tunnel excavation The displacements are: EU = 0.5(ov . Tunnel excavated in a prestressed medium .oh)(r .h. 8-11 .5 (~v .a4/r3) cos. 0“ original (pre-tunneling) stress field at the tunnel level final (post tunneling) radial and tangen- tial stresses around the tunnel is Young’s Modulus of the rock is the Poisson’s Ratio is the radial displacement at radius a is the tangential displacement at radius a The st resses are: radial stress or = 0.@ Ev = 0.5(ov + oh)( 1 + a*/r2) -0.5(CJV + oh)(r .crh)(r a4/r3 + 4a2/r) cos 2@l.a2/r2) +0.

) /(1 .sin $) EIASTIC ZONE: stresses: q = p. + c. and 8-4. These theoretical provisions must pic.[(KP2-1 ) (1$+ &)] (p.[(1. excavation. . (R/r~W+’) + [ (1 ‘v ).+aO)/2 = c. sin $ +C. The rock tends to expand or dilate as it geneous and that a lithostatic stress field exists.cot $). ~+l)/(&+ &)-v].(pZ+c. Deformations are limited by applying a high Box 8-2. (r/a)m’ deformations: u. (R/a) (@’). The analysis is illustrated in Boxes 8-2 ground surface that the stress field may be assumed homo- through 8-5.= (p.(p. The solution assumes can adversely affect stability and lead to incnm. cot 1$)+ (l-v ). lhe analysis is axisymmetric. = r/(2 G).sin I$)(pZ + c.cot @).EM 1110-2-2901 30 May 97 calculated from elasto-plastic analyses.(1 -sim$) “’. It is about the tunnel while the rock outside the yield zone assumed that the opening is far enough removed from the remains elastic.COS $ = Radial stress at the Elasto-Plastic interface deformations: u. $).sed support plane strain conditions in the axial direction and that the requirements that are not predicted by the analyses. cot 1$)/(pl + c cot $)] “(b’) where 1$= (1 + sin $) / (1 . The axial stress remains the principal intermediate stress. support pressures are reduced as is that of a circular tunnel driven in a homogeneous. cot o + (pi + c.~~)(RJr)2 CJw= p. As elastoplastic solutions for stress distributions and the stresses induced by the opening exceed the yield deformations around circular-cylindrical underground open- strength of the rock. 8-3.(r/a)b’ rs~= -c.(~. cot $). + c. =0” =0” p. P. x where x = (2v-1). a yield zone of radius R. Body breaks. material is either plastic frictionless ($ = O) or frictional ments are theoretically related to the displacement of the (c-$).(R 2/r) /(2G) PIASTIC ZONE: stresses: q = -c. and displacements of the tunnel wall will be greater forces are not considered. KP(r/a)*’ oY = (IS.cot 1$1 + (pi + c. develops ings are summarized in Boxes 8-2. isotro.(r/a)(W’) and & = (1 + sin w. The simplest case support pressure. Elasto Plastic Solution Reference: Salencon 1969. Support require.sin vs) and G = E/2(l+v) 8-12 .COS$). (1 . . = Internal Pressure yield condition: pZ~ (pi + c cos $) / l-sin $ radius of yield zone: R = a. initially elastic rock subject to a hydrostatic stress be tempered with judgment since excessive deformation field. The assumption is made that the than those predicted by elasticity theory. sin 1$1).C.cot~+(pi+c. + (P.cot $). . (p.o-) (R#)2 C%= P. deformations take place.

(pi + c. 8-13 .cot $) + (1-v).(KP’) Particular Solutions to Elastoplastic Problem . For the purpose of (unloading (construction) history and material properties. (FUr)(K~’) + [(1 -v). (r/a)(K~’) foryr= O L= (2v-1). The changes in stress state and wide range of geomechanieal problems including tunnel deformations are calculated at the element level given the and shaft excavation and constmction.v) .(~2+1 )/(2$J -v] .c-$ Material .(K~’) 8-4.(r/a)@-’ deformations: Ur = r/(2 G).cot $).v). (R/a) . While thereare subtle advantages of one method Difference. Elasto Plastic Particular Solutions Particular Solutions to Elastoplastic Problem .(r/a) . The following paragraphs include the Finite Difference Method (FDM) (Cundall deseribe these steps and how to consider continuum analy- 1976). (p~+ c.(K 2-1)/(2.[(1 +Kp)/2]. or .ot $).pZ+(l-v) . The available techniques ing a continuum analysis.( R/r)(@’) + [(1 -v).( KP2-l )/2.Dilation Angle stresses in the elastic and plastic zones are the same as given in Sox 8-2.(R + c. KP = KP~ deformations: u. ses as part of the design process. CASE 1: Y = $.~) (~ + c.(KP -l).(r/a)@-’ ~Y = (~r + @/2 = pi.pi. the Finite Element Method (FEM) (Bathe 1982). KP = 1 deformations: u.(FUr)2 + (1-2.(pZ+c. ~ where ~ = (2v-1).pi.c-$ Material CASE 3: 1$= $.= r/(2 G).(pZ+c.cot $) + (l-v).(KP2+l)/(2. over another for some specialized applications.(R/r)2 + (1-2. Advantages as well as and the Boundary Element Method (BEM) (Venturini the limitations of the numericat techniques are described.(~l). = r/(2 G).1$ .( Kp_’). No dilation.(KP -l). and c = O .l$. KP)-v].(*1). this manual. Finite Element. continuum analyses refer to those methods or These numerical techniques provide the designer with techniques that assume the reek medium to be a continuum powerful tools that can give unique insights into the tunnel/ and require the solution of a large set of simultaneous shaft support interaction problem during and after construc- equations to calculate the states of stress and strain tion. (FUa). the three Boundary Element Methods methods are equally useful for solving problems encoun- tered in practice. EM 1110-2-2901 30 May 97 Box 8-3. (lWa).(r/a)(*’) CASE 2: Y = O. Box 8-5 summarizes the steps followed in perform- throughout the rock medium.(FUa).pi.c.pi. ~ where ~ = (2v-1). z for yr= $ z = (2v-1).mt $). Associated flow rule.cot $). Each of the three numerical techniques is Advances in continuum analysis techniques and the advent used to solve an excavation problem in a rock medium of fast low-cost computers have led to the proliferation of whereby the field of interest is discretized and represented continuum analysis programs aimed at the solution of a by a variety of elements. Friti”onal Material PLASTIC ZONE: stresses: or s q. Continuum Analyses Using Finite 1983).(r/a)@’ Ce = q.pZ + (l-v). (* ’). (r/a) .

reanalysis. and hence provide guid- seleetedusing methods deiwibed in Chapters7 and 9.1/2 ] PLASTIC ZONE: stresses: 13r= ~ + 2.and three-dimensional analyses. exp [ (pz-pi)/(2. The continuum analysis is then used to study the influence of continuum methods can best serve to improve support the construction sequence and ground deformation on load design through the opportunity they provide to study types 8-14 . 7. The tional methods such as inhomogeneous rock strata and support system of a tunnel or shaft opening should fwst be nonuniform initial in situ stress. Continuum analyses can incor- FEM. c=c yield condition: pz ~ ~ + c radius of yield zone: R = a .c. Modeling of the rock medium.pz deformations: u= = c (1 +v). Define computer coda requirements. 8.p#c -1] lsy = 2. a. The fiist step in carrying out a continuum commonly used in conventional methods should not be analysis is identifying whether an ~al~sis is needed.v. Two.c. porate details that cannot be accounted for using conven- tutes for conventional methods of support design. Identify the need for and purpose of continuum analysis. Elasto Plastic Particular Solution Particular Solutions to Elastopiastic Problem CASE4: l$l=o. 5. Modeling of ground support and construction sequence. The used in numerical analyses. exp [(pZ-pi)/c -1] ~ [c(1 +v)/E] exP [(pz-@/c -1] Box 8-5. Analysis approach. Safety factors and load factors analysis. 3. Modification of support design and construction sequence.EM 1110-2-2901 30 May 97 Box 8-4. exp [(pz .(a/r)2 .)/2 = ~ + c. Steps to Follow in Continuum Analysis of Tunnel and Shaft Excavations 1.(1 + 2.Pi)fc -1] ISO = pz . exp [(pZ .E ].(tir)2 . 6.c (1 +v)/2. or BEM numerical techniques are not substi.c) .c. The ante for modifications required in the support system.c.ln(r/a)) ELASTIC ZONE: stresses: Ur = pz . In(r/a) 00 = ~ + 2. FDM. 4. Identlfi the need for and purpose of continuum transfer into supports.(1 + In(r/a)) Cy = (or + 6. Interpretation of analysis results. 2.[1 .

Example analyses of problems for which a closed form solution is Linear Elastic. As a rule of thumb. continuum analysis programs have a large materiat model library that can be used. able to represent the various support elements such as concrete and shotcrete lining.. sloping ground). The designer should first use as simple a model as use of the effective stress law for some rocks (e. or where the ground sur- face is inclined (e. There is deemed to be an important factor in the behavior of the sufficient evidence in the literature that would support the system. controls material dilatancy. (3) Identification of stress concentrations.g.ang. The user should verify that the program is capa- ble of modeling the excavation process correctty and is Visco-Elastic. A wide range nonlinear elasto-plastic models and may have provisions to of commercial and in-house programs are available for incorporate creep and thermal behavior. Using effective stress behavior may be more Model (ITASCA 1992). Define computer code requirements. Abousleim. Pariseau 1993) or a material model that incor. (1) The FEM. those proposed by Amadei and Pan (1992) .and Pan and tion. Berge. the far-field 8-15 .g. FDM. possible and avoid adding details that may have littfe effect Warpinski and Teufel 1993. Such methods are necessary because the initial stresses in the rock mass include nonzero shear (2) Study of modes of failure. and bolts. methods such as (1) Elastic and elasto-plastic ground/support interac. when the rock mass is relatively free of discontinuities. and (2) The initial state of stress in the rock mass is Roegiers (1993). Elastic-plastic (Mohr-Coulomb failure criteria with an associated or nonassociated flow rule that c. W. stress components. Examples of effective stress analy- sis of tunnels can be found in Cheng. This approximation is adequate Elastic-viscoplastic. of stress in the (3) The choice of a materiaf model to represent the rock medium depends on the available properties obtained (4) Assessment of plastic zones requiring support. from laboratory and in situ testing programs and the required accuracy in the anatysis.g. Modeling of the rock medium. and Bonner on the behavior of the overall system.. Many of the available (5) Analysis of monitoring data. the user include the following: should determine the suitability of the program. lattice girders. has nonhorizontd strata. Prior to perform. Bellwald 1992). These include linear elastic and b. Zhu and (4) The continuum analysis can be performed assum- Wang 1993. 1993. the state of stress can be described by a vertical logic conditions. Hock and Brown failure criteria). In situations where the reck mass is aniso- following: tropic. Available modeling tunnel and shaft construction. In (5) The size of the rock field (mesh size) and bound- a cross-anisotropic rock mass (in a horizontal topography) ary conditions applied afong the far-field edges of the where materiaf properties are constant in a horizontal model depend on the size of the opening and the hydro- plane. rock masses by using equivalent material properties that reflect the strength reduction due to jointing (e.. ing either an effective stress or a total stress material porates planes of weakness such as the Ubiquitous Joint behavior. these methods can still be used to model jointed Bounding Surface Plasticity (Whittle 1987). However. and BEM techniques model the rock mass as a continuum. Interface elements may be used to appropriate for use in saturated rock masses and those of model displacements afong discontinuities if they are sedimentary origin such as shales or sandstones. Convergence-confinement curves can be constructed Amadei (1993) should be used to establish the initial state using continuum analysis. solutions. ~ is the lateral in situ that can be assessed using continuum anatysis include the stress ratio. EM 1110-2-2901 30 May 97 of situations from which general practical procedures can stress component rsv due to the weight of rock and a hori- be developed (e. available (such as those given in Section 8-3) should be performed and the analysis results checked against those Non-Linear Elastic (Hyperbolic Model). important in determining the deformation due to excavation and the subsequent load carried by the support system. materiaf/constitutive laws for modeling of the rock medium ing an analysis using a particular computer code. Modes of behavior zonM stress component Oh = Koov. Hocking 1978).

the properties of bolts and e. supports are installed behind the tunnel face.EM 1110-2-2901 30 May 97 boundary is placed at a distance 5-10 times the size of the free deformation prior to “installation” of the support. shotc@e. structural (beam) higher than that of the input data. precast concrete segments. and water inflow into the discusses the development of deformations at the tunnel opening. Since the thickness of the support is usually expect the analysis to provide a resolution or accumcy much less than the size of the opening. In many situa- tions. the bearing plate can be ignored. Two. the rock the bearing plate has a relatively minor role in ing tunnel sections along a running tunnel. lattice girders are “smeared” along the length of the tunnel. As the face is advanced. grouted dowel element needs to be represented. support is installed close to the tunnel face. In a 2-D analysis. A simple approach to questions that should be answered are as follows: incorporate this effect into the continuum model would be to simulate shotcrete “installation” at the stage when the Is the rock deforming as expected? shotcrete develops its full strength. Analysis approach. the bending behavior of the supports. the rock Is the change in the state of stress in the rock relaxes further and load is applied to the supports. The construction sequence of a tunnel/shaft is complicated The properties of the bolts and lattice girders used in the and involves many details. Therefore. pore-presswe buildup. the analyst (2) Shotcrete application. Pore-pressure boundary percentage ranges between 50 and 90 percent (Schwartz. Bolts and lattice girders are usually installed in a standing of the system response before commencing a full pattern in a tunnel/shaft section and at a specified spacing blown 3-D analysis. removal and liner and dowel installation should be simpli. In the numerical dimensional (3-D) analysis can be useful for understanding model. The support can be modeled using the same be prepared and adjusted as the results of the analyses are types of elements used to model the rock. important to keep the number of details and analyses to a place concrete. Is the load distribution in the support system con- (3) Simulation of tran~er of load to tunnel liner in a sistent with rock deformations? 2-D analysis. However. In a 2-D model. Some of the of the full strength of the shotcrete. A common mistake is to material. rial properties? the rock is allowed to deform a percentage of its otherwise 8-16 . bolts and are given in Box 8-6 and Box 8-7.e. Modeling of supports and construction sequence. This opening away from the centerline. This consistent with the failure criteria and other mate- problem is three-dimensional in nature. elements can be used to model the liner. The first step is to between the application of shotcrete and the development check whether the results are reasonable. Tunnel suppxt can be cast-in. The tunnel excavation problem in two or three dimensions. Three. only a fully the behavior at tunnel and shaft intersections. fied into discrete steps. lattice girders are three-dimensional physical support com- ponents. providing support for the overall system. Examples of 2-D and 3-D analyses along the length of the excavation. Throughout the process of constructing the model and performing the analyses. The following are a few examples of the possible simplifications: f. Material the support spacing along the tunnellshaft length (i.and three-dimensional analyses. The avail- able numerical techniques can be used to solve a shaft or (4) Fully grouted dowel with bearing plate. d. There is usually a lag time should carefully examine the results. examined. Section 8-2 tion. 3-D analyses are laborious and involve the processing of large amounts of data. analysis. it is (1) Tunnel support. During tunnel driving. or minimum. face in the context of the convergence-confinement method. It is recommended that the analyst (5) Simulation of bolts and lattice girders in 2-D use a simplified 2-D model and arrive at a good under. It is not practical to incorporate model are equal to those of the actual supports averaged by all these details in the numerical simulation. A well-defined set of parametric studies should steel sets. conditions along the edges of the model and along the Azzouz. (1) Upon performing the first analysis. Interpreting analysis results. The analyst should maintain open communica- rial models and properties that correspond to the support tions with the design team. but using mate. equivalent properties per unit length of tunnel/shaft). these elements are prefemd as they better capture 8. and Einstein 1980) depending on how far the ground surface influence the predicted drawdown condi. principal function of this support element is to reinforce Twodimensional (2-D) analysis is appropriate for model..

Deformation and yielded zones. malysis Type: Finite Difference Analysis (FLAC Program. (1994) “Effective Stress Analysis of Supercollider Tunnels. \ I . A less rigorous (b) Loads in supporf system. Morgantown. EM 1110-2-2901 30 May 97 Box 8-6. but nonetheless vide moment. t . L . error in the input data. Data from numerical analyses can be used support system or a change in the construction method or to develop ground reaction curves (Section 8-2). Assoc. ‘ “‘“”$(. The data provided can be used to address possible results. . Did the solution converge numerically? Parametric studies can be used to develop general design charts that apply to more than one opening size or support Answering these and similar questions might reveal an configuration. lock Medium: Saturated Taylor Marl Shale.. r ‘o =1 KO =1.. . II . ~. such as the introduction of pin connections to reduce excessive moments. Comp lethods and Advances in Rock Mechanics. 8-17 . sequence to mitigate potentiat damage. F. Two-Dimenstional Analysis of Elliptical Tunnel Section )biective: Study the influence of initial in situ lateral stress ratio. Deformation and yielded zones. Ieference: Hashash. “. ” 8th Int. R. on deformations and development of plastic zones around an ellip- i2al tunnel section.//EE&2!E?&”:El II Iiw l\... Deformations may be distressed due to tunnet/shaft construction.Upport Type: Unsupported and supported with fully grouted dowels and 10-cm shotcrete lining.-– ---- /. 2-D) . -. and Cook. Exces- in the reek mass are related to the load transferred to the sive deformations indicate the need for a more effective support system. Jastic-perfectly plastic material with a Mohr-Coulomb failure criteria . Y. M.A.5 nalysis Results: The increase in ~ leads to an increase in the extent of the yielded zones in the crown and invert. ( ( m ~eformation and yielded zones. West Virginia. effective mhesion c’ = 344 kPa and friction angle Phi’ = 30°. ! 1 I . Conf. modification in the liner. l%e analyses provide includes examining the following: information on the influence of the opening on adjacent structures such as adjacent tunnels or surface buildings that (a) Deformations around the opening. Dowel load (2) Evaluation of the results of the continuum analyses data can also be used to revise the distribution and modify and their implication regarding the rock-support interaction the capacity of the proposed dowels.. Installation of owels (longer dowels in the crown and invert compared with the springline) and the liner reduces the yielded zone.5 KO =1. and shear force distributions in the the analyst should check for any possible anomalies in the liner. thrust. Effective stress behavior. A detailed check of the numerical results is necessary for the first anafysis. The analyses can pro- check is required for subsequent analyses.

Three-Dimensional Analysis of a Shaft and Tunnel Intersection Q!XSQ!EStUCJY the stress distribution at shaft inter=tion with tunnel and anciW !@leries Rock Medium: Eagle Ford Shale overlain by Austin Chalk. This tinuum analyses provide insight into the behavior of the will provide information on the direction of potential water overall support system and the adequacy of the support flow. Total Stress behavior.” Proceedings Boston Society of Civil Engineers. h. as well as in swelling rocks. These am useful tools that can indicate a general weakening of the reek and the need to convey the results of the analysis in a concise manner provide reinforcement.EM 1110-2-2901 30 May 97 Box 8-7. Reference: Clark. of the commercially available codes have postprocessors 8-18 . deformed mesh located near the excavated surface. and color graphics. T. The analyses may highlight some deficiencies or the rock.. (c) Yielded and overstressed rock zones. (1994) “Analysis and Design of SSC Underground Structures. B. Mod#ication of support system. Contours of Several analysis iterations may be required to optimize the pore-pressu~ distribution are useful in this regard. These zones that provide the user with a wide range of output capabili- indicate a potential for reek spalling and rock falls if ties including tabulated data. The zones ean be used to size reek especially to outside reviewers. The extent of the stress concentration is usad to estimate the required dowel length in these areas. Con- (d) Pore-pressure distribution and water inj70w. and Schmidt. The information is relevant in reek masses with possible overdesign in the proposed support system. discontinuities. linear elastic material Support Type: No Support Analysis Type: Finite Element Analysis (ABAQUS Program 3-D) Analysis Results: Stress concentrations occur at tunnel/shaft intersections at zones experiencing a sudden change in geom- etry. reanalysis. G. as well as the expected changes in pore pressures in system. Many design. contour plots. Large yielded zones plots. reinforcements (bolts and dowels).

EM 1110-2-2901 30 May 97 i. Deformations are due to block movement but the parameters are well defined. (b) Joint surfaces extend through the entire volume of A continuum analysis cannot give warning of phenomena the rock mass. No new discontinuities can develop due to cracking. j. Key block theory. many assumptions regarding the material properties in a model while still expecting to obtain useful information (2) Figure 8-5 illustrates the concept of key block from the analysis. such as localized spalling. Sloan the analysis to the Hanging Lake Tunnel. Discontinuum Analyses Closed form solutions and continuum analyses of tunnel and shaft problems in rock ignore weaknesses and flaws that interrupt the continuity of the rock mass. The rock. thing about stability and safety factors. no other blocks can 8-19 . The analysis can skip over many combinations of joints and proceed directly to consider certain critical (key) blocks. geotechnical and underground applications involves many unknown factors and requires much judgement on the part (d) The discontinuity and excavation surfaces are of the user. Linear vector analy- be considered to use these techniques effectively. sis can therefore be used for the solution of the problem. (1) The best known theory for discontinuous analysis 1 I of rocks is the key block theory pioneered by Goodman and Shi (1985). Boxes 8-7 and 8-8 illustrate the use of continuum analyses for shaft and tunnel prob. one direction must be chosen to rock properties. In a key block analysis. Continuum analyses predict stresses. Con. they have several limitations that have to (a) All joint surfaces are planar. analysis.ams. However. Some specialized Hatzor and Goodman (1993) illustrate the application of programs can provide predictions of stability (e. Continuum analysis in not block deformation. lems as applied to the Superconducting Super Collider underground structures. Key block analysis nuities in a rock mass excavated along defined surfaces. Example applications. 8-5. If the joint set orientations are actually dispersed often limited by the availability of geomechanics data and about a central tendency. The analysis methods have been incor- porated into computer progr. Lindtations of continuum analyses. and displacements but generally do not tell any. Block analysis can be camied out using stereo- strains. nical applications is vastly different from applications in the structural field. If these blocks are stabilized. Continuum analysis in structural (c) The intact blocks defined by the discontinuities application is g-d to satisfy code requirements where are rigid. No discontinuities terminate within a block. b. Continuum analysis in geotech. tinuum analysis techniques are not a substitute for conven- tional design techniques and sound engineering judgement.g. the object is to find the critical blocks created by intersections of disconti- Figure 8-5. The principal assumptions are as analysis techniques are versatile tools that provide much follows: understanding of problems involving underground struc- tures. The designer should avoid making too represent the set. Continuum fall into the opening. Glenwood Can- 1981). thus. Colorado. The pres- ence of weaknesses makes the rock a collection of tightly fitted blocks. The complexity of a continuum analysis is defined. a. yon. Discrete element methods. graphic projection graphicaJ methods or vector methods. exhibits a behavior different from a continuous material. This section describes approaches to analysis of openings in rock behaving as a discontinuum.

modal superposition is used. methods are limited by the unavailability of sufficient data including complete detachment. (b) Modal methods. momentum is exchanged between two contacting bodies during an instan- taneous collision. contacts are rigid. both the contacts and the bodies are rigid. (a) Distinct element methods. but for deformable bodies. They are similar to distinct ele- ment methods in the case of rigid bodies. In these methods. (3) The block theory and discrete element analysis methods are useful in identifying unstable blocks in large igure 8-6. In smatler openings such as shafts and tunnels. Frictional sliding can be represented. They use explicit. and bodies may be rigid or deformable. Discontinuum analysis allow finite displacements and rotations of discrete bodies. Four main tion after mapping of discontinuities to identify polential classes of computer methods conform to this definition: unstable blocks that require support (NATM). The methods can be used during construc- automatically as the calculation progresses. time- marching to solve the equations of motion directly.h around tumd wlaitks denoted by arrows and the computer program UDEC.( bloc. In these methods. Bodies may be rigid or deformabl~ contacts are deformable. they are less useful. Cost considerations may preclude the use of discontinuum analysis in small open- ings due to budget constraints. and recognize new contacts during design. (2) Figure 8-6 shows an analysis of a tunnel opening in a jointed rock mass using the distinct element method Movement c. (c) Discontinuous deformation methods. (d) Momentum-exchange methods. Distinct element analysis. Large openings that are 8-20 . Cundell and Hart 1993 underground chambers.EM 1110-2-2901 30 May 97 (1) Cundall and Hart (1993) propose that the term used to house expensive equipment have big enough bud- discrete element method applies to computer methods that gets to perform these anatyses.

EM 1110-2-2901
30 May 97

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

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


EM 1110-2-2901
30 May 97

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


EM 1110-2-2901
30 May 97




M/ +“ p
90°– (x
CH = 2R


● ●
./ ‘=
z- Tunnel Crown

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

Figure 9-1. Snowy Mountains criterion for confinement

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


EM 1110-2-2901
30 May 97

lining, they are not likely to penetrate the full thickness of
the lining because the lining is subjected to radiat loads
and the net loads are compressive. If a tension crack is
—— . . . . _—— —sZ___ created at the inside lining face, the cross-section area is

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

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


). These thicknesses are greater cracks. a 28-day compressive Dead load2 1. The tensile strain in concrete due to curing shrinkage is of the order of a. The mix design must result in a pumpable concrete 4 Maximum internal pressure. ments may conflict with each other in the selection of the crete lining may be reduced or eliminated by considering inter. durability. Experience with aggressive corrosion or abrasion conditions may require the use of fibers for this purpose. but against a rough rock surface. For 9-5 .) often up to water pressure. the concrete is interlocked with the rock in the ground water conveyance structures is usually taken as longitudinal direction. Reinforcing steel for crack control. Live load.) or more. therefore. In a tunnel car- ations rather than structural requirements.3 1. nonuniform loads or distor.4. shrinkage reinforcement is guidance concerning concrete cover.000 psi) may be justified to achieve a thinner operational lining. as discussed in Section 8-5.000 psi) and a water/cement ratio Rock Ioac? 1. plus the weight of permanent fix. Hence. minus the minimum external with a slump of 100 to 125 mm (4 to 5 in. EM 1110-2-2901 30 May 97 b. loads on the lining at the time of form removal. better durability or abrasion resistance. Only for deep rying water. cured overnight. due to water hammer. 35 MPa (5. using concrete with polypropylene olefin or steel fibers for Tunnels and other underground structures exposed to crack control in lieu of reinforcing steel. For concrete placed with a slick-line. other effects) and temperature variations. mixed into the concrete just before placement in the lining 6 Maximum grounckvater pressure acting on an empty tunnel. usually 0. minus the minimum external water pressure.28 percent of the cross-sectional area. In tunnels. extema16 and forms moved the next shift for the next pour. up to about Hydrostatic 1. Additional tensile strains can result from For most tumels and shafts.4 for tunnel linings is placed during the day.4 the concrete may be required to have attained sufficient ‘ This table applies to reinforced concrete linings. these long-term effects are generally small. (12 in. and long-term exposure to water. areas or at steel rib locations. such as rock overbmk thickness. forms. Concrete Hydrostatic . for example.4 1. The 2 Self-weight of the lining. Lining thickness and concrete cover over steel. usually controlled by tions. Functionality. is limited at the additional cover. however. this load is usually absent during operations. will structural requirements govern the tunnel lining variations in concrete thickness. under normal operating conditions. One-pass segmental linings may require a con- transien$ crete strength of 42 MPa (6. will occur at a few discrete locations. abrasion and construction joints. tunnels required to accept large external hydrostatic loads. Concrete linings should be placed without expan- than normally used for concrete structures and allow for sion joints.1 modulus.1 1.05 percent. concrete mix. for example. and reinforcing steel should be continued across misalignment during concrete placement.2 1. the cracks or tunnels subjected to high. Concrete clear cover over steel in under. however. Concrete mix design. Live load 1.4 1.4 . the mini. EM 1110-2-2104 provides additional time of this writing. or a higher Hydrostatic . For most underground work.45 is satisfactory. 0. 90 min after mixing. Incorporation of expansion joints 100 mm (4 in.4 1.1 1. c. required 12-hr stnsmgth will vary depending on the actual tures. strength after 12 hr to make form removal possible. Accelerators may be added and 5 Maximum transient internal pressure. must often be transported long distances through the tunnel 3 Rock loads are the loads and/or distortions derived from to reach the location where it is pumped into the lining rock-structure interaction assessments. strength testing to verify form removal times. Functional requirements for underground concrete Load 1 2 3 4 and special constructibility requirements are outlined below. incorporating initial ground most linings.) where exposed to the ground and 75 mm therefore has little effect on the formation and control of (3 in. and workability require- Note: The effects of net internal hydrostatic loads on the con. 1. Testing of trial mixes should include 12-hr action between lining and the surrounding rock. Concrete would generatly have a load factor of 1. the thickness of concrete long-term exposure to the atmosphere (carbonization and lining is determined by practical constructibility consider.1 strength of 21 MPa (3. dowels.2 less than 0. Higher strengths.000 psi) or higher. require a thickness of 300 mm support elements such as shotcrete. if any. Tunnel linings have been constructed cavitation effects.) for the inside surface. EM 1110-2-2000 should be Table 9-1 Design Cases end Recommended Load Factors for Water followed in the selection of concrete mix for underground Tunnet’ works. The concrete lining is cast mum practical lining thickness is about 230 mm (9 in. In water tunnels. vehicles in tie tunnel. Unless cracking due to shrinkage is controlled. or steel sets. forms. 1.

and external pressure.4 percent is used. rock- operating pressure. If the internal operating pres. out-of-roundness should be considered erties Er and Vr. pi . structure interaction as well as leakage control.subject to internal found from the equation pressure.. more accurate equations can be devel- oped from thick-walled cylinder theory. 9-6 . Concrete linings for external hydrostatic load.P. sure is greater than the formation water pressure. is determined by Equation 9-7. e. the following expres- (9-2) sion for pr is obtained: fc = pRlt * 6pRuol{t2 (1 ‘pfpcr)) Pr = pi KCI(KC + Kr) (9-8) where pcr is the critical buckling pressure determined by Equation 9-3. pr. the concrete thickness should be taken as the R2 = radius to outer surface theoretical concrete thickness plus one-half the estimated typical overbreak dimension. the concrete stress can be of average radius. and thickness. assuming plane strain conditions. because leakage from the tunnel may structure interaction for radial loads can be analyzed using have increased the formation water pressure in the immedi. RI = radius to inner surface of lining d. consid- (9-4) ering the uncertainty of estimates of rock mass modulus. the exter- nal water pressure should be taken equal to the internal (1) Rock-structure interaction. p = external water pressure R = radius to cimumferential centerline of lining Ada = @i . Gt. pi. However. From this is deduced the net load on the lining. using the estimated radial deviation from a circular shape Uo. pr. 01 = @i . is shown in Equation 9-6. The estimated value of UOshould be compatible with As/a = pr(l + Vr)lEr = P~r (9-7) specified roundness construction tolerances for the com- pleted lining. Setting Equations 9-6 and 9-7 equal. Circular tunnels with internal pressure. where Young’s mod- ulus is Ec and Poisson’s Ratio is Vd The tangential stress fc = pR/t (9-1) in the lining is determined by Equation 9-5. concrete-lined rock tunnels with should be designed for the full formation water pressure internal water pressure require consideration of rock- acting on the outside (9-5) where fc = stress in concrete lining and the relative radial displacement. and the strain and/or Pcr = 3EIJR3 relative radial displacement of the lining: If the lining thickness is greater than one-tenth the tunnel & = A ala = (p i/EC)(a/t) (K$(Kr + KC)) (9-9) radius. If the lining thickness is less displacements behveen lining and rock. t. For thin linings. PJ (a/f) ((1 -v~)/EJ = @i -P) KC ‘9-6) t = lining thickness The relative displacement of the rock interface for the internal pressure. assuming a radius of a and rock prop- For a slender lining. simplifkd thin-shell equations and compatibility of radial ate vicinity of the tunnel.EM 1110-2-2901 30 May 97 highly comosive conditions. a. the (9-3) tangential stress in the lining. up to 0. AnaIysis Concrete linings placed without provisions for drainage and design of circular. a more accurate equation for the maximum com- pressive stress at the inner surface is For thick linings. Consider a lining than one-tenth the tunnel radius. where Where large overbreaks am foreseen in a tunnel excavated by blasting.

and Ap is the general recommendations for selection of loads for design.) are critical. Displacements from uneven swelling or squeezing rock. Uneven loading caused by a volume of rock loosened after construction. such as from nonuniform grout pressures. then the pressure loss through the lining is nel linings. The most important types can be classified as swelling. or both). s is approximately equal to 0. The quantity of water flow through n cracks in a lining of f. A/AC. lining is placed. based on the equations shown Equation 9-11. The aver. Seepage into under- ground openings such as an underground power. the leakage through the lining can be estimated as follows: from Equation 9-13. Effect on hydrologic regime. or a void left behind the lining. dissolution. the rock is stabilized at the time the concrete Equation 9-12. When effects on the groundwater regime (rise in groundwater table.1) + 33. where kCis the permeability of the concrete. ‘There are many different methods available to analyze tunnel linings for bending and Rock formations subject to erosion. above and in Chapter 3. leakage rates where d is the diameter of the reinforcing bars and p is the can be controlled by the lining. Rock stress conditions that can result in hydraulic ranted.1 d/p. or a localized water (3) Acceptability of lining leaking. If the rock is tight relative ratio of steel area to concrete area.7. n=2xals (9-11) etc. The crack spacing in internal steel lining. differential water pressure across the lining. or creation of springs in valley walls or zones or other zones of poor rock. Bending reinforcement may also be required through shear house. conditions can be analyzed with the help of computerized models. external. The number of cracks in factors can be analyzed using continuity of water flow the concrete lining can then be estimated as shown in through lining and ground. only shrinkage reinforcement. (9-12) reinforced concrete linings may be required to be designed q = (n/2q )(4-W W3 for circumferential bending in order to minimize cracking and avoid excessive distortions. of leakage through cracks in the concrete lining is depen- dent on an evaluation of at least the following factors. formation of springs. The acceptability pressure trapped in a void behind the lining. If the lining is Conditions causing circumferential bending in linings are crack-free. Construction loads.8 + 0. to the lining. or other deleterious effects may require follows: seepage and crack control. If the rock is very permeable relative to the lining. most of the driving pressure difference is lost through the lining. These age crack width is then w = s E. jacking may require most or all of the hydraulic pressure to be taken by reinforcement or by an (2) Estimates of lining leakage.08 dp(nzm) (9-lo) action between the rock mass and the lining. For typical tun. and leakage is controlled by the rock mass. However. and the lining will accept loads only from water pressure (internal. Linings subject to bending and distortion. In thickness t per unit length of tunnel can be estimated from most cases. reinforced linings can be estimated from It may be necessary to assess the effects of hydraulic inter- S = 5(d . EM 1110-2-2901 30 May 97 the increased accuracy of calculations is usually not war. Acceptability of loss of usable water from the system. small. distortion. Uneven support caused a thick layer of rock of q=2rrakCAp/yWt (9-13) much lower modulus than the surrounding rock. 9-7 . even though the remain- lowering of groundwater tables may not be der of the tunnel may have received no reinforcement or acceptable. Box 9-1 shows some where q is the dynamic viscosity of water.

ct = E. Conversely. for a small Loaded ring supported by springs simulating value (relatively rigid lining). = 0. increase values by 30 percent.3 times the height of the tunnel. uniform load equal to 0. The equations for this solution are shown in stone). lining thickness 12 in.5 m (5 ft).R 3/(Ec)I (9-14) tai loads (no ground interaction). depending on how much displacement and pressure relief is permitted before placement of concrete. the moment is zero. For cases 1. If the ground interaction (many structural engineering rock mass modulus is set equal to zero. 7. use side pressures equal to one-half the vertical pressures. Shatter zone previously stabilized: Vertical.0 to 2. 5.000 psi (modulus of a reasonably competent lime- lining. then Ihe maximum moment is 9-8 . Minimum loading for bending: Vertical load uniformly distributed over the tunnel width. or as determined from analysis with selected horizontal modulus. the largest moment is developed in a lining are dependent on the stiffness of the obtained. 4.250.. 8. Continuum mechanics. General Recommendations for Loads and Distortions 1.EM 1110-2-2901 30 May 97 Box 9-1. Nonetheless.. Squeezing rock: Use pressure of 1. Swelling rock..KJR2 (9-16) the advancing face of a tunnel or shaft. 6. and tunnel radius of 72 in. Moments cal loading of an unsupported ring). and the maximum moment is . closed solutions.0081 X CV(l . 2.600. which also shows the basic assumptions for the 360. with plastic radius no wider than one tunnel diameter. or loads due to void behind lining: Use maximum permitted grout pressure over area equal to one- quarter the tunnel diameter. Nonuniform grouting load. v. maximum 1. Noncircular tunnel (horseshoe): Increase vertical loads by 50 percent. the rock does not codes). The relationship flexibility ratio. the moment is large.000 psi (a soft shale or ratio crushed rock). These assumptions are hardly ever met in real life except when a lining is installed immediately behind M = 0. numerical solutions. 3. with KO= O (corresponding to pure verti- (1) Continuum mechanics. closed solutions. Now consider a relatively effects of variations in important parameters. (I = 123/12). Continuum mechanics. Swelling rock. rock mass modulus the ciosed solution for elastic interaction between rock and 500. restrain the movement of the lining. For a large value of u (large rock mass modulus). then ct = Box 9-2.KO)R2 (9-15) The designer must select the method which best approximates the character and complexity of the condi- tions and the tunnel shape and size. with free access to water: Use swell pressures estimated from swell tests. and rock mass modulus 50. unsaturated or with anhydrite.(1 . A few examples wiil show the effect of the lining relative to that of the rock. Alternatively. saturated in situ: Use same as 3 above. For excavation by explosives. Assume a concrete modulus of 3. use estimate based on elastoplastic analysis. the solution is useful for examining the This is a very small moment. It is noted rigid lining in a soft material: Radius 36 in.0 times tunnel height. and 3.6 times the tunnel height. thickness that the maximum moment is controlled by the flexibility 9 in. the moment becomes very small.000 between relative stiffness and moment can be studied using psi. With KO = 1 (horizontal and vertical loads equal). equal to a height of rock 0. Free-standing ring subject to vertical and honzon.25. M = 0. and the maximum moment solution. before elastic stresses have reached a state of plane strain equilibrium. 2.

(/ + KJ R3/(& E. ~ Maximum/minimum hoop force 2(1 .K<JR2 (9-17) “ Irregular boundaries and shapes can be handled.4vJ (12(1 + v. interface elements may be used or the springs Variable properties can be given to rock as well as deactivated when tensile stresses occur. (1 . = CT./ + E. E.fP + 2E4R2 + 2EJ) * a. the moment is reduced to about grouting. Thus. rock. or a proportion thereof / Includes tangetial bond between lining and ground Lining distortion and ocmpression resisted/relieved by ground reactions &av Maximum/minimum bending movement 3 . Incremental construction loads can be analyzed. loads from backfill lining in a soft rock.2V. with a relatively rigid including. (1 + v. R’) Maximum/minimum radial displacement 3 . Moments and forces in circul. In a finite elcmen[ analysis (FEM) analysis. tangential spring stiffnesses. EM 1110-2-2901 30 May 97 Box 9-2. R3 rv=o”(l +Ko)R/(2+(1-Ko) m‘m) -+ CTv(1. elastic radial lining pressures are equal to in situ Ground Conaele Llnlng stresses. f. R’ M = *OV (1 .Ko) /7’/(12 Ec/ + E. Hinges can be introduced to ments computer programs.VJ 4v. It is seen that even in this inst. 27 percent of the moment that would be obtained in an unsupported ring.KO)R/(2 + 1 2VJ (1 +V) (3 . M = 0. the lining is (2) Analysis of moments and forces using finite ele.068 x Ov(1 .ance. Lining in Elastic Ground. Such analyses interaction between the lining and the reek.R3) . r (1 + v.2V. for most lining applications in Two-pass lining interaction can also be analyzed.Ko) f?2/(4 + 3 (1 + v. bending moments are expected to be small. The radial and lining elements. (3-4J v. The interface have the following advantages: between lining and rock cannot withstand tension. Tangential and and noncircular tunnel linings can be determined using radial springs are applied at each node to simulate elastic structural finite-element computer programs. therefore. divided inlo beam elements.) E.u simulate structural properties of the lining. expressed in units of force/ 9-9 . for example. Continuum Model Assumptions: + 0“ Plane strain.

Since the lining is subjected to combined normal force and bending. nunwrical solutions. in this equation (3. the equation 9-1o .) (9-19) the analysis is conveniently ctarried out using the capacity- interaction curve. Linings wi[h nonuniform cross sections. are e. For example. faces. segmental con. grouting loads. = radial and tangential spring stiffnesses. As shown in Figure 9-5. Loads can be applied to any and families of curves can be generated for different levels number of nodes. principles. b can be taken as the and reinforcement results in a unique interaction diagram. the conversion for- additionat calculation on the part of the user.) (9-18) mated.5 kj(l + v. joints in a segmental lining introduce a reduction in the bution in a lining of a circular tunnel under two different moment of inertia of the ring that can be approximated by excavation conditions. The initial lining is .EM 1110-2-2901 30 May 97 displacement (subgrade reaction coefficient). = E.!31/It)(AD/D) (9-20) provided as a direct output from the computer analyses with no need for . The equations acting over part or . or standard external loads from groundwater. ure 9-4 shows a sample output of moment and force distri. structural engineering handbooks. 2104 are applicable to a tunnel lining of uniform cross crete unbolted. For a uniform ring structure. compressive stresses reduce [he allowable moment. b e/(1 + v. The forces and moments . reflecting a sequence of construction. Once bending moment . and k. Fig. In the event that the lining is not properly described as a mation on the working load to be applied to the structure uniform ring structure. A lining cross loads. from past experience. Hinges are introduced at crown. are es[imated (4) Design oj’ concrete cross section jbr bending and from normal jbrce. or any other loads. but based on the same tion. also called the moment-thrust diagram.asily set up on a computer spreadsheet.El/f?) should be modified. k. invert.are M = (3. and the final lining is reinforced cast-in-place section wilh reinforcement at both interior and exterior concrete with an impervious waterproofing membrane. The forces and moments give the designer infor. asymmetric. based on rock-structure interaction. Loads can be section is deemed adequate if the combination of moment applied in stages. For higher thrust. Each combination of cross-section area If a segmental lining is considered. the allowable moment for low values of thrust increases with the thrust because it G = shear modulus reduces the limiting tension across the member section. G/E. = k. The equations shown in EM 1110-2- system. The interaction diagmm displays the enve- lope of acceptable combinations of bending moment and k. These stresses are used to calculate the (axial and mula is shear) forces and the bending moments in the components of the support structure. and thrust VJIUCSare within the envelope defined by the Figure 9-3 shows the FEM model for a two-pass lining interaction diagram. axial force in ii reinforced or unreinforced concrete mem- respective y ber. internal loads. and spring. EM 1110-2-2104 should be used to design reinforced con- where crete linings. from estimates of long-term swelling effects. ized rock-structure analyses. lining. such as those shown in standard have no flexural stiffness and a minimum of axial deforma. These links transfer only axial loads and more complex equalions. or may be a nominal distortion derived (3) Continuum analysis. Tunnel lining distortion stated as a relative lines of the initial lining to represent the joints between the diameter change (AD/D) may be derived from computer- segments. such as Rigid links are used to interconnect the two linings at coffered segmental linings. or a lining distortion esti- k. The effect of an msurned distortion can be analyzed using the interaction diagram by convert- Continuum analyses (Section 8-4) provide the complete ing the distortion to an equivalent bending moment in the stress state throughout the rock mass and the support struc.and ring thrust in a lining have been determined. are analyzed using slightly alternate nodes. singular rock structural computer codes can be used. reflecting assumed vertical rock loads of reinforcement for a given cross section. General equations b = length of tunnel element considered to calculate points of the interaction diagram tare shown in EM 1110-2-2104. width of the segment ring. the representation of ring stiffness and can be used in the reinforced concrete design. the lining must be designed to achieve acceptable performance.all of the tunnel width. The maximum allowable moment is reached at the t3= arc subtended by the beam element (radian) so-called balance point. = 0.

Descretization of a two-pass lining system Figure 9-3 for analysis 9-11 . TYP i i )1 i3 fipdin 1 0. EM 1110-2-2901 30 May 97 (a) Undrained Excavation i i > I ’19 Kips-irl/in I 11 Kips/in Moment A&i Fome LEGEND: NOTE: Maximum Values ● NOOE TANGENTIAL SPRINGS NOT SHOWN FCR CLARITY. thrust and shear diaarams in liner DETAIL 1 Figure 9-4. Moments and forces in lining shown in Figure 9-3.93 Kips/in Shear Force 23 fiPS-ill/iIl Moment RIGID LINK TYP ~ (b) Steady State % F -1 4 ZJ -.70 Kips/in Hal Force Shear Force Moment.— RADIAL TYP SPRING I I FINAL CAST-IN-PLACE TANGENTIAL i i E CONCRETE LINING SPRING. O ELEMENT SEE DETAIL 1. . \ SPRING e HINGE BEAM-SPRING MCOEL ~ INITIAL PRECAST CONCRETELINING \ G i 0.

Buckling occurs at a critical circumferential/ axial determine the effects of joints in the lining. which must be designed and ]ni]nufactured before the tunnel is excavated. Box 9-3 shows a method of analyzing the interaction between a steel liner. temperature changes in the lining. Therefore. Design of steel linings for internal be accomplished by (a) introducing of steel and concrete during construction. in most cases. Other factors include the to reduce the rigidity of the lining and thereby the moment effects of heat of hydration of cement. When the external load is large. it is often necessary to use external joints with ten. manifests itself by formation of a single lobe p. and EM 1110-2-3001 provides guidance for the design of steel penstocks. and a t’ractured or damaged rock zone. which depends not only on the thickness the envelope of the interaction diagr. When the rock mass has strength and is confined. The failure starts at a sioned bolts. Issues of particular interest for tunnels lined nt with steel are discussed herein. maximum internal pressure minus mini- mum external formation water pressure.EM 1110-2-2901 30 May 97 9-5. the steel lining should be designed for the net internal pressure. the steel lining. including the effectiveness of contact grouting moment transferred to the lining. This may not and concrete backfill. resulting in a greater of faclors. the same way as a slender column.sting. If the where steel pipe is equipped with external stiffeners. Steel linings must be designed for internal as well as for external loads where buckling is critical.001 limes the tunnel mdius depending on a number lining also will increase its rigidity. which. must be based on conservative design assumption. the gap can vary from always be the best option. the concrete and the rock around the steel pipe can be assumed to participate in c. If the estimated lining moment falls outside critical pressure. This c. The principles of penstock design apply. Nonbolted stress at which the sleel liner becomes unstable and fails in joints would have a greater effect [h. the section area of the stiffeners should be included in the analysis for 1 = moment of inertia of the lining internal pressure. 9-12 .amllel to the axis of the Alternatively. The extent of the fractured rock Figure 9-5. the designer may of the steel liner but also on the gap between the steel liner choose to increase the strength of the lining. i]nd the quality of the rock is not well known in [. concrete. more rigorous analyses can be performed to tunnel.arrying the internal pressure. the steel liner may reach temper- stress relievers or yield hinges at several locations around atures 80 ‘F or more due to ambient air temperature the ring. In soft rock. Failure of a steel liner due to external water pressure n = number of joints in the lining ring where n >4 occurs by buckting. [j = moment of inertia of the joint b. Capacity interaction curve zone can vmy from little or nolhing for a TBM-excavated tunnel to one or more meters in a tunnel excavated by bh. For example. $ (1. and a sound rock considering the gap between the steel and concrete caused by temperature effects. Design [[jtlsillcrtltic~tls for external pressure. where high moments would Realistically. and ambient joints or increasing the number of joints and (b) using a temperature changes duc to forced or natural ventilation of thinner concrete section of higher strength and introducing the tunnel. Increasing the strength of the O to 0. It may be more effective of voids behind the steel liner. Design of Permanent Steel Linings As discussed in Section 9-4.f = Ij + (4/n)21 (9-21) advance. a steel lining is required for pressure tunnels when leakage through cracks in concrete can result in hydrofracturing of the rock or deleterious leakage.

then PCRC = PdR = peRe~ pd = PcR~&.) 4. Interaction Between Steei ~ (t . Concrete and Rock 1. PC = peR~Re 2. EM 1110-2-2901 30 May 97 Box 9-3.10-6/OF) Ac = compression of concrete= (pcRJEJ In (RJRC) Ad= compression of fractured rock= (pcR&) In (Re/R& Ae = compression of intact rock = (pcRc/Er) (1 + v.V$) / (t~~) 3.5.pc and sustains radial displacement As = (pi . Steel lining carries pressure ~ . Assume concrete and fractured rock ar cracked. where Ak = radial temperature gap = CSATRi (Cs = 6. As = Ak + Ac + Ad + AE. Hence 9-13 .

. 9-14 .”. The drains are short. . .. pressure readings should be taken prior to dewa. . . . .5 percent of the diameter.. with tolerance of about 0. have been used in Imgediarneter .- tunnels with the addition of an external drainage system consisting of steel collector pipes with drains embedded in concrete backfill.4. smafl-diameter pipes connecting the radial gap between the steel liner and Figure 9-6. . . subject to practical and economic limitations. There are practicat limitations on shop fabrica- tion and field erection in controlling the out-of-roundness (1) Amstutz’s analysis.. Analyti- during winter when the water temperature is 34 “F. The erection of a liner may permit a 1-percent difference failure involves formation of a single lobe parallel to the between measured maximum and minimum diameters of its axis of the tunnel. tering when significant groundwater pressure is expected. . should not be considered in defining the gap used Figure 9-6. which is adjustable to obtain the required circularity before and during placement of concrete backtlll.. Stability of allowable buckling pressures. Such flattening of a liner. The external water pressure on the steel liner can develop from a variety of sources and may be higher than :> the vertical distance to the ground surface due to perched . Nominal ● . The shape of lobe due to deformation deformed (elliptical) shape. .. Even a small amount of water accumulated on the outside of the steel liner can result in buckfing when . . Design of steel liners without stiffeners. Buckling. ” . In Due to low resistance to bending. . Control valves should be provided at the end The equations for determining the circumferential stress in of the collectors and closed during tunnel operations to the steel-liner wall and corresponding critical external prevent unnecessary. The collectors run parallel to the axis of the tunnel and discharge into a sump inside the power house. A steel liner must be designed to resist maximum external water pres- sure when the tunnel is dewatered for inspection and main- tenance. the various analytical methods. not on imperfections resulting from different results. “d”.EM 1110-2-2901 30 May 97 and the heat of hydration. single lobe concrete with the collectom. resulting difference in temperature would be 46 ‘F. permissible tolerances during fabrication and tened and separates from the surrounding concrete. The designer must design should be based on the effects of temperature be aware that the different theoretical solutions produce changes and shrinkage. It is common practice. continuous drainage and to preclude pressure are: potential clogging of the drains. . It is therefore prudent to perform more inadequate construction. : Therefore. .. .. >. Spider bracing mdf3ddd- may also provide support to the liner during contact grout- ing between the liner and concrete backfill. .0003 times the out stiffeners. however. roundness. If the tunnel is dewatered c. “b . Large-diameter liners can be fabricated when the external water pressure reaches a critical value. in design formulas. “. The vatves should be opened before dewatering of the tunnel for scheduled maintenance and inspection to allow drainage. Following are discussions of the steel liner depends afso on the effect of its out-of. .. the steel liner is flat- other words. This Jacobsen (1974). . .. ..***. and elastic shortening of the steel liner wall is shown in however. aquifers. the cal methods have been developed by Amstutz (1970). Definition of radial gap for the purpose of by MathCad have also been developed. however. Steel liner buckling begins of a steel liner. Construction problems must be than one type of analyses to determine safe critical and remedied before the tunnel is put in operation.:O the tunnel is dewatered for inspection or maintenance. Computer solutions by Moore (1960) and tunnel radius.. Design of thick steel liners for large diameter tunnels is . to specify internal spider bracing for large-diameter liners.“. :4. and Vaughan (1956) for determination of temperature difference would produce a gap between the critical buckling pressures for cylindrical steel liners with- steel liner and concrete backfdl equal to 0. . . thickness liners.

axial stress (CJN)must be determined in conjunction wilh [he corresponding value aV= -(k/r)E* of e.~*oNl in Amstulz’s analysis.5[1/(1+0.5-0. obtained results may be considered satisfactory providing a~<(). These coefficients are ‘C+”[l‘0175( +)0.‘) n i Sln p 1 (9-26) 9-15 . It is. Determination of the critical t= plate thickness external buckling pressure for cylindrical steel liners with- out stiffeners using Jacobsen’s method requires solution of E = modulus of elasticity three simultaneous nonlinear equations with three unknowns. a preferred method of design E* = E/(l . F = t Figure 9-7. V*) since. as depicled by the fla[ter portions of the curves shown in i = t/d12. e = t/2. Thus. Amstutz intro- duced a number of coefficients that remain constant and do not affect the results of calculations.1 (9-25) p/E “ = 12 (r/[)’ (sin et/sin (3)3 o]E ● = (t/2r) [1 . In such cases ONapproaches the yield stress. Box 9-4 is a MathCad application of Amsmtz’s equations. it produces lower crilical allowable buckling pressures lhan Amslulz’s method.002 E/aY)]* cJF*= pay 41-V+V2 v = Poisson’s Ratio rf[ = ~[(9n2/4 ~’) -11 [n . Amstu(z indicates (hat (he acceptable range for values of E is 5<e<20. According to Amstutz.and concrete = y Amstutz equalions (after Moore 1960)..~ )/4]] (9/4) (n/p )’ .(n A/r) . Figure 9-8 shows curves based on k/r = gap ratio between steel . r = tunnel liner radius (2) Jacobsen’s mwlysis. t sin ~) [ 1 + 4P ‘“‘i’) a ‘~*1‘a . buckling of a liner begins at a circumferential/ axial slress (ON)substantially lower than the yield stress of — — the material except in liners with very small gap ratios and (9-22) in very [hick linings. ~. EM 1110-2-2901 30 May 97 3 In general. an expression for the inward deformation of the liner at any point. A solution of q = yield strength Jacobsen equations using MathCad is shown in Box 9-5. and p in Jacobsen’s analysis are: p = 1. in most cases. however. ~“ = circumferent iaf/caxialstress in plate liner The three equations with three unknowns U.~(sin a/sin(~) [1 + tan’(a .(sin ~/sin a)] + @r sin et/E. Others contend that the E dependent coeffi- where cients are more acceptable in the range 10<s<20. To simplify the analysis and to reduce the number of unknown variables.. The modulus of elasticity (E) is assumed constant ‘73(41 -022’($G.%. see Figure 9-7.a + ~ (sin u / sin ~)’] (9-24) 12 (sin a/sin S )’ la .0”] (9-23) dependent on the value of E.

— .73 4.6 0. .2 c / ‘ 1 o 4.— 2 z. psi 9-16 .3 \ + Y = 0.EM 1110-2-2901 30 May 97 Y. t.2n_o .0 45678910111213 1415161718192 Note: At c. 2. .225 * d 4. in.4 — _ o.f2 t I f 4. 4.8 0. 360” jand + ond Y’~- Figure 9-7. for gap between steel and concrete et = one-half the angle subtended to the center of the r = tunnel liner internal radius. Amstutz coefficients ss functions of “E” where A/r = gap ratio. psi ~ = one-half the angle subtended by the new mean radius through the half waves of the buckled lobe f = liner plate thickness. cylindrical shell by the buckled lobe q = yield stress of liner. in. P = titid external buckling pressure. 180* It-a .75 — . ~ — — v-”dJ=l. — - f-l / .4 3X .

—+ o 7-T 240C. @27) R2 R Oy . Y.) OY= yield stress of liner. EM 1110-2-2901 30 May 97 70 90 !10 130 150 I 70 190 210 230 250 27o 0/t Olt Figure 9-8.(JC. E/( provides a family of curves shown in Figure 9-10. Box 9-6 is a MathCad example of the application of tion of the liner represented by a number of waves as Vaughan’s analysis. psi v = Poisson’s Ratio for steel OCr= critical slress Curves based on Jacobsen’s equations for the two different Ex = E/(1 -V’) steel types are shown on Figure 9-9. = where 9-17 . (Figure 9-11) for estimating approximate critical pressures. it is based on distor. It is noted that approximate pressure [oy~~cr+a’+:llx values obtained from these curves do not include a s. These curves are for steel with CJY= 40. Curves based on Amstutz equations by E. Vaugh. = gap between steel and concrete (3) Vaughan’s analysis. The T = plate thickness failure of the liner due to buckling is not based on the assumption of a single lobe.afety factor. instead. Moore E* = modified modulus of elasticity.ari- ous values of y(/R. Vaughan’s mathematical equation for determination of the critical external buckling R = tunnel liner radius pressure is based on work by Bryan and the theory of elastic stability of thin shells by Timoshenko (1936). T.000 psi with v.

ASTM A516-70 r = 0.891 0 ld ISv: = -9. The results applications in defining allowable buckling pressures for a depend. and Jacobsen’s analyses are based on the assumption of a dures.30 = 0.297.5-0.412 m= 7 & .027 _k = 3.EM 1110-2-2901 30 May 97 Box 9-4. Vaughan’s analysis is based compare and verify final results and to define safe on multiple-waves failure that produces much higher 9-18 .002. Amstutz’s to reeognize the limitations of the various design proce.891 .50 in.092 . 90-in. Table 9-2 shows the results of MathCad various theories produce different result3.5.0 in. It is the responsibility of the designer plate thicknesses: 12.107 Em: = 3. MathCad Application of Amstutz’s Equations Liner thicknesst = 0.~ .425 1 + 0. and 1. 2“+ 30.50 F = . on basic assumptions used in deriva. 104 t: = 0. 104 i: = 0. 7/8. 3/4. Em = -9. in particdar.103 ~=d[::::~)[(+)Er-[ 1-0225+”[w)1173+~J a = 1. ld v: = 0.144 i: = 0. Available analyses based on applications. There is no one single proce. 104 N: = 6. & OF [[ P “°F = 6.104 (:)””N”[l -0175” (+9”[=)1’652w Externalpressures: Criticalbuckfingpressure= 85 psi Allow. radius (ASTM A 516-70) steel liner with varying tion of the formulas. allowable buckling pressures.50 F: = 0.50 r=90 ON: = 1.5) d.092.sblebucklingpressure=43 psi (Safety Fecior= 1.25 = 360 .106 3.17 r = 529.103 1! 1 1.107 _ = 0. Most of the steel liner buck- dure recommended for analysis of steel liners subjected to ling problems can best be solved with MathCad computer external buckling pressures.17 Em: = 3.106 of: = 38.50 r: = 90 k: = 0.425 p: = 1.107 am: = 6. 5/8. Design examples. = 1. Use of more than one procedure is recommended to single-lobe buckling failure.10-4 r E: = 30.104 m ON: = 12.294 .

Steef Liner Without Stiffenere- e. MathCad Application of Jacobsen’s Equations Liner thickness t = 0. and (c) increasing the 9-19 . Use of external circum- Formulas Factor 1/2 518 314 718 1. ~r3-4 7 E:=3O. ASTM A51 6-70 Analyses/ Safety (1) Design considerations. Design of steel liners with stl~eners. Final design should be based on Vaughan 1. &p) = 0.5) therefore. Allowable Buckfing Pressures for a 80-in.321 External pressures: Critical buckfing pressure = 51 psi Allowable buckling pressure =34 psi (Safety Factor = 1.107 m= Guesses a : = 0.diam.5 97 135 175 217 260 economic considerations of the following three available options that would satisfy the design ~quirements for the external pressure (a) increasing the thickness of the liner. ness required for internal pressure.5 65 82 119 160 205 exceeds the thickness of the liner required by the design Jacobsen 1.296.027 A.37 51. EM 1110-2-2901 30 May 97 Box 9-5.409 minerr(a. most (b) adding external stiffeners to the liner using the thick- of the buckling failures invoive formation of a single lobe..106 3.50 r: =90 A : = 0.103 v : = 0.297.107 Em : = 3. use of the Amstutz’s and Jacobsen’s equations to Table 9-2 determine allowable buckling pressures is recommended. ASTM A 516-70 t : = 0.1O6 Oy:= 38. allowable buckling pressures.30 30. psi of an unstiffened liner designed for external pressure Amstutz 1. Plat Thicknesses. Based on experience.5 51 65 116 153 173 for internal pressure.35 p : = 0.50 in. in.30 p: =40 Given [) 0.0 ferential stiffeners should be considered when the thickness Allowable Buckling Pressures. 3 .

T.EM 1110-2-2901 30 May 97 960 960 800 880 800 800 720 720 640 640 560 560 480 480 400 I I\ J I I I I I I I 400 1 I I I I 320 320 240 240 . dl$ltrlo4 R81nl) -0% Figure 9-10. Moore IJNIMO BEFORC LIMIRO / OISTORTEO uMINa (RS ECmbw ●f we.001 1 I . I J . distortion of a liner represented by a number of waves. j. 002... Curves based on Jacobsen equations by E. I 160 r. fre- tional welding. and the addi. 7-. Jacobsen are based on a tional cost of concrete placement. J“llllllllllllll 0 130 I 70 190 210 230 250 270 70 90 110 150 “70 90 110 !30 150 ( 70 [90 210 230 250 210 0/t o/t Figure 9-9.. by E. Analyses required to provide space for the stiffeners. The analyses by von Mises and Donnell are based on linings must also consider the considerable cost of addi. Several analytical 9-20 . Amstutz and by S. The methods are available for design of steel liners with stiffen- economic comparison between stiffened and unstiffened ers. ~ J+ 4YL ! 1 I 160 80 I 80 I I 1 I [ ! I . Vaughan’s buckling patterns . the cost of additional tunnel excavation quently referred to as rotary-symmetric buckling.multiple waves thickness of the liner and adding external stiffeners.

In the the number of waves of a free tube. Von Mises’s equation for determination of critical buckling pressure is: 9-21 . is variable. center-to-center of stiffeners. ) n’2 1-2 where Pcr= collapsing pressure psi. and the Amstutz analysis is not recommended. the value of waves n is an integer number. i. and it is not an independent E. only Jacob- symmetric buckling equations can also be estimated from sen’s analysis of a single-lobe failure of a stiffened liner is the graph shown in Figure 9-12. nz L2 )72-1+ 1 ‘12 (I. EM 1110-2-2901 30 May 97 Pm = 4![ E. = distance between the stiffeners. 6< n >14. n = number of waves (lobes) in the complete circumference at collapse Figure 9-11. included in this manual. 2a less than 180°. f. the approximate number of which steel liner at collapse is: can be determined by a formula based on Winderburg and Trilling (1934). an expression for inward deformation of the liner.. This graph can be used for an approximate estimate of the buckling pressure and single-lobe buckling. in. it is not applicable to and Trilling (1934). It can be determined by trial-and-error substitu- generally less than 3. (2) Von Mises’s analysis.e.0 ~= radius to neutr..e. 1- (/7’ - 1-F 1)(U 2 2 + 1)2 ‘1I ddd —u In. in. The number of single-lobe buckling of liners with stiffeners. the corresponding sub- tion starting with an estimated value based on a graph. The number of waves n Since the Amstutz anatysis is limited to buckling with e c’an also be estimated from the equation by Winderburg greater than 3. Von Mises’s equation is Winderburg and Trilling’s equation for determination of based on rotary-symmetric buckling involving formation of number of waves n in the complete circumference of the a number of waves (n). Mmn U ■ nt7c cm LOPC (9-28) 4 1 —. It is noted that similar equa- tions and graphs for buckling of a free tube have been (9-29) developed by Timoshenko (1936) and Fliigge (1960). psi f = thickness of the liner. (3) Windct-burg’s and Trilling’s equation. For tended angle 2a is greater than 180° (see Figure 9-7). Vaughan’s curves for yield stress Figure 9-12 shows in graphic form a relationship between 40. arurx alnm CD Ufcu 2/72 -l-v E. A graph for collapse of a free tube derived from von Mises’s formula can be helpful in deter- E mining buckling of a tube. for FS = 1. i.000 psi critical pressure. practical purposes. Roark’s formula is atso used. therefore. The number of waves in the rotary- steel liners with stiffeners. For this axis of the liner v = Poisson’s Ratio E = modulus of elasticity. the ratio of L/r and the number of waves at the time of the liner collapse.

5) The above equation determines number of waves n for any Poisson’s Ratio.50 in.092 “ ld Ew:= 3. diameter ratio. : = 12 “ 103 1-V2 (JY .153 External pressures: Critical buckling pressure = 97 psi Allowable buckling pressure = 65 psi (Safety Factor = 1. “ l-o. t3/12(1 .: = 1. length/ R = shell radius.50 R :=90 o=. For v = 0.:%r[*+%]]E$-:+ [i:::]:c.901 “ 1(Y C5a : = 1. however.061 +~n2?L2 [1+. the above equation reduces to: 7.0 Figure 9-13 shows the relationship between n. = shell bending stiffness.297 0107 ~ : = 3.10’ Y.175”~””” -o” E.901 “ ld am:= 6.901 “ 1(Y : = 0. a: = 2.297 . ASTM A 516-70 ~= 30104 T : = 0. and thickness/diameter ratio using this equation.3.E~ + . 107 F T i)[[ “0=. in.V2) (4) Donnell’s analysis.3 = 3.a=. Math Cad Application of Vaughan’s Equations Liner thickness t = 0.. f. for FS = 1. !I[ a = 1.: = 0.296010’ . (~2 ~2)2 El.50 R: =90 oy :=38.027 30 “ ld v : = 0. (9-31) k--n-l n= Li (9-30) TT where Pa = collapsing pressure. = ]1 97. v = Poisson’s Ratio Donnell’s equation for rotary-symmetric buckling is: E = modulus of elasticity 9-22 .EM 1110-2-2901 30 May 97 Box 9-6.

e. Jacobsen’s analysis of buckling pressures. EM 1110-2-2901 30 May 97 R I -!. ~.807 E. except that the stiffeners are included in comput- ing the total moment of inertia. -.. I II I I I I 18 I I II I I 1 1 I 1 1 . and p are: where 9-23 . ---- 5000 L. the anal- Pcr = 4L ysis of liners with stiffeners is based on the assumption of L...-O . critical (6) Jacobsen’s equations. Collapse of a free tube (R. The three simultaneous equations with three unknowns ct. i. 1 l\ I 1 1 1 ! J 15 =7 J 10.. safer. 3000 2500 2000 > I 111111 I I I I I Ill I 500 I 000 900 % t = shell thickness r = shell radius z 300 250 11~\-] Ill L = spacing of stiffeners 200 . t2 t2 (9-32) 1.U I ‘1 II 4000 . . moment of inertia of the stiffener with contributing width of the shell equal to 0. von Mises) t= shell thickness E = modulus of elasticity of steel x=ltR/L c = thickness of the liner L = length of tube between the stiffeners RI = radius to the inside of the liner n = number of waves (lobes) in the complete v = Poisson’s ratio for steel circumference at collapse LI = spacing of anchors (stiffeners) (5) Roark’s formula. RI 1-V2 ~ Jm a single-lobe failure.57 ~rt + t. O-J. Figure 9-12. Ill I 50 F = yield stress of steel n = number of waves in circumference at collapse 40 30 25 20 I I I I I 1 . As in the case of unstiffened liners. . Roark’s formula produces lower.. . When compared with other analyses. y.. Roark’s formula for critical buckling steel liners with external stiffeners is similar to that without is: stiffeners.

005 z & 0.0020 0.0040 0.1] @/EF) = (9-34) (r3 sin3 a)/[ (l/F) {~] 1 sin P pr sin al+ () 8ahrsinatan (a-~) op.0020 0. .:::: 0.1] [n -u +~(sina/sin~)2] .007 h g .0035 0.020 0.020 0. .015 - 0 0 \ \ : 0. 00 .008 0.008 W 0. o“ 660”0” 60”&&:—N NmTm”m” COO— LENGTH/01 At4ETER {L/Dl Figure 9-13.0045 0. Estimation ofn(Winderburg and Trilling) r ii’ rl~~) = < [(97c2/4~2) .00[5 0.0035% ~ 0.006 ~ z 0.010 0.015 0.0015 N 0.~)/4]] 1 (9-33) [(9n’/4p’) .! 1. -+ (9-35) r sm a EF sin B [ n sin P 12J/F where F = cross-sectional area of the stiffener and the pipe shell between the stiffeners a = one-half the angle subtended to the center of the cylindrical shell by the buckled lobe h = distance from neutral axis of stiffener to the outer edge of the stiffener P = one-half the angle subtended by the new man radius through the half waves of the buckled lobe r = radius to neutral axis of the stiffener P = critical external buckling pressure cr = yield stress of the liner/stiffener J = moment of inertia of the stiffener and contributing width of the shell 9-24 .JFl-lnlDmo Inolrloooo .EM 1110-2-2901 30 May 97 0.005 0.(nA/r) .0045> V) 0.010 = 0.12(sina/sin~)3 [cx .0025 0.0025~ 0.00400 g 0.00305 ~ O.~(sina/sin~) [1 +tan’(a .0030 0.009 e R 0.009 0. . . .

103 i Guesses a:=l. r. p) = 1. critical pressures corresponding to the assumed n values.027 External pressures: ‘cr. sin(a) tan((a) .(~)) 2= : “(’ -=)+ :.027 A= 3 ._] [A)lw= [[fi~.. i. 1 . sin((3) m ‘“ T“ % ‘S’n(fi) P< 130 1. MathCad produces a range of values for equation. 10-4 h : = 4. J h.8 minerr(ix. Instead. EM 1110-2-2901 30 May 97 E = modulus of elasticity of liner/stiffener MathCad application. Critical pressures versus number of waves are plotted in (7) Examples. (critical buckling pressure) = 126 psi Jail.)(%~] Jfi= .62 F := 29.’. The lowest buckling pressure for each equa- for rotary-symmetric buckling can best be solved by tion is readily determined from the table produced by Box 9-7.8 ~: =1. Von Mises’s and Donnell’s equations graphic form.8 p: =125 Given [[.25 E: =30..e. ] R. a range of n values is defined at the beginning of either equation Box 9-7 shows a MathCad application of Jacobsen’s and.500 in.+ tan@). gap/liner radius cumference of the steal liner at collapse. (~) ~ h . on centers r: =90 J : = 44.~]-1][~-(a)+(. p.(*-? .106 A : = 0.3’1 m: “ % “ ‘in(b)’ 12.(P)))2 (a) -(1#) -(~)(*) . Liner with Stiffeners-Jacobsen Equations Liner thickness t = 0.sin(a) “f + j= Jn. “ . r 8.69 OY: =38. (allowable buckling pressure) = 84 psi 9-25 . MathCad application does not require a prior estimate of number of waves n in the cir- Afr = gap ratio. as a result. Stiffeners: 7/6” x 6“ @ 46 in.8 [) 126.2.

in. reaching at least 900 mm (3 ft) in behind nels would employ crotch plates. plate should be equal in area 10 the steel area removed for anced thrust forces to competent rock but is not assumed the connection. Depending on the PDV. value (PDV). The concrete may be assumed to transfer unbal. the pipe size. For a collar or wrapper. In partially steel-lined tunnels. as they have higher hydraulic resistance. rx = branch deflection angle vided at the transition. This is expressed by (he pressure-di..EM 1110-2-2901 30 May 97 MathCad computations. Seepage rings iue usually d = branch difime(er. ring reinforcement designed for crack applied as a collar. Number of waves in the com. A designer must be pressure in the pipe. the reinforcement should be ling. Depending on the character of the rock shape of external plates welded onto the connection and the method of construction. A thin liner shell may be pro. Because space is limited around the steel manifolds. by the cut in the pipe provided for the connection. The external steel plate the steel-lined section through the rock. it is often practical to replace the steel accordance with the principles of aboveground penstocks. times 0. Right-angle connections should be Boxes 9-8. a grout curtain may be between the pipes. this area should be multiplied by PDV the design of these structures is found in EM 1110-2-2902. Culverts and Pipes. and the pipe connection cognizant of such differences as well as the design geometry.arneter limitations of various procedures to determine safe allow. or spirals installed to prevent buck. installed at or near the upstream end of the steel liner. m shown in the examples 8. PDV = pdz/(D sir? a) (9-38) sures. il wrapper. design depends on the geometry and relative pipe sizes. These usually take the the steel lining. Collars control may be provided for a length of about twice the and wrappers are used for smaller pipes where most tun- tunnel diameter. Bifurcations. Guidmce in and 6. Bifurcations und other connections.00025. in. psi steel-lined and the concrete-lined portions of the tunnel requires special design features.000 lb/in. as shown on Figure 9-14 with studs. 9-9. the reinforcement structure. hooked bars. recommends three rings for water pressures above 240 m (800 ft) (see Figure 9-14). depending on a specific analysis and the mode of buckling failure assumed in the analysis. where f. Table 9-3 below shows that allowable buck. These plete circumference at the collapse of the liner can best be connections require reinforcement to replace the tension determined with MathCad computer applications as shown resistance of the full-circle steel circumference interrupted in Box 9-11. except thot for PDV between 4. Conduits. the transition between the p = design pressure. and other connections are generally designed in lining in a tunnel. Alternatively. and EM 1110-2-3001. Design examples for determina. ASCE (1993) D = main diameter. otherwise to help support internal pressures. One or more plates may be used. on Figure 9-15. reinforcement plale with an equivalent concrete ignoring the presence of concrete surrounding the steel reinforcement. Steel 9-26 . The selection of steel reinforcement is provided to minimize water flow from the concrete-lined to made according to Table 9-4.000 lb/in. One or more seepage rings may be required. and 9-10. avoided. An adequate safety factor must be used to obtain safe allowable pres. The ling pressures differ depending on the analyses used for reinforcement can take several forms depending on the computations of such pressures. defined as able buckling pressures for a specific design. lining connections are usually straight symmetrical or asy- tion of critical pressures are included in buckling mmetrical wyes. Transitions between steel and concrete lining. or a crotch plate. U-bars.

t2 d(t) := LI “ R1 * “$ 1 . and 1.selected range of liner thicknesses Es.spacing of stiffeners Pcr = “d(t)” . Liner with Stiffeners .Poisson’s Ratio L.3.625. in.0 1/2 112 75 66 5/6 196 131 98 3/4 309 206 154 718 454 303 227 1.807.0 t: = 0.E~ .5 F.5 0. 30. .modulus of elastiaty v = 0. .99 in.25 “[[] 0. 5/6. 5/8.S.081 195. = 1.S..0 634 423 317 9-27 . and 1.796 306.radius to the inside of the liner t = 115. 314.s “t”(i) External pressures: t (thickness).86 454.9 1 IincI rbidcs. .718.1.106 0.8 0.00 R1 :=90 L1 :=48 V= :=0. &LI?Q IWLi?Sl F. EM 1110-2-2901 30 May 97 Box 9-8. 0.076 634.50.3 E~ :=30.critical (collapsing) pressure for factor of safety F. = 48 in.7 0.critical buckling pressure formula d(t) 112. . 3/4.000 psi .S. on centers Design data: RI = 90 in.000.028 H I I o’ 0. 718.6 0.Roark’s Forrnuia Liner Thickness t = 112. Siffenara: 7/6” x 6“ and larger for thicker finera @48 in. = 2. = 1.00 in.

critical (collapsing) pressure for factor of safety F.000. =48 V:=O.Poisson’s *tio n = number of lobes or waves in the complete circumference at collapse Pcr = d(n) .522 1500 168. radius to outsida of shell) L =48 in.modulus of elasticity V = 0.000 psi .. WaVCS (n) Pcr (critical buckfing pressure) = 120 psi Pall (allowable buckling pressure) =80 psi 9-28 .EM 1110-2-2901 30 May 97 Box 9-9.951 500 139.8.08 ~ \ r8 n. Stiffeners: 7/8” x 6“ @ 48 In. von Mises’s Equation Liner Thickness t = 0.90 L.thickness of the liner E = 30.e.50 r: .radius to neutral axis of shell (for practical purposes. Liner with Stiffeners . “6 8 10 12 14 16 Number O.76.0 n:=6.length of liner between stiffeners. l6 t : = 0.S.3. .50 in. l-v 7 t .. center-to-canter spacing of stiffeners t = 0.critical buckling pressure equation d(n) 1.106 d(rr): = -4 E.3 E: =30.R.50 in. on centers Design data: r = 90 in.103 E Buckling pressure vs Number of waves 367.596 g! 1000“ 121. . i. = 1.242 il S!! 120. . .

.148 II d(n) 164.8. l6 t : = 0.Poisson’s Ratio n = number of lobes or waves in the complete circumference at collapse Pcr = d(n) .000 psi . radius L =48 in.thickness of the liner E = 30.. on centers Design data: R = 90 in.50 in.106 d(n): d(n) = ~“[(n2::2)21+w”[n2. Stiffeners: 7/8” x 6“ @ 48 in. = 1.3 X:=rc” R l.011 E: =30.5) 9-29 .50 R: =90 L: =48 V:=O. Liner with Stiffeners-Donnell’s Equation Liner Thickness t = 0.2?l -.062 148.S.wavcs (n) External pressures: Pcr (critical buckling pressure) = 147 psi Pall (aflowable buckfing pressure) =98 psi (with safety factor F. center-to-center spacing of stiffeners t = 0.u~) k = 5.50 in.181. EM 1110-2-2901 30 May 97 Box 9-10.critical buckling pressure equatiol 1. = 1 n:=6. .e.773 i 191.S.03 Buckling pressure vs Number of waves 15W~ 393.:= + L 12 . .length of liner betwwn stiffeners.(1 .000.modulus of elasticity v = 0. ~+..critical (collapsing) pressure for factor of safety F.879 5“t—Krrrr “6 8 10 12 14 16 18 Numtm o.553 196.3.096 147. .89 Is= 0.

Stiffener spacing @48 in.EM 1110-2-2901 30 May 97 Box 9-11.9 1 t Plate thickmxs “t” (in) 1- .3 0.1.tunnel liner diameter L =48 in.Winderburg and Trilling formula for u = 0.selected range of liner thicknesses n = “d(t)” .00 D: =160 L:=& V:=O.314 15 12.50. Determination of Number of Waves (lobes) at the Liner Coiiapse Liner Thicicnesses : t = 1/2. 7/8 and 1. 0. on centers Design dsta: D = 180 in.6 0.721 $’ c 12.078 Number of waves vs Plate tlickeness 13.0 in. .number of waves (lobes) in the complete circumference at collapse t : = 0. 3/4.625.5 0.Poisson’s Ratio t = 1/2. .25 ‘(’)’= d(t) [“1 6 t -D -.838 — 13 12 — II ‘ ‘ 0. 5/8/. 3/4.7 0.0 in.24 d(t) 11.8 0.. 5/8.3.spacing of stiffeners v = 0. .3 El 14. 7/8 and 1.

dlD >0.000 <4.5 80 137 218 327 471 Donnell 1.) >6.000 With Stiffanera Spaced 4S in. Figure 9-14.7 Crotch wrapper Wrapper Plate Thicknesses.000-6.0 plate wrapper wrapper Allowable Budding Pressures. Seepage ring and thin shell configuration Table 9-3 Table 9-4 Allowable Bucfding Praaauraa for a 90-in.000 4. (ASTM A516-70) plate Analyses/ Safety <0.-diam.5 75 131 206 303 423 Von Mises 1. Steef Liner PDV (lb/in. EM 1110-2-2901 30 May 97 Linerg ————————. psi Roark 1. in.5 84 143 228 348 482 9-31 .5 98 172 279 424 603 Jacobsen 1.7 Crotch collar or Collar or Formulas Factor 1/2 518 314 7/8 1.

EM 1110-2-2901 30 May 97 fd51 SECTION B-B One-Plate Reinforcement * l-.— - + SECTION A-A Three-Plate Reinforcement Figure 9-15.. Steel-lining reinforcement . --J G PLATE 2 PLATE I G @~ f L“ - (b SECTION B-B SECTION C-C Two-Plate Reinforcement . ..---.

. require no monitoring program. function. as well as details of many instruments. Geotechnical monitoring programs are carried out for one or more of the following purposes: Definition of need and objective. Systematic planning with environmental requirements (e. Interpretation of data. a. decisions regarding final lining 10-2. methane. monitoring can verify the adequacy of the support and indicate if more sup. Execution of program. or radon concentmtions. and be instrumentation. dam. that are used to obtain data for design of impor- To be successful. (1) Where initial ground support is selected based on Planning and design. or if no action is foreseen to be taken displacements and loads is an essential part of the based on the data. perhaps in a test area can help in planning of later construction Action based on monitoring results. facility (e. conditions encountered. 10-1. pilot tunnels. If the data obtained cannot be properly interpreted (3) With the NATM (Section 5-5). discussed in Section 5-14. Basic principles of instrumentation and monitoring.g. Environmental monitoring is failule. EM 1110-2-2901 30 May 97 Chapter 10 (7) Sometimes data can be obtained that are required or useful for the design of other structures Instrumentation and Monitoring (underground powerhouse. supported by competent staff through completion and implementation of Esults from the monitoring program. The essential ingredients in a successful monitor- ing program include the following components: c. can be found in EM 1110-2-4300.g. Many construction contracts for underground works in rock incorporate a gedechnical instrumentation (9) Experimental facilities. be well planned. (5) In some cases. Purposes of Instrumentation (8) Monitoring can be used to diagnose flaws in the and Monitoring contractor’s procedures and indicate better procedures. (lo) On occasion baseline data may be obtained that will be useful in the long-term operation of a b. monitoring also serves a safety ters. providing input to the no purpose and should not be implemented. All of these components must be carefully planned ahead of time. requires a team effort between the designers of the tunnel water lowering. ongoing process of design and verification during especially those bored by TBM through reasonably compe- construction. other tunnels in the vicinity). Instrumentation for Concrete Structures. monitoring of in a timely fashion. procedures or help decide whether contingency plans need to be used. (2) Early monitoring during construction. d. ground. Planning and Designing the Monitoring installation can be made based on monitoring Program whether additional reinforcement or a steel lining may be required. vibrations) or or shaft and personnel with expertise in the application of contractual requirements.. Many tunnels. tant structures require special types of ried out for well-defined purposes. such as air quality. tent rock. groundwater pressures). ground settlements. Development of a monitoring program begins with defining the puIPose(s) of the program and ends with planning how (6) Monitoring may be required to show compliance to implement the measurement data. the instrumentation program will have construction process. such monitoring programs must be car. Large caverns and near-surface structures are more likely to benefit from (4) In the process of determining the adequacy of monitoring progmms. 10-1 . or shafts and monitoring program as an integral part of the work. Monitoring of safety-related parame- ground suppofi. warning of the potential for ground is discussed in Sedion 5-13. port is required.

and to monitoring in urban environ. Items to consider in planning a purpose that can be defended. ground at depth Groundwater pressure b. 10 Establish procedures to ensure data correctness 11 Prepare instrumentation system design report Table 10-2 12 Plan regular calibration and maintenance Typical Monitoring Parameters 13 Plan data mllection and data management Proisct Tvoe Parameter Tunnels. groundwater conditions. Before addressing measurement meth- ods themselves. Convergence underground Crown settlement chambers. there should be no instrumentation. Select the parameters to be monitored. and the outlined in the following subsections. 1 Define the project conditions Table 10-2 gives a list of parameters that may need to be 2 Predict mechanisms that control behavior monitored. Predict mechanisms lhat control behavior. Peck (1984) states. hypotheses sensitivities or accuracies can be selected. recognizing that stress is action to be taken caused by deformation of the rock. How. Load in dowels and anchors ever. specific question. Floor heave a. status of nearby structures or buildings and other structures other facilities. and planned Vertical and horizontal deformation of the construction method. An engineer or shafts and Distribution of deformation behind the rock geologist familiar with the project design should be portals wall responsible for planning the monitoring program. if the program is planned by others. By monitoring both cause 7 Assign duties and responsibilities for all phases and effect. e. Accuracy and reliability are often in conflict monitoring and the questions that need to be answered. environments Vertical and horizontal deformation of rials. A predetermination should be made of 10-2 . However. using them improperly or unnecessarily. and action can be taken to remedy any undesir- 9 Plan recording of factors that affect measurements able effect by removing the cause. subsurface Urban Surface settlement stratigraphy and engineering properties of subsurface mate. Before defining a program of instrumentation and monitoring. a list should be made of questions that are Table 10-1 likely to arise during the construction. If there is no question. More comprehensive questions that instruments and observation can answer so information is given by Dunnicliff (1988). For and the questions that need to be answered example. Items to Consider in Planning a Successful Monitoring Program d. and set response anisms that are likely to control behavior. Specific issues vital. should be selected and placed to assist in answering a ments. and the mini- mum value of interest determines the instrument sensitivity c. a special effort Stress in concrete or steel linings Groundwater pressure within the rock mass must be made to become familiar with project conditions Water pressure acting on lining including type and layout of the tunnel or shaft. Instrumentation values for action 10 be laken.” Every instrument shafts and portals. Dejine the purpose of the instrumentation and or accuracy. Predict magnitudes of change. For that required instrument ranges and required instrument example. “The successful monitoring program are listed in Table 10-1 and legitimate uses of instmmentation are so many. it may also be neces- 6 Devise remedial actions and arrange for implementation sary to monitor deformation. environmental conditions. if the question is “Is the support overloaded?” 4 Select the parameters to be monitored stress or load in the support is likely to be the primary 5 Predict magnitudes of change and set response values for parameter of interest.EM 1110-2-2901 30 May 97 technical instrumentation. Predictions are necessary so should then be planned around these hypotheses. since highly accurate instruments may be delicate and/or Instrumentation should not be used unless there is a valid fragile. if the purpose is to monitor safety. a relationship between the two can often be 8 Instrument selection and locations developed. An estimate of must be established for mechanisms that could lead to rock the maximum possible value or the maximum value of or support failure. are discussed in Section 10-3. one or more working hypotheses must be established for mech. that we should not risk discrediting their value by relating to tunnels and underground chamber construction. interest will determine the instrument range. Define the project conditions. It is important to consider which parameters 3 Define the purpose of the instrumentation and monitoring are most significant for each particular situation.

variations in the geology or rock quality determined. installation. 10-3 . because the primary zones may not be dial action plans for site personnel to follow in the event truly representative. yellow. number of secondary instrumented sections to serve as tion personnel should maintain an open communication indices of comparative behavior. Person- nel involved in the planning process need to devise reme. The least expensive instrument may not result in least overall cost because it may be less reliable since cost of Installation of drains or grouting. and red indicates the (a) First. f. based on appropriate.g. Excavation of adjacent openings. yellow locations involves three steps. structurally weak zones or areas that are most heavily loaded. Duties during the monitoring program include planning. Green indicates that all is well. Inherent in the use of instrumentation is (b) Second. During the discussions. and design and conshuc. effect on the measurements obtained. including effects ment. any limitations of the proposed instruments should be (2) Usually. selecting monitoring instruments. it is essential to monitor and record party with the greatest vested interest in the data should be all site activities and climatic conditions that can have an given direct responsibility for producing it accurately. and data processing of the available instruments should be made. These include at least the following: h. reporting. identify zones of particular concern. excess water inflows. A practicat approach to selecting instrument values is useful. (2) Users need to develop an adequate level of under- standing of the instruments that they select and often bene. While it is gener- ally recommended to map the geology along an important (3) Choosing locations for the instruments should be underground facility during construction. calibration. i. staff before selecting instruments. select zones (normally cross sections) the necessity to determine.. such as need for timely remedial action. reading. Selection and location. indicates the need for cautionary measures including an increase in monitoring frequency. Record factors that affect measurements. Instruments installed in these zones onstrate that remedial action is needed. the instruments themselves is usually a minor part of the overall cost. Assign duties and responsibilities for all phases. The important in the vicinity of extensive monitoring locations should be compatible with the questions and the installations. distance of advanc- (1) Reliability is the most desirable feature when ing tunnel face from installation). data processing. that action must be will provide comprehensive performance data. A comparison of the overall cost of procurement. etc. instrument procurement. Devise remedial actions and arrange for implementation. Progress of excavation (e. install simple instrumentation at a that response values are reached.). calibration. of blasting. (c) Third. positive means for where predicted behavior is considered representative of solving any problem that may be disclosed by the results khavior as a whole. and Ed response ing the data. and deciding on implementation of (1) For proper interpretation of virtually all site the results. nance. Continued monitoring of groundwater inflow into fit ffom discussing the application with the manufacturer’s the underground space. Lowest first cost of an instrument should not dominate the selection of an instru. mainte. different from the primary sections. Installation of lining or other ground support. and locate appropriate instrumentation. previously anticipated plans. maintenance. additional instruments can be installed at the seconckuy section as construction 8. it is especially based on predicted behavior of the tunnel or shaft. If the behavior at one or channel during construction so that remedti action plans more of the secondary sections appears to be significantly can be discussed between them at any time. installation. EM 1110-2-2901 30 May 97 instrumentation readings that indicate the need for remedial method of analysis that personnel will use when interpret- action. the instrumentation data. instrumented sections. data presentation. These zones are regarded as primary of the observations (Peck 1973). The concept of green. reading. Unusual events (ground instability. have a great effect on monitoring data. in advance. If the observations dem. When duties are assigned for monitoring. progresses. data interpretation.

a example. and stresses are generally more difficuit to meas. Regu- lar calibration and maintenance of readout units are t required during service life. The effort required for these tasks should not be underestimated. This report distributions so that loads can be compared with those forces the designer to document ail decisions. but limitations remain. e wilh Increasing convergence rates generally effort. how- tioning correctly?” They can sometimes determine the ever. and implementing data should be prepared before instrumentation work commences in the field. Repeatability can also give a clue to data deiaying its installation.ametrai measurements are also fested in the displacements of the tunnei walls and the rock possibie. If the displacement approaches an asymp- heads of instruments installed for monitoring subsurface totic value. k. and the adequacy of design can be point they can be reviewed to ensure that they meet the assessed. weak ground such as a clay shale is excessive floor heave. Very often the time-dependent correctness. be able to answer the question: “Is the instrument func. In such waiis is by far the most important indicator of tunnel instances. at which assumed for design. reflector targets may be a practical soiution. the instrumentation designers should develop procedures and schedules for regular maintenance of field terminals and accessible embedded components. No computerized system can indicate unacceptable performance. interpreting. 10-3. Prepare instrumentation system design report. Curves a and b to provide a backup system even when its accuracy is show decreasing convergence. d. For of the structure. a. Displacement and convergence. the rate of convergence is the more important answer through visual observations. indicating eventuat stability significantly less than that of the primary system. and plots over a short time span to determine whether a lack of of displacement versus iog time can be used to predict normal repeatability indicates suspect data. TBM equipment often prevents or seriously mass surrounding the tunnel. Figure 10-1 shows conceptually sev- more than one of the same type of instrument may be used eral time plots of rate of convergence. If the convergence rate reaches zero. The absolute Personnel responsible for monitoring instrumentation must value of tunnei convergence can sometimes be predicted. Plan data collection and data management. presenting. Di. an optical survey can often be used to examine final lining installation in the tunnel thereafter would correctness of appanmt movement at surface-mounted receive no load. equipment and traffic. Time and presentation procedures have greatly reduced personnel Curves c. Eslablish procedures to ensure data correctness. Written procedures for collecting. and engineers must make a special effort to ensure that data are interpreted and reported and that measured effects are correlated with Figure 10-1. reporting. Monitoring of Tunnel and Underground (1) The most common convergence measurement is Chamber Construction one taken across the horizontal diameter. and more difficult to interpret. processing. Tunnel convergence rates probable causes. the load on the final lining can be reduced by deformation. An Loads can be inferred from the displacements by back “Instrument System Design Report” should be written to calculation using assumed uniform or nonuniform ioad summarize the planning of all previous steps. In critical situations. Loads. and exceeding this value could be cause for concern. A typical type strains. of response to overstress in a tunnei with a ievel floor in ure. During the planning process.EM 1110-2-2901 30 May 97 j. Vertical measu- rements are not usually taken due to interference with The behavior of a tunnei o~ning is most drastically mani. 1. m. long-term performance. processing. Computerized data collection. Convergence of the tunnel hampers attempts at convergence monitoring. Plan regular calibration and maintenance. 10-4 . precision surveying using total stations and performance and is also relatively easy to measure. replace engineering judgment. needs of the project. Nonuniform convergence is evi- dence of potential nonuniform ioads on a permanent iining. parameter to watch. It is often worthwhile to take many readings displacement varies iinearly with the log of time.

crete. these installations often fail in their ulti- mate purpose because strains that occur during curing due (2) It is often necessary to determine the depth of rock to temperature and shrinkage mask the effects of the subse- damaged by blasting and the depth of inelastic or creep quent stressing of the concrete. for example. more useful in large. Comparing such data with to measure groundwater pressure can be installed in bore- theoretical elastic or elastoplastic displacement variations. This can be important for determining the required groundwater monitoring are as follows: depth of dowels or rock bolts. are usually monitored using the following indicate the seat of any ground movements to which high types of installations: loads may be ascribed. Measurement of . In most tunnels. Load measurements. and to determine the extent of plastic displace. Tension sets. nose. and if the elastic and inelastic rements can track the performance of the lining in the parts of convergence must be differentiated. Data from such slope. Anchors are attached to the walls of a radially drilled borehole at various distances from the wall. shallow or measured. Stress and strain measurements. Strain gages can softening due to water flow. or rock noses left (2) Where groundwater lowering could result in at tunnel wyes. or for a typical test section. tions and add to the database for design of steel sets. gerous because they add to the driving force of a failure mented because of excessive loads. Anchor load cells are primarily installed on tensioned anchors in important large under. Strain gages have also been used to measure convergence estimates were part of the basis for ground strains in the steel lining of a pressure tunnel. Such measurements mechanism. 10-5 . Portats and slopes. require monitoring. Measuring points can be set a be embedded in a tunnel lining of shotcrete or cast-in-place distance below the top of the floor and protected. such meas- urements would be used only in areas of severe displace. or the depth that permits a determination of relative displacements of the groundwater table. (1) Where groundwater resources must be protected ments. cells were installed between steel sets and the ground to measure loads in and on steel sets to verify design assump. (3) Where tunnel leakage could propagate through b. resulting in ground surface settlements. Piezometers between the anchorage points. More common are load cells to measure loads on cracks can open a distance above the face of the portal rock anchors in critical tunnel locations. Settlement points above the slope. as manifested by displacements. if filled with water. where the data may be for environmental or economical reasons and the applicable to a great length of tunnel. Sometimes load valley. where nonuniform effects of sque- ground movements behind the tunnel wall are usually ezing or swelling ground or fluctuating groundwater pres- obtained using multiposition borehole extensometers sures are expected. Loose rock can fall. Strain gage installations on deformations behind the wall of a tunnel or an underground lattice girders embedded in shotcrete have been more suc- chamber. Such measurements are especially useful if cessful. These types of measurements are usually not successful. Data on long term. (1) Portals in rock can suffer instability in the same because the presence of the instruments affects the loads way as excavated slopes. load cells were house or slope stability problems in an adjacent often incorporated in selected steel sets. complex rock chambers. it holes from the ground surface but can also be installed is possible to derive parameters for elastic and plastic from within a lined structure or in holes drilled from analysis. Monitoring of shafts and portals. (MPBXS). Examples of situations requiring ment. Where pillars are left between adjacent tunnels.groundwater pressure. MPBX installations can be used to assess unacceptable formation compaction or consolida- the degree of overstress or the stability within the pillar or tion. These d. A better alternative is to equip steel sets with deep-seated failures can develop along more-or-less circu- sets of strain gages for determining strains and loads in the lar slip surfaces or along planes of weakness. however. underground chambers. Such measu- support or lining design. as well as vertical exca- are beneficially supplemented with MPBX installations to vated walls. e. such cracks are potentially dan- installations can indicate if anchors need to be supple. EM 1110-2-2901 30 May 97 Monitoring of floor heave is difficult because of traffic and c. MPBXS are usually tunnel could act as a drain. In past years. There are anchors are connected to a measuring device at the wall many instances where groundwater pressures. when extensive the rock mass and cause seepage into a power- steel set support was common in tunnels. and read concrete to determine stresses and loads within the con- with high-precision electronic leveling. ground chambers.

Displacements of large-diameter fmt aim of data processing and presentation is to provide a shaft walls through low-strength overburden are sometimes rapid assessment of data to detect changes that require monitored using inclinometers and other devices. During data collection. tant message. plots of data are prepared conducted to meet specific environmental requirements and with plots of predicted behavior and causal data often measure environmental effects. the plan for remedial action should be imple- mented.EM 1110-2-2901 30 May 97 Survey points or survey reflectors on the face of pollutants encountered in excavated materials or pumped the slope. as to determine cause and effect relationships and to study the outlined in Section 5-14. reached. similar to immediate action. false. included on the same axes. but pretation is guided by the original purpose for the monitor- on occasions. Data collection and interpretation. or malfunction of instruments noted. all factors that may (2) In general. Communication channels between design and cause consolidation of soft or loose sediments. and sometimes inclinometers around shafts may the data The data should be evaluated to determine rea- be useful to diagnose unacceptable performance and deter. Personnel Horizontal or slightly inclined MPBXS installed should take the tlrst step in determining whether the instru- from the face of the slope or portal face. From this comparison. If response values have been fractures. A significant question to ask is: “Can I think of a hypothesis that is consistent with the data?” The (2) Monitoring of dust and noise transmitted to habita. tures and utilities. Monitoring in urban environments. These may include the following deviation of the readings from the predicted behavior. such data may be real and carry an impor- tion 5-2) or due to TBM operation. shafts can be monitored using the same influence measured data should be recorded and damage. displacements due to tunneling or shaft construction can cause damage. g. Several other types of monitoring action. do not appear to be reasonable. Monitoring of with predicted behavior to determine the appropriate action. lnterpretion of data. In such field personnel should remain open. The urements and MPBXS. responsible for this task. the personnel can identify to determine if movement occurs along the any significant changes. However. water. there is a temptation to reject the data as (1) Monitoring of vibrations due to blasting (see Sec. deterioration. settlement monitoring using surface settlement framed the questions that need to be answered should points. resultant discussion. dingcorrectness and to detect changes requiring immediate mine remedial measures. of data validity. The method of data inter- rock do not usually cause undue surface displacement. piezometers to measure effects on groundwater continue to interact with the field engineers who provide pressures. on fwst sight. probed by inclinometers. Data readings must be correlated with other factors are often required for various environmental purposes. types of devices as tunnels. Inclinometer casings installed vertically from (4) Monitoring of air quality in geneml. ment data are accurate and the instrument is functioning correctly by comparing the latest readings with previous Monitoring of surface exposures of rock fractures readings. (3) Monitoring the chemical quality and silt content of the effluent water from the construction site discovery of 10-6 . general types: When faced with data that. Underground structures in h. Design engineers who cases. above the slope. Data collection personnel are usually dopes and pCXtdS. including convergence meas. In areas of existing struc. together with the procedures used for tions in the vicinity due to construction activities and ensuring data correctness. The second aim is to summarize and present the data to show trends and compare observed f. shaft and tunnel construction in urban areas is generally After data have been processed. dewatering occurring during construction can ing program. will often lead to an assessment related construction traffic.