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Design of Unlined and Lined Pressure Tunnels

R. P. Benson

Abstract--The paper covers the engineering requirements for designing R6sum~--Les tunnels ~ puissance doivent de plus en plus f onctionner sons
a safe and economicalpressure tunnel. Design requirements and criteria set des pressions de plus en plus grandes. Dans certain cos, sp~cialement pour
out include the geological aspects of positioning and alignment; protection des projets ~ haute pression, des d~faillances se sont produites alors que tous
against failure by hydraulic jacking; determination of unlined versus les criti,res traditionnels de conception avaient ~t~ respectS, et des rt~thodes
lining requirements; selection of temporary and final linings utilizing ar~lior~es furent alors n~cessaires. L' auteur eonsidkre des nouveaux critkres
rockbolts, shotcrete, or concrete; design of the steel-lined portion for length, de conception pour les revStements de tunnel, et en particulier pour les eas des
load-sharing, external water pressure, buckling, installation and grouting; hautes pressions. Les criti,res inclus sont: la position et l'alignement du tunnel,
design of debris traps and plugs; and requirements for watering up and les protections eontre les pouss~es hydrauliques et les pouss6es verticales, la
dewatering. s~lection des revStements flnaux, la conception de la section ~ rev~tement
en acier, et les aspects op~rationnels.

Introduction in engineering geology and applied Available contractors and equip-

p ower tunnels are required to

convey water from the power
intake to a powerhouse, which
rock mechanics.
Power tunnels are being called upon
to perform under increasingly higher
Difficult geological conditions.
Many tunnels are designed without
may be on the surface or under- heads. Numerous existing hydroelec- appropriate consideration and rank-
ground. Such tunnels may begin in tric plants have heads beyond 1000 m, ing of these primary factors, which
soil or rock, and often pass through a and projects are now reaching upwards strongly affect the final cost. When they
variety of materials and geologic condi- of 1500 m. Although high-head tun- arise during the course of construction,
tions before reaching the powerhouse. nels have been built in the past, the result is costly overruns or project
Their prime responsibility is to convey such tunnels essentially have been delays.
the water safely throughout the life of steel-lined throughout the high-head Many power tunnels are short, less
portion. Modern practice for such pro- than 1 km; however, a large percent-
the project, without detrimental effects
jects is to provide shorter steel liners, age can be up to 10 km long. Many are
on the surroundings. Such effects may
subjecting long unlined portions of the significantly longer, up to 30 or 40 km,
include excessive leakage from the
tunnels to high hydrostatic pressures. and may take a very long time to com-
tunnel, instability of surface soil or
The behavior of rock and the tunnel plete. However, the schedule can be
rock resulting from seepage, saturation
linings under these high hydraulic improved, for example, by providing
and softening of agricultural land, and
pressures is difficult to assess, and the additional access adits; by specifying a
pollution of groundwater and surface
necessary design techniques and safety certain manner of construction (mole
streams due to organic content of
factors must be judged carefully. vs drill-and-blast); or by ensuring that
the tunnel water. These effects can
In some cases, especially for high- a majority of the tunnel is driven in
be controlled by careful positioning
head projects, failure has occurred, sound rock via a longer route where
of the tunnel, and by selecting the
even though traditional criteria for progress will be rapid and reduced
appropriate lining and treatment for
design have been met. It is appar- support and lining will be required.
the various parts of the tunnel.
ent, therefore, that these traditional Therefore, the project schedule must
It is essential to understand the
criteria are not fully adequate and that be carefully considered and an under-
geologic conditions along the tunnel
improved design methods are neces- standing obtained of potential costs or
alignment, relative to the hydraulic
sary. What has constituted safe prac- savings if the schedule is delayed, or
forces that will be applied during
tice in the past for relatively low-head achieved ahead of time. With such
operation of the tunnel. Adequate
projects--practice based on simplified information in hand, the designer can
investigation techniques and tests now
or empirical design criteria---can no then consider the correct options.
exist that will define the geologic and
longer be considered acceptable. The availability of experienced con-
geotechnical conditions. There are also
tractors and modern equipment can be
appropriate materials with which to
a major concern, especially in under-
line the necessary parts of the tunnel, Positioning and Alignment developed countries. Owners may be
and to treat the material surrounding of the Tunnel constrained to require local or national
the tunnel. However, it is necessary
Although selection of the tunnel contractors, or may not be willing to
that the conditions be investigated
alignment is governed primarily by allow or risk the use of high-speed tun-
and that the designs be established by
economics, a number of other factors nelling machines. In the latter case, the
geologists and engineers experienced use of standard drill-and-blast technol-
must be taken into account in estab-
lishing the optimum alignment. Such ogy can result in a longer construction
factors may be divided into two cat- schedule. Appropriate access adits, a
Present address: Dr R. P. Benson, President, longer schedule, or special high-speed
Klohn Leonoff Ltd, 10180 Shellbridge Way, egories: primary and secondary. The
Richmond, British Columbia, VBX 2W7, primary factors that are likely to have drill-and-blast working methods must
Canada. This paper is reprinted with per- a dominant role in overall economics then be specified.
mission from Canadian Tunnelling 1987/88 include: The possibility of encountering dif-
with some modifications. Schedule for project completion. ficult geological conditions must be

Tunnelling and UndergroundSpace Technology, Vol. 4, No. 2, pp. 155-170, 1 9 8 9 . 0886-7798/89$3.00 + 0.00
Printed in Great Britain. Maxwell Pergamon Macmillan plc ] 55
carefully assessed, and avoided if for various types of linings. These must be compared bet0re the most
possible, by selecting an alternate coefficients cover a wide range and economical arrangement is selected. A
route, even if it appears more costly at are taken from examples provided number of key areas that often are not
first glance. These conditions can often in literature (Soivik 1984) and from given adequate consideration are:
be determined through preliminary experience with a variety of tunnels. Construction Access. The number of
evaluations by engineering geologists In selecting the precise coefficient to access adits to the power tunnel
or engineers experienced in difficult be used, a wide range of variables for required to meet the overall schedule
tunnelling. In some cases, such an the actual tunnel must be considered. is often misjudged, especially if driving
evaluation may require drilling or Positioning of the tunnel to ensure rates are not as assumed. Adding extra
other field investigations before even submergence beneath the hydraulic adits during construction may disrupt
a preliminary geologic assessment can grade line should be made with con- the basic design, and may compound
be properly undertaken. Nevertheless, servatively selected low-friction coeffi- contractual problems and costs. In
such an assessment is mandatory if cients to ensure against the possibility addition, extra adits must be suitably
alternative alignments are to be ranked of entrapping air in the tunnel arch. plugged for operation.
appropriately and rationally. However, for determination of head Intermediate access adits also may
There are many secondary factors losses for calculation of energy losses, be provided to handle suspected delays
that affect the selection of the tunnel more realistic values must be used. resulting from poor geology, where no
alignment. Some of the most common Given the primary requirement of amount of exploration can reasonably
and most important of these include linking the intake to the powerhouse, be done in advance.
the following: innumerable alignments may be cho- Access for Steel Liner Installation. This
Grade. sen. Technical and economic analyses requirement may be overlooked, espe-
Access requirements. must choose among factors, e.g. high- cially for underground powerhouse
Prevention of hydraulic jacking level vs low-level alignments, the use arrangements. Installing steel liners
or uplift. of shafts vs inclined sections, all predi- is best done as a separate operation,
Position of water table. cated on the primary requirement of with as much independent access as
Temporary support. maintaining containment of hydraulic possible, especially if the steel liner
Final lining. pressures without failure. Figure 1 extends upward into the shaft.
Ventilation. shows a number of commonly used Prevention of Hydraulic Jacking. The
Drainage. variations. Each of these arrangements entire tunnel, including the shaft and
The tunnel must be maintained below has advantages and disadvantages that the surge tank, must be set deeply
the hydraulic grade line for all modes
of power plant operation, including
hydraulic transients, to prevent nega- o
tive pressures in the tunnel. This L
requires assessment of head losses by
friction along the tunnel. The degree of
friction, of course, varies with the type POWERHOUSE INCLINED SHAFT
of lining or, in the case of an unlined
tunnel, with the roughness of rock
walls. Head losses may be determined
by the Darcy-Weisbach formula or the
The appropriate roughness coeffi- INTAKE SHAFT TUNNEL WITH SHAFT
cient must be selected. The Manning
formula, developed for the open chan-
nel flow and subsequently adapted for
pipe flow, is generally applicable for
conduits with diameters greater than E. 81.OPING POWER TUNNEL F. ~ LEVEL POWER TUNNEL WITH
2 m, whereas the Darcy-Weisbach for- SURFACE PENSTOCK
mula is theoretically suitable for a wider NOTES : Q stmOE FACILITIESNOT SHOWN
range of roughness values. Selecting SINGLETUNNELONLy - DISTRI~JI[IONSYSTEMSNOT 81tOWN
the appropriate coefficients requires SURFACEOit UNOEI~QInO~J(~IOPOWEfllIOUSE A8 811OWN
careful judgment.. Table 1 provides
a summary of roughness coefficients Figure 1. Various power tunnel schemes.

Table 1. Comparable roughness coefficients for Manning and Darcy--Weisbach.

Comparable Darcy-Weklbach"f'forvarying diameters

Uning Manning's"W 2.5 m 5 m 7.5 rn 10 m

Unlined (drill and blast) 0.025-0.040 0.057-0.147 0.046-0.117 0.040-0.102 0.036-0.093

Unlined (tunnel boring machine) 0.016-0.022 0.023-0.044 0.019-0.035 0.016-0.031 0.015-0.028
Shotcrete (drill and blast) 0.018-0.025 0.030-0.057 0.024-0.046 0.021-0.040 0.049-0.036
Concrete 0.012-0.016 0.013-0.023 0.010-0.019 0.0092-0.016 0.0083-0.015
Steel 0.010-0.014 0,0092-0.018 0.0073-0.014 0.0064-0.012 0.0058-0.011

Note: Higher values should be used when overbreak areas are used to calculate velocities.


enough within the rock mass to ensure For many years, unlined tunnels jected to high pressure seepage water.
that adequate in-situ compressive stress were located by ensuring that the Material boundaries, probable stresses,
is available to prevent hydraulic jack- weight of the rock and, in some cases, permeabilities and deformability must
ing. Overlooking this design problem the soil vertically above the tunnel was be determined by appropriate geologic
can lead to disastrous and very cosily at least equal to the static water head. and testing methods.
consequences. A detailed discussion of This relationship was simplified to pro-
how to avoid this problem is given vide rock cover of at least half the head, Measurement of In-Situ Stress
below. because the density of rock is normally In-situ rock stresses may be measured
In addition to the items above, the at least twice that of water. This simpli- by a variety of methods using over-
selection of temporary support and fied approach was generally adequate coring techniques to obtain data on the
final lining, and the handling of ventila- for horizontal surfaces, although for three-dimensional stress field. Hydrau-
tion and drainage during construction rock having specific gravity lower than lic fracturing tests conducted in drill
are important elements in establishing 2.0, the factor of safety would be lower holes are used principally to obtain
the position and alignment of the tun- than unity. a measure of the minimum principal
nel. These aspects are discussed more Many failures have occurred as a stress in the rock mass; however,
fully below. result of a deficiency in vertical cover. they also can be used to measure
However, failures also have occurred the three-dimensional field (Cornet
Protection Against Hydraulic where the tunnels approached valleys, 1986). These tests must be performed
and either frontal or lateral cover was and interpreted carefully to ensure that
Jacking and Uplift low, or where geologic conditions in-situ stress of the rock mass is being
General Concepts resulted in low stresses. Particularly, measured, rather than some charac-
The concept of hydraulic jacking, the problem of low lateral stresses teristic of the pumping system. Thus,
or uplift, is well known. This effect near valleys has resulted in many the equipment must have a pumping
can develop if water pressures imposed failures due to an inadequate length capacity that will ensure response of a
within a rock mass are greater than the of steel liner. Some designers who reasonable mass of rock, such that its
in-situ compressive stress. Depending recognized this problem either set the inherent permeability does not affect
upon the deformability of the rock tunnel back from the valley or used the results.
mass and the area over which the reinforced concrete to span the section. It appears also that the shut-in
hydraulic pressures act, existing joints However, reinforced concrete is not pressure is too unreliable a criterion to
can be opened. This action may result necessarily an appropriate solution in adopt, and assessment of in-situ stress
in jacking of a large mass of rock away preventing hydraulic jacking. In some should be based on the reopening
from the tunnel, resulting in excessive cases, it only affects the timing of the pressures measured by repeatable
leakage and large-scale landslides or problem, as the pressures tend to build tests. If the tests are done from
instability. This effect has occurred more slowly because of the decreased an underground opening, they must
many times in the history of civil seepage through the reinforced liner. be at a distance 1.5 to 2.0 times the
engineering, and has had disastrous Various designers and investigators diameter of the opening to ensure that
consequences for both surface and recognized this problem, and took the in-situ stress has not been affected
underground hydroelectric facilities. steps to either measure the rock stresses by the presence of the opening.
Hydraulic jacking will occur in any or estimate the probable stress levels Both methods of measuring in-situ
direction where movement of rock by stress analysis. Thus, photoelasticity stress are important, depending on the
masses can develop due to a lack and, ultimately, finite element methods type of problem faced by the designer.
of adequate compressive in-situ stress. were used to assess stress condition However, the hydraulic jacking test
Thus, vertical lifting of horizontally around valleys. In addition, methods should always be performed, as it
bedded rock,jacking or hoisting of rock of stress measurement by overcoring simulates the actual effects that will
masses towards valley walls, jacking of and by hydraulic jacking have been be imposed on the rock by the tunnel
rock blocks into adjacent underground developed that allow designers to posi- water. It is also a direct measure of the
openings, or opening of fractures in a tion the tunnel rationally, or to design a minimum principal stress, and requires
compressible rock mass can occur. suitable lining to resist hydraulic forces neither mathematical calculation nor
Many authors have reported on if the tunnel cannot be safely located. application of theoretical formulae. It
cases of rock lifting and failure of Similarly, other design methods, is important that the drill holes used for
the tunnel, with resultant seepages, e.g. grouting, and pressure relief hydraulic jacking tests cross alljoint sys-
landslides and even flooding of under- and drainage, have been used to tems, especially through-going or mas-
ground powerhouses. Brekke and limit seepage pressures and thereby ter joints, and those that are subparallel
Ripley (1987) recently completed an prevent hydraulic jacking. However, to valley walls.
intensive review of the subject, and such methods are not considered to Where the minimum principal stress
have listed a number of failures as long be a safe approach and cannot be is not the vertical stress, and where
ago as 1920. When such failures occur, recommended. Hydraulic jacking can deformable rock or shear zones exist,
it often takes many months to diagnose be properly prevented only by a steel positioning a tunnel to meet only verti-
the problem and complete repairs. The liner or a reinforced concrete liner cal stress criteria may not be adequate.
cost of repairs and loss of revenue from that accepts the full internal pressure Figure 2 shows a power tunnel posi-
power sales may amount to tens of without contribution from the rock. tioned beneath a horizontal surface cut
millions of dollars, causing consider- Designing to control hydraulic frac- transversely by a major fault with low
able distress to inhabitants due to the turing by grouting and/or drainage lateral stress, and a low deformation
shortage of power. Therefore, a care- should only be used where potential modulus.
ful and conservative design to prevent failure can be tolerated, or where a Lateral hydraulic jacking can open
problems of this nature is warranted. problem has arisen that cannot rea- vertical fractures, allowing excessive
The cost of additional necessary steel sonably be solved by a more direct seepage to the surface. For this
liner or reinforced concrete liner to approach. However, such measures condition, siting of the tunnel based
ensure a conservative design is well must always be taken in conjunction only on cover criteria could be unsafe.
justified when compared with project with sound geological interpretation, Knowledge of the complete stress field,
delays and lost revenue, the cost of to ensure that the design measures are the rock modulus, and the position of
actual repairs, and the mental anguish compatible with the behavior of the the water table is necessary.
of having to redo an unsafe design. various geological materials when sub- For deformed rock masses that have


LEAKA@EAT Where there is no soil cover, o r where
the soil could be removed by landslides,
the equation reduces to:
gr =

T h e above equations provide a factor

....... titlt.tit;,iz~=, '
MODULUSR O C K ~ !z!:]t!;!l!l!l:at. - \
] of safety of 1.3 against uplift on hori-
J zontal planes, such as bedding planes
or joint combinations. In the event that
TUNNEL PROFILE CONTAINING LOW MODULUS ZONE the lateral stresses are lower than the
vertical stresses, consideration must be
given to hydraulic jacking against verti-
cal planes (joints or faults), particularly
where deformable rock exists (Fig. 2).
It is necessary to be cautious in
designing projects to be built on valley
60,000~" ~ ~ ASSUMED
( ~'N ~ CONDI
0.$ ~'v
TIONSAT slopes, where seepage from the tunnel
at the end of the steel liner could induce
landslides, even when special drainage

.oooo , , , , _ _ _
~u 5 0 . 0 0 0 H 500m
is provided. In this instance, it is pru-
dent to assume that the cover must be
provided by the rock portion only.
Pressure tunnels positioned near
slopes or valley walls demand detailed
consideration of the stress environ-
ment. Particularly in ridges, noses, or
20,000 /On Zr~._ near valley walls, stress relief of the rock
mass occurs. This phenomenon can be
Io,ooo seen in the existence of open jointing
o near valley or cliffs; this jointing may
I I i _ extend tens to hundreds of meters back
I ~. 3 4
from high cliffs. The loss of stress is
ELASTIC COMPRESSIONOF LOWMODULUSZONE* c m magnified in the upper portions of
the valley wall or cliff, in contrast to
Figure 2. Hydraulic jacking in a vertical plane. the base of the valley, where stress
intensification commonly exists.
Broch (1984) recommends that the
topography be diagrammatically cor-
rected to match the overall topo-
zones or beds of stiff and flexible construction, it is p r u d e n t to measure graphic contours of the surrounding
material, the stress field may be highly the in-situ stress as soon as is practicable. landscape. This procedure must be
variable. Thus, it is possible for the In addition to checking the safety of done both longitudinally and laterally
water pressure to dilate fractures in the final design, measuring the in-situ to account for irregular topography
the low-stress deformable rock sur- stress will allow optimization of various beside the tunnel (Fig. 3). This method
rounding the tunnel, and to force an design elements---such as the precise will ensure safe positioning of the slop-
open pathway to a nearby powerhouse location of the tunnel, surge tank, ing portion of the pressure tunnel and
or access adit-----even if the overall rock sloping penstock, elbows, length o f of the surge shaft, if one is required.
cover is adequate. This effect has been steel liner--and, thus, optimization of Nevertheless, even when these appar-
noted in deformed granite masses, and the design. ently conservative rules are adopted,
in sandstone/siltstone sequences where For a pressure tunnel positioned hydraulic jacking tests should be con-
stresses measured by hydraulic jacking beneath a near-horizontal surface, tra- ducted at the critical points along the
tests were very low in the soft deform- ditional criteria generally are adequate. tunnel. The critical points are the end
able sandstones, b u t were higher in It is necessary to calculate the overlying of the steel liner, the upper elbow, the
the more brittle sihstone. Care must weight o f soil and rock separately, due upper portion of the surge shaft, and
be taken to obtain representative tests to differences in the density of the two major slope changes of the valley wall,
of those rocks where hydraulic jacking materials. This factor can be significant
as shown in Fig. 3.
in compressible rock can occur during in areas o f deep tropical weathering. An appropriate equation follows for
operation, such as short seepage paths T h e following equations govern these obtaining a suitable position for a press-
to nearby u n d e r g r o u n d openings, or a calculations: ure tunnel where the rock conditions
highly pervious zone exiting from the are favorable, i.e. generally hard with
rock mass. Similarly, it argues for a =
1.3 H w - H , y~ high stiffness (modules o f deforma-
sound understanding o f the geology tion), and where the topography is
and the material properties of the Y, uniform with near-horizontal or gen-
materials to be penetrated. tle slopes. This equation will provide a
H, = height o f the rock above the
Design Guidelines tunnel (m); factor of safety of 1.3 against uplift or
In the event that data on in-situ % = density o f rock (t/ma); hydraulic jacking. For areas of complex
rock stress are not available, simple H s = height of soil above the tunnel geology or topography, where locally
design rules can be followed that (m); low stresses may occur, and especially
will ensure safety. However, if the % = density of soil (rimS); and for high head plants, the probable
project proceeds to final design and H~ = maximum static head (m). stress patterns should be evaluated


determine the minor principal stresses.
/ ~ . . . . . - - - ACTUAL CONTOURS
T h e design line ensures a factor of
safety o f 1.3 against static conditions.
T h e p o r d o n o f the factor o f safety
above unity will normally provide pro-

tection against surge and unexpected
/./// geologic factors. As noted above, the
in-situ stresses should be measured at
key points by hydraulic jacking tests, at
the earliest opportunity.
Many options are available for bring-
ing the water to the powerhouse. For
control o f individual units, individual
tunnels may be necessary. Two power
tunnels may serve a n u m b e r o f units
by utilizing bifurcations, or a single
power tunnel may feed a distributor,
with separate tunnels leading to the
powerhouse. Each of these layouts
imposes different hydraulic pressures
on the various tunnels and their linings
for the various operational conditions.
Guidelines for siting the pressure
tunnel are the same for u n d e r g r o u n d
powerhouses and surface powerhouses.
ACTUAL SLOPE T h e sloping portion o f an unlined or
concrete-lined tunnel must be posi-
/CORRECTED SUOPE tioned properly, relative to the valley
wall. H o w e v e r , for an u n d e r g r o u n d
powerhouse it is also necessary to
consider the effect o f the tunnel on the
stability o f the u n d e r g r o u n d openings.
T h e length of the steel liner required
to maintain high-pressure water a safe
F~ESSU~[ TUmlEL/" L " distance from the other openings
becomes an important consideration.
Individual pressure tunnels must be
separated by an adequate distance, nor-
_ STEEL LINER mally 1.5 to.2 times their diameter, to
ensure pillar stability. In the event that
one or more tunnels remain operation-
Figure 3. Broch correction for topography. al while others are unwatered, full static
head must be considered to act on the
other tunnels. For the powerhouse or
in more detail by a method such as o m m e n d e d design line, shown on the other galleries, stability of the rock
finite elements to check the validity o f figure, can be udlized for valley slopes surrounding the openings must be
the equation. up to 60 . For slopes steeper than 60 , maintained, as seepage water can
special analysis o f the probable in-situ cause hydraulic jacking if the in-situ
1.3Hw stress would be required, especially to rock stress is too low (Fig. 5). In this
Cos 0
H r = required rock cover (m);
Hw = static head (m); 1.0

% = density o f rock (t/mS); and DE$1G~ILINE FOil NO OR 8MAU. 81GI~ICANI"

u "l'r 2.75 gm/cc I E A O (m) LEAKAOE LEAKA~
0 = slope angle. 0,9
Note that the surge shaft must 0.B a U
O- IO0 O I

receive special consideration because II

O 4 O A I 0 0 - 200 0
& A
the u p p e r portion may extend above ~. 0.7
O& 6 n
200 - 300 A

the line established by the Broch cor- w 0.6

rection (Fig. 3). Thus, unless it is steel A B v

lined, the surge shaft should be set far Q

enough back into the slope to ensure O A ~W
that the in-situ rock stress at the top o f

O ~ V a
the shaft is adequate. 0.5 -
Imlrl , idlpold Itglm OrokkI iml
Brekke and Ripley (1987) have com- 0
m aoB~r l I N T ) ~tqnd
IIiifIIIIOI! I I i I O ,
piled a n u m b e r o f case histories where 0.Z- Ve

excessive seepage has resulted from 0.! -


hydraulic fracturing or lifting. These

cases are compared with a number o f 0 I I I I I I
0o I0" 20" 30" 40" IO* ~O*
similar cases where embedment o f the SLOPE ANGLE - deg.
tunnel is deeper, and where no trouble
occurred, as shown on Fig. 4. A rec- Figure 4. Recommended design line to prevent hydraulic jacking.


_ MAJOR PRINCIPAL ~ MINOR of safety; however, a factor o[ safety
STRE$S~ ~ ORtNCIPAL for normal operational pressure surges
is required. Recommended factors of
safety for various hydraulic conditions
are given in Table 2.
A safe and conservative design that
prevents hydraulic jacking or lifting
requires that the steel liner be carried
an adequate distance to ensure that
,E.sTo:KJ , _1 in-situ stress criteria are met. In specific
cases, a reinforced concrete liner can
be used where the liner carries the full
internal pressure without contribution
from the rock. In this case the concrete
END ST~L ~ , K \ contributes no tensile capacity.
LINER ~ \ \
When it is considered necessary to
design for hydraulic jacking, it is
essential to limit the area around
the tunnel where hydraulic jacking can
CROSS SECTION be allowed, either with pressure relief
and drainage induced by drill holes
or nearby openings. This technique
has been used to limit the growth of
~ . CLOSURE ~m.._L~. ,~ .m~ . /FAILURE PLANES hydraulic jacking in rock masses and
to close cracks in concrete gravity dams.
Alternatively, grouting a zone around
TO A e - ~ ' " - / PENb'rOCK 11N , , ~ { " the tunnel to limit the amount of seep-
age into the rock mass and prevent the
# build-up of pore pressures beyond the
NORMALFOR~ // ..-SHEAR ~qCE grouted zone is conceptually valid.
However, it is essential to ensure that
t~/ l / -/$HE~R
>.~ ~'i~'--" the rock outside the grouted zone is
permeable or drained, and that large
areas are not subjected to the jacking
a ~. L l ,~rrwou'r forces of high-pressure water.
~- O " F r...,._ ~, / PRESSURE It can also be argued that the
,~""~O o .a 2L ~-"--""'L.O.J RELIEF hydraulic pressure causing hydraulic
jacking is the pressure on the outer
edge of the concrete liner, decreased
u.! 20" 40' 60" 8C~' due to the head loss that develops as
N ton ~ ANGLEOF PLANE WWH the water seeps through cracks in the
liner. This is not considered to be a safe
V E C T O R ANALYSIS OF S U M M A R Y OF and valid design approach, because it
is impossible to predict accurately the
POTENTIAL BLOCK STABILITY ANALYSIS width and distribution of cracks in a
Figure 5. Rock jacking at underground opening. concrete liner. Cracks may be highly
variable, depending upon concrete
placement and curing, variable mixes,
event, the steel liner may have to be prevent hydraulic jacking. For this and the variable deformability of rock
lengthened, and special drainage gal- reason, water h a m m e r transients are under pressure. Thus, the hydraulic
leries and drill holes installed to relieve not required to meet a normal factor pressure that must be resisted by the
high-pressure water.
In addition to the consideration of Table 2. Recommended factors of safety against hydraulic jacking or uplift.
in-situ rock stresses and the imposed
hydraulic loads, a safe design requires
that the hydraulic gradients towards Normal operating
openings be controlled, especially if Water
erodible z o n e s intersect both openings. Design condition Static Surge hammer
Appropriate filtering of erodible zones
intersected by drainage holes may be Lifting of rock above 1.3" 1.1 N/A
necessary. T h e distance between the
end o f the steel liner and the opening horizontal unlined or
must maintain hydraulic gradients at concrete lined tunnel.
acceptable levels. Guidelines are given Along sloping portion 1.3 1.1 N/A
below, u n d e r "Steel-Lined Section." near valleys, and at end
of steel liner, with
Recommended Factors of Safety proper allowance for
Prevention o f hydraulic jacking may
be considered as simply ensuring that
slope, topography, and
the hydraulic pressure within the tun- possible landslides removing
nel is always less than the rock stress, soil cover.
or that the time of application of
the hydraulic stress is too short to * May be reduced to 1.2 if geological conditions are well-known.


rock to prevent hydraulic jacking must a smaller but smoother lined tunnel there are numerous methods that can
be equal to the internal pressure in the may be the least costly. For tunnels be considered, and the possibility of
tunnel, including surge conditions. in excess of approximately 6 km, the misjudgment increases accordingly.
Limiting hydraulic jacking by using schedule often can be controlled by the Some seepage loss may be allowed,
pressure relief or grouting should not excavation and lining requirements of depending upon the quantity and
be used as a general design approach. the power tunnel. Thus, selection of a value of available water and the
However, if such measures are nec- smaller lined tunnel vs a larger unlined probable effect of seepage on the
essary because of special conditions, tunnel may be an important decision. stability of the terrain and its effect
they should be performed with great Head loss through a conduit is prin- on the environment. Therefore, the
caution. For success, it is necessary cipally a function of the wall roughness, long-term value of the water vs the
to understand the geologic conditions the tunnel diameter and the water cost of limiting the seepage must be
and the variations in permeability of velocity. As a result, hydraulic equiva- compared. I f possible, of course, the
the rock to ensure that high-pressure lence can be obtained between larger- tunnel should be placed in such a way
seepage paths do not develop that diameter unlined tunnels vs smaller that the hydraulic grade line is below
bypass the pressure relief or grouting lined tunnels of greater hydraulic effi- the water table. Because determination
systems installed. In general, this tech- ciency. When small tunnels (2-3 m in of the permanent groundwater table is
nique should be viewed as a last-resort diameter) are used, there is a greater very important, experienced geologists
measure, and not as recommended need for a smooth lining to maintain and groundwater hydrologists should
practice. acceptable head losses. However, as be involved in this task. Mapping of all
the tunnel diameter increases, the wall springs and points of periodic seepage,
Selection of the Final Lining roughness has less effect on head loss, as well as drill-hole piezometric data,
and equivalence is achieved through are essential in such an evaluation. If
Selection of the final lining for a small diametral changes. this information is not obtained, a con-
pressure tunnel is a process that These factors must be assessed in servative design approach is necessary.
begins in the design stage but does not terms of excavation and support costs Excessive leakage from the unlined
end until construction is complete and for both the temporary and final tunnel can occur if the natural ground-
the geological conditions are known in linings, and the schedule advantages water surface is lower than the head
detail. During the tendering stage, the of unlined tunnels where the host developed by the internal pressure,
liner design must be considered to be rock permits an unlined tunnel. The and if the rock is pervious. O f course,
preliminary. Then, as construction advantages of a tunnel boring machine, a low water table may exist even in
p.roceeds and the geological condi- which can achieve a smoothness almost relatively impervious rocks, which are
uons become known, the lining may be equivalent to concrete, also must be found in many very dry areas of the
modified to suit the actual conditions. considered. Selecting the most suitable world. The various cases are shown in
This procedure requires well struc- lining for the aspect of head loss is a Fig. 6.
tured and flexible specifications and complex but standard matter of project Leakage for unlined tunnels can
contract documents that allow design economics. be estimated by standard flow nets if
modifications without unfair penalty to investigations have provided appropri-
the contractor or the owner. Leakage Control ate data along the length of the tunnel.
There is wide divergence on the Excessive leakage from pressure Such data normally are obtained by
use of linings by various designers tunnels can occur in two ways: first, geologic mapping, drilling and in-hole
throughout the world. Some favor by hydraulic jacking; and, second, if permeability testing. Subjective judg-
completely lined tunnels on the basis of the rock is pervious and the inter- ment is almost the only guide for
ensuring long-term performance with- nal pressure exceeds the external determining how much investigative
out the need for any maintenance work groundwater pressure. Methods of work is necessary, and this judgment
during operation. Others have cham- dealing with hydraulic jacking have must rest with an experienced engineer
pioned the advantages of unlined or been discussed above. The problem and/or hydrogeologist.
partly lined tunnels, with acceptance o[ of pervious rock is more difficult, as There are three basic types of lin-
local fallouts provided that they do not
prejudice operations. Between these
limits are many options that attempt to
optimize cost and performance. There
are no common guidelines for selection
of the final liner.
Three basic factors influence the -~" T" ........ ~ -J
selection of the lining: b II h
(1) Achieving acceptable head loss
in the conduit.
(2) Preventing excessive leakage either
by seepage or hydraulic fracturin_ g.
(3) Ensuring long-term stability dur-
ing watering up, operation and un-
Each of these factors is discussed in
detail below.

Head Loss
b w A
Acceptable head loss along the press-
ure tunnel is a matter of overall project
economics, which, in some cases, may GA8E G - PO881BLE HIGH LEAKAGE CASE D - PO88iBLE HIGH LEAKAGE
involve using an unlined tunnel and
achieving an earlier on-line schedule. Nw - STATIC HEAO
Alternatively, where the schedule is
controlled by other project elements, Figure 6. Assessmentof leakage conditions (unlined, shotcrete, or unreinforced concrete).


ings: impervious, pervious and senti-
pervious. In practical terms, the most
c o m m o n impervious lining is steel,
placed with a concrete or concrete/ NOTES :
grout surround. A composite liner / I I (IJnllmm P l r m e o b i l l l y , K ) 1, NET HEAD lOOm
can be used, in which the steel is I 1 r~NEL
thin and an inside layer o f concrete 1HROUGR ROCK lOOm
h ~ -f~- *hl~n*s'
provides buckling resistance against
external pressure. In recent years PROFILE SECTION I ~ C K N E S S 4OOmm
various types of impervious lining have
been used, including bitumen-coated IOO
copper, sprayed rubber, and plastic,
normally with a concrete liner placed
inside to prevent buckling. However,
very little performance data exist for E
such linings, and their design and E,o
construction are complicated, as they
must handle both internal and external
Concrete and shotcrete applied with-
out reinforcement must be considered
to be pervious because they are char-
acterized by locally pervious zones due
to placement imperfections, or shrink-
age cracks that have occurred during
curing. They also are easily cracked

I I ,,,, IIII
js I I I Illll I
I ossumet no bockplessufe
lyom rock }
1 Itlllll

I I IIliil
OOOOI O.0OI 0.OI 0,1 I0 I00
under internal pressure in deformable
DISCHARGE - malsec per lO0m length
rock zones. Unfortunately, there is a
c o m m o n misconception that concrete Figure 7. Leakagefrom cracked concrete liner.
and shotcrete linings are impervious.
Both concrete and shotcrete can
be reinforced to act as semi-pervious lining. Various methods are available erally should reach at least 75% of the
linings, utilizing enough reinforcing for this determination (see discussion internal pressure, although a maxi-
to distribute and control cracks to under "Stability," below). T h e numb- m u m 15 bars normally would be
a specific width. If a semi-pervious er of cracks that will occur in an adequate. Stage grouting, as shown on
liner is required, it is necessary to elastic, homogeneous, circular liner Fig. 8, has been successful where grout
provide reinforcing both radially and principally depends on the diameter loss has to be controlled and where high
longitudinally, and to control concrete and liner thickness, and generally is pressures are necessary. New chemical
mixes and placement carefully. in the range o f 10-20. Reinforcement grouts that can penetrate joints and
Leakage rates through semi-pervious, ensures that the cracks will be distrib- rocks with a semi-pervious matrix also
cracked concrete linings can be reason- uted, and the crack width can then be have been utilized.
ably estimated using equations for flow calculated with confidence.
between plates. Figure 7 shows the Cracking of the concrete lining also Stability
relation for laminar flow and turbu- develops for other reasons, including T h e final lining selected must ensure
lent flow, which allows calculation o f placement conditions, cold joints, tem- adequate stability of the tunnel through-
leakage from a cracked concrete or perature effects, excessively rich or wet out the life of the project. For many
shotcrete liner (Sawatsky 1986). Note mixes, and shrinkage. Longitudinal designers, this means that no rockfalls
that seepage is basically a function of shrinkage often results in regularly or falls of shotcrete or concrete should
the crack width to the third power, the spaced transverse cracks separated by occur. Such an approach requires a
head, and the permeability of the sur- 6-10 m, depending on the diameter continuous concrete liner, or very high-
rounding material. T h e relations also of the tunnel. Such cracking can be quality rock with extensive rock bolting
show that if the permeability o f the hairline or up to 3-4 mm, depending and shotcrete for an unlined tunnel.
surrounding material is relatively low, on the concrete mix and curing prop- However, other designers accept con-
the leakage is almost the same for one erties. siderably less support and lining with
crack as for many. Grouting to reduce permeability some minor falls in the tunnel, pro-
T h e graph indicates that if the sur- around a concrete liner can be suc- vided they do not hamper operation
rounding rock is pervious, significant cessful, provided that carefully con- or cause a significant energy loss. The
seepage can occur unless the crack trolled techniques and pressures are differences in cost and construction
widths are very small. Generally, a used. Generally, cement grouts with schedule between these two design
rock permeability less than 10-~ cm/sec various additives to control penetra- approaches can be very great, and sig-
would allow very minor losses. Effec- tion, thixotropy, setting time, and nificant economic benefits are possible
tive, comprehensively applied grouting strength are available. Silica fume, used by selecting the approach that allows
of pervious rock can reduce permeabil- in shotcrete, also has been used in grout for minor rockfalls, in combination
ity to between 10--4 and 10--5 cm/sec. to increase strength and decrease the with periodic inspection and mainte-
I f the host material is relatively water/cement ratio. nance.
permeable, leakage control depends Grouting should be done in rings, To ensure stability, the lining design-
on reinforcement and/or grouting. normally with six to eight holes per er must consider:
Although standard structural meth- ring, after the concrete or shotcrete is Erosion of rock or joint filling
ods are available for design of the placed to allow higher pressures to be by pressurized water.
reinforcing steel, appropriate deter- used. Pressures must be controlled to Rock support, temporary and
mination o f the deformation modu- prevent damage to the lining, but must final.
lus is required for the rock in order be high enough to ensure penetration. Hydraulic pressures during water-
to calculate the deformation o f the Consolidation grouting pressures gen- ing, operation, and unwatering.


CONSOLIDATION covered with shotcrete or concrete.
GROUT HOLES't~'~-~.~.~" ~ T --~ I f shotcrete is used, it must adhere
properly, as hydraulic gradients can
be very high during unwatering. Con-
trolled unwatering, where pressures
are reduced over a period of days, is
tCO desirable to reduce seepage pressures
I / \ I [ GROUT HOU=.'~ \ and external forces on the lining.
T e m p o r a r y and final rock support
/ / "~.:.~, :.:~'>d/CO.CRETE Rock reinforcement is required on a
/ [ [~'...x.,.,.,.,.,.,.,.~ -'~'~i .-'~ LINER I !
temporary basis during tunnel driving,
and for permanent support during
operation of the power tunnel. The
degree and type of support for the
two conditions can be very similar,
especially for hard, massive rock where
no final lining is required, and where
only rock bolts and shotcrete are
required for both temporary and final
support. In contrast, the temporary
support required for tunnel driving
in weak, strongly fractured, or highly
erodible rock, may be modest, where-
as extensive support or lining may be
necessary for operation. Thus, it may
be necessary to follow excavation and
temporary support with subsequent
extensive additional support, i.e. up
to a complete concrete lining.
The temporary and final support
requirements invariably are establish-
ed by experienced tunnel engineers
during driving of the tunnel. However,
3. STAGE 3 - HIGH PRESSURE TO REDUCE PERMEABILITY the general support requirements must
LIMIT TO 75% OF Pi be determined during design so that
Figure 8. Liner grouting. appropriate specifications and con-
struction methodology can be adopted
to ensure an economical project and the
minimum construction schedule.
Erosion with criss-crossed, short, grouted rock Various classification systems exist
The velocity of water in unlined bolts is adequate unless the feature for assessing temporary support. In
pressure tunnels normally does not requires covering with a concrete liner. 1946, Terzaghi developed a rock
exceed 4 rrdsec, and often is in the Such decisions can only be made by classification system for estimating the
range of 2-3 m/sec. Such velocities e x p e r i e n c e d personnel. loads to be supported by steel sets in
can cause a progressive erosion of It also is wise to make one final, thor- the tunnels. Since then, a number of
weak rock, resulting in rockfalls that ough walk-through inspection with classification systems have been devel-
can reduce the capacity of the tunnel design and construction personnel oped on the basis of numerous case
or, in the extreme, entirely block the just as the tunnel is being completed, histories. Some of the more common
flow. The erosion may occur in soft to ensure that no zones have been classification systems include:
rocks, shear or fault zones, or in missed. Terzaghi's Rock Load Classifi-
blocky rock containing thin, clayey Installation of reinforced shotcrete cation for Steel Arch Supported
or silty seams and veins. Although or concrete can be done either at the Tunnels, 1946.
such erosion may be slow initially, it time of driving or when excavation is Deere's RQD and Merritt's Meth-
can progress to involve large blocks complete. Excavation of seams to allow od, 1972.
of rock and falls measuring thousands treatment may be necessary. Although Wickham's Rock Structure Rat-
of cubic meters. However, such zones shotcrete normally can be used, it must ing, 1972.
can be treated during construction to be reinforced and anchored to the Barton's Norwegian Geotech-
ensure trouble-free operation. rock because the fine-grained materi- nical Institute (NGI) Index Clas-
The project locations requiring pro- als can prevent adhesion of the sification, 1976.
tection must be identified during exca- shotcrete. Where adhesion is poor, Bienawski's CSIR Method, 1976.
vation by experienced engineers or fiber-reinforced shotcrete is not recom- Although these systems are helpful in
geologists during the geologic mapping mended; mesh-reinforced shotcrete is both design and construction planning,
of the tunnel, and inspected during superior. I f the zone is broad and very they do not address all variables; nor
walk-through surveys by experienced deformable, it may be necessary to cov- are they uniformly applicable to all
personnel. After these features have er it with a concrete liner. types of rock and various conditions
been identified, the necessary treat- Weak, erodible rock or fine-grained of rock quality. They must be applied
ment can be specified. Generally such material from seams or faults can be by people having good judgment based
treatment involves hand excavating to piped into the tunnel through cracks, on experience with various geologic
a depth equal to the width of the joints or drainage holes, especially conditions. Walia (1985) has presented
seam, and covering the area with during unwatering, when external a good summary of the appficability of
fiber or mesh reinforced shotcrete. pressures around the tunnel are high. these systems, as summarized in Table
For particularly poor zones, stitching Pipeable rock must be completely 3.


Table 3. Evaluation of rock mass classification systen~c
Geologic Conditions

Discontinuities Sheared of one or more
Main factors Sound Discontinuities closely spaced or crushed rock significant
affecting stability maealve rock moderately spaced or weak planes otherwise rehealed discontinuity

Rock relaxation X X X X 0
(Time dependent)

In-situ stress
- Rockpopping X X X X O
- Squeezing X X X O O
- Slaking (due to O O O O O
loss of moisture)
- Swelling O O O O O

- Inflow volume X X X X X
- Erosion O O O O O
- Solutioning O O O O O
- Hydrostatic O O O O O

- Pressure O O O O O
- Potential O O O O O

X - Adequately addressed.
O - Inadequately addressed or not addressed.

Selecting the type and amount of solutioning, the tunnel can remain ic design points for unlined, shotcrete-
support for the final lining is a largely or fully unlined. Special zones lined, and concrete-lined tunnels.
complex problem. However, based or areas o f weakened rock can be
on the relatively simple classification treated with grouted rock bolts and Shotcrete fining
systems, a combination of support may shotcrete. An estimate of the rockbolts Shotcrete is an effective way of
be employed, subject to individual and shotcrete required can utilize the improving the stability of tunnels.
preferences. Nevertheless, the support classification systems discussed above. Used in conjunction with rock bolts or
requirements in all the classification T h e underlying design philosophy is passive grouted anchors, as in the New
systems are related fundamentally to that minor rockfalls can occur, but that Austrian Tunnelling Method (NATM),
the strength o f the rock, the size o f these falls will not lead to larger major a highly adaptable support system
the tunnel, and the specific geologic falls that could reduce tunnel capacity. can be developed to meet conditions
conditions. T h e minor falls will either lie on the observed in the field during tunnel
Figure 9 and Table 4 summarize invert, or be moved by flow to a driving. With the newer additions, such
these factors and identify the probable rocktrap set near the end o f the tunnel, as fiber-reinforcement and silica-fume,
type o f support that is appropriate for upstream, o f the steel lining. the strength and deformability can be
various types o f rock. T h e information Rockbolts are used either sporadi- varied to meet special requirements.
shown is intended for use in pressure cally, to pin individual loose blocks, or Shotcrete can be used to improve the
tunnels with diameters ranging from on a pattern basis to provide an interac- smoothness o f tunnels; a Mannings "n"
2 to 7 m, which is the normal range tive support for unlined tunnels. Many value between 0.018 and 0.025 can be
for most projects. It must be empha- types o f bolts are available and various achieved, depending on the thickness
sized that the information is given as theories for rock bolt designs have been and contouring achieved: Generally,
a guideline only, and that any specific developed. Although both active and shotcrete 2-5 cm thick has no effective
tunnel could have conditions for which passive anchorage rockbolts systems strength; however, when it is applied in
the measures shown may be inappro- have been used for tunnel support, in thicknesses o f I0 cm or greater, design
priate. Nonetheless, the data are based recent years the tendency for modest- methods similar to those for concrete
on a n u m b e r o f cases and, used as a sized tunnels has been to use a passive can be utilized.
guideline, have been helpful for both system o f grouted but untensioned Shotcrete can be used effective-
design and construction. anchors. In hard rock, where plucking ly in most rock conditions. How-
or solutioning will not occur between ever, for claystones or weak, poorly
Unlined tunnels bolts, this method is economical and cemented rock, shotcrete may not
Provided that the rock is hard effective. adhere properly or may fail easily
and durable and not susceptible to Following are some additional specif- at the contact. For such conditions,


:o 0 ~, ~ ~Q~II~ : I
subsequent layers. As many as four
layers have been used in situations
UIG Powerhouse or Large Tunnel l where concrete placement could not
~ i O c I n ~ r c ~ T U t ~ ; r n s l ' t e Tunnel I
i~ 40'
50 be done effectively. Single or double
bars can be shotcreted, and triangular,
tied bundles also have been effectively
-- 30 placed. As reinforcing is increased,
reducing the maximum particle size
/ J of the shotcrete is advantageous.

///. ., . / Concrete linings

Concrete linings represent the most
/ o/ o ~,o~ I effective method of ensuring stability
while achieving a hydraulically effi-
/ /o *~,~ " / / cient tunnel. Because placement is
/ oO,," ./ I normally done behind smooth steel
forms, Mannings "n" values on the
ti ..* + J. 7 .~?? _1 order of 0.012-0.016 are achieved.
/ w'- // ~O 7 Construction methods have been
/,4't /
developed that can provide homo-
I 2 geneous concrete, with minor imper-
0 fections such as cold joints, thermal
$ I0 IS 20 25 $0 cracking and honeycombing. Natural-
ly, good mix designs and construction
SPAN (m) techniques are essential. Nevertheless,
because of the inevitable imperfections,
and because of the variable deformabil-
ity of most rocks, linings cannot be con-
sidered impervious.
All the evidence shows that the lining
NECESSARY. ures into the surrounding rock. Such
evidence includes cracks observed to be
- LOCAL SHOTCRETE. filled with leaves and fragments upon
unwatering; rises in the groundwater
table, with development of surface
- LOCAL CONCRETE. leaks; and instrumented tunnels where
- CONSOLIDATION GROUTING AS NECESSARY. piezometers have been installed in the
host rock. In addition, cracking of both
reinforced and non-reinforced liners,
INVERTED U - PATTERN CONSOLIDATION GROUTING. caused by shrinkage during curing,
occurs to some degree with all linings.
Concrete liners must be considered by
- SPECIAL GROUTING. the designer to be pervious or semi-
pervious membranes. However, con-
Figure 9. Rock support guideline. crete can be reinforced to impede flow
and, depending on the permeability of
the surrounding rock, pore pressures
may then be controlled to a specific
interaction with the rock, achieved during unwatering and allows dissi- zone around a tunnel. This concept has
with mesh-reinforced shotcrete and pation of external water pressures been discussed further above, under
pins, is not necessarily achieved with without serious spalling, even though "Leakage Control."
fiber-reinforced shotcrete. Therefore, the strength as a membrane may be Because of the associated costs a n d
the most effective shotcrete method entirely inadequate theoretically. It increased construction schedule, selec-
must be selected. appears that external pressures are tion of concrete as a support medium
Shotcrete is a very adaptable material relieved through the numerous but is a last resort. Nevertheless, in cases
when the tunnel is subjected to internal invisible cracks that have developed where other support measures will
pressures. Although shotcrete must be at joints and seams. Shotcrete has not be effective, e.g. in squeezing
treated as a pervious material, crack been observed to perform very well ground, where extensive overbreak
distribution due to diametrical expan- under all conditions where adhesion has occurred, or in very deformable
sion occurs without concentration of is good, even when repeated rapid rock under internal hydraulic loading,
cracks. It appears that adhesion to unwatering has been performed. Thus, concrete is an excellent solution.
individual rock blocks is greater than pressure relief is not necessary; and as The lining must be designed for
the adhesion of concrete to rock. The long as good shotcreting practices are three conditions:
rock blocks act independently, allowing maintained, resulting in well-bonded (1) To support the external rock and
cracking of the shotcrete to occur at shotcrete, good performance during water load that will be imposed during
block boundaries. Thus, when cracks unwatering can be expected. operation. In specific cases, swelling
concentrate in concrete liners, they are Reinforcement of shotcrete varies rocks may induce loading.
usually well-distributed in shotcrete from fiber-reinforcement or welded (2) To ensure integrity of the liner
liners unless major movement occurs. wire fabric to layers of heavy rein- under internal pressure, e.g. when
This factor modifies the approach to forcing steel. With careful application, seepage outflow is not of concern and
reinforcement design. individual layers of reinforcing can be concrete cracking without dislodging
Shotcrete also performs very well placed, shotcreted, and followed by pieces is acceptable.


Table 4. Factors for selection of final lining.

Unlined with Shotcrete Concrete

Factor rock bolts lined lined

Deformation modulus >20 O00kg/cm 2 7000 - 20 000 <7000

Geological favorability Favorable Favorable to Unfavorable

(faults, discontinuities, unfavorable
joint filling, orientation)

Unconfined compressive >700kg/cm 2 300 - 700 <300


Tunnel diameter Intensity of support increases with increasing diameter

Rock load on support* <0.4kg/crn2 0.4 - 0.9 >0.9

Rock mass permeability <lxl0-Scm/s l x l 0 - S - l x l 0 -4 >1x10-4

Rock mass quality (Q)* >20 4 - 20 <4

Rock strength/cover ratio >15 5 - 15 <5

* Based on NGI classification system

Note: The above factors are given as a general guideline only. To determine the
final lining requirements, consideration of the cumulative effect of the
factors is necessary.

Table 5. Acceptable crack widths for concrete liners. establish locations that should be
Design condition crack width Comments SteeI-Uned Section
External pressure Not applicable Concentrated T h e length of the steel liner must
local cracks be carried to a point that satisfies two
condititons: (1) hydraulic containment,
Internal pressure 3 mm Distributed and (2) acceptable hydraulic gradients.
cracks T h e requirement for hydraulic con-
tainment, or prevention o f hydraulic
Seepage control As low as 0.3 mm See "Leakage Control" jacking, has been discussed above,
under "Protection Against Hydraulic
Jacking and Uplift." After this condi-
tion has been satisfied, it is necessary
to ensure that the hydraulic gradient
(3) T o limit seepage outflow by be allowed that would result in a from the end o f the liner to the nearest
limiting cracking to a tolerable amount few concentrated cracks of up to exit point is sufficiently low to prevent
(see "Leakage Control," above). 3 mm before reinforcement would instability o f soil or rock at the point of
T h e thickness o f the lining required be necessary. I f reinforcement is exit. Such instability can develop in the
depends on the size o f tunnel and the considered necessary, it should be following ways, which have led to past
hydraulic forces that will be applied. designed to limit cracking to 1 m m in failures on specific projects:
Generally, thicknesses less than 0.2 m width, with cracks distributed around Uplift beneath impervious soil
are difficult to place, and thicknesses the liner. Singh et al. (1988) have pres- or rock layers overlying more
greater than 0.7 m are rare. For the ented a simple method for reasonably pervious rock.
majority o f cases, where concrete estimating the cracking that can occur Erosion and piping of soil at the
is required for stability because o f in concrete liners. Design methods are g r o u n d surface, or at pervious
external loading, reinforcement is not also available to calculate the deforma- layers within the soil.
necessary. However, unusual cases tions and load sharing a m o n g the rock, Erosion and piping o f a fault or
such as squeezing rock or very high concrete and the necessary reinforcing shear zone exiting at the ground
external water pressures may require steel (Hendron et al. 1987). surface, or at an u n d e r g r o u n d
reinforcing. Selecting the areas where a concrete opening.
Reinforcing is not required for the lining should be installed requires Hydraulic jacking of rock blocks
internal pressure condition unless experienced judgement. Following an into u n d e r g r o u n d openings.
severe cracking can occur, result- assessment of geological factors, cal- An effective design against these
ing in dislodging concrete pieces, culations o f possible cracking and/or conditions, as discussed above, is to
especially during unwatering. Under reinforcement, the designers and con- prevent the development of excessive
internal pressure, deformations can struction personnel should inspect and water pressures by installing suitable


drainage. Provided that the high Table 6. Acceptable hydraulic gradients for steel liner length.
hydraulic pressures are dissipated
in the mass rock near the end of Type of material Acceptable hydraulic gradients
the steel liner, no damage can occur.
However, it is essential to understand Massive hard rock, widely 10 - 15
the geologic conditions and the relative jointed
permeability of the various materials in
designing the drainage system.
The use of flow nets to study the flow Hard to moderately hard, 8 - 10
regime and to assess the requirements moderately jointed
for drainage is very helpful. There
are no hard and fast design rules Moderate to weak rock, 5 - 7
for acceptable hydraulic gradients in moderately jointed
the rock mass; however, those shown
in Table 6 are recommended for cases Weak, closely jointed or 3 - 5
where the cover is adequate to prevent sheared
hydraulic fracturing or lifting.
In conjunction with acceptable
Very weak, possibly erodible Less than 3 plus
hydraulic gradients, drainage systems
utilizing drill holes and separate drain- appropriate filtering
age tunnels are the most effective
method of maintaining stability or
obtaining the shortest possible liner.
Drill holes must be oriented to cut maintain tensile stress, and variations external pressure and designs to pre-
across the fracture systems, and must in moduli among these materials. vent buckling will override the inter-
be spaced closely enough to ensure Depending upon the design criteria nal pressure criteria in determining
interaction. They should be drilled used to establish the requirements of steel thickness. Other testing, such
well below penstock or tunnel levels. the steel liner, these equations can be as hammer seismic or petite seismic
Generally, holes spaced at about 3 m utilized to optimize liner thickness. methods, is useful to correlate between
intervals are necessary, although more The finite element technique is a specific test stations and various rock
widely spaced holes can be effective in more flexible and realistic method types along the tunnel. Correlations
pervious rocks. Interaction between because it can be adapted to suit among test methods, rock types, rock
holes can be checked by pumping the actual shape of the tunnel and quality and deformation modulus are
tests. Piezometers should be installed to include the existing stress field in a now more common in the literature.
to measure the effectiveness of the mass rock. As with the modified Lam6 Because such correlations are adapt-
drainage curtain during operation. If equations, compatability of deforma- able to other sites, costly tests may not
necessary, additional drainage can be tion across material boundaries is be required.
implemented. If erodible material is required. Figure 10 shows the results The depth of the weakened zone
encountered, drainage holes must be of a typical analysis for a cross-section around the tunnel is variable, depend-
filtered to prevent piping. with a variety of design variables that ing on the quality of rock and the meth-
Control of water pressures and can be altered to study their effect. od of excavation. Machine-bored tun-
hydraulic gradients are important in To obtain deformation moduli for nels, of course, are much less damaged,
the safe design of standard hydro- the rock, suitable tests--such as plate and the low modulus layer generally is
electric projects. For pumped storage jack, radial jack or pressurized cham- restricted to less than 0.3 m.
projects, daily operations result in bers---can be utilized. However, these For blasting, the low-modulus zone
cyclic loadings and pressure changes. tests are costly and should be used only can be as deep as 2-3 m, but is generally
It is important to bear this in mind when significant economic advantage less than 1 m. Seismic tests are useful in
during the design of a pumped stor- can be obtained by limiting liner thick- delineating the depth of this zone and
age scheme, where more conservative ness. For example, in many cases the its variation along the tunnel.
design measures and increased factors
of safety may be appropriate.
Internal P r e s s u r e ~..4..---I " - " ~ t
.~ ~ 11~8~ IpOCK " L I. ROCK I~OOUt.U8
Given the rapidly expanding body ~ .'4 :~ . ~..i-t ~ -I- ~ #.,
~ " - - ~ "" ~ - ~ ' -t~
of experience in treatment methods / "~/ . - ~,~" ~ , ' a ~ ~ . . ~ ~. -. 3. STEEL AND O O N ~ T E LINER THIC NE88
and evaluating rock properties for
engineering purposes, the design of /,'," .~," - , ; " -" . 9 " - ~ ; : : . . "~.'-'," "-,~.:. ",~-. \ ' , s. cnAc:x,=o MNO t m c n A c x e a hOCK
pressure conduits in rock in recent ,..: . I , ., , . .~:;" ,~, ~ , ,

"7"~'tt~ ~'Z:. "~ ' ~J~'~" ~;, ''< " ~ , " " 7, .OOT. PIESllU~E8
years has tended toward the ration-
al optimization of steel and concrete i, / ,., :-..-. i. I " i"
/ t : ,t. ~ b 7 T~7"~,.,, i \ \
liner requirements. Design considera- t l ~ I "l-~i:-"l HOOP ITRtEBI ~.~i~-.-It.~-~.~- MODUI.U8 OF I I E E L - I I I I O i p l l
tions relate essentially to an assessment ~ I-;I "'-~ /''" /l ' ~# / -'OOOpiIITANGENiIALLY)
of the interaction of the steel, concrete l." ~ll,l, ll~."+;:'.~. ~ i'_'. .1~ I,.. ~Z l I 1400ULU, OF ROCK LAYEIq ,
and rock with respect to hydraulic ~" "' ~ "il """?'.V "~ll/~"~" " J l ' ~ MODULUS OF RO~" LAYE~!
.\ ',.i \t" i ""- " I .i
forces that tend to cause instability or
overstressing of these elements. Calcu-
-- ,~;';:'~,'~;'1i" ' <"
..oo,=,,. ! !.. ,
lations normally have been based on
modifications to the classic equations
for thick-walled cylinders developed
by Lain6 (1852). Generally, the Lain6 TYPICAL STRES8 PLOT BY COMPUTER
equations are modified to account for FOR RAOIALLY CRACKED CONCRETE

inclusion of a thin steel liner, the

inability of concrete and/or rock to Figure 10. Finite element model of steel and conerete-lined tunnel.


Low-modulus rock also exists near to the types of buckling failure that forces. Under such circumstances, the
the toe o f slopes in river valleys, due can occur. Although no one theory addition of external stiffeners over part
to stress relaxation during the geologic fits all of the cases where failure has or all of the length of the liner may
processes forming the valley. In addi- occurred, some of the parameters that be justified. However, any projections
tion, the local mass rock near large might have contributed to failure have into the gap surrounding the liner
u n d e r g r o u n d openings is weakened been quantified. should be detailed with caution, as
and stress-relieved by excavation of the The equations of Amstutz (1970) they have a negative effect upon the
opening. T h e liner must be designed are the most suitable as a guide to subsequent placement of uniformly
to accept full internal pressure at specifying steel liner thicknesses. constituted concrete, and may require
such locations, with an appropriate T h e factors having the most effect the excavation to be enlarged over and
transition to a point where the rock on the ability of a given liner to resist above that required to accommodate a
can sustain the load. Selection of the buckling are: slightly thicker, plain liner.
required length and transition depends The fabrication tolerances from The economics involved in deciding
on geologic evaluation of the rock. which, in practice, the theoreti- how best to resist buckling vary from
Where the rock is designed to accept cally circular liner departs. project to project. There is no one rule
load, design criteria for load sharing The concrete mixes and methods that can be applied universally.
commonly require that the rock share of placing the backfill concrete Unless external pressure relief using
half the load. This is most applicable to between the steel liner and the drainage tunnels and drill holes is pro-
hard rocks, where creep is minor. How- rock. vided, it is customary to assume that
ever, in softer rocks, where creep is o f T h e ability o f the rock to recover the rock can be saturated up to the
concern, the portion of rock sharing from loading. ground surface, as in Cases B and C
should be decreased accordingly. T h e The temperatures of the air and above (Fig. 6). I f external drainage is
allowable stress in the steel is normally water to which the inside surface used, it must be extensive in order to
limited to 50% o f the yield stress, and of the liner will be subject during be effective, using measures described
may be 35--40% o f the ultimate stress, critical conditions. above, under "Length".
depending on the type o f steel. It is An attempt should be made to estimate The external pressures described in
general practice to ensure that the the effects of all of these factors before Case D may be significantly higher than
allowable stress does not exceed 80% a realistic appraisal of the probable those in Cases B or C. Such pressure
of the yield, assuming no rock support, resistance to buckling of a given liner may be induced by a nearby penstock,
in the event that weak zones in the rock in a given situation is made. Fabri- from pressures induced from seepage
yield to equal the unrestrained expan- cation tolerances should be specified around the steel liner, or from an
sion of the liner. realistically, bearing in mind the limi- overlying reservoir.
T h e steel liner is normally expected tations imposed by available methods, Evidence also indicates that high-
to be impervious. However, for very materials and machinery. Particular pressure seepage may occur along
high-head plants, leakage past the attention should be paid to sudden the penstock, induced from leakage
grout plugs has developed due to changes in section that may occur at around the end of the steel liner. This
elongation o f the holes under the very joints between plates; deviations from is particularly true for very high-head
high uniaxial stress, as unequal stress uniform curvature that may occur at plants. Such leakage can bypass even
concentrations occur around the hole. plate ends, which are often bent rather the most effective external drainage
Recent plug designs include backing than rolled; and deviations from circu- system. This high-pressure water can
plates and epoxy around the inner lar, which usually occur as a result of build up a significant reservoir in the
portion of the plug, ensuring a seal inadequate support during installation host rock and buckle the liner during
under internal pressure. and subsequent back-filling. a unwatering phase, unless unwatering
T h e thickness and placing tech- is done very slowly, allowing drainage
External Pressure niques for backfill concrete can have and equalization o f external pressures.
The steel liner is subjected to exter- an effect upon the liner's subsequent To combat this potential problem,
nal pressures for the following condi- ability to resist buckling. T h e concrete special treatment of the end section,
tions: mix should be controlled to reduce the the steel liner, may be necessary, as
Case A: Grouting. effects of heating the liner, which sub- shown in Fig. 11. The combination
Case B: External groundwater pres- sequently cools and pulls away from the of reinforcement, embedded collars
sures during construction, concrete, and to limit shrinkage of the and/or anchor rings, and high-pressure
prior to watering. concrete. grouting is intended to limit access of
Case C: External groundwater pres- The introduction o f cold air or water high-pressure water behind the steel
sures during unwatering fol- to the liner also can cause the external liner. For high-head schemes where
lowing long-term operation. gap to increase and, in conjunction with such problems can occur, it may be
(In the case of rapid un- grouting or a buildup o f external water more appropriate to design the steel
watering, many liners also pressures, can result in buckling. liner for the full static head than to
are subject to partial vacuum, After the liner has been in operation provide a complex drainage system.
which acts in addition to the for a period of time, and depending on Some designers have used drainage
external pressure to insti- the deformation and subsequent recov- pipes placed behind the steel liner,
gate buckling.) ery abilities of the rock surrounding connected to the gap, to remove high-
Case D: External groundwater, plus the tunnel, a gap far in excess of that pressure water on unwatering. This
possible excess pore press- originally surrounding the liner may scheme should not be used; it is not
ure due to induced penstock occur upon dewatering. This can be a effective in the long term, as the pipes
pressures, or pressures from critical time for buckling, especially if can become clogged with precipitates.
nearby operating penstocks. the operation of the facility has primed
Over the last several decades, numer- the surrounding ground with water at Grouting
ous investigators have developed theo- .pressures equal to the internal operat- The following types of grouting are
ries predicting the onset o f buckling for ing pressure. required over various portions of the
the actual conditions under which steel There are often circumstances in tunnel:
liners are required to operate. T h e vari- which it is not economically feasible to Contact Grouting--To fill large voids
ous theories attempt to relate measur- provide a plain steel liner sufficiently behind the steel and concrete liners that
able aspects of fabrication inaccuracies thick to resist the probable buckling occur due to inadequate concreting,


cedent experience (Lysne 1971), rock
STEEL SADDLE L,~ ~ " MULTI-LINE GROUT CURTAIN traps may be sized to contain those rock
IF REINFORCEMENT pieces that can be transferred along the
CANNOT BE invert of the tunnel by the prevailing
/~( SEEPAGEBARRIERS) velocity and invert roughness. In gen-
RADIAL AND \ eral, it is good practice to concrete the
LONGITUDINAL \ I / [ / STIFFENERS tunnel invert for ease of inspection.
REIFORCEMENT~ \ I / / / ( SEEPAGEBARRIERS) The improved hydraulic efficiency of
." , ' . . . . = , :~.. .': =.'..
I/i ,, the tunnel allows easier transport of
. . Z . ' ' "" ' ' - . . a . ~ =" L = . ~ . __/[ L',,'.,'.'-."_e' ,'.',' ".'" ".':...'. rock pieces and sand. Furthermore,
much of the material derived from
kx~STEEL LINER fully unlined tunnels comes from the
invert, where erosion is concentrated.

Plugs must resist side shear and
"P'p"' ,./' .~l,'. : j.',', ," " ? . . :4 " , - ' . . . . . . :... : :., ...o...;. . .. prevent excessive seepage around the
I ..... plug. Differing design criteria are used
I I I tI by various individuals and agencies.
I] Many plugs are sized simply to be about
- DATION twice the tunnel diameter, independ-
= I ent of head and rock conditions Allow-
I able shear stresses of 3-10 kg/cm~ are
used, depending on the quality of the
Plugs should be designed such that
their lengths satisfy criteria for accept-
Figure I1. Seepage control at end of steel liner. able shear strength and hydraulic gra-
dients around the plug. These cri-
teria are similar to those used for
or due to air trapped during the by spraying cold water on the liner to establishing the length of steel lin-
concreting operations. encourage the gap to form. er. However, because the openings
Embedment Grouting--To seal the gap The last step, consolidation grouting, where high-pressure water normally
between the steel liner and concrete is done by the ring method, mov- exits are smaller, hydraulic gradients
that forms due to concrete shrinkage, ing upstream and grouting through may be greater. Special grouting and
plastic set in the rock during load- the same holes as the embedment downstream pressure relief can be
ing/unloading, and the temperature grouting. With the packer attached installed to control seepage and allow
differential between the liner and the to the steel liner, the gap, as well a reduction in length.
mass rock. as the fractured rock, is grouted a Both contact and consolidation grout-
Consolidation Grouting--To consoli- second time. It is advantageous to ing are required. Contact grouting of
date blast-damaged or relaxed rock grout to the highest pressure possible short plugs can often be done by
and to reduce leakage. Although some without buckling the liner. Pressures fanning holes from the rear end.
investigators have claimed improve- of up to 75% of buckling pressure However, for long plugs, embedded
ment of the modulus of the rock as a are advisable to prevent buckling due pipes with appropriate exit points for
result of consolidation grouting, this is to localized overloading, because the the grout, placed near the arch and
a debatable point. grouting cannot be counted on to carried to the downstream end, are
Contact grouting, the first grouting provide uniform, all-around pressure. effective for contact grouting. Con-
process performed, is required only in Such grouting not only consolidates solidation grouting is often done by
the arch of the tunnel. In tunnels less the rock, but also tends to induce a long inclined holes. However, long
than 6 m in diameter, a single line compressive stress in the concrete/steel plugs may have a hollow downstream
of grout spaced at 3-4 m normally liners. Such prestress, though desir- section, allowing access to a manway
is adequate. Stable mixes having a able, cannot be counted upon to be or hinged door. This arrangement
cement/water ratio of 1:1 (or thicker) maintained, because of rock creep. permits ring grouting to be done
by volume, with 0.5-1% bentonite, General criteria for consolidation from inside the hollow section, and
are appropriate. Modest pressures of and contact grouting of a tunnel lined improves the grouting seal. Such plugs
2-3 kg/cm 2 are adequate, although only in concrete are the same as the may have to be reinforced along the
higher pressures are not detrimental. criteria for a steel/concrete section. hollow section. Plugs of this type can
Embedment grouting of the gap easily be extended or the grout curtain
between the steel and concrete liners enhanced if excessive seepage occurs
normally is the second step. Grout Operational Aspects around the plug after watering of the
mixes must be thinner, with about Debris Traps tunnel.
2% bentonite to improve fluidity and Traps to collect soil and rock are nec- Large plugs require careful con-
penetration. Grouting should be done essary for unlined or shotcrete-lined crete control to prevent excessive heat
in rings (typically, six to eight holes per tunnels, and in areas where debris c a n of hydration and cracking. This pro-
ring), moving upslope, with forward enter from the intake or surge shaft. cedure may involve cooling, especially
holes open to allow drainage. Press- The traps should be located upstream if the schedule dictates rapid comple-
ures of up to 50% of the buckling of the concrete or steel-lined portions. tion. Although a curing period of 28
pressure are appropriate to ensure To reduce the first filling, it is advisable days is advisable prior to grouting, it
against localized loading and buckling; to pressure-wash the tunnel walls. c a n be shortened if necessary.
however, the main requirement is to Traps can be designed to remove Rings of drainage holes drilled into
ensure gap-filling. If operation water most of the unsuspended soil load; the rock at the downstream end of the
is significantly colder than the rock, the however, the hydraulic aspects must be plug are advisable to ensure stability of
liner can be cooled prior to grouting carefully studied. On the basis of pre- the tunnel.


In the absence o f general design In addition to g r o u n d w a t e r moni- References
criteria for the sizing o f plugs, the toring, m a p p i n g o f existing springs, Amstutz, E. 1970. Buckling of pressure
values listed in Table 7 are suggested. seepages and landslides should be shaft and tunnel linings. Water Power
done before watering. Changes in November 1970.
Watering/Unwatering these conditions should be noted by Bieniawski, Z. T. 1974. Geomechanics classi-
T h e initial filling o f the pressure a regular inspection p r o g r a m . fication of rock masses and its application
tunnel should be carefully controlled A survey of cracks in the concrete in tunnelling. In Proc. Third lnt. Congr. o~
to limit cracking o f the concrete liner. should be done prior to first filling. Rock Mechanics, Vol. 11A. Denver': Inter-
Such cracking is intensified d u e to national Society of Rock Mechanics.
These cracks should be m a p p e d and, Brekke, T. L. and Ripley, B. D. 1987.
the difference in pressure between if unwatering is planned, spray-painted
the g r o u n d w a t e r and tunnel water. Design guidelines for pressure tunnels
so that extensions or new cracks can be and shafts. EPRI Document RE- 1745-17.
Normally the tunnel has been o p e n identified upon unwatering. Broch, E. 1984. Unlined high pressure
for several years d u e to construction, Unwatering o f pressure tunnels tunnels in areas of complex topography.
and drainage o f the rock has occurred. should also be done carefully at a Water Pwr Dam Construction 36 (11), 21-23.
Filling the tunnel slowly allows press- rate between 2 to 10 m/hr, utilizing Deere, D. U. 1983. Unique geotechnical
ure equalization to occur, and thereby slower rates for high-head plants. problems at some hydroelectric projects.
limits d e f o r m a t i o n o f the rock and lin- G r o u n d water changes should be In Seventh Pan Am Proc., Vancouver,
ers. As r e c o m m e n d e d by Deere (1983), pp. 865-88. Canadian Geotechnical Soci-
noted as the unwatering takes place. ety.
at least two to three weeks generally Especially for very high-head projects,
should be allowed for this process; Deere, D. U., Peck, R. B., Parker, H.
significant reservoirs can be built up W., Monsees, J. F. and Schmidt, B.
however, this time period may be in the rock mass. I f drawdown is too 1900. Design of tunnel support systems.
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A filling rate o f 5 to 10 m/h normally is on the tunnel linings. D e p e n d i n g on Hendron, A..]., Fernandez, G. and Lenzini,
adequate. the strength and buckling resistance o f P. A. 1987. Design of pressure tunnels.
I f possible, monitoring water lev- the various elements, local failures can In Symposium on the Art and Sci-
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the tunnel should be d o n e immediately LamC G. 1852. Lemons sur la th~orie
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table is re-established. I f leakage accel- lining, cracking o r other distress should Lysne, D. K. 1971. Sand transport and
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hydraulic jacking or piping may be Proc. Pumped Storage Development and its
occurring. Environmental Effects, University of Wis-
Piezometers should be placed in consin, September, 1971. Milwaukee, WI:
areas where significant construction American Water Resources Association.
drainage is expected, a n d should be Acknowledgements Merritt, A. H. 1972. Geological prediction
read as filling takes place. Such piez- T h e writer thanks Dr A. Merritt, for underground excavation. In Proc.
ometers are best installed in explora- Dr L. Jory, Mr I. Pinkerton and Mr First North American Rapid Excavation and
Tunneling Conf., pp. 115-132. New York:
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water changes is known. comments. October 1986.
Singh, B., Nayak, G. C. and Kumar, R.
1988. Design recommendations for plain
Table 7. Acceptable hydraulic gradients for plug length. concrete lining in power tunnels. In Proc.
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Maximum Maximum and Power Projects, Vol. 1. New Delhi: Cen-
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moderately jointed and Stamping Co.
Walia, M. 1985. On empirical classification
Moderate to weak, 2 7 - 9 systems for support pressures estimation
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ented at Tunnelling Association of Cana-
W e a k closely jointed 1 5 - 6
da Conference, August 1985.
or sheared Wickham, G. E., Tiedemann, H. R. and
V e r y weak, possibly 0.5 3 - 4
Skinner, E. H. 1972. Support determi-
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erodible Proc. First North American Rapid Excavation
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Notes: Erodible features downstream of plug to be treated locally. New York: AIME.