Topics
Andreas Gaich
Markus Pötsch
Wulf Schubert
Digital rock mass characterization 2017 –
Where are we now? What comes next?
3GSM rolled out its first rock mass characterization system for
conventional tunnelling in 2005. It consisted of a digital camera,
as well as software components for 3D image generation and
­geologic mapping. It took several years before such a system
­became standard procedure on tunnelling sites. The same prin­
ciples were applied later to mechanised tunnelling in hard rock
using a TBM leading to its first regular application starting in
2016. This contribution provides a description of the state of the
art in digital rock mass characterization, as well as possible
­extensions that are currently available such as the use of tablet
computers for on site rock mass characterization or analytic
­(automatic) rock mass characterization. It ends with an outlook
of what may come next in the near future, e.g. the use of mixed
reality devices in the tunnel.
Digitale Gebirgscharakterisierung 2017 – Wo stehen wir jetzt?
Was kommt als nächstes? Die 3GSM brachte ihr erstes System
für die Gebirgscharakterisierung im Jahr 2005 auf den Markt.
Es bestand aus einer Digitalkamera sowie Softwarekomponenten
zur Erstellung von 3D-Bildern und geologischer Kartierung.
Es dauerte einige Jahre, bis solche Systeme zu einem Standard
auf Tunnelbaustellen wurden. Dieselben Prinzipien ­wurden spä­
ter auch bei mechanischen Vortrieben mit TBM im Hartgestein
angewendet, was 2016 zu einer ersten regelmäßigen Anwendung
führte. Dieser Beitrag bietet eine Beschreibung des gegenwärti­
gen Stands der Technik in der digitalen Gebirgscharakterisierung
sowie mögliche Erweiterungen, die derzeit bereits verfügbar sind,
z. B. die Verwendung von Tablet-Computern für die Gebirgscha­
rakterisierung vor Ort oder analytische (automa­tische) Gebirgs­
charakterisierung. Es endet mit einem Ausblick, was als nächstes
in der näheren Zukunft kommen kann, z. B. die Verwendung von
„Mixed-Reality-Brillen“ im Tunnel.
1 Introduction
The use of 3D images for digital tunnel face documenta­
tion has become standard practice on modern conven­
tional tunnelling sites [1]. It provides objective docu­
mentation and reproducible data on the visible rock
mass of the last blasted round. Software tools enable
geometric measurements and geologic mapping. Data
acquisition happens quickly and work in unsecured
­areas is omitted.
This contribution provides a description of the cur­
rent practice using 3D images in digital geologic mapping
on conventional tunnelling sites and mechanised tunnel­
© 2017 Ernst & Sohn Verlag für Architektur und technische Wissenschaften GmbH & Co. KG, Berlin · Geomechanics and Tunnelling 10 (2017), No. 5
DOI: 10.1002/geot.201700036
ling with TBM and gives some possible extensions to the
current practice. Finally there is an outlook on possible
further enhancements in the near future.
2  Current practice in digital geological mapping
2.1  Conventional tunnelling
Tunnel construction sites with conventional excavation
usually include two disadvantageous conditions for geo­
logical data acquisition: (i) the need for physical contact,
and (ii) the short time available in front of the face. 3D
images provide spatial information to digital imagery
hence making them a valuable source when rock masses
need to be assessed. 3D images are generated from at least
two conventional photographs taken from slightly differ­
ent locations. So data acquisition happens quickly on site,
e.g. in about one to two minutes.
From the photographs, dedicated software computes
a 3D image within some minutes. The 3D images are then
used to perform geologic mapping using purpose-built 3D
software that provide several possibilities for rock mass
assessment including:
– Orientation, location, size, and shape of visible disconti­
nuity surfaces (areas),
– Orientation, location, and length of fracture traces or
strata (lineaments),
– Distances, areas, volumes (e.g. of overbreak),
– Roughness profiles,
– Topographic maps highlighting the planarity of the sur­
face.
Figure 1 shows the 3D image of a tunnel face (top head­
ing) with the structural analysis as provided by the geolo­
gist on site. The available measurements can be grouped
into structure sets and displayed as overlays on top of the
3D image. The grouping of structure sets can be done
manually or algorithmically. The former is governed by
geologic reasoning whereas the latter bases on the similar­
ity of orientations and combine them automatically to
joint set clusters [2].
From the geometric measurements several rock mass
parameters are directly gained including:
– Number of joint sets (user defined or automatically de­
termined),
– Statistics on mean orientations and spread of orienta­
tions within joint sets,
561
A. Gaich/M. Pötsch/W. Schubert · Digital rock mass characterization 2017 – Where are we now? – What comes next?
Fig. 1.  3D image of a tunnel face including plot of the major
rock structures displayed as graphical overlay
– Joint spacing of projected trace maps (normal spacing
including statistics on lengths distribution),
– Spacing along user-defined scanlines (normal, apparent,
total spacing including statistics on lengths distribu­
tion),
– Joint persistence using the size of joints and bridges (un­
fractured rock between traces) including statistics on
lengths distribution,
– Assessment of joint termination,
– Graphical output of spacing and orientation measure­
ments (Figure 2),
– Visualization of the topography of the tunnel face.
Additionally, there are user-defined sections and elevation
maps available. Once the interpretation of the 3D image is
done, the resulting information is provided compactly as a
PDF report, data is available as 3D image file and human
readable text file containing the assessments (e.g. all an­
notations of the geologists).
Summarising, the application of 3D images at con­
ventional tunnelling sites includes that geometric features
of the rock mass are captured rather quickly and compre­
hensively. Characterization can be updated later whenev­
er required and revised in case of any later discussion on
the rock mass conditions.
562 Geomechanics and Tunnelling 10 (2017), No. 5
Data acquisition happens quickly, so the small time
frame for the geologists on site can be used to pay atten­
tion on other than geometric data such as rock quality,
rock types, or water ingress. Consequently, 3D images are
a supplement to conventional data acquisition rather than
a substitute.
2.2  Mechanised tunnelling
In mechanised tunnelling using a tunnel boring machine
(TBM) the cutter head obstructs free view to the face.
Even at periods without advance, such as maintenance
shifts, the cutter head itself prevents, or at least compli­
cates human observation. Some TBM provide inspection
opening through which the geologists can judge the rock
mass conditions.
In order to improve, cameras that acquire digital im­
agery from the tunnel face are installed in some openings
in the cutter head. Such attempts are reported from Kaji-
ma 1999 [3], 3GSM 2005 [4], or Henzinger in 2013 [5] The
increasing possibilities of photogrammetry extended the
original approaches to gather 3D information [6], [7], [8].
3GSM provided the first functional TBM imaging
and processing system in 2016 with a wide field test at
Koralmtunnel KAT2. The system has been applied in a
daily manner and lessons learned from that led to several
improvements on hard- and software. It is installed into
already existing inspection openings and works autono­
mously. The pilot test resulted in several improvements.
Figure 3 shows the redesigned TBM camera in its current
shape as it is in use at several TBM sites such as Koralm­
tunnel (Austria), Bözbergtunnel (Switzerland), or the Fol­
lo Line project (Norway). It consists of an autonomous
light system, a small rugged outdoor camera, and batter­
ies, all in a protected water resistant housing. The camera
is controlled from the back side over a smartphone run­
ning a dedicated app.
The camera is installed into inspection openings dur­
ing maintenance shift. While turning the cutter head a
digital video captures the rock surface. After a full 360
degree sweep a circular part is acquired (see Figure 7).
The field of view of such ring depends on the distance be­
tween camera and rock surface. A typical camera installa­
tion covers rings between 60 and 190 cm width.
Fig. 2.  Stereonet of a tunnel face
­assessment (left); joint spacing analy-
sis of a projected trace map (right)
 A. Gaich/M. Pötsch/W. Schubert · Digital rock mass characterization 2017 – Where are we now? – What comes next?
Fig. 3.  TBM camera for the installation in inspection open-
ings. Front side with LED lamps and protected camera (left)
as well as back side with smartphone that controls the cam-
era and stores the data and quick release (orange handle)
for easy mounting
Fig. 4.  3D image composed from several camera mountings
that allows for geological assessments. The mapping of rele-
vant geological structures is supported by the realistic repre-
sentation from the 3D image
If a single 3D ring is not sufficient the coverage of the
3D image can be enlarged in two ways: (i) by increasing
the distance between camera and surface, i.e. retracting
the cutter head or (ii) by several camera installations at
different perimeters. Figure 4 shows an example where a
single camera has been installed several times. Note that
there is no missing data between the single rings that ap­
pear slightly darker at the edges due the light conditions.
In addition to the video, the smartphone records the
orientation of the camera during data acquisition using
the built-in accelerometers. Together with the known in­
stallation location (radius from the cutter head’s rotation
axis to the place of installation in the cutter head) and a
spatial description of the tunnel axis, the 3D image is cor­
rectly scaled, oriented and registered to the tunnel.
After this automatic procedure the resulting 3D im­
age is interpreted and analysed with the very same tools
for geologic mapping as they are utilised in conventional
tunnelling. In addition there are possibilities to quantify
the planarity of the face and the amount of overbreak.
Overbreak is described (i) by the measurement of single
detachments from the face or (ii) by analysis of the entire
area that is captured by the 3D image. Profiles reveal the
depth of single detachments and the assessment software
provides their volume. The planarity of the entire area is
highlighted by topographic maps (Figure 5 left) and quan­
tified using a cut-off plane that is defined in parallel to the
ideal tunnel face. Then a user defined cut-off limit is used
to subdivide the 3D image and determine all parts that
show more overbreak than the user specified cut-off limit
(Figure 5 right).
If the reconstruction of the face is done in a dense
way (e.g. 3D point spacing in the sub-millimetre range)
then profiles can reveal even the kerfs of the cutters (Fig­
ure 6).
3  Current possibilities beyond current practice
3.1  On site analysis using tablet computers
Digital mapping as described above happens off site on
the computer. Other geologic investigation is still required
to complete the tunnel face documentation with rock
types, water, and other non-geometric phenomena. Very
often such other parameters are documented by hand
sketches and the rating of the geologists during their allot­
Fig. 5.  Topographic maps highlight the
planarity of the tunnel face (left). Pla-
narity is quantified by subdividing the
colouring according to a user-defined
cut-off limit. Here it is 10 cm leading
to an area of overbreak of 5.5 m2 or
14.3% of the entire area (right)
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A. Gaich/M. Pötsch/W. Schubert · Digital rock mass characterization 2017 – Where are we now? – What comes next?
Fig. 6.  Section of a 3D ring with three profile measurements
(top); Profile of a single track depicting the kerf of a cutter
at a certain location (bottom); axes labels in metres
Fig. 7.  Structure map of a tunnel face drawn on a photo us-
ing a tablet computer device. Photo taken with a calibrated
camera and wirelessly transferred to the tablet computer.
ted time in front of the tunnel face. Tablet computers used
during the geologic mapping on site can overcome the
situation of having digital and analogue mapping methods
concurrently.
The on-site process includes photo taking, photo
transfer, 2D assessment, and 3D transformation. The
same photos that are taken for the digital documentation
as described in section 2.1 are used. They are instantly and
automatically transferred onto the tablet computer via lo­
cal ad-hoc WIFI connection. The photos are displayed
and assessed with the mapping software. Instead of
sketching a piece of paper the photo is the “background”
for sketching the face with a stylus. This way, a 2D struc­
ture map is generated (Figure 7). Later, when the photos
are upgraded to 3D images, the 2D structure map is also
brought into 3D (Figure 8), i.e. the same spatial (orienta­
tion) information is available as for structures that are
mapped directly onto the 3D image.
The digital drawing can replace analogue sketching
completely and has the following characteristics com­
pared to analogue drawing:
564 Geomechanics and Tunnelling 10 (2017), No. 5
Fig. 8.  3D structure map as result of 2D mapping and auto-
matic grouping into structure sets based on orientations.
– All annotations are in correct scale and relationship,
– No digitization of analogue sketches is required (e.g. for
bringing on site information into any higher information
system on the tunnel).
Tablet computers and purpose-built software streamline
the mapping process, increase the level of digitalisation
and thus increase the efficiency and traceability of geo­
logic mapping and modelling.
3.2  Automatic rock mass characterization
Automatic rock mass characterization refers to the deter­
mination of geometric rock mass parameters (such as pa­
rameters on the discontinuity system) based on the algo­
rithmic analysis of the 3D image surface (geometry) and
texture (image processing).
3.2.1  Planar features
3D images include a detailed description of the surface
geometry. Daylighting discontinuities may appear as pla­
nar features on the rock surface (e.g. in a blocky rock
mass). It is rather obvious to search for such planar re­
gions in order to identify joint sets thereof. A number of
investigations exist on the topic [9] [10]. An area annota­
tion is assigned to each planar patch and related to a dis­
continuity (Figure 9). Depending on the type of rock mass
this results in a good and fast initial estimate of the cur­
rent discontinuity system. Nevertheless, since planarity
alone is not a sufficient criterion for identifying disconti­
nuities, geologic judgement of the result by the geologist is
still unavoidable.
3.2.2  Linear features
Besides planar feature detection also the linear features
need to be identified when looking for a complete acqui­
sition of the geometric rock mass conditions. The auto­
matic detection of linear features bases on the analysis of
photographs (image processing). 2D approaches have
been described widely, among others by [11], [12], [13].
The crucial part is that presented algorithms tend to find
a certain setting of parameters that may need to be adapt­
 A. Gaich/M. Pötsch/W. Schubert · Digital rock mass characterization 2017 – Where are we now? – What comes next?
Fig. 10.  Tunnel face with some detected linear features that
serve as basis for additional downstream analysis (Source:
A. Buyer, TU Graz)
ed when the rock mass conditions change. So the mecha­
nisms work differently well at different rock mass condi­
tions.
Another issue relates to the fact that relevant features
sometimes appear less prominent making analytic analy­
sis even more challenging. Figure 10 showcases an inter­
mediate result of a new trace detection algorithm that is
currently investigated at TU Graz.
4  Upcoming developments
This chapter provides some technical improvements that
may find its way into the daily use on tunnel construction
sites. A likely anticipation is that 3D models are available
instantly on site so they can support rock mass characteri­
zation directly and also provide immediate suggestions
about certain rock mass conditions (e.g. the presence of
movable blocks) as far as they are determinable from con­
tact free acquired data. In order to do so, two mechanisms
are described in the following sections.
4.1 Videogrammetry
The application of videos for 3D imaging during TBM tun­
nelling requires the simultaneous processing of large sets
of photos into a single consistent 3D model. The algo­
rithms behind utilise the so-called Structure from Motion
technique [14] and enable such complex computations in
reasonable time. The same processing steps are applicable
to videos that are taken free-hand. An experimental unit
consisting of a small rugged outdoor video camera, LED
lamps and a pair of laser pointers at known distance is
used to capture the shotcreted sidewall and crown of a
tunnel. The imaging system is applied handheld.
Fig. 9.  Automatically determined joint
surfaces and their spread in the
­stereonet
Enhanced algorithms pull out a proper amount of in­
dividual images from the movie based on the analysis of
the motion speed. Once such set of images has been ex­
tracted, the 3D image is generated as in a standard case.
Scale is provided by the laser dots or by using ground
control points with known co-ordinates. All existing tools
for interpreting and analysing the 3D image as described
before are re-usable once a 3D image has been generated.
4.2  The use of mixed reality devices
Mixed reality is the merging of real and virtual worlds. It is
used to produce new environments where artificial con­
tents can be watched in the context of the real surround­
ing. The participants wear specialized glasses that display
computer generated content (a holographic projection)
providing an immersive impression. Already addressed
industries with the technology include: games, education,
medicine, design, or manufacturing. The company Robot­
ic Eyes for example provides the representation of planned
housings in their real environment [15]. Navigated via
smartphone app the guidance through a virtual house be­
comes straightforward.
The application of such technology to rock mass
characterization would allow displaying results from auto­
matic rock mass characterization onto the rock surfaces
directly at the face. Even several persons can wear mixed
reality devices and share their common impressions on
site. Other status information available on the tunnel (e.g.
recent displacement monitoring data, information on
built-in components, possibly hazardous rock blocks, or
results from former analyses) are possible contents to be
displayed.
5 Conclusions
Digital rock mass characterization and in particular digi­
tal geologic mapping is now standard procedure on many
conventional tunnelling sites. The possibility to map struc­
tures that are normally unreachable and the quick data
acquisition on site deliver more comprehensive and better
reproducible results. Owners usually see the complete
documentation of the rock mass as the most important
value of such campaign whereas contractors may profit
from the better knowledge of the actual ground condi­
tions.
The use of digital imagery and 3D models is at the
beginning in mechanised tunnelling in hard rock using a
TBM. But available solutions already lead to a regular ap­
plication on TBM tunnelling sites such as Koralmtunnel,
Geomechanics and Tunnelling 10 (2017), No. 5 565
A. Gaich/M. Pötsch/W. Schubert · Digital rock mass characterization 2017 – Where are we now? – What comes next?

Bözbergtunnel, Brenner Base Tunnel (alternative camera
but same software), or the Follo Line Project in Norway.
The use of tablet computers in front of the face is a
logical next step in further applying such technology lead­
ing to better characterization that is instantly available on
site and reduces the time needs in later fine-tuned assess­
ments off site.
Possible next steps include the application of video­
grammetry to the data acquisition process as it ensures a
complete coverage of all parts of interest.
A future application might be the use of mixed reality
devices that enable to add measurements and assessment
results directly to the real environment producing an im­
mersive impression of the actual rock mass conditions.
All this technology will not replace the geologists on
site but rather give them tools into hands that makes their
work more valuable and results more comprehensive and
available quicker.
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