EARTH SHELTER & ARCHITECTURE _

Figure 1. The Nathan Marsh Pusey Library at Harvard University in Cambridge, Massachusetts, exemplifies an unobtrusive design
approach in an historical setting. (Photo courtesy of Hugh Stubbins and Associates, architects)

Design Considerations for

Underground Buildings
John Carmody
Ray Sterling
University of Minnesota

his article discusses some design chological, and physiological require- !ems inherent in underground build-

T concerns unique to under-

ground buildings or deserving
of special attention when applied to a
below-grade design. As with any build-
ing, a wide range of functional, psy-
John Carmody is an architect and Associate
Program Director of the Underground Space
Center at the University of Minnesota, Twin
Cities. Dr. Raymond Sterling is Director of
the Center.
ments must be resolved in an
aesthetically successful manner in an
underground structure.
The article is divided into two major
parts. In the first part some key prob-
This article is ·a revised version of material
first published in Underground Building De-
sign (New York: Van Nostrand Reinhold,
1983, All Rights Reserved) and is reprinted
here with permission.
ing design are identified. These in-
clude the functional concerns of
building recognition and orientation as
well as psychological and physiological
problems associated mainly with win-
dowless environmen ts. Also discussed
in this part is the impact of building
use on these problems. The second part
of the article presents typical design
responses to these problems and fo-
cuses on the exterior image of an un-

352 Underground Space, Vol. 8, pp. 352-362, 1 984. 0362-0565/84 $3.00 + .00
Printed in the U.S.A. A ll ri ghts reserved. Copyright © Pergamon Press Ltd.
derground building, entrance design ,
providing light and view, and interior
design.
Key Problems in Underground
Building Design
Building Recognition and Image
As in conventional buildings, the ex-
terior form and character of under-
ground structures are critical to their
image and their acceptance by the pub-
lic. But, unlike with conventional struc-
tures, some potentially negative psy-
chological reactions to subsurface space
must be considered in exterior design,
and practical problems of recognition
and spatial orientation must be ad -
dressed.
Underground structures offer op-
portunities to create exterior forms that
are difficult, if not impossible, to attain
in conventional buildings. For exam-
ple, although above-grade structures
can be designed to be sympathetic with
and reflective of natural forms, they
have a physical presence on the land-
scape that creates a clear distinction be-
tween the man-made and natural en-
vironments. Placing a building partially
or completely below the surface can
obscure the mass and the edges of the
building, enabling almost complete in-
tegration of built and natural forms.
Not only can this create a more natural
image, but it also can provide oppor-
tunities to place relatively large struc-
tures in sensitiv.e settings without de-
stroying the scale, the open space, or
the character of the area.
Underground buildings can be de-
signed in a wide range· of forms, in
which the degree of visibility and the
character of the building vary greatly.
Although creating an unobtrusive, even
imperceptible, structure has its advan-
tages (for buildings such as interpre-
tive centers, for example), this ap-
proach may be inappropriate or
undesirable for buildings such as those
which depend on public recognition for
their business.
One important area of concern re-
lated to the exterior design of an un-
derground building is the need for a
clear understanding of the building size,
location, and entry. Most conventional
buildings have definite edges, a per-
ceivable mass, and a clea r entry, so that
they can be easily recognized as an ob-
ject and described as a specific place.
An underground building may not
provide these visual clues, especially if
it is completely below grade with little
exposure to the surface. This means
that the exterior form and character of
a subsurface structure must take into
account the special problems of ori-
entation and recognition of building
Volume 8, Number 5-6, 1984
and entry.
For example, in a built- up area, a
structure located under a plaza that is
completely surrounded by buildings will
likely be easy to describe and locate,
since the adjacent buildings define the
location clearly. On a more open site
with fewer clear boundaries, however,
the space above and around the un-
derground structure must be carefully
designed to reflect a sense of place and
indicate clearly the entrance to the
building.
Exterior space around conventional
buildings, when properly designed, can
provide orientation, define circulation
to the entrance of the building, and
serve to discourage vandalism and
crime. This is also the case with un-
derground buildings. For a completely
underground building, these aims are
usually best accomplished by the use of
grade changes, paving patterns, trees,
shrubs, and variations in ground cover,
along with retaining walls and other
building elements.
Just as it is on the exterior, orien-
tation may be impaired inside a mostly
windowless building. Visual cues nor-
mally provided by exterior views and
an awareness of the overall size and
shape of the building may not be pres-
ent. This disorientation may not only
present problems in circulating con-
veniently within the building; it may
also contribute to uneasiness and rein-
force other negative associations with
being underground.
An important facet of the practical
problem of building recognition on the
exterior is the more subjective, aes-
thetic concern of conveying an image
with the building's appearance. Al-
though entry, lighting, and interior de-
sign contribute to the image that a
building projects, the exterior form is
one of the most important elements.
Because the exterior profile of an un-
derground building is certain to be
smaller and generally less obtrusive than
a comparably -sized above-ground
structure, a less visible and less mon-
umental image will be projected. For
some functions- auditoriums,
librar- ies, museums, parking
garages, and factories- this may be
an advantage, since a minimal
presence on the site is often desirable.
Other functions, how- ever, may
require visibility to the public or may
need to serve as a symbol.
Although there are instances where
an underground design is simply not
an effective means of achieving a highly
visible or monumental form , a positive
image can still be created in most cases
without relying on a large building mass.
Partial exposure of the building, berms,
and extensive landscaping can be de-
signed to create forms on the site that
will draw attention because they are at-
tractive and provide a contrast with
more conventional buildings.
Negative Psychological Effects
Underground build i ngs display a
wide spectrum of physical character-
istics and functional uses. In addition,
the physiological and psychological re-
sponses of individuals to the environ-
ment can be radically different. The
combination of these factors makes
generalizations about underground
buildings in relation to psychological
effects oflimited applicability. It is pos-
sible, however, to list criteria and con-
siderations that are potentially appli-
cable to an underground building and
to discuss how these factors have been
assessed by various investigators of the
psychological and physiological re-
sponses to artificial environments.
One major concern related to un-
derground buildings is sensory depri-
vation. Individuals are stimulated by,
and many bodily functions are affected
by, interaction with the surrounding
environment. In addition to physiolog-
ical effects (discussed below), psycho-
logical problems can arise from the re-
duction of external stimuli to an
individual (Paulus 1976). This reduc-
tion of stimuli would occur most sig-
nificantly in small, enclosed spaces with
little interpersonal contact and no con-
tact with the external environment. It
should be noted, however, that a re-
duction of external stimuli is not always
negative; it can provide a more pro-
ductive work environment and reduce
stress in otherwise chaotic surround-
ings.
Another area of psychological re-
search which pertains to underground
building design is a person's sense of
interaction with his environment. It
has been theorized that the three pri-
mary emotional responses to the en-
vironment are pleasure, arousal, a nd
dominance (Mehrabian and Russell
1974). Pleasure is self-explanator y .
Arousal refers to the presence or ab-
sence of stimuli discussed above, and
dominance relates to feelings of con-
trol or influence over the environmen t.
A lowered arousal level is to be a n-
ticipated in enclosed spaces, but the ef-
fect on feelings of dominance is not as
clear. It has been suggested that, be-
cause of the practical and environme n-
tal advantages of an undergroun d
building, users may feel they are "bemg
exposed to successful attempts to cop
with the demands of the environme n t
(Paulus 1976). It has been found by
others, however, that practical featu res
of a building are not important c nte na
UNDERGROUND SPACE 353
 in evaluating user response to working
in the space (Hollon and Kendall 1980).
Nevertheless, for an individual
choosing to build a certain type of un-
derground structure , say a n earth-
sheltered house, for energy conserva-
tion and environmental reasons, these
criteria are often very importa nt and
would be expected to create positive
feelings about the environment. A poor
response to the environment of an un-
derground building has been lin ked to
anxiety, tension, depression, and other
mental health problems, although other
studies have indicated no measurable
differences in achievement , health
problems, or absenteeism (Collins 1975,
Hollister 1968, Lutz 1976).
Only a few studies have directly ad-
d ressed the case of below-grade spaces
for working or living environments, and
often conflicting data have been gath-
ered. Assessments of the distinct phys-
ical characteristics of an undergrou nd
space are extremely difficult to sepa-
rate from other general physical char-
acteristics of the space and the inter-
personal environment. In spite of the
lack of definitive data, however, the
major issues are fairly clear and re-
peatedly emerge in all studies of un-
derground and windowless spaces.
There follows below a list of conditions
that are associated with producing neg-
ative psychological effects in under-
ground buildings. Most of the infor-
mation also pertains to windowless
buildings or interior zones inside con-
ventional buildings.
Lack of natural light. The lack of nat-
ural light is one of the most often men-
tioned negative characteristics of un-
derground space. Access to natural light
is important to users of a building even
if the proportion of daylight to artifi-
cial lighting for work tasks is relatively
low. The feeling produced by daylight,
its variability, and the sense of contact
with the outside world are important
reasons for its desirability. It has been
theorized that horizontal accessibility
to daylight provides a closer reference
to conventional buildings and is there-
fore preferable to day lighting from
overhead sources (Bennett 1978). In
contrast, however, a research study
conducted with groups of students
viewing slides of building interiors con-
cluded that spaces with skylights over-
head were most often selected as the
most desirably lit (Hollon and Kendall
1980).
Another important positive psycho-
logical association of natural lighting is
that sunlight connotes warmth. Direct
sunlight is not always welcomed by
building users, however. Sunlight can
cause excessively uncomfortable con-
ditions in a warm building interior, as
Figure 2. Earth berms, arched forms, and native landscape materials create a distinctive
natural image for the Wildwood School in Aspen, Colorado. (Photo courtesy of David Gibson,
architect)
well as personal discomfort to a person
who must work in the full sunlight. Ex-
cessi ve brightness, glare , and large
brightness-to-darkness ratios in build-
ings not completely illuminated by sun-
light are other problems (Boyer 1980).
Lack of exterior view. The lack of ex-
terior view from an underground space
is another reason for dissatisfaction with
this type of building. In addition to
providing natural light and sunlight,
windows provide a direct view for ob-
serving weather conditions, creating a
sense of contact with the environment,
and giving visual relief from immedi-
ate surroundings (Collins 1975).
Different studies have indicated dif-
ferent relative importances for natural
light and view (Longmore and Ne'e-
man 1974). People in work environ-
ments are more likely to favor a view
over direct sunlight, especially if no so-
lar shading is provided and if they are
not free to relocate themselves out of
the sun when desired. Occupants of
high-density residential developments
are more likely to cite the availability
of sunlight in the home as more im-
portant than a good view (Bitter and
van Ierland 1967).
Underground location. The location of
a building below grade does not pre-
clude providing the above amenities of
natural light and view to the interior
of the building. There are, however,
psychological barriers to the physical
location of a space below grade, even
if it has identical physical amenities to
an interior space m a conventional
building.
Some individuals may experience
claustrophobia or fears related to safety
that result in negative reactions to un-
derground spaces. It is difficult to ex-
plain the negative association some
people have with the concept of being
underground - even when
interior conditions are identical to
those in an aboveground space. In
addition to fears related to safety
concerns, there may be a generally
negative association with death and
burial related to under- ground
space. It is generally assumed ,
however, that these attitudes are more
closely related to a fear of structural
collapse, fear of being trapped in a fire
in a windowless building, or fear of
flooding in a fully below-grade space.
Fears for personal safety need not be
related to the actual risk experienced,
but merely to the perceived risk.
These negative reactions tend to
heighten awareness of and exaggerate
objects to other physical characteristics
of the space that might go unnoticed
in a conventional building. For exam-
ple, small interior spaces, low ceilings,
or entry down a narrow, dark stairway
may increase these negative associa-
tions with being underground.
Undesirable internal conditions. Users
of underground or windowless build-
ings frequently complain of poor tem-
perature and humidity control, and a
lack of ventilation and stuffiness (Col-
lins 197 5) . Generally, none of the

354 UNDERGROUND SPACE

Volume 8, Number 5-6, 1984
problems should be any different for
a below-grade or windowless building
than they are for a sealed, climate-con-
trolled conventional building. In fact,
temperature and humidity should be
easier to control than in an above-
ground building. Thus, in addition to
the actual ventilation air change rate
provided, perception of ventilation by
occupants is important (Wunderlich
1978). If awareness of the superior in-
ternal environmental control of an un-
derground building is clearly apparent
to the occupants, some offsetting pos-
itive attitudes may develop.
Negative Physiological Effects
The physiological effects discussed
in this section are those caused directly
by the environment of an under-
ground or windowless structure, and
not indirect ailments or reactions caused
by psychological stress. The following
is a list of conditions that are associated
Figure 3. Because it is set into a sloping site, the National Art Education Center in Reston, Virginia, has the image of a conventional
building when viewed from the south, even though it is below grade. (Photo courtesy of the Benham Group)
Volume 8, Number 5-6, 1984
with producing negative physiological
effects in underground buildings.
Lack of natural light. Lighting is prob-
ably the most important physiological
criterion to be considered in designing
underground or windowless struc-
tures. The human body has a direct
response to certain spectra of light, in-
cluding those outside the visible spec-
trum. For instance, ultraviolet light is
known to be important in vitamin D
absorption, which is necessary to pre-
vent disease, aid suntanning, and fight
bacteria. In animals, the lighting level
and its spectral composition have been
shown to be important in reproduc-
tion, behavior, and physical disposi-
tion. Lighting also triggers a neuroen-
docrine function and affects the
metabolic state (Wurtman 1968, Ott
1973).
Although much research has been
done on the presence or absence of
light, little has been done on lighting
levels and spectral compositiOn.
Alarming effects of certain light sources
have been demonstrated, however, in
laboratory animals (Ott 1965). It should
be noted that effects are quite differ-
ent for different animal species.
Ultraviolet light is also not transmit-
ted by normal window glass; hence, lack
of ultraviolet light is common even to
buildings with windows. When it is nec-
essary to rely on artificial lighting en-
tirely, it is most desirable to replicate
the spectral composition of daylight as
closely as possible.
Lack of fresh air and indoor air pollu-
tion. The underground location of a
building with only limited opportuni-
ties for window openings often pre-
cludes the use of natural ventilation.
Adequate ventilation is important to
prevent the buildup of indoor air pol-
lu tant and to remove excess heat from
an occupied underground space.
Low air change rates make ventila-
I
1
1
il 0
11
m1
1
UNDERGROUND SPACE 355 1
 tion especially important in under-
ground structures. A pollutant of par-
ticular concern is radon. Radon is a
radioactive gas released in minute
quantities by soil and rock materials,
including such materials used in build-
ing construction as concrete and build-
ing stone. Radon is also absorbed by
ground water and then released at a
free ground water surface. Normal
ventilation rates (in excess of 0.5 air
changes per hour) are believed to keep
radon levels to below permissible stan-
dards. This is an active area of re-
search, and more specific data and
guidelines should be produced over the
next few years. In addition, it is desir-
able to prevent the passage of ground
water or water vapor from the sur-
rounding ground to within the build-
ing envelope, since this water can be a
significant source of radon (May 1981).
High humidity. Unless controlled,
summertime humidity levels will be
higher in underground structures than
in above-ground structures, as humid
outside air is cooled by the earth-cov-
ered walls. Humid or damp conditions
have not been linked directly with
physiological problems, although they
may exacerbate certain ailments such
as rheumatism. Damp conditions may
also encourage the growth of mold and
thus increase the potential for allergic
reactions.
Excessive noise or lack of noise. Noisy
building types such as factories can be
placed underground to isolate them
from the surface environment. Al-
though this offers benefits to those
above grade, it may create excessive
noise levels within the space which have
well-known effects on hearing impair-
ment. On the other hand, under -
ground spaces can be totally isolated
from external sources of noise, creat-
ing a silent environment. In some cases,
however, such total silence may be un-
nerving and may diminish acoustical
privacy within the space.
Impact of Building Use on Problems
Before concluding which effects are
most critical and suggesting design ap-
proaches to ameliorate them, it is use-
ful to review the various factors related
to building use that influence either the
psychological or physiological effects.
These factors, listed below, can serve
to diminish the potentially negative ef-
fects and help to alleviate building user
concerns.
Activity within a building. Internal ac-
tivity within a building that can offset
the lack of external stimuli will nor-
mally be beneficial in a work environ-
ment, provided it is not too intrusive
in terms of noise or distraction. Al-
though internal stimuli may help to a!-
356 UNDERGROUND SPACE
leviate the negative psychological ef-
fects produced by no natural light and
exterior view, it has no impact on the
physiological effects of a windowless
environment.
Occupancy patterns. An individual's
reaction to an underground or win-
dowless environment may be substan-
tially affected by the length of time he
or she expects to spend in that envi-
ronment. Underground facilities used
primarily for short-term activities, such
as indoor sports facilities, restaurants,
libraries, and shopping centers, will thus
normally raise fewer objections than an
underground office. Not only are neg-
ative psychological reactions less of a
concern when occupants are in under-
ground spaces for shorter time pe-
riods, but negative physiological ef-
fects are less critical as well.
Need for underground location. Em-
ployees of underground or windowless
facilities appear to be more accepting
of their environment if they perceive
a rational basis for the location or de-
sign of the facility. In other words, since
windows are detrimental to the oper-
ation of many sports facilities, mu-
seums, restaurants, and shops, em-
ployees and visitors do not focus on the
lack of windows as a drawback. Simi-
larly, windowless laboratory and man-
ufacturing environments provoke less
criticism than windowless office build-
ings. Although this perception of win-
dowless environments as appropriate
for some functions can reduce some
psychological effects, it has no impact
on negative physiological effects.
job satisfaction./ Employees who are
more involved in their work and derive
considerable satisfaction from it may
be more tolerant of windowless space
than employees who work at repetitive
tasks. The extent to which this can ac-
tually offset the various negative psy-
chological effects is likely to vary con-
siderably from individual to individual.
Design Responses to Problems
The various problems of orienta-
tion, image, psychological and phys-
iological concerns discussed in the pre-
vious section focus on a few key elements
of building design. These are the def-
inition of an exterior image, the en-
trance design, providing natural light
and view, and interior design. Ap-
proaches that have successfully re-
solved these areas of design are pre-
sented in this section.
Defining an Exterior Image
Beginning with the least visible de-
sign approach, an underground build-
ing can have virtually no exterior form
at all. Such a windowless chamber would
be suitable only for certain functions,
such as auditoriums, classrooms, lab-
oratories, or various s rvice and stor-
age spaces. The nonexistent form that
results from the lack of visible building
mass or edges can be reinforced by not
using built forms for entrances, service
access, or mechanical systems. Elimi-
nation of these forms is usually possible
only when the underground building
is connected to the below-grade levels
of an existing above-grade structure,
so that access can occur through the
above-grade building.
If connecting an underground
building to an existing complex of
buildings is inappropriate, it is still pos-
sible to create a building with limited
or minimal exposure. A structure can
be placed completely below grade, with
only entrances, skylights, and court-
yards exposed to the surface. Although
a building beneath the surface is evi-
dent, the character of a "non-building"
can still be achieved. An example of
such a design is the Pusey Library at
Harvard University (Fig. 1 at head of
article). Although the library is simple
and unobtrusive in its historical setting,
building edges are clearly defined by a
narrow recessed courtyard along most
of the building perimeter. A larger
sunken court at a major circulation
crossing provides a clear entrance.
A different approach to the exterior
form of an underground structure is
to place the building above grade with
earth bermed around it. Rather than
being as unobtrusive as possible, the
berms represent an additional object
on the landscape. This can provide a
distinct image and can define building
edges and exterior space. Entry into a
bermed building can be more easily
achieved than entry into a completely
subgrade structure. Plant materials, re-
taining walls, building materials, and
other landscaping elements may sig-
nificantly influence the image and
character of the building. The use of
native plants, wood, stone, and berms
that appear to be elements of the sur-
rounding landscape can produce a nat-
ural image, as demonstrated by the
Wildwood School in Aspen, Colorado
(Fig. 2).
Many of the inherent problems of
entry, service access, and image are
greatly reduced or eliminated if above-
grade space is combined with below-
grade space in one building. Even if
the amount of space above grade con-
stitutes a small percentage of the total
building, a definite built form appears
above grade. The use of an above-grade
portion of the structure to resolve ac-
cess and image problems is certainly
appropriate in many settings, although
some of the benefits of underground
Volume 8, Number 5-6, 1984
buildings-preservation of the surface
and integration with the natural envi-
ronment, for example-may be com-
promised. An example of building small
above-grade forms combined with
larger subsurface spaces is Williamson
Hall at the University of Minnesota (see
Underground Space 1:4, pp. 325 ff.).
4a. On a sloping site, an underground structure can be entered without descending outside
A site with sufficient slope provides
or inside the building.
design opportunities not available on a
flat site. An underground building set
into a hillside is clearly exposed on one
side while completely underground on
the other. This results in a recognizable
building form on the exposed site,
where entry and service access can oc-
cur; on the uphill side, the site is not
I
interrupted by any substantial grade I
changes or built forms. The National
Art Education Center in Reston, Virgin-
4b. A bermed structure on a flat site can be entered at grade in a manner similar to an
above-grade building, although the building appearance may be unconventional. I
ia, exemplifies this approach (Fig. 3). I
Entrance Design
In the section above on the exterior
form and character of underground
buildings, the entrance was discussed
as a key element of the exterior image.
I
In terms of the entire site, recognition I
of and orientation toward the entry is 1
an important concern. The focus of this
discussion is the relation between the 4c. A small above-grade form can provide the visual image and serve as the entrance for 1
manner in which underground builq- an underground building. 1
ings are entered and psychological per-
ceptions.
The degree to which a pedestrian
entry is important as a design element
is, of course, related to the function of
the building. In an underground ware-
house, the entrance for a few workers 1
is not as important. as the functional
needs of delivering-and storing goods.
The entrance design is of greater con- 1
cern in an underground office or fac- 4d. A completely below-grade structure on a flat site can be entered by first descending 1
tory where larger numbers of people into a courtyard outside the building. 1
are employed. And, compared to fa-
cilities where people enter and leave Figure 4. Entering an underground building can be done in several ways depending on 1
once a day, a public building such as a the site and exterior image desired by the designer.
library, museum, or auditorium with
many comings and goings requires even
greater attention to entry design.
Viewed from the exterior, the en- techniques are used. The most com- structures can be entered on grade,
lI
trance may be the dominant image of mon technique attempts to create an similarly to a conventional building-1
a building that is mostly below grade. entrance that is similar to the entrance for example, on a sloping site (Fig. 4a). 1
It serves as the transition from the ex- of a conventional building. It is most A similar type of entry without descent
terior to the interior. As such, it can desirable to design this entrance at is possible in a bermed structure on a 1
reinforce negative associations with ground level to avoid the requirement flat site (Fig. 4b). When a portion of a I
underground buildings. The entry area for descending a great number of stairs building is exposed above grade, a con- 1
in any building should be a key ele- either immediately outside or inside the ventional entrance can occur in the 1
ment in orienting and directing people entrance. (Descending seems to have above-grade mass (Fig. 4c). In this last
to the spaces inside, and particularly so negative associations, while ascending case the interior spaces must be care- l
in an underground building. In addi- is more positive. Historically, for ex- fully designed to offset negative feel- 1
tion, the entry often serves as a major ample, large public buildings were de- ings associated with descent inside the
area for admitting natural light and ex- signed with a large exterior staircase building.
terior view to a subsurface structure, leading to a main entrance on the sec- In many instances underground
since it may be one of the few points ond level of the building.) structures are additions to existing
of exposure to the surface. In an underground building it is above-grade buildings. Thus, some of
In order to minimize the negative usually not possible to ascend to the the entry design problems are over-
feelings associated with entering an main entrance. Under a number of cir- come because the mai n entrance oc-
underground building, several basic cumstances, however , subsurface curs through the conventional build -

Volume 8, Number 5-6, 1984 UNDERGROUND SPACE 357

ing. It is important, however, to consider specific function. In a building com- by creating courtyards. If a courtyard
the design of the connection between posed mainly of small, continuously oc- must be deeper to serve several floors,
an above- and below-grade building. cupied spaces, such as private offices it must also be larger in area in order
In the underground addition to the Uris or hospital patient rooms, the entire to permit sunlight to reach the floor of
Library at Cornell University, the stair- form of the structure may be shaped the courtyard and create the percep-
way connecting the two buildings is en- by the need for natural light and view. tion oflooking outdoors. The view into
closed in glass, transforming a poten- In buildings with functions that are an exterior courtyard is usually more
tially negative descent into an unusual suitable in windowless spaces-class- focused and limited than a view through
spatial experience with a panoramic rooms, auditoriums, and exhibition the building perimeter, making the
view of the valley below (Fig. 5). spaces, for example-it may be nec- landscape design of the courtyard a
In some cases-a fully below-grade essary or desirable to provide natural critical concern.
building on a flat site, for example- light and exterior view only to corri- On flat sites, the use of skylights is a
none of the opportunities discussed dors and lobby areas, thus giving the common technique for introducing
above for a conventional entry are designer greater flexibility. natural light to at least the upper level
available. To maintain the low profile Although designers employ many of an underground structure. In many
of the building while creating an ac- variations and combinations of tech- cases horizontally glazed skylights ac-
ceptable entrance, a sunken courtyard niques, there are only a few basic ap- tually provide more natural light than
can be used so that one descends out- proaches to providing natural light and a vertically glazed window, but the same
side the building and enters horizon- exterior view to below-grade spaces. opportunities for exterior views are, of
tally at the upper level of the building Aside from the functional needs of the course, not available. Consequently,
(Fig. 4d). This approach maintains spaces, the techniques selected for in- skylights alone may not be considered
many of the features of a conventional troducing natural light and view to a an adequate substitute for conven-
entrance; negative associations can be particular building are influenced by tional windows. Some designers used
partially offset, since the descent oc- the site topography as well as the size sloped glazing in courtyards or light
curs more gradually in a spacious out- and depth of the structure. wells; this glazing provides natural light
door area. An example of this ap- On a sloping site, conventional ver- from overhead while permitting exte-
proach is the spiral-shaped courtyard tical glazing can be used for the spaces rior views from some angles. This type
leading to the main entrance of the Civil on one side of the building. This ap- of glazing is used effectively in Wil-
and Mineral Engineering Building at proach by itself is capable of providing liamson Hall at the University of Min-
the University of Minnesota (see Un- light and view only to the spaces on the nesota (Fig. 6).
derground Space 8:2, Feature Section). building perimeter. If earth berms are An alternative to creating an exte-
On particularly restrictive sites, cre- placed around a structure on a flat site, rior courtyard is an interior courtyard
ating exterior sunken courtyards as a conventional vertical glazing can be with skylights overhead. In large and
means of entry may not be possible. provided on the building perimeter by deep buildings, an interior courtyard
The only option may be to enter creating openings in the berms. For in- provides additional climate-controlled
through a small above-grade mass and terior spaces on a sloping or flat site, space and, like an exterior courtyard,
descend immediately to the spaces be- natural light and view can be provided natural light from above. The extent
low. This situation in particular may
reinforce negative associations with en-
tering underground buildings and re-
quires careful attention to natural light
and interior spaciousness in the stair-
way area.
Entering relatively deep mined space
can present design problems · that are
difficult to resolve using any of the
techniques discussed above. Although
horizontal entry to deep spaces can oc-
cur through tunnels in bluffs, there is
little opportunity to introduce natural
light or offset the spatial confinement
of the tunnels. Entering deep spaces
through elevator or escalator shafts
provides little opportunity to alleviate
negative associations with descent.
Providing Natural Light and View
The lack of natural light and view is,
both psychologically and physiologi-
cally, the single greatest concern re-
lated to underground space. With the
exception of warehouses and buildings
with other functions where human
habitability and acceptance is a second-
ary concern, some natural light is de-
sirable in virtually every type of build-
ing. The degree to which this is Figure 5. Designed by architect Gunnar Birkerts, the Uris Library at Cornell University in
necessary or even desirable for each Ithaca, New York, is entered by descending a glass-enclosed staircase. (Photo courtesy of
space in the building depends on the The Arkansas Office)

358 UNDERGROUND SPACE Volume 8, Number 5-6, 1984

Figure 6. Sloped glazing provides natural light and view to underground offices in Williamson Hall at the University of Minnesota in
Minneapolis. (Photo courtesy of BRW Architects)
to which a view of an interior courtyard
is a substitute for an exterior view de-
pends a great deal on the size and de-
sign of the space. The use of glass walls
between an interior courtyard and the
spaces surrounding it is a common
technique for transmitting light and
view to these spaces. Referred to as
"borrowing light," this concept is used
in many ways to provide natural light
to spaces that are adjacent to spaces
that have direct access to light-for ex-
ample, from a skylight, perimeter win-
dow , or courtyard.
In addition to the approaches dis-
cussed above, some other novel tech-
niques for introducing natural light and
exterior view to subsurface spaces have
been developed. With the increasing
awareness of the advantages of under-
ground buildings for a variety of func-
tions, BRW Architects, Inc., of Min-
neapolis, Minnesota, has experimented
with various optical techniques for pro-
viding or enhancing the effect of nat-
ural light and view in normally win-
dowless areas. Mirrors can be used to
enhance the light and view from a win-
dow by reflecting them into spaces not
immediately adjacent to the window.
Volume 8, Number 5-6, 1984
This technique was used in the Walker
Community Library in Minneapolis
(Fig. 7). Another approach is to pro-
vide exterior views using mirrors and
lenses in a manner similar to a peri-
scope. In one of the simplest applica-
tions, a pair of mirrors was used to pro-
vide views to below-grade offices in the
Fort Snelling Visitor Center in Min-
neapolis.
A more sophisticated periscope-type
system using mirrors and lenses pro-
vides a clear exterior view for a lobby
area 110 ft beneath the surface in the
Civil and Mineral Engineering Build-
ing at the University of Minnesota. In
the same building, two separate sys-
tems are used to provide natural light
to different areas. One system uses he-
liostats on the roof to collect sunlight,
which mirrors and lenses then project
to the offices in deep mined space be-
low. The other system appears to be a
more conventional skylight over the
main laboratory space, but reflective
surfaces and lenses are used to collect,
concentrate, and project the sunlight
to the space below more efficiently and
accurately. These various optical tech-
niques not only permit greater design
flexibility for all underground build-
ings, but also enable light and view to
be introduced to deep subsurface spaces
or below-grade spaces on very con-
strained sites where conventional ap-
proaches do not work.
Interior Design
A key element of the impression cre-
ated by any building, interior design is
critical in occupied underground
structures. In addition to the normal
concerns of creating an attractive in-
terior environment, special attention
must be paid to offsetting the poten-
tially negative psychological effects dis-
cussed earlier- claustrophobia, lack
of view, loss of orientation, lack of
stim- ulus, and associations with dark,
damp, or cold basements. Interior
design, however, has little impact on
any of the potentially negative
physiological ef- fects of underground
spaces. Since op- portunities to
introduce natural light and view are
often limited, the interior spaces must
be designed to maximize the effect of
what light and view there are and to
compensate for the lack of light and
view in other areas.
A number of techniques are used in
UNDERGROUND SPACE 359

Figure 7. The view of an exterior courtyard is reflected by a large mirror into the interior
of the underground Walker Library in Minneapolis, Minnesota. (Photo courtesy of BRW
Architects)
underground buildings to create a
feeling of spaciousness that helps to
offset claustrophobia and provide more
visual stimulus in the absence of ex-
terior views. Wider corridors and higher
ceilings than normal, together with open
plan layouts using low partitions, are
simple means of creating a spacious
feeling. In addition, glass partitions can
be used between spaces to provide spa-
tial relief and variety. Perhaps the most
effective approach is the use of large,
multi-level central spaces surrounded
by smaller spaces. Overlooking large
spaces from balconies offsets the feel-
ing of being below grade and can pro-
vide vistas nearly equivalent to exterior
views, even if the central spaces are not
naturally lighted. In addition to pro-
viding variety within the building, large
interior courtyard-type spaces can also
help to give building users a reference
point in maintaining their orientation.
Although the size and arrangement
of interior spaces are critical elements
in the perception of an underground
building, the more subtle elements of
color, texture, lighting, and furnish-
ings cannot be overlooked. In an en-
vironment that lacks outside stimuli,
variation in lighting and color in par-
ticular can simulate some of the vari-
ation that would occur with natural light.
Well-lighted, brightly colored surfaces,
with an emphasis on warmer tones, can
help to offset associations with cold, dark
underground spaces. One character-
istic of windowless space that can be
used as an advantage is the lack of dis-
traction, which enables manipulation
of the interior design to focus the oc-
cupant's attention if desired. Dramatic
360 UNDERGROUND SPACE
lighting can effectively draw attention
to artwork, for example.
In buildings with interior courtyards
or central spaces, plant materials,
fountains, and other landscape ele-
ments can create a simulated outdoor
environment without natural light. Al-
though this approach has been achieved
in windowless spaces with some suc-
cess, there is always the danger that
imitation of conventional above-grade
spaces in a superficial way- false
win- dow frames with painted exterior
views, for instance- will leave a
negative impression. Rather than
working to create an acceptable
environment within the limitations of
underground space, attention is
drawn to what is missing by a poor
imitation.
Many of the techniques discussed
above are in common use and can serve
to create an environment that is reas-
suringly similar to conventional build-
ing. On the other hand, it is also pos-
sible and appropriate in some cases to
exploit the uniqueness of being un-
derground, creating a stimulating pos-
itive experience. An example of this
approach can be found in the design
of offices in deep mined space in Kan-
sas City, Missouri, where rock walls are
exposed and often lighted in dramatic
ways (Fig. 8).
Conclusion
Although the functional, psycholog-
ical, and physiological effects discussed
above represent drawbacks to under-
ground or windowless space, a number
of modifying factors must be taken into
consideration. First, these effects are
influenced by the use of the space. Sec-
ond, not enough information is always
available to draw definite conclusions.
Finally, many of the negative effects
can be alleviated or compensated for
with proper design.
It is clear that some underground
building functions are more psycho-
logically acceptable than others. It has
been found that an earth-sheltered
house with windows was more imme-
diately accepted as a pleasant place to
be than an earth-sheltered work envi-
ronment (Hollon and Kendall 1980).
Manufacturing, storage, and other
specialized work settings are in turn
more readily accepted than a general
office environment. Recreational facil-
ities, shopping centers, restaurants, and
museums appear to be the most readily
accepted.
It must be noted, however, that the
perceived attributes of a building may
not reflect the physical attributes. In a
survey of University of Minnesota em-
ployees (Hollon et al. 1980), occupants
of an interior windowless zone of a large
above-ground building and occupants
of a section of the basement of the same
building had quite similar evaluations
of their work environment as those oc-
cupants in an above-ground exterior
zone (with windows) of the same build-
ing did. Occupants of the windowless
portion of a well-known earth-shel-
tered building on campus, however, had
a much lower evaluation of their work
environment.
Assessing the physiological effects of
being underground should be some-
what simpler than assessing the psy-
chological effects because there are
fewer basic concerns, they do not vary
as much on an individual basis, and-
except for length of stay in the build-
ing-they are less affected by mitigat-
ing circumstances. But, in spite of the
greater facility in clarifying physiolog-
ical effects, it remains difficult to draw
definite conclusions on the physiolog-
ical impacts of the use of underground
buildings. Although the negative ef-
fects caused by complete lack of sun-
light and sensory deprivation have been
documented , studies of people using
underground buildings have not nec-
essarily concluded that such detrimen-
tal effects exist.
For example, a fairly comprehensive
study was made of workers in an un-
derground factory in Sweden in the
1940's and 1950's (Hollister 1968). Al-
though headaches, faintness, and sick-
ness were reported, much of this was
an initial problem that occurred dur-
ing an acclimatization period to the un-
derground environment. The study
concluded that no m or physiological
Volume 8, Number 5-6, 1984
Figure 8. Brightly-colored flags, dramatic lighting, glass, and exposed rock walls contribute to the interior design of windowless office space
over one hundred feet underground in Kansas City, Missouri. (Photo courtesy of Great Midwest Corporation)
problems occurred if the proper inte-
rior climate was maintained. Blood tests
on workers after eight years of working
underground showed no alteration in
the normal blood condition. Two stud-
ies of children attending an under-
ground school in New Mexico- the
Abo Elementary School- also
indicated no evidence of greater
absenteeism or health problems in
children attending the underground
school. In fact, res- piratory ailments
were reduced be- cause of better
control and filtration of the air (Lutz
1964 and 1972).
In summary, although there are sev-
eral issues of concern for people
spending extended periods in an un-
derground or windowless environ-
ment, a long-term detrimental effect
on humans has not been established.
Although scientific proof of negative
psychological and physiological effects
related to underground buildings is by
Volume 8, Number 5-6, no means absolute, the safest course in
1984 building design is to alleviate the var- ious
concerns as much as possible. As
evidenced by many of the buildings shown
here, competent designers in- tuitively
respond to creating an ac- ceptable
environment underground.
D
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UNDERGROUND SPACE 361


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