Professional Documents
Culture Documents
Section 1 Introduction
Section 2 General Features and Requirements
Section 3 Loads and Load Combinations
Section 4 Structural Materials and Design Considerations
Section 5 Geotechnical Considerations
Section 6 Cut-and-cover Tunnel Structures
Section 7 Mined and Bored Tunnel Structures
Section 8 Immersed Tunnel Structures
Section 9 Initial Ground Support Elements and Ground Improvement
Section 10 Seismic Considerations
Appendix A Planning and Route Considerations
Appendix B Recommended Construction Specification Sections
TABLE OF CONTENTS
1-i
© 2017 by the American Association of State Highway and Transportation Officials.
All rights reserved. Duplication is a violation of applicable law.
SECTION 1: INTRODUCTION 1-1
The provisions of these Specifications are These Specifications are modeled after the LRFD
intended for the design, evaluation, and rehabilitation Specifications and the AASHTO Guide Specifications
of highway tunnels. These Specifications are intended for LRFD Seismic Bridge Design. The philosophy and
for the design of tunnels constructed using cut-and- guidance provided in those documents are carried
cover, bored, mined, and immersed tunnel forward and implemented in this document.
construction methodologies. Whenever the LRFD Specifications are
Provisions are not included in these referenced in this document, the reference is to the
Specifications for water conveyance, utility, transit, or latest edition including all applicable interim changes.
rail tunnels or for shafts. For tunnel elements not The term “notional” is often used in these
explicitly covered herein, the provisions of these Specifications to indicate an idealization of a physical
Specifications may be applied, as augmented by the phenomenon, as in “notional load” or “notional
Engineer with additional design criteria where resistance.” Use of this term strengthens the
required. separation of an engineer’s “notion” or perception of
Construction specifications consistent with these the physical world in the context of design from
design Specifications are not included. There is a physical reality itself.
listing of suggested construction specification The term “shall” denotes a requirement for
sections included in Appendix B. compliance with these Specifications.
Structures internal to tunnels that support The term “should” indicates a strong preference
roadways over ventilation plenums, roadways, or for a given criterion.
other openings in the tunnel shall be designed in The term “may” indicates a criterion that is
accordance with the AASHTO LRFD Bridge Design usable, but other local and suitably documented,
Specifications (hereafter referred to as the LRFD verified, and approved criteria may also be used in a
Specifications) including all applicable interim manner consistent with the LRFD approach to tunnel
changes and as modified or supplemented herein. The design.
load effects of these internal structures shall be The load factors specified in Section 3 have been
applied to the tunnel lining, walls, or other supporting calibrated to provide designs with member
members in accordance with these Specifications. proportions consistent with the current practice in
Retaining walls for retained cut approaches to tunnel design.
tunnels shall be designed in accordance with the The calibration is based upon analyses performed
LRFD Specifications. for a circular bored tunnel. Additional calibration for
Support and ancillary structures such as different tunnel cross-sectional geometry and
ventilation, control, and administrative buildings are loadings from a variety of ground conditions would
not covered by these Specifications. These structures be useful in further validating and refining the load
shall be designed in accordance with local building factors.
codes. The primary loads on structural components of
These Specifications are not intended to supplant tunnels are groundwater and earth loads. For
proper training and experience or the exercise of immersed tunnels, loads imposed by transporting
judgment by the Engineer, and provide only the immersed elements from the fabrication site to the
minimum requirements necessary for public safety. tunnel location can also govern the design of these
The Owner or the Engineer may require the tunnels. For pre-fabricated linings used in bored
sophistication of design or the quality of materials and tunnels, construction-imposed loading can govern the
construction to be higher than the minimum design. The determination of groundwater, earth,
requirements. The design of tunnels is strongly transportation, and other construction loads varies
dependent upon the geologic setting, site conditions, based on the in-situ conditions, level of testing during
and construction methodology, and this fact is subsurface investigations, and ground conditions may
considered in the Specifications. The concept of have great variation. There are little data available to
ground/structure interaction is emphasized for mined establish a statistically significant sampling in order
and bored tunnels; however, it is also applicable to to calibrate these Specifications based upon structural
cut-and-cover and immersed tunnels. reliability theory. As such, judgment and past
The concept of safety through redundancy and experience were also used to select the load factors.
ductility is emphasized for tunnel elements subject to These Specifications are an initial attempt to
repeated loads and load reversals. codify and standardize highway tunnel design. As
The design provisions of these Specifications such, as future data that are produced in a systematic
employ the Load and Resistance Factor Design fashion in accordance with these Specifications
(LRFD) methodology. The load factors have been become available, recalibration may be implemented
calibrated using structural analysis modeling for a based on statistical evaluation of these data.
limited number of loading conditions that take into
account ground/structure interaction.
© 2017 by the American Association of State Highway and Transportation Officials.
All rights reserved. Duplication is a violation of applicable law.
1-2 LRFD ROAD TUNNEL DESIGN AND CONSTRUCTION GUIDE SPECIFICATIONS
1.2—DEFINITIONS
Calibration—The selection of load and resistance factors to achieve a specified goal such as uniform reliability, as is
the case with the bridge design specifications, or member proportions consistent with past practice, as is the case with
these Specifications.
Collapse—A major change in the geometry of the tunnel lining or other structural component rendering it unfit for
use.
Component—Either a discrete element of the tunnel or a combination of elements requiring individual design
consideration.
Contract Documents—Drawings, specifications, reports, and memoranda that provide direction and/or guidance for
the construction of a tunnel and that form a contractual basis for the work to be performed.
Contractor—Entity responsible for the construction of the tunnel and associated construction engineering.
Cut-and-cover—Sequence of construction in which a trench is excavated and the tunnel or conduit section is
constructed and then covered with backfill. (AASHTO, 2010)
Design Life—Period of time on which the statistical derivation of transient loads is based: 150 years for these
Specifications.
Engineer—Agency, design firm, or person responsible for the design of the tunnel and/or review of design related to
field submittals.
Evaluation—Determination of the load carrying capacity of one or more components of an existing tunnel.
Extreme Event Limit States—Limit states relating to events such as earthquakes, flooding, vehicle fire, or vehicle and
vessel collision, with return periods in excess of the design life of the tunnel.
Force Effect—A deformation, stress, or stress resultant (i.e., axial force, shear force, torsional or flexural moment)
caused by applied loads, imposed deformations, temperature changes, or volumetric changes.
Immersed Tunnel—A tunnel constructed from prefabricated elements constructed off the tunnel alignment, floated
into place over the tunnel alignment, and placed into a prepared trench. Placement is facilitated by the addition of
ballast to the elements to cause them to be immersed to the pre-determined depth and then joined to the adjacent
element(s) already in place.
Limit State—A condition beyond which the tunnel or component ceases to satisfy the provisions for which it was
designed.
Load Modifier—A factor accounting for ductility, redundancy, and the operational classification of the tunnel.
Mined—Any tunnel construction methodology that involves excavation of the tunnel without opening the excavation
to the surface and without the use of a tunnel boring machine, including mechanical excavation, blasting, and hand
excavation.
Regular Service—Condition excluding the presence of special permit vehicles and extreme events.
Rehabilitation—A process in which the resistance or functionality of a tunnel component or connection is either
restored or increased.
Resistance Factor—A statistically or experience-based multiplier applied to nominal resistance accounting primarily
for variability of material properties, structural dimensions, and workmanship, an uncertainty in the prediction of
resistance, but also related to the statistics of the loads through the calibration process.
Tunnel—Road tunnels as defined by the American Association of State Highway and Transportation Officials
(AASHTO) Technical Committee for Tunnels (T-20) are enclosed roadways with vehicle access that is restricted to
portals regardless of type of the structure or method of construction. The committee further defines road tunnels not
to include enclosed roadway created by highway bridges, railroad bridges, or other bridges. This definition applies to
all types of tunnel structures and tunneling methods such as cut-and-cover tunnels, mined and bored tunnels in rock
and soft ground, and immersed tunnels.
Tunnel Boring Machine (TBM)—Machine that excavates a tunnel by drilling out the heading to full size in one
operation. Sometimes called a mole, the TBM is typically propelled forward by jacking off the excavation supports
emplaced behind it or by gripping the side of the excavation (AASHTO, 2010).
1.3—DESIGN PHILOSOPHY
1.3.1—General C1.3.1
Tunnels shall be designed for specified limit states The limit states specified herein are intended to
to achieve the objectives of constructability, safety, and provide for a buildable, serviceable tunnel capable of
serviceability, with due regard to issues of inspectability, safely operating for a specified design life. As defined
maintenance and economy. Additional information in Article 1.2, the design life relates to the return period
regarding tunnel systems, planning, ancillary facilities, of the transient loads of the strength limit states and
and appurtenances can be found in Section 2. hence their nominal magnitude. The design life should
Regardless of the type of analysis used, Equation not be confused with the service life. As defined in
1.3.2.1-1 shall be satisfied for all specified force effects Article 1.2, the service life relates to the eventual
and combinations thereof. demonstrated durability of the tunnel. The service life of
© 2017 by the American Association of State Highway and Transportation Officials.
All rights reserved. Duplication is a violation of applicable law.
1-4 LRFD ROAD TUNNEL DESIGN AND CONSTRUCTION GUIDE SPECIFICATIONS
The specified 150-year design life is appropriate for a tunnel is not specified in these Specifications, just as
the design of tunnel geotechnical features and soil– the service life of a bridge is not specified in the LRFD
structure-interaction-systems given the high capital Specifications, as the durability of tunnels or bridges is
costs of rehabilitation and replacement and the likely not well quantified.
importance to the transportation network. Internal The resistance of components and connections is
structures such as roadway slabs and suspended ceilings determined, in many cases, on the basis of inelastic
as well as system components, such as signs, piping, and behavior. In other words, the capacity of tunnel
their supports; communication and signal devices; and components used to define their nominal resistance at
ventilation equipment that are more easily replaced, may the strength limit states is based upon behavior past first
have design lives assigned to them by the Owner. yield of the material. On the other hand, the force effects
on the load side of the LRFD equation, Equation 1.3.2.1-
1, are determined using elastic analysis but amplified by
the specified load factors. This apparent inconsistency
is consistent with most modern structural-design codes
including the LRFD Specifications. The application of
this comparison of loads and resistances for design is a
result of incomplete knowledge of inelastic structural
action combined with the behavior of the earth
surrounding the tunnel that acts in concert with the
tunnel structure.
1.3.2—Limit States
1.3.2.1—General C1.3.2.1
Each component and connection shall satisfy Equation 1.3.2.1-1 is the basis of the LRFD
Equation 1.3.2.1-1, for each limit state unless otherwise methodology.
specified. For service and extreme limit states, resistance Ductility, redundancy, and operational
factors shall be taken as 1.0 except for bolts. For bolts, classification are considered in the load modifier η.
the provisions of Article 6.5.5 of the LRFD Whereas the ductility and redundancy directly relate to
Specifications shall apply. physical strength, operational classification concerns
the consequences of the tunnel being out of service. The
ΣηiγiQi ≤ φRn = Rr (1.3.2.1-1) grouping of these aspects of the load side of Equation
1.3.2.1-1 is therefore, arbitrary. However, it constitutes
in which: a first effort at codification. In the absence of more
precise information, each effect is estimated as ±5
For loads for which a maximum value of γi is percent, accumulated geometrically, a clearly subjective
appropriate: approach.
Groundwater is an example of a loading that would
ηi = ηDηRηI ≥ 1.0 (1.3.2.1-2) be appropriate to apply as a maximum and a minimum.
Variation in groundwater elevations are common due to
For loads for which a minimum value of γi is seasonal changes and tidal influences. Tunnel linings
appropriate: are designed as compression members; therefore,
maximum groundwater pressures would produce
η𝑖𝑖 =
1
≤ 1.0 (1.3.2.1-3) maximum axial loads and vice versa. As such, both
η𝐷𝐷 η η𝐼𝐼
𝑅𝑅 maximum and minimum groundwater loads should be
checked.
where:
Qi = force effect
Rn = nominal resistance
The service limit state shall be taken as restrictions The service limit state provides certain experience-
on stress, deformation and crack width under regular related provisions that cannot always be derived solely
service conditions. from strength or statistical consideration.
For tunnels, this limit state controls tunnel lining
deformation, cracking, and leaking.
The fatigue and fracture limit state shall be taken as The fatigue and fracture limit state is intended to
restrictions on stress range as a result of repetitive limit crack growth under repetitive loads to prevent
machinery or ventilation loads at the number of expected fracture during the design life of the component.
stress range cycles. Additionally, the fatigue limit state is intended to
prevent premature failure of anchoring and supporting
components subject to machinery or ventilation loads.
Strength limit state shall be taken to ensure that The strength limit state considers stability or
strength and stability, both local and global, are provided yielding of each structural element. If the resistance of
to resist the specified statistically significant load any element, including splices and connections, is
combinations that a tunnel and its component parts are exceeded, it is assumed that the tunnel resistance has
expected to experience in its design life. been exceeded. The redistribution of loads that can
occur due to structure–ground interaction typically
allows the tunnel ground supporting structure to support
loads in excess of the capacity calculated utilizing linear
elastic static analysis. Extensive distress and structural
damage may occur under the strength limit state, but
overall structural integrity is expected to be maintained.
The extreme event limit state shall be taken to Extreme event limit states are considered to be
ensure the structural survival of a tunnel during a major unique occurrences whose return period may be
earthquake, flood, tsunami, collision, blast, or fire, or significantly greater than the design life of the tunnel.
when an immersed tunnel is subject to sinking vessel or
anchor drag loads possibly during, or in conjunction
with, a scour event.
1.3.3—Ductility C1.3.3
significant and visible inelastic deformations at the characterized by either brittle or ductile behavior. Brittle
strength and extreme limit states before failure. behavior is undesirable because it implies a sudden loss
For the strength limit state: of load-carrying capacity immediately when the elastic
limit is reached. Ductile behavior is characterized by
ηD ≥ 1.05 for nonductile components and connections significant inelastic deformations before any loss of load
carrying capacity occurs. The redistribution of load
= 1.00 for conventional designs and details effects provided by ground–structure interaction results
complying with these Specifications in ductile behavior of concrete tunnel linings when
proper detailing of the reinforcing is used. Internal
For all other limit states: components, however, should be designed to exhibit
ductile behavior. The provisions of the LRFD
ηD ≥ 1.00 Specifications provide guidance and direction for the
ductile design of these internal components.
Internal components of tunnels including structural While the LRFD Specifications have a value of ηD
elements, equipment supports, and their connections less than one in implementation, the value is unused.
shall be designed to exhibit ductile behavior, especially Traditionally, structural engineers characterize
when subject to extreme events such as earthquakes. structures as ductile, ηD = 1.00, or non-ductile, ηD =
Attention shall be given to the ductility of 1.05.
transitions between structural systems of tunnels,
specifically at the interfaces between retained cut and
cut-and-cover structures; between cut-and-cover
structures and mined, bored, or immersed tunnels; and at
the joints between immersed tunnel elements.
1.3.4—Redundancy C1.3.4
The provisions of the LRFD Specifications shall Tunnel linings for bored and mined tunnels are
be used to ensure that the internal components of considered redundant due to ground–structure
tunnels and all aspects of cut-and-cover and immersed interaction and the ability to share load along the
tunnels incorporate redundancy in their design. length of tunnel.
For the strength limit state:
For all other limit states: While the LRFD Specifications include a value
of ηR less than one, in implementation the value is
ηR ≥ 1.00 unused. Traditionally, structural engineers
characterize structures as redundant, ηR = 1.00, or
non-redundant, ηR = 1.05.
This Article shall apply to the strength and Such classification should be done by personnel
extreme limit states only. responsible for the affected transportation network
The Owner may declare a tunnel or any structural and knowledgeable of its operational needs. The
component, or connection thereof, to be of definition of operational priority may differ from
operational priority. Owner to Owner. Guidelines for classifying critical
For the strength limit state: or essential tunnels are as follows:
ηI ≥ 1.05 for critical or essential tunnels • Tunnels that are required to be open to all traffic
once inspected after the design event and are
= 1.00 for typical and relatively less important usable by emergency vehicles and for security,
tunnels defense, economic, or secondary life safety
purposes immediately after the design event.
For all other limit states:
• Tunnels that should, as a minimum, be open to
ηI ≥ 1.00 emergency vehicles and for security, defense, or
1.4—REFERENCES
1. AASHTO. LRFD Bridge Design Specifications. 7th ed. American Association of State Highway and
Transportation Officials, Washington, DC, 2014.
2. AASHTO. Standard Specifications for Transportation Materials and Methods of Sampling and Testing.
American Association of State Highway and Transportation Officials, Washington, DC, 2016.
3. AASHTO. Technical Manual for Design of Road Tunnels—Civil Elements. American Association of State
Highway and Transportation Officials, Washington, DC, 2010.
2.1—SCOPE .........................................................................................................................................................2-1
2.2—DEFINITIONS .............................................................................................................................................2-1
2.3—NOTATION .................................................................................................................................................2-2
2.3.1—General...................................................................................................................................................2-2
2.3.2—Abbreviations .........................................................................................................................................2-3
2.4—TYPES OF ROAD TUNNEL STRUCTURES ............................................................................................2-3
2.4.1—Cut-and-Cover Tunnels..........................................................................................................................2-4
2.4.2—Mined Tunnels .......................................................................................................................................2-4
2.4.3—Bored Tunnels ........................................................................................................................................2-4
2.4.4—Immersed Tunnels .................................................................................................................................2-4
2.4.5—Shafts .....................................................................................................................................................2-5
2.5—PLANNING AND ROUTE CONSIDERATIONS ......................................................................................2-5
2.5.1—General...................................................................................................................................................2-5
2.6—DESIGN CONSIDERATIONS FOR INSPECTION AND MAINTENANCE ...........................................2-6
2.7—CLEARANCE AND GEOMETRIC REQUIREMENTS ............................................................................2-7
2.7.1—Vertical Clearances ................................................................................................................................2-8
2.7.2—Horizontal Clearances ............................................................................................................................2-8
2.7.3—Shoulders and Walkways .......................................................................................................................2-8
2.7.4—Vertical Alignment ................................................................................................................................2-8
2.7.5—Horizontal Alignment ............................................................................................................................2-8
2.7.6—Tunnel Approaches ................................................................................................................................2-9
2.8—SYSTEMS ................................................................................................................................................2-10
2.8.1—Codes and Standards ............................................................................................................................2-10
2.8.2—Supervisory Control and Data Acquisition (SCADA) System ............................................................2-11
2.8.3—Tunnel Ventilation System (TVS) .......................................................................................................2-12
2.8.3.1—Tunnel Ventilation Operational Modes........................................................................................2-13
2.8.3.2—TVS General Performance Requirements ....................................................................................2-14
2.8.3.3—TVS Design Analysis Calculations ...............................................................................................2-15
2.8.3.3.1—Emissions Ventilation Flow Rate .........................................................................................2-15
2.8.3.3.2— Emergency Ventilation Capacity .......................................................................................2-16
2.8.3.3.3—Egress Calculations .............................................................................................................2-16
2.8.3.3.4—Fan Sound Attenuation ........................................................................................................2-16
2.8.3.4—Engineering Design Software ......................................................................................................2-17
2.8.3.4.1—CFD Flow Monitoring Software..........................................................................................2-17
2.8.3.4.2—Egress Modeling Software ...................................................................................................2-17
2.8.4—Drainage System ..................................................................................................................................2-17
2.8.5—Lighting ...............................................................................................................................................2-18
2.8.5.1—Tunnel Lighting System ................................................................................................................2-19
2.8.5.1.1—Design Approach .................................................................................................................2-19
2.8.5.1.2—Design Parameters ..............................................................................................................2-20
2.8.5.1.3—Lighting Control System ......................................................................................................2-20
2.8.5.1.4—Tunnel Lighting Fixture Circuitry .......................................................................................2-21
2.8.5.1.5—Tunnel Lighting Fixtures .....................................................................................................2-21
2.8.5.2—Tunnel Cross Passages, Egress Stairwells, and Ancillary Spaces ...............................................2-21
2.8.5.3—Tunnel Fixed Message Sign Lighting ...........................................................................................2-22
2.8.6—Electrical Systems ................................................................................................................................2-23
2.8.6.1—General ........................................................................................................................................2-23
2.8.6.2—Primary Distribution ....................................................................................................................2-23
2-i
© 2017 by the American Association of State Highway and Transportation Officials.
All rights reserved. Duplication is a violation of applicable law.
2-ii LRFD ROAD TUNNEL DESIGN AND CONSTRUCTION GUIDE SPECIFICATIONS
3.1—SCOPE ...............................................................................................................................................................3-1
3.2—DEFINITIONS ..................................................................................................................................................3-1
3.3—NOTATION.......................................................................................................................................................3-3
3.3.1—General .......................................................................................................................................................3-3
3.3.2—Loads and Load Designation ......................................................................................................................3-3
3.3.3—Abbreviations .............................................................................................................................................3-4
3.4—LOAD FACTORS AND COMBINATIONS ....................................................................................................3-4
3.5—PERMANENT LOADS.....................................................................................................................................3-8
3.5.1—Dead Loads (DC, DW) ...............................................................................................................................3-8
3.5.2—Earth Pressures (EV, EH) ...........................................................................................................................3-8
3.5.2.1—Cut-and-Cover and Immersed Tunnels in Soft Ground .......................................................................3-9
3.5.2.2—Apparent Earth Pressure (AEP) Diagrams for Design of Braced Support of Excavation
(SOE) Walls Used as Part of the Permanent Structure ....................................................................................3-9
3.5.2.2.1—AEP Diagrams for Cohesionless Soil .......................................................................................3-11
3.5.2.2.2—AEP Diagrams for Cohesive Soil ..............................................................................................3-12
3.5.2.2.2.1—Stiff to Hard Cohesive Soil .................................................................................................3-12
3.5.2.2.2.2—Medium Stiff to Stiff Cohesive Soil .....................................................................................3-13
3.5.2.2.2.3—Soft to Medium Stiff Cohesive Soil .....................................................................................3-13
3.5.2.3—Cut-and-Cover and Immersed Tunnels in Rock ................................................................................3-13
3.5.2.4—Mined Soft Ground Tunnels ..............................................................................................................3-14
3.5.2.5—Mined Rock Tunnels ..........................................................................................................................3-14
3.5.3—Surcharge Loads (ES) ...............................................................................................................................3-18
3.5.4—Piping Loads (PI) .....................................................................................................................................3-18
3.6—LIVE LOADS ..................................................................................................................................................3-18
3.6.1—Gravity Loads (LL and PL).......................................................................................................................3-18
3.6.1.1—Vehicular Live Load (LL) ..................................................................................................................3-18
3.6.1.2—Pedestrian Loads (PL).......................................................................................................................3-19
3.6.1.3—Vehicular Dynamic Load Allowance (IM).........................................................................................3-19
3.6.1.4—Attachment Dynamic Load Allowance (IA) .......................................................................................3-19
3.6.1.5—Centrifugal Forces (CE) and Braking Forces (BR) ..........................................................................3-19
3.6.1.6—Live Load Surcharge (LS) .................................................................................................................3-20
3.7—WATER LOADS (WA, WAf, WAt, WAttsu).......................................................................................................3-20
3.8—AIR PRESSURE LOADS (AP) .......................................................................................................................3-20
3.9—EARTHQUAKE EFFECT (EQ) ......................................................................................................................3-21
3.10—FORCE EFFECTS DUE TO SUPERIMPOSED DEFORMATIONS (TU, TG, SH, CR, SE, PS) ................3-22
3.10.1—Uniform Temperature (TU) ....................................................................................................................3-22
3.10.2—Temperature Gradient (TG) ....................................................................................................................3-22
3.10.3—Differential Shrinkage (SH) ....................................................................................................................3-22
3.10.4—Creep (CR)..............................................................................................................................................3-22
3.10.5—Settlement (SE) .......................................................................................................................................3-22
3.10.6—Secondary Forces from Post-Tensioning (PS) ........................................................................................3-23
3.11—BLAST LOADING (BL) ...............................................................................................................................3-23
3.12—FIRE LOAD (FI) ...........................................................................................................................................3-24
3.13—SHIP SINKING (SS)......................................................................................................................................3-24
3.14—ANCHOR DROP (AD) ..................................................................................................................................3-25
3.15—CONSTRUCTION LOADS (CS) ..................................................................................................................3-26
3.16—REFERENCES ..............................................................................................................................................3-26
3-i
TABLE OF CONTENTS
4.1—SCOPE ...............................................................................................................................................................4-1
4.1.1—Material Properties .....................................................................................................................................4-1
4.2—DEFINITIONS ..................................................................................................................................................4-1
4.3—NOTATION.......................................................................................................................................................4-1
4.3.1—Abbreviations .............................................................................................................................................4-2
4.4—DESIGN REQUIREMENTS .............................................................................................................................4-2
4.4.1—General .......................................................................................................................................................4-2
4.4.2—Limit States ................................................................................................................................................4-2
4.4.3—Load Combinations ....................................................................................................................................4-3
4.5—CONCRETE STRUCTURES ............................................................................................................................4-3
4.5.1—Limit States ................................................................................................................................................4-3
4.5.1.1—Service Limit State ...............................................................................................................................4-3
4.5.1.2—Fatigue Limit State ..............................................................................................................................4-3
4.5.1.3—Strength Limit State .............................................................................................................................4-3
4.5.1.4—Extreme Event Limit State ...................................................................................................................4-4
4.5.2—Reinforced and Prestressed Concrete .........................................................................................................4-4
4.5.2.1—Material Properties .............................................................................................................................4-4
4.5.2.2—Design Considerations ........................................................................................................................4-4
4.5.2.3—Details of Reinforcement .....................................................................................................................4-6
4.5.3—Structural Plain Concrete ............................................................................................................................4-6
4.5.3.1—Material Properties .............................................................................................................................4-6
4.5.4—Fiber-Reinforced Concrete (FRC) ..............................................................................................................4-7
4.5.4.1—Material Properties .............................................................................................................................4-7
4.5.4.1.1—Steel Fibers ...............................................................................................................................4-7
4.5.4.1.2—Fiber-Reinforced Concrete .......................................................................................................4-8
4.5.4.2—Resistance Factors ..............................................................................................................................4-8
4.5.4.3—Design for Flexural and Axial Force Effects.......................................................................................4-9
4.5.4.3.1—Assumptions for Service Limit State ..........................................................................................4-9
4.5.4.3.2—Assumptions for Strength and Extreme Limit States .................................................................4-9
4.5.4.3.3—Flexural Members ...................................................................................................................4-10
4.5.4.3.3.1—General .........................................................................................................................4-10
4.5.4.3.3.2—Factored Flexural Resistance .......................................................................................4-10
4.5.4.3.3.3—Factored Early Age Flexural Resistance ......................................................................4-10
4.5.4.3.3.4—Factored Axial Resistance ............................................................................................4-11
4.5.4.3.3.5—Factored Axial/Moment Resistance ..............................................................................4-11
4.5.4.3.4—Bearing....................................................................................................................................4-11
4.5.4.3.4.1—General .........................................................................................................................4-11
4.5.4.3.4.2—Factored Bearing Resistance ........................................................................................4-11
4.5.4.3.4.3—Factored Splitting Resistance .......................................................................................4-11
4.5.4.3.5—Shear .......................................................................................................................................4-12
4.5.4.3.5.1—General .........................................................................................................................4-12
4.5.4.3.5.2—Factored Shear Resistance............................................................................................4-12
4.5.4.3.6—Details of Reinforcement .........................................................................................................4-12
4.5.4.3.6.1—Minimum Dosage Requirements ...................................................................................4-12
4.5.5—Shotcrete ...................................................................................................................................................4-12
4.5.5.1—Service Limit State .............................................................................................................................4-13
4.6—STEEL STRUCTURES ...................................................................................................................................4-14
4.6.1—Material Properties ...................................................................................................................................4-14
4-i
© 2017 by the American Association of State Highway and Transportation Officials.
All rights reserved. Duplication is a violation of applicable law.
4-ii LRFD ROAD TUNNEL DESIGN AND CONSTRUCTION GUIDE SPECIFICATIONS
TABLE OF CONTENTS
5.1—SCOPE ...............................................................................................................................................................5-1
5.2—DEFINITIONS ..................................................................................................................................................5-2
5.3—NOTATION.......................................................................................................................................................5-3
5.3.1—General .......................................................................................................................................................5-3
5.3.2—Abbreviations .............................................................................................................................................5-4
5.4—GEOTECHNICAL INVESTIGATION .............................................................................................................5-4
5.4.1—General .......................................................................................................................................................5-4
5.4.2—Office Studies .............................................................................................................................................5-5
5.4.2.1—Review of Existing Reports ..................................................................................................................5-5
5.4.2.2—Review of Historical Maps ..................................................................................................................5-6
5.4.2.3—Imagery Evaluation .............................................................................................................................5-6
5.4.3—Field Reconnaissance and Geologic Mapping ..........................................................................................5-10
5.4.4—Geotechnical Borings ...............................................................................................................................5-11
5.4.5—In-Situ Tests and Sampling of Soil and Rock ...........................................................................................5-12
5.4.5.1—Soil Sampling ....................................................................................................................................5-12
5.4.5.2—Rock Coring ......................................................................................................................................5-13
5.4.5.3—Bore Hole Sealing .............................................................................................................................5-13
5.4.6—Geophysical Tests.....................................................................................................................................5-17
5.4.7—Laboratory Tests .......................................................................................................................................5-20
5.4.7.1—Soil Tests ...........................................................................................................................................5-20
5.4.7.2—Rock Tests..........................................................................................................................................5-20
5.4.8—Groundwater and Surface Water Investigation .........................................................................................5-20
5.5—SELECTION OF SOIL AND ROCK PARAMETERS FOR DESIGN ..........................................................5-21
5.5.1—General .....................................................................................................................................................5-21
5.5.2—Soil Strength .............................................................................................................................................5-22
5.5.2.1—Undrained Shear Strength of Cohesive Soils ....................................................................................5-22
5.5.2.2—Drained Strength of Cohesive Soils ...................................................................................................5-22
5.5.2.3—Drained Strength of Granular Soils ..................................................................................................5-23
5.5.3—Soil Deformation ......................................................................................................................................5-23
5.5.4—Rock Shear Strength .................................................................................................................................5-23
5.5.5—Rock Deformation Modulus .....................................................................................................................5-26
5.5.6—Poisson’s Ratio .........................................................................................................................................5-29
5.6—ENVIRONMENTAL ISSUES ........................................................................................................................5-29
5.7—INSTRUMENTATION AND MONITORING ...............................................................................................5-29
5.8—GEOTECHNICAL REPORTS ........................................................................................................................5-30
5.8.1—Geotechnical Data Report.........................................................................................................................5-30
5.8.2—Geotechnical Baseline Report ..................................................................................................................5-30
5.9—GEOTECHNICAL DESIGN MEMORANDA ...............................................................................................5-31
5.10—REFERENCES ..............................................................................................................................................5-32
5-i
© 2017 by the American Association of State Highway and Transportation Officials.
All rights reserved. Duplication is a violation of applicable law.
SECTION 6 – CUT-AND-COVER TUNNEL STRUCTURES
TABLE OF CONTENTS
6.1—SCOPE...............................................................................................................................................................6-1
6.2—DEFINITIONS ..................................................................................................................................................6-1
6.3—NOTATION.......................................................................................................................................................6-2
6.3.1—General .......................................................................................................................................................6-2
6.3.2—Abbreviations .............................................................................................................................................6-2
6.4—GROUND AND MATERIAL PROPERTIES...................................................................................................6-2
6.4.1—Determination of Ground Properties ..........................................................................................................6-2
6.4.1.1—General ...............................................................................................................................................6-2
6.4.1.2—Invert Condition ..................................................................................................................................6-2
6.4.1.3—Envelope Ground ................................................................................................................................6-3
6.4.1.4—Groundwater .......................................................................................................................................6-3
6.4.2—Materials .....................................................................................................................................................6-4
6.4.2.1—Concrete ..............................................................................................................................................6-4
6.4.2.2—Structural Steel ...................................................................................................................................6-4
6.4.2.3—Reinforcing Steel .................................................................................................................................6-4
6.4.2.4—Prestressing Steel................................................................................................................................6-4
6.4.2.5—Shotcrete .............................................................................................................................................6-5
6.5—CONSTRUCTION OF CUT-AND-COVER TUNNEL STRUCTURES ........................................................6-5
6.5.1—General .......................................................................................................................................................6-5
6.5.2—Reinforced Concrete Diaphragm Walls (RCDW) ......................................................................................6-6
6.5.3—Soldier Pile and Tremie Concrete (SPTC) Walls .......................................................................................6-7
6.5.4—Secant Pile and Tangent Pile Walls ............................................................................................................6-8
6.5.5—Precast, Prestressed Panel Walls ................................................................................................................6-9
6.5.6—Cast-in-Place Concrete Box Structures ......................................................................................................6-9
6.5.7—Structural Steel Frames...............................................................................................................................6-9
6.6—LIMIT STATES AND RESISTANCE FACTORS .........................................................................................6-10
6.6.1—General .....................................................................................................................................................6-10
6.6.2—Service Limit State ...................................................................................................................................6-10
6.6.3—Strength Limit State..................................................................................................................................6-10
6.6.4—Extreme Event Limit State .......................................................................................................................6-10
6.6.5—Load Factors and Load Combinations ......................................................................................................6-11
6.6.6—Resistance Factors ....................................................................................................................................6-12
6.7—GENERAL DESIGN FEATURES ..................................................................................................................6-12
6.7.1—Ground Movement ...................................................................................................................................6-12
6.7.2—Buoyancy ..................................................................................................................................................6-12
6.7.2.1—Partially Completed Structure ..........................................................................................................6-13
6.7.2.2—Complete Structure ...........................................................................................................................6-13
6.7.3—Loading.....................................................................................................................................................6-13
6.7.3.1—Symmetrical Loading ........................................................................................................................6-14
6.7.3.2—Asymmetrical Loading ......................................................................................................................6-14
6.7.3.3—Construction Condition.....................................................................................................................6-14
6.7.3.4—Distribution of Loads ........................................................................................................................6-15
6.7.3.5—Superimposed Loads .........................................................................................................................6-15
6.8—JOINTS ...........................................................................................................................................................6-15
6.8.1—General .....................................................................................................................................................6-15
6.8.2—Construction Joints ...................................................................................................................................6-15
6.8.3—Contraction Joints .....................................................................................................................................6-16
6.8.4—Expansion Joints .......................................................................................................................................6-16
6-i
TABLE OF CONTENTS
8-i
© 2017 by the American Association of State Highway and Transportation Officials.
All rights reserved. Duplication is a violation of applicable law.
SECTION 9 – INITIAL GROUND SUPPORT ELEMENTS AND GROUND IMPROVEMENT
TABLE OF CONTENTS
9-i
TABLE OF CONTENTS
10.1—SCOPE…………………………………………………………………………………………………… 10-1
10.2—DEFINITIONS…………………………………………………………………………………………… 10-1
10.3—NOTATION………………………………………………………………………………………………10-2
10.3.1—Abbreviations………………………………………………………………………………………10-2
10.4—SEISMIC PERFORMANCE AND SCREENING REQUIREMENTS…………………………………..10-3
10.4.1—Seismic Performance Criteria and Design Earthquake Levels……………………………………..10-3
10.4.2—Structural Design Check……………………………………………………………………………10-3
10.4.3—Screening Criteria…………………………………………………………………………………..10-4
10.5—DESIGN GROUND MOTION PARAMETERS…………………………………………………………10-4
10.5.1—Design Earthquakes………………………………………………………………………………...10-4
10.5.2—Ground Motion Hazard Analysis…………………………………………………………………..10-5
10.5.2.1—Earthquake Magnitude and Distance………………………………………………………..10-5
10.5.2.2—Peak Ground Motion Parameters……………………………………………………………10-5
10.5.2.3—Attenuation of Peak Ground Motion Parameters……………………………………………10-6
10.5.2.4—Design Response Spectra………………………………………………….…………………10-6
10.5.2.5—Ground Motion Time Histories………………………………………………………………10-6
10.5.2.6—Spatially Varying Ground Motion Effects………………………………………………........10-7
10.6—SEISMIC LOADS AND LIMIT STATES………………………………………………………..……....10-7
10.6.1—Load Combinations and Load Factors……………………………………………...……………....10-7
10.6.2—Resistance Factors…………………………………………………………………………….........10-8
10.7—SEISMIC SITE CHARACTERIZATION AND DYNAMIC SOIL/ROCK PROPERTIES…………......10-8
10.7.1—General…………………………………………………………………………………………......10-8
10.7.2—Seismic Site Classes…………………………………………………………………………..…....10-8
10.7.3—Dynamic Soil/Rock Properties………………………………………………………………..…....10-8
10.8—SEISMIC DESIGN…………………………………………………………………………………..…...10-9
10.8.1—General…………………………………………………………………………………..………....10-9
10.8.2—Seismic Loading Effects………………………………………………………………….…..…....10-9
10.8.3—Method of Analysis and Assessment—Ground Shaking Effects…………………………….…..10-11
10.8.3.1—Transverse Ovaling/Racking Deformation Effects…………………………………….…..10-11
10.8.3.1.1—Simplified Method for Ovaling Response of Circular Tunnels………………...........10-12
10.8.3.1.2—Simplified Method for Racking Response of Rectangular Tunnels…………….…....10-12
10.8.3.1.3—Numerical Modeling Approach………………………………………………….…..10-13
10.8.3.2—Longitudinal Axial and Curvature Deformation Effects…………………………………...10-16
10.8.4—Method of Analysis and Assessment—Ground Failure Effects………………………………......10-18
10.8.4.1—Liquefaction and Liquefaction-Induced Ground Deformations…………………………....10-18
10.8.4.1.1—Evaluation of Liquefaction Potential………………………………………………...10-18
10.8.4.1.2—Post-Liquefaction Settlements………………………………………………………..10-19
10.8.4.1.3—Liquefaction-Induced Lateral Spreading…...………………………………………..10-19
10.8.4.2—Seismic Slope Instability and Landslides…………………………………….……………..10-19
10.8.4.3—Active Fault Crossing Displacement Effects………………………………………………..10-20
10.9—SEISMIC DESIGN OF TEMPORARY STRUCTURES………………………………………………..10-20
10.10—RETAINING STRUCTURES AND PORTALS……………………………………………………….10-20
10.11—INTERFACES WITH CROSS-PASSAGES AND OTHER STRUCTURES………………………….10-21
10.12—SEISMIC JOINTS………………………………………………………………………………………10-21
10.13—NON-STRUCTURAL COMPONENTS AND EQUIPMENT…………………………………………10-21
10.14—REFERENCES………………………………………………………………………………………….10-21
10-i
© 2017 by the American Association of State Highway and Transportation Officials.
All rights reserved. Duplication is a violation of applicable law.
APPENDIX A
A-i
© 2017 by the American Association of State Highway and Transportation Officials.
All rights reserved. Duplication is a violation of applicable law.
ATTACHMENT A - 2016 AGENDA ITEM 1 - T-20
TABLE OF CONTENTS T-1
Section 1 Introduction
Section 2 General Features and Requirements
Section 3 Loads and Load Combinations
Section 4 Structural Materials
Section 5 Geotechnical Considerations
Section 6 Cut-and-Cover Tunnel Structures
Section 7 Mined and Bored Tunnel Structures
Section 8 Immersed Tunnel Structures
Section 9 Initial Ground Support Elements and Ground Improvement
Section 10 Seismic Considerations
Appendix A Planning and Route Considerations
Appendix B Suggested Construction Specification Sections
SECTION 1 – INTRODUCTION
TABLE OF CONTENTS
Calibration – The selection of load and resistance factors to achieve a specified goal such as uniform reliability, as
is the case with the bridge design specifications, or member proportions consistent with past practice, as is the case
with these Specifications.
Collapse – A major change in the geometry of the tunnel lining or other structural component rendering it unfit for
use.
Component – Either a discrete element of the tunnel or a combination of elements requiring individual design
consideration.
Contract Documents – Drawings, specifications, reports and memoranda that provide direction and/or guidance for
the construction of a tunnel and that form a contractual basis for the work to be performed.
Contractor – Entity responsible for the construction of the tunnel and associated construction engineering.
Cut-and-Cover – Sequence of construction in which a trench is excavated and the tunnel or conduit section is
constructed and then covered with backfill. (AASHTO, 2010)
Design life – Period of time on which the statistical derivation of transient loads is based: 150 years for these
Specifications.
Engineer – Agency, design firm or person responsible for the design of the tunnel and/or review of design related to
field submittals.
Evaluation – Determination of the load carrying capacity of a component or components of an existing tunnel.
Extreme Event Limit States – Limit states relating to events such as earthquakes, flooding, vehicle fire, vehicle and
vessel collision, with return periods in excess of the design life of the tunnel.
Force Effect – A deformation, stress or stress resultant (i.e., axial force, shear force, torsional or flexural moment)
caused by applied loads, imposed deformations, temperature changes or volumetric changes.
Immersed Tunnel – A tunnel constructed from prefabricated elements constructed off the tunnel alignment, floated
into place over the tunnel alignment and placed into a prepared trench. Placement is facilitated by the addition of
ballast to the elements to cause them to be immersed to the pre-determined depth and then joined to the adjacent
element(s) already in place.
Limit State – A condition beyond which the tunnel or component ceases to satisfy the provisions for which it was
designed.
Load Modifier – A factor accounting for ductility, redundancy and the operational classification of the tunnel.
Mined – Any tunnel construction methodology that involves excavation of the tunnel without opening the
excavation to the surface and without the use of a tunnel boring machine, including mechanical excavation, blasting
and hand excavation.
Model – An idealization of a structure or structure – ground system for the purpose of analysis.
Rehabilitation – A process in which the resistance or functionality of a tunnel component or connection is either
restored or increased.
Resistance Factor – A statistically or experience-based multiplier applied to nominal resistance accounting primarily
for variability of material properties, structural dimensions and workmanship, an uncertainty in the prediction of
resistance, but also related to the statistics of the loads through the calibration process.
Service Life – The period of time that the tunnel is expected to be in operation.
Tunnel – Road tunnels as defined by the American Association of State Highway and Transportation Officials
(AASHTO) Technical Committee for Tunnels (T-20) are enclosed roadways with vehicle access that is restricted to
portals regardless of type of the structure or method of construction. The committee further defines road tunnels not
to include enclosed roadway created by highway bridges, railroad bridges or other bridges. This definition applies to
all types of tunnel structures and tunneling methods such as cut-and-cover tunnels, mined and bored tunnels in rock
and soft ground, and immersed tunnels.
Tunnel Boring Machine (TBM) – Machine that excavates a tunnel by drilling out the heading to full size in one
operation. Sometimes called a mole, the TBM is typically propelled forward by jacking off the excavation supports
emplaced behind it or by gripping the side of the excavation (AASHTO, 2010).
C1.3.1
1.3.1 General
The limit states specified herein are intended to
Tunnels shall be designed for specified limit
provide for a buildable, serviceable tunnel capable of
states to achieve the objectives of constructability, safety
safely operating for a specified design life. As defined in
and serviceability, with due regard to issues of
Article 1.2, the design life relates to the return period of
inspectability, maintenance and economy. Additional
the transient loads of the strength limit states and hence
information regarding tunnel systems, planning,
their nominal magnitude. The design life should not be
ancillary facilities and appurtenances can be found in
confused with the service life. As defined in Article 1.2,
Section 2.
the service life relates to the eventual demonstrated
Regardless of the type of analysis used,
durability of the tunnel. The service life of a tunnel is
Equation 1.3.2.1-1 shall be satisfied for all specified
not specified in these Specifications, just as the service
force effects and combinations thereof.
life of a bridge is not specified in the LRFD
The specified 150-year design life is
Specifications, as the durability of tunnels or bridges is
appropriate for the design of tunnel geotechnical features
not well quantified.
and soil-structure-interaction-systems given the high
The resistance of components and connections is
capital costs of rehabilitation and replacement and the
determined, in many cases, on the basis of inelastic
likely importance to the transportation network. Internal
behavior. In other words, the capacity of tunnel
structures such as roadway slabs and suspended ceilings
components used to define their nominal resistance at
as well as system components, such as signs, piping and
the strength limit states is based upon behavior past first
their supports; communication and signal devices and
yield of the material. On the contrary, the force effects
ventilation equipment that are more easily replaced, may
on the load side of the LRFD equation, Equation 1.3.2.1-
have design lives assigned to them by the Owner.
1, are determined using elastic analysis but amplified by
the specified load factors. This apparent inconsistency is
consistent with most modern structural-design codes
including the LRFD Specifications. The application of
this comparison of loads and resistances for design is a
result of incomplete knowledge of inelastic structural
action combined with the behavior of the earth
surrounding the tunnel that acts in concert with the
tunnel structure.
1.3.2 Limit States
Qi = force effect
Rn = nominal resistance
Rr = factored resistance: φRn
For all other limit states: While the LRFD Specifications includes a value
of ηR less than one, in implementation the value is
ηR ≥ 1.00 unused. Traditionally, structural engineers
characterize structures as redundant, ηR = 1.00, or
non-redundant, ηR = 1.05.
ηI ≥ 1.05 for critical or essential tunnels • Tunnels that are required to be open to all traffic
once inspected after the design event and are
= 1.00 for typical and relatively less important usable by emergency vehicles and for security,
2. AASHTO. Technical Manual For Design Of Road Tunnels – Civil Elements, 2010
2.1 SCOPE
2.2 DEFINITIONS
2.3 NOTATION
2.3.1 General
2.3.2 Abbreviations
2.4 TYPES OF ROAD TUNNEL STRUCTURES
2.4.1 Cut-and Cover-Tunnels
2.4.2 Mined Tunnels
2.4.3 Bored Tunnels
2.4.4 Immersed Tunnel
2.4.5 Shafts
2.5 PLANNING AND ROUTE CONSIDERATIONS
2.5.1 General
2.6 DESIGN CONSIDERATIONS FOR INSPECTION AND MAINTENANCE
2.7 CLEARANCE AND GEOMETRIC REQUIREMENTS
2.7.1 Vertical Clearances
2.7.2 Horizontal Clearances
2.7.3 Shoulders and Walkways
2.7.4 Vertical Alignment
2.7.5 Horizontal Alignment
2.7.6 Tunnel Approaches
2.8 SYSTEMS
2.8.1 Codes and Standards
2.8.2 Supervisory Control and Data Acquisition (SCADA) System
2.8.3 Tunnel Ventilation System (TVS)
2.8.3.1 Tunnel Ventilation Operational Modes
2.8.3.2 TVS General Performance Requirements
2.8.3.3 TVS Design Analysis Calculations
2.8.3.3.1 Emissions Ventilation Flow Rate
2.8.3.3.2 Emergency ventilation Capacity
2.8.3.3.3 Egress Calculations
2.8.3.3.4 Fan Sound Attenuation
2.8.3.4 Engineering Design Software
2.8.3.4.1 CFD Flow Modeling Software
2.8.3.4.2 Egress Modeling Software
2.8.4 Drainage System
2.8.5 Lighting
2.8.5.1 Tunnel Lighting System
2.8.5.1.1 Design Approach
2.8.5.1.2 Design Parameters
2.8.5.1.3 Lighting Control System
2.8.5.1.4 Tunnel Lighting Fixture Circuitry
2.8.5.1.5 Tunnel Lighting Fixtures
2.8.5.2 Tunnel Cross Passages, Egress Stairwells and Ancillary Spaces
2.8.5.3 Tunnel Fixed Message Sign Lighting
2.8.6 Electrical Systems
2.8.6.1 General
2.8.6.2 Primary Distribution
Design provisions for road tunnel structures herein This section provides the Engineer with
are categorized in terms of the construction information to determine the overall configuration of
methodology used. Minimum requirements are the tunnel. The tunnel configuration must
provided for: accommodate the vehicles permitted to use the tunnel
• Clearances while providing a safe environment for the travelling
• Environmental protection public during normal and extreme operating
conditions.
• Planning
• Aesthetics of tunnel portals
• Economy
• Rideability
• Durability
• Constructability
• Inspectability
• Maintainability
• User safety
Authority Having Jurisdiction (AHJ) – Office or person charged with enforcing the life-safety code for the tunnel.
Bore – Tunnel construction methodology that employs the use of a Tunnel Boring Machine (TBM).
Construction Portal – The location of the start of mining or boring operations. This location often adjoins a cut-and-
cover section of tunnel that connects to the permanent portal.
Cross Passage – Passageway constructed between two adjacent tunnels to provide access between the tunnels.
Cutter Head – The front end of a mechanical excavator, usually a wheel on a tunnel boring machine that cuts
through rock or soft ground. (AASHTO, 2010)
Element – Pre-fabricated section of an immersed tunnel that is joined with adjacent sections to construct the tunnel.
Face – The ground exposed at the head of the tunnel when tunnel construction is performed by mining or boring.
Invert – On a circular tunnel, the invert is approximately the bottom 90 degrees of the arc of the tunnel; on a square-
bottom tunnel, it is the bottom of the tunnel. (AASHTO, 2010)
Lagging – Wood planking, steel channels or other structural materials spanning the area between ribs.
Liner Plates – Pressed steel plates installed between the webs of the ribs to make a tight lagging, or bolted together
outside the ribs to make a continuous skin. (AASHTO, 2010)
Lining – Structural system constructed in intimate contact with the ground, used to stabilize the tunnel opening and
to support hydrostatic loads.
Mixed Face – The situation when the tunnel passes through two (or more) materials of markedly different
characteristics and both are exposed simultaneously at the face (e.g., rock and soil, or clay and sand).
Permanent Portal – The location where vehicle traffic enters the tunnel during normal operation of the tunnel.
Rib – 1. An arched individual frame, usually of steel, used in tunnels to support the excavation; also used to
designate the side of a tunnel. 2. An H- or I-beam steel support for a tunnel excavation. (AASHTO, 2010)
Segmental Lining – Tunnel lining constructed from segments that make up a ring of support; commonly steel or
precast concrete.
Segments: Sections that make up a ring of support or lining of a mined or bored tunnel; commonly steel or precast
concrete.
Sequential Excavation Method – Construction methodology in which the tunnel is mined in specified sequence to
control ground movements; also known as the New Austrian or North American Tunneling Method (NATM).
Springline – The point where the curved portion of the roof meets the top of the wall. In a circular tunnel, the
springlines are at opposite ends of the horizontal center line. (AASHTO, 2010)
2.3. NOTATION
2.3.1. General
2.3.2. Abbreviations
The tunnel structure types herein are defined by the The construction methodology is dictated by:
methodology used to construct the tunnel. A tunnel type • ground conditions
study should be conducted as part of the planning phase • road typical section
of the tunnel to determine the most appropriate • economics
construction methodology to be used. • environment and available land surrounding
the portals
• risk
Cut-and-cover tunnels are defined as those Cut-and-cover construction may be utilized for the
constructed by excavating a trench, constructing a entire length of the tunnel or only a portion of the tunnel.
concrete structure to create the tunnel opening in the Cut-and-cover methodology may be required when
trench, and covering it with soil. The concrete tunnel constructing a tunnel using mined or bored
structure may be cast-in-place or constructed from methodologies. The cut-and-cover portion of the tunnel
precast elements. Detailed design requirements for this is utilized to bring the tunnel alignment to the depth
type of tunnel are provided in Section 6. required to initiate the mined or bored construction
activities.
Mined tunnels are defined as those constructed Jacked box tunnels are included in the category of
utilizing mechanical excavating equipment or blasting mined tunnels. Jacked box tunnels are prefabricated box
without disturbing the ground surface. The choice of structures jacked horizontally through the ground using
mechanical excavating equipment or blasting is methods to reduce the friction between the ground and
dependent on the ground conditions being excavated. the box. Jacked box tunnels often are used where the
The shape of the excavation is customized to the ground tunnel is required to be very shallow and it is not
conditions and geometric functional requirements of the possible to disturb the surface, for example beneath
tunnel. The excavated ground typically requires initial active runways at airports or under railway
support prior to the construction of a permanent lining. embankments.
Mined tunnels in competent rock may also be unlined. Mined tunnels include those constructed utilizing the
Detailed design requirements for this type of tunnel are sequential excavation method.
provided in Section 7. Mined tunnels may be constructed in free air or under
compressed air.
Bored tunnels are defined as those constructed The TBM consists of a shield to temporarily support
through the use of specialized equipment known as the ground, a cutter head for excavating the ground and
tunnel boring machines (TBMs) without disturbing the removing the muck, and supporting equipment.
ground surface. The excavation process may be TBM’s utilized for rock tunneling may include
performed in free air or may require a pressurized face gripper pads to provide forward thrust for the TBM.
depending on ground and groundwater conditions. A TBM’s for soft ground and some rock tunnels may
bored tunnel may be unlined or lined. Detailed design include an array of jacks to provide forward thrust for
requirements for this type of tunnel are provided in the TBM.
Section 7.
Shafts are defined as vertical or steeply inclined Shafts are typically used for emergency egress and
excavations that connect the tunnel to the ground ventilation when required by the length of the tunnel.
surface, and are located between the tunnel portals.
Shafts may be excavated from the surface or from
underground back to the surface. Shafts are not
addressed in this specification.
The selection of the type of tunnel shall be based on There are multiple components to vehicular
the geometrical configurations, ground conditions, type transportation systems, including surface roads, bridges,
of crossing and environmental requirements. viaducts or tunnels. The selection of a road tunnel over
other components for a project (or a portion of a project)
is typically determined prior to the design phase. Road
tunnels are often selected to shorten travel times and
distance, avoid surface traffic congestion or surface
disturbance or to cross physical barriers such as
mountains, rivers or other water bodies.
The choice for location of tunnels shall be supported Tunnel planning is typically subject to NEPA, 42
by analyses of alternatives, which is typically completed U.S.C. 4321 – 4347, since most tunnel projects likely
during the planning and National Environmental Policy involve Federal funding or Federal approval, triggering
Act (NEPA) phase of tunnel projects. The Preferred NEPA. For roadway tunnels involving federal funding,
Alternative is typically identified in the final NEPA the following NEPA regulations are applicable:
decision document (e.g., Final Environmental Impact
Statement (FEIS)/Record of Decision (ROD), Finding of • 40 CFR Part 1500-1508, CEQ Regulations for
No Significant Impact (FONSI)) as the final approved Implementing NEPA
location for the alignment. • 23 CFR 771, FHWA, Environmental Impacts
and Related Procedures
Minimum roadway clearance and geometric The requirements of this article are intended to
requirements shall be taken from the latest edition of provide a safe travel environment inside the tunnel
AASHTO’s A Policy on Geometric Design of Highways without imposing undue expense on tunnel owners.
and Streets ((hereafter referred to as the Green Book). Information on existing tunnel shoulder and walkways
Additional guidance is provided in the following can be found in NCHRP Project 20-68A Scan 09-05,
articles. Best Practices for Roadway Tunnel Design,
Construction, Maintenance and Operations, April, 2011.
Clearances to obstacles in the tunnel shall be Obstacles in the tunnel include the tunnel structure,
determined from a dynamic vehicle envelope established signs, signals, light fixtures, antennae, ventilation and
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 2: GENERAL FEATURES AND REQUIREMENTS 2-11
from the vehicles anticipated to use the tunnel. The firefighting equipment, doors in the open position when
dynamic vehicle envelope shall account for the static opening into the roadway, curbs, walkways, railings, etc.
envelop plus dynamic behavior such as bouncing,
suspension failure, vehicle overhang on curves and
lateral movement due to operational characteristics, and
driver error. The dynamic envelope shall be applied to
all areas where a vehicle can travel, including shoulders
and emergency walkways.
The tunnel horizontal alignment shall be as short as Maintaining a tangent through as much of the tunnel
practical and maintain as much of the alignment on as practical will result in the shortest tunnel with the
tangent as practical. When required, horizontal curves accompanying effect of reducing the cost of the tunnel.
shall be in accordance with the Green Book except as
The need for tunnel systems shall be based upon the It is recommended that the operation and
length, location and alignment of the tunnel. Owners maintenance staff be included in the design, detailing
shall undertake studies, including hazard analyses, to and integration of the tunnel systems.
determine the appropriate systems required. Not all
systems specified herein may be required. When
required, systems shall meet the minimum requirements
set forth herein.
Systems shall be integrated to be complimentary and
be able to be monitored from a remote location(s). A
vulnerability study shall be included in the systems
integration design to ensure redundancy in critical
systems and to avoid failures of multiple systems as a
result of the failure of a single system.
Consideration shall be given to the potential of Recent events, such as Super Storm Sandy that
flooding of the tunnel when locating and designing occurred on October 31, 2012, should be considered
system components. System components shall be during the design of tunnel systems. Extreme events in
designed to be resistant to flooding when not possible to coastal areas can cause unanticipated tunnel flooding.
be located outside of areas that could be flooded during Designing resilient, flood resistant systems will result in
and extreme event. a quicker recovery from a catastrophic flood event.
The TVS shall be designed to maintain Most road tunnels require some form of ventilation
environmental conditions within the tunnel and shall to mitigate the accumulation of vehicle emissions, and to
also meet the requirements of NFPA 502 for fire and manage the flow of heat and smoke resulting from a
smoke control. vehicle fire occurring inside the tunnel. Depending on
factors such as tunnel length, tunnel geometry, traffic
mix and traffic volumes, certain tunnels may be capable
of self-ventilating while others require the assistance of
mechanical ventilation systems. Self-ventilating tunnels
rely solely on the movement of traffic to provide enough
air flow through the tunnel to dilute vehicle emissions
and disperse them, typically, through the exit portal.
Mechanical ventilation systems in road tunnels are
typically designed to assist the movement of air
Oxides of Nitrogen
(NOx)*
CFD flow modeling software shall be used for the Commercially available software that satisfy these
fire and ventilation system airflow modeling. The CFD criteria are: FDS (Fire Dynamics Simulator available
software shall be able to: from NIST), CFX (available from ANSYS), FLUENT
(available from ANSYS), SOLVENT (available from
• Predict air temperatures at defined regions, Parsons Brinckerhoff) and STAR-CD (available from
consider the effects of duct leakage, and CD-adapco).
• Predict the region of smoke and heat control
within the tunnel roadway.
Egress modeling software shall have a publicly Commercially available software that satisfy these
available validation report with technical information criteria are: SIMULEX, STEPS (available from Mott
and the following capabilities: MacDonald Group, Limited) and LEGION EVAC
(available from Legion, Limited).
• Simulating various types of tunnel occupants
based on gender and age variations, differences
in body dimensions and mobility, travel speed
and pre-movement time.
• Simulating the tunnel occupant movements as a
function of time.
The lighting design shall comply with the latest Tunnel lighting consists of lighting for the tunnel
applicable manuals listed in 2.8.1. approach and roadway, emergency exit pathways and
The tunnel lighting shall be designed to provide ancillary spaces within the tunnel. This article
adequate daytime illumination in the entrance portion of establishes the basic design requirements for the tunnel
the tunnels, so that motorists can drive a vehicle safely roadway lighting system.
and efficiently at the posted speed conditions, as well as
supporting the eye adaptation of the motorist to lower
lighting levels in the interior of the tunnel.
The design methodology of the tunnel lighting The objective is to utilize the most beneficial
system shall be based on ANSI/IES RP-22. Tables 2 & 3 luminance level to ensure driver visibility while
of ANSI/IES RP-22 may be used for preliminary design, controlling initial cost.
but the equivalent veiling luminance (Lseq) method shall An equivalent veiling luminance (Lseq) analysis
be used for final design. determines the adaptation of the eye of an approaching
motorist for that specific day/time/condition. After
determining the adaptation of the driver, formulas can
then be applied to determine how much lighting is
needed inside the tunnel in order see a hazard on the
The design parameters that influence the selection Light loss factors are adjustments that are made in
of the lighting design are: (LLF), luminaire efficiency order to adjust the lighting calculations to anticipated
and distribution, reflectance of the interior surfaces; and field conditions. This overall adjustment is dependent on
tunnel geometry. LLF is calculated as follows: a series of recoverable and non-recoverable factors
which will affect the lighting system’s operation from
LLF = (LAT) x (VF) x (RSDD) x BO x (LLD) x the time the system is first turned on, through the life of
(LDD) the system. Refer to ANSI/IES RP-22 for additional
Eq. 2.7.5.1.2-1 information and guidance in determining appropriate
values for the equation shown.
VF = Voltage factor
Determination of the proper dirt depreciation factor The single largest light loss factor in tunnels is dirt
should be through discussions with maintenance depreciation. Depending on the operating environment
personnel and expected environmental conditions of dirt, and cleaning cycles used, dirt can reduce the output of
road spray, and vehicle exhaust. the luminaires by over 50 percent.
The tunnel lighting control system shall be designed A luminance sensor, lighting contactors, and a
to operate automatically and maintain a predetermined controller cabinet are the necessary components of a
ratio of outdoor luminance to threshold and transition lighting control system. The sensor sends an analog
zone luminance for each roadway, under all weather signal to the controller and the corresponding output
conditions, during daytime operating hours. The system level is switched on or off using lighting contactors,
shall prohibit response to sudden and short duration (less depending on the frequency received.
than 15 minutes) light level changes and shall respond The use of lighting controls can greatly improve the
only to steady and long duration (more than 15 minutes) ability of the tunnel lighting system to adapt to changing
changes. daylight conditions so that when approaching and
The controller shall also consider the ability to entering the tunnel, it is easier to ascertain conditions
monitor multiple luminance sensors located throughout directly beyond the tunnel entrance. Illuminating a
the tunnel, to monitor the maintained luminance level. tunnel roadway to its highest level of lighting is only
When any of the luminance meters sense that the necessary during bright and sunny days. Otherwise,
lighting level is less than a specified set point, the considerations should be incorporated into the design to
system shall provide an alert identifying the need for save energy whenever possible. A typical lighting
maintenance to the lighting fixtures. control scheme is depicted in the Table C2.7.5.1.3-1.
The lighting control system may be integrated into
the SCADA system.
Luminaires shall provide the necessary A tunnel environment requires a high level of
luminance/control while physically staying outside the corrosion resistance and dust and dirt tolerance. Fixtures
dynamic traffic envelope. All luminaires within the and the electrical distribution system are exposed to salt
tunnel shall be watertight and corrosion resistant to and certain levels of sulfuric acid created from diesel
protect their interiors from periodic high-pressure wash vehicle exhaust. Components also have to be used which
downs of the tunnel walls and ceiling. All luminaires tolerate emergency conditions such as fires and if
within the tunnel areas shall be rated for the type of exposed to a fire condition will not cause a hazard
cleaning expected to be used by maintenance personnel. within the tunnel like high smoke generation or toxic
All of the materials used for the lighting fixture gases.
construction and wiring within the tunnel shall meet the
requirements of NFPA 502. Metallic components of
lighting fixtures shall be compatible with the metallic
components of supporting hardware to avoid the
corrosion problems associated with dissimilar metals in
contact with each other.
All ceiling mounted, non-internally illuminated The external illumination of tunnel fixed message
signs located in tunnels shall be externally illuminated signs may be provided by light fixtures dedicated to this
using the luminance or illuminance methods in purpose or illuminated by the general tunnel lighting if
accordance with the following criteria: the lighting criteria is met by the general tunnel lighting
system.
Luminance – 96 candelas per square meter
minimum
2.8.6.1. General
This article specifies minimum requirements for These systems include utilization voltage
secondary distribution systems, i.e., electrical switchgear, motor control centers, distribution, lighting
distribution systems operating at a voltage level below and power panelboards, motor controls, outlets and
the primary distribution system medium voltage at receptacles, raceway systems and wiring.
utilization voltage levels.
2.8.6.4.2. Panelboards
UPS units shall supply uninterruptible power Typical loads that are connected to UPS are:
supplies for selected loads. The loads designated to be
supplied by the UPS shall be determined by the Owner • Traffic surveillance and control system (TSCS)
and/or as required by NFPA 502. Battery protection time equipment.
shall be determined by the Owner. • Communications, SCADA, and fire detection
and alarm systems.
• Selected tunnel, utility room, cross passage and
egress stair lighting.
• Illuminated emergency exit signs.
Egress procedures and assumptions to be observed Additional information regarding signing for tunnel
in the event of a fire in the tunnel shall be developed and egress can be found in NCHRP 20-59(47) Emergency
coordinated with other tunnel systems and components. Exit Signs and Marking Systems for Highway Tunnels.
These procedures and assumptions shall be made in
compliance with all applicable life-safety codes,
agreements and interactions with the Owner, the
authority having jurisdiction (AHJ), third parties and
first responders.
An overall evacuation plan shall be developed that
includes a system of tunnel egress which:
Fire protection shall conform to the requirements of An acceptable methodology for a hazard analysis by
NFPA 502. A hazard analysis as specified by the Owner the Owner is presented in MIL-STD-882E Department
shall be performed to determine which of the fire of Defense Standard Practice, System Safety. This
protection systems included herein are appropriate for document is updated periodically with the ‘E’
inclusion in a specific tunnel. When required, systems designating the latest version as of August, 2013.
shall conform to the minimum requirements described
below.
Consult the AHJ over fire life safety early in the
process of determining the fire protection systems
required for the tunnel. The systems shall be integrated
into a comprehensive tunnel operation and emergency
response plan.
Materials selected for use inside the tunnel for any
purpose shall not produce toxic fumes or any other toxic
by-product when heated.
Fire alarm and detection systems shall be provided The fire alarm and detection system may consist of
in accordance with NFPA 502 and NFPA 72 as well as any number of appropriate devices that are integrated
in accordance with all applicable local fire codes. into a unified system that can be remotely monitored and
can provide notification to tunnel operators, first
responders and motorists of an emergency. Typical
components of a fire alarm and detection system include
automatic heat detectors in the tunnel roadway and
ancillary spaces, automatic smoke detectors in ancillary
spaces, duct smoke detectors, audible communications,
closed circuit television cameras and manual fire alarm
pull stations.
Fire detection systems shall be capable of
identifying the location of the fire within predetermined
zones in order to provide operators with enough
information to engage the appropriate emergency
response systems.
Tunnel fire suppression systems shall be designed in Tunnel fire systems can consist of fixed water-based
accordance with NFPA 502 and all applicable NFPA fire-fighting systems such as deluge systems or
and local standards. Tunnel fire suppression systems sprinklers, fixed dry-agent fire-fighting systems, manual
shall be designed and integrated with other fire and life- fire-fighting systems such as standpipes, fire hydrants
safety systems to produce a comprehensive system that and portable fire extinguishers.
provides functionality, redundancy, durability, ease of
maintenance and safety.
Design criteria for required components of the
tunnel fire suppression system shall be developed in
conjunction with the authorities having jurisdiction
incorporating applicable local codes.
Water-based wet-fixed fire-fighting systems shall be
protected against freezing.
Fire suppressions systems shall be designed to
perform under the environmental conditions expected
within the tunnel, cross passages and ancillary spaces.
Water supplies for fire-fighting shall be verified
with the local utility. Flow quantities for fire-fighting
shall be determined based on the design fire and the fire
suppression system sized accordingly.
Structural fire protection for tunnel interior Structural fire protection can take the form of an
components subjected to the tunnel design fire shall be applied protection layer, sacrificial layers of the
in accordance with the latest edition of Guidelines for structural system, or materials designed to be fire
Structural Fire Resistance for Road Tunnels published resistant in the conditions produced by a the design fire.
by the International Tunnel Association (ITA).
The following shall be considered when selecting
the protection for a particular application:
Tunnel security systems shall be designed to ensure Security systems consist of Access Control Systems
that the roadway, cross passages and ancillary spaces are (ACS), Intrusion Detection Systems (IDS) and a security
Corrosion control falls into three main categories: The purposes of the corrosion control systems are
soil and water corrosion control, stray current corrosion to:
control and atmospheric corrosion control.
• Avoid premature failure of any component
caused by corrosion during the specified
timeframe assigned by the tunnel Owner,
• Minimize annual operating and maintenance
costs associated with material deterioration, and
• Provide continuity of operation by minimizing
corrosion failures.
The atmospheric corrosion conditions, including Alternating wet and dry conditions can contribute to
vehicle exhaust concentrations, shall be derived from a increased corrosion rates of exposed metal structures and
baseline corrosion survey and from local climatological hardware.
data. Designs and associated coating shall be designed to
ITS shall be utilized to stop traffic within the tunnel Traffic control and monitoring ITS are part of an
prior to an incident site, such as a fire, on the approach overall emergency response plan. These components
roads upstream of the incident, until it is deemed safe to should be integrated into the plan so that traffic
proceed by the appropriate authorities. These systems operations are controlled in a manner that is
are also used downstream of the incident site to expedite complimentary to emergency response and evacuation of
the flow of vehicles from the tunnel. the tunnel.
• Non-redundant connections for safety critical Safety critical attachments occur where the failure
attachments shall not be used. of the attachment would result in an ancillary feature
falling into the roadway or walkway or cause damage to
another critical tunnel element.
2. AASHTO - Technical Manual For Design Of Road Tunnels – Civil Elements, 2010
8. CIE 88:2004 – Guide for the Lighting of Road Tunnels and Underpasses
13. IEEE 383 – Vertical Flame Test, IEEE Standard for Qualifying Class 1E Electric Cables and Field Splices for
Nuclear Power Generating Stations
14. ITA – Guidelines for Structural Fire Resistance for Road Tunnels
16. NCHRP 20-59(47) – Emergency Exit Signs and Marking Systems for Highway Tunnels, August 2015.
17. NCHRP 20-68A, Scan 09-05 – Best Practices for Roadway Tunnel Design, Construction, Maintenance and
Operation, April, 2011
18. NCHRP Synthesis 415 – Design Fires in Road Tunnels, National Academies of Sciences, 2011
19. NCHRP Report 525, Volume 12 – Making Transportation Tunnels Safe and Secure, Transportation Research
Board, 2006.
21. NFPA 37 – Standard for the Installation and Use of Stationary Combustion Engines and Gas Turbines
24. NFPA 78 – Safety Code for the Protection of Life and Property Against Lightning
26. NFPA 92B - Standard for Smoke Management Systems in Malls, Atria, and Large Spaces
30. Bickel, Kuesel and King, 2nd ed. (1996) "Tunnel Engineering Handbook"; Chapman & Hall, N.Y.
3.1. SCOPE
3.2. DEFINITIONS
3.3. NOTATION
3.3.1. General
3.3.2. Loads and Load Designation
3.4. LOAD FACTORS AND COMBINATIONS
3.5. PERMANENT LOADS
3.5.1. Dead Loads: (DC, DW)
3.5.2. Earth Pressures: (EV, EH)
3.5.2.1. Cut-and-Cover and Immersed Tunnels in Soft Ground
3.5.2.2. Apparent Earth Pressure (AEP) Diagrams for Design of Braced Support of Excavation (SOE)
Walls used as Part of the Permanent Structure
3.5.2.2.1. AEP Diagram for Cohesionless Soil
3.5.2.2.2. AEP Diagrams for Cohesive Soil
3.5.2.2.2.1. Stiff to Hard Cohesive Soil
3.5.2.2.2.2. Medium Stiff to Stiff Cohesive Soil
3.5.2.2.2.3. Soft to Medium Stiff Cohesive Soil
3.5.2.3. Cut-and-Cover and Immersed Tunnels in Rock
3.5.2.4. Mined Soft Ground Tunnels
3.5.2.5. Mined Rock Tunnels
3.5.3. Surcharge Loads: (ES)
3.5.4. Piping Loads: (PI)
3.6. LIVE LOADS
3.6.1. Gravity Loads: (LL and PL)
3.6.1.1. Vehicular Live Load: (LL)
3.6.1.2. Pedestrian Loads: (PL)
3.6.1.3. Vehicular Dynamic Load Allowance (IM)
3.6.1.4. Attachment Dynamic Load Allowance (IA)
3.6.1.5. Centrifugal Forces (CE) & Braking Forces (BR)
3.6.1.6. Live Load Surcharge (LS)
3.7. WATER LOADS: (WA, WAf, ,WAt, WAttsu)
3.8. AIR PRESSURE LOADS: (AP)
3.9. EARTHQUAKE EFFECT: (EQ)
3.10. FORCE EFFECTS DUE TO SUPERIMPOSED DEFORMATIONS: ( TU, TG, SH, CR, SE, PS)
3.10.1. Uniform Temperature: (TU)
3.10.2. Temperature Gradient : (TG)
3.10.3. Differential Shrinkage: (SH)
3.10.4. Creep: (CR)
3.10.5. Settlement: (SE)
3.10.6. Secondary Forces from Post-Tensioning: (PS)
3.10. BLAST LOADING: (BL)
3.12. FIRE LOAD: (FI)
3.13. SHIP SINKING: (SS)
3.14. ANCHOR DROP: (AD)
3.15. CONSTRUCTION LOADS: (CS)
3.16. REFERENCES
This Section supplements the LRFD The construction methodologies used to construct
Specifications. As such, this Section specifies the each type of tunnel are significantly different. The
minimum requirements for loads and forces, the limits ground loads and water loads imposed on the structures
of their application, load factors and load combinations are dependent upon the construction methodology and
used for the design of the following types of new particular design details as wells as ground and
highway tunnels: groundwater conditions. Also, the estimation of both
ground and water loads have varying degrees of
• Cut-and-cover tunnel structures in soil and uncertainty, depending upon the interaction of
rock subsurface conditions, groundwater conditions, tunnel
• Mined tunnel structures in soil and rock lining stiffness and construction methodology. The
• Bored tunnel structures in soil and rock load factors included in this Section were developed to
constructed using Tunnel Boring Machines address this uncertainty.
(TBM) Other tunnel specific loads including air pressure,
• Immersed tunnel structures in soil and rock blast loading, fire load, ship sinking and anchor drop,
are not dependent upon the construction methodology.
The loads contained in this Section are applicable Below grade portions of the facility include
to the below grade portions of the tunnel facility only. ancillary spaces such as mechanical and electrical
Loadings for retained cuts, elevated structures, equipment rooms and cross passages that are built
ancillary buildings and other related and support between the roadway portions of the tunnel.
structures shall be taken from design specifications Underground spaces constructed in conjunction with
applicable to the structure. support buildings are not included in this specification.
Temporary conditions experienced during tunnel
construction shall be analyzed and checked by the
Engineer based on assumed construction methodology
and sequencing. All assumptions regarding
methodology and sequencing shall be shown on the
contract documents. Contractors who elect to deviate
from the assumptions shown in the drawings are
responsible for verifying the adequacy of their design
and for making required changes in the design based on
their selected means and methods.
Specific design information can be found in the
Sections devoted to each of the tunnel construction
methodologies:
3.2. DEFINITIONS
For definitions not shown see the LRFD Specifications.
Active Earth Pressure – Lateral pressure resulting from the retention of the soil by a structure or component that is
tending to move away from the soil mass.
Apparent Earth Pressure – Lateral pressure applied to an excavation supported either by multiple levels of internal
bracing or ground anchors, which is sequentially excavated downward from the ground surface. Apparent earth
pressure diagrams derived from empirical observations are used to design both the earth retention wall elements and
the internal bracing elements or ground anchors.
At-Rest Earth Pressure – Lateral pressure existing in the soil before it is disturbed by excavation. At-rest pressure
magnitude is a function of the soil formation process and the stress history of the soil subsequent to formation.
Conventionally Mined Tunnel – A tunnel mined using controlled blasting methods or some form of mechanical
excavation other than a Tunnel Boring Machine (TBM).
Design Lane – A notional traffic lane positioned transversely on the tunnel roadway.
Design Water Depth – Water depth at mean high water in tidal water bodies, or defined flood stage for interior
streams, or maximum pool elevation for streams controlled by dams or other flood control facilities, such as levees.
Water depth used to determine design water pressures for sub-aqueous tunnels.
Dynamic Load Allowance – An increase in the applied static force effects to account for the dynamic interaction
between the tunnel and moving vehicles, and for air pressures associated with vehicle movement and the operation
of tunnel ventilation systems.
Final Lining – The permanent tunnel structure, constructed within an excavation which has been supported by
temporary (initial) support elements installed concurrently with excavation.
Fixtures – Fixtures include lighting, signs, signals, fans and other mechanical equipment, conduits, suspended
ceilings, roadway slabs supporting traffic over ventilation ducts and other items attached to the tunnel walls.
Lane – The area of roadway receiving one vehicle or one uniform load line.
Lithification – The process for the formation of sedimentary rock from compaction or consolidation of soil under the
weight of overlying material, often accompanied by the deposition of cementing material in the pore space of the
soil.
Normally Consolidated Soil – A soil for which the current effective overburden pressure is the same as the
maximum pressure that has been experienced.
Overconsolidated Soil – A soil that has been under greater overburden pressure than currently exists.
Overconsolidated soils generally exhibit greater at-rest earth pressures than normally consolidated soils.
Overconsolidation Ratio – Ratio of the maximum preconsolidation pressure to the overburden pressure.
Passive Earth Pressure – Lateral pressure resulting from the soil’s resistance to the lateral movement of a structure
or component into the soil mass.
Permanent Loads – Loads and forces that are, or are assumed to be, either constant upon completion of construction
or varying only over a long time interval.
Rock – Material that is formed by the lithification of soil, the cooling and solidification of molten magma, or the
alteration of existing rocks under conditions of high pressure and high temperature.
Soil – Natural material derived from the decomposition and weathering of rock. Soil that remains in place at its
point of formation is called residual soil. Soil that is eroded, transported away from the location of its formation and
deposited at a remote location is called transported soil.
Squeezing Ground – Ground which generates potentially large pressures on final linings and causes distortion or
failure of temporary (initial) support elements from the release of stresses which have developed over time.
Squeezing ground generally consists of weak claystones mudstones, shales, overconsolidated clays and soft clays.
Swelling Ground – Ground containing minerals that expand upon absorption of water, which can generate pressures
on final linings and cause significant distortion or failure of temporary (initial) support elements.
Temporary (Initial) Support Elements - Support elements installed concurrently with excavation which stabilize the
opening until the final lining can be constructed. Certain types of these elements may perform the dual function of
temporary (initial) support and final lining.
3.3. NOTATION
3.3.1. General
For notation not shown below, refer to the LRFD Specifications
• Transient Loads
AD = anchor drop
AP = air pressure
BL = force effect due to blast
BR = vehicular braking force
CE = vehicular centrifugal force
CS = construction loadings
EQ = earthquake load
FI = force effect due to fire
IA = attachment dynamic load allowance
IM = vehicular dynamic load allowance
LL = vehicular live load
LS = live load surcharge
PL = pedestrian live load
SS = ship sinking
TG = force effect due to temperature gradient
TU = force effect due to uniform temperature
WA = water load
WAf = water load due to flooding
WAt = transient water load
Wtsu = water load due to tsunami
3.3.3. Abbreviations
The total factored force effect shall be taken as: The load factors specified herein and the resistance
factors specified in other sections of these Specifications
Q = ΣηiγiQ i (3.4-1) were calibrated to provide designs with member
proportions consistent with the current practice in tunnel
Where: design. Load factors that differ from the LRFD
Specification do so due to this calibration. Load factors
ηi = load modifier specified in Article 1.3.2 that were not calibrated were carried over from the
γI = load factors specified in Tables 3.4-1 and 3.4-2. LRFD Specification. This initial step in the calibration
Qi = force effects from loads specified herein process is considered preliminary and further work is
warranted to obtain a comprehensive calibration.
Components and connections of a tunnel shall Information regarding the process can be found in
satisfy Eq. 1.3.2.1-1 for the applicable combinations of NCHRP Report 12-89.
factored extreme force effects as specified at each of the These factors are calibrated and not developed from
following general limit states: basic principles. Therefore, the Engineer may use pre-
LRFD practice to verify/validate the design.
• Strength T-I – Basic load combination relating In Table 3.4-1, the variable γp represents load
to permanent ground loading conditions that factors for all of the permanent loads, shown in the first
develop over time after the completion of column of load factors. This variable reflects that the
construction, and to the normal vehicular use of Strength and Extreme Event limit state load factors for
the structure. This limit state shall also apply to the various permanent loads are not single constants, but
normal (non-extreme) conditions for internal they can have two extreme values. Table 3.4-2 provides
tunnel components and to initial ground support these two extreme values for the various permanent load
elements used to support permanent loads in the factors, maximum and minimum. Permanent loads are
finished structure. Strength T-I shall be used for always present, but the nature of uncertainty is that the
the design of fixtures supported by the main actual loads may be more or less than the nominal
tunnel structure, and the connection of the specified design values. Therefore, maximum and
supporting elements attaching those fixtures to minimum load factors reflect this uncertainty.
the main tunnel structure. Fixtures are defined The maximum and minimum values of the load
in Article 3.2. factors do not represent a range of values; rather they
represent two values that should be used when
• Strength T-II – Load combination relating to developing possible load combinations. All possible
the temporary ground loads imposed during combinations should be developed using the two values
tunnel excavation. Also related to construction given. Load combinations using values between the
imposed loading on segmental tunnel linings maximum and minimum values should not be used for
and immersed tunnel segments during design.
fabrication, transportation, handling and
erection or placement. Also related to
temporary (initial) ground support elements not
incorporated into the final structure.
CR Use One of
DC These at a
BR
DW Time
CE
EH
IA
ES WA
IM AP TG TU CS EQ
Load Combination EV Wt AD
LL
Limit State PI FI WAf
LS
PS BL WAtsu
PL
SE SS
SH
Strength T-I γp 1.75 1.0 1.0 γTG 0.5/1.2 - - -
Strength T-II γp - 1.0 - - - 1.3 - -
Extreme Event T-I γp 0.5 1.0 0.5 - - - 1.0 -
Extreme Event T-II γp 0.5 1.0 0.5 - - - - 1.0 -
Extreme Event T-III 0.9 - - - - - - - - 1.1
Service T-I 1.0 1.0 1.0 1.0 γTG 1.0/1.2 - - -
Service T-IA γp - 1.1 - - - - - -
Service T-II 1.0 - 1.0 - - - 1.0 - -
Fatigue T-I
- 1.5 - 1.1 - - - - -
LL, IM & IA only
Load Factor
Type of Load
Maximum Minimum
CR: Creep (using Ieffective) 1.00 1.00
CR: Creep (using Ig) 0.50 0.50
DC: Components & non-structural attachments 1.25 0.90
DC: Service T-IA Only 0.90 N/A
DW: Wearing Surface 1.50 0.65
EH: Horizontal Earth Pressure
- Cut & Cover & Immersed Tunnels
• Active 1.35 0.75
• At-Rest 1.35 0.75
• AEP for Walls with Multiple Levels of Anchors or 1.35 N/A
Braces
- Mined & Bored Tunnels 1.35 0.90
EH: Service T-IA Only 0.95 N/A
EV: Vertical Earth Pressures
- Cut & Cover & Immersed Tunnels 1.35 0.75
- Mined & Bored Tunnels 1.35 0.75
ES: Earth surcharge and foundation loads 1.35 0.75
ES: Service T-IA Only 1.00 0.00
PI: Piping loads 1.30 1.00
PS: Secondary loads due to prestressing (using Ieffective) 1.00 1.00
PS: Secondary loads due to prestressing (using Ig) 0.50 0.50
SE : Settlement 1.30 0.00
SH: Shrinkage (using Ieffective) 1.00 1.00
SH: Shrinkage (using Ig) 0.50 0.50
Dead loads shall include the weight of all The LRFD Specifications include vertical earth
components of the tunnel lining, ceilings, roadway pressure (EV) in the dead load grouping. This has been
slabs, appurtenances, mechanical equipment, signs, modified here to include the EV above cut and cover
signals, systems and utilities attached thereto, wearing and immersed tunnels. EV is included in the dead load
surface, future overlays and loads from planned or grouping for mined and bored tunnels. The calculation
future development. of this load is not always the weight of the earth (soil
In the absence of more precise information, the or rock) above the structure. Soil arching can occur
unit weights specified in Table 3.5.1-1 of the LRFD when the tunnel is deep resulting in lower pressures.
Specifications may be used for dead loads. Rock loads will be a function of the characteristics of
the rock. These loads should be determined by
experienced geotechnical engineers.
Except as specified herein, horizontal earth load on For soils retaining cohesive materials, the effects of
cut and cover tunnels and immersed tunnels shall be soil creep should be taken into consideration in
determined in accordance with the LRFD estimating the design earth pressures. Evaluation of
Specifications. soil creep is complex and requires duplication in the
laboratory of the stress conditions in the field as
discussed by Mitchell (1976).
The provisions of this article shall apply only to For permanent wall elements, numerical analyses,
construction-stage loadings for braced or anchored as defined in Article 3.5.2.5.c.1, are commonly
SOE walls that are also used as the permanent performed to assess structure and ground
structural walls for the tunnel in cut-and-cover displacements, as well as determining load demands
construction. The provisions of this article only apply for the structural elements. Accordingly numerical
to construction stages where multiple levels of anchors analyses should typically be performed for most
or bracing is used. The AEP diagrams provided shall be permanent wall applications. Use of AEP diagrams is
used to check the walls for the temporary bracing or considered more appropriate for preliminary design to
anchored condition for all stages of excavation. The estimate upper bound loads on the wall and on support
design of these walls under permanent condition shall braces and anchors.
be performed separately as presented in the LRFD Anchored walls have the bracing elements
Specifications. external to the excavation, braced walls have the
Except as specified herein, AEP diagrams shall be bracing elements internal to the excavation.
developed in accordance with the LRFD Specifications. AEP diagrams for the temporary braced condition
For top-down constructed structures, a soil- of deep excavations have been developed on the basis
structure interaction analysis that takes into account of field measurements to approximate the distribution
construction staging, soil/wall stiffness and ground of lateral earth pressure upon SOE walls. The envelope
deformation shall be used to estimate lateral earth of expected maximum pressures and their distribution
pressure and ground deformations. along the SOE wall are affected by the excavation
process and cannot be determined by conventional
lateral earth pressure theory. These diagrams are used
for the temporarily braced conditions. For permanent
lateral earth loads, refer to the LRFD Specifications.
Construction of cut and cover tunnels in urban
and suburban areas usually requires a braced
excavation to control deformations and adverse impact
on adjacent surficial development. When SOE walls
are also used as the permanent walls, they are typically
braced in a temporary condition until the permanent
structural slabs are constructed. The provisions of this
section are intended for checking the SOE walls in this
temporary condition.
Bracing of excavations can consist of struts
extending across the excavation or ground anchors
where:
C3.5.2.2.2
3.5.2.2.2. AEP Diagrams for Cohesive Soil
NS = γsH (3.5.2.2.2-1)
Su
where:
1
4
P1
H2
H P2
H
1
2
Hn
Pn
Hn+1
H
1
4
R pa
a) Lateral rock pressure for design of cut and Tetrahedral wedge geometry can be defined when
cover tunnels in rock shall be determined from there are sufficient data on joint dip angle and dip
analysis of tetrahedral or planar failure wedges direction to define wedges. See Section 5 of these
defined by the vertical excavation line and the Specifications for definitions of these terms.
top of rock.
b) When data are insufficient to define
tetrahedral wedges, lateral rock pressures shall
be determined by analyzing planar failure
wedges.
c) Analyses will require values for frictional and This will result in a conservative evaluation of
cohesion components of the shear strength of lateral rock pressure.
individual joints. Section 5 of these
Specifications provides guidance on
determination of these values, as well as
representative values of joint friction for
particular rock types.
d) Surcharge loads, such as weight of soil
overburden and foundation effects shall be
added to the wedge analyses.
e) Alternatively, a nominal rock load consistent Often, there is a gap between the excavated rock
with local practice for the design of building surface and the side of a cut and cover tunnel, and the
foundations in rock may be used. gap is backfilled with soil. When rock excavation is
required for an immersed tube tunnel, the excavated
trench would be wider than the tunnel element,
requiring placement of backfill in the space between
the tunnel wall and the excavated rock surface. For
these cases, the design also needs to consider the
lateral pressure from the soil backfill.
f) For highly fractured and weathered rock,
lateral rock pressures may be determined
assuming properties of an equivalent soil
material.
a) The EV for mined tunnels in soft ground may Numerical analyses performed utilizing finite
be taken as the pressure resulting from the element or finite difference computer software may
total height of ground directly over the tunnel also be used to determine the earth pressures and
crown when the height of ground over the resulting load effects for the design of mined soft
tunnel crown is two times the excavated width ground tunnels.
of the tunnel or less.
b) When the height of ground directly over the
tunnel crown is greater than two times the
excavated width of the tunnel, the minimum
EV shall be the pressure resulting from a
height of soil equal to two times the excavated
width of the tunnel. The arching action of the
Rock loads for initial ground support and final Detailed information including guidance on the use
lining design may be computed by one of the of the methods described in this section can be found
following methods depending on ground in (AASHTO, 2010). Each method has appropriate
conditions, geometry, size and complexity of the applications and limitations.
tunnel being designed. The appropriate method
shall be selected based on the guidance in the
Technical Manual for Design and Construction of
Road Tunnels – Civil Elements (AASHTO, 2010).
Where commercially available software is
used, the Engineer shall be responsible for the
subsequent design.
a) Empirical Methods
1. Rock Load Method as presented in the This method was originally developed by Terzaghi
U.S. Army Corps of Engineers Manual (1946) and modified by Deere and Miller (1967). This
EM- 1110-2-2901 Tunnels and Shafts in method does not account for ground/structure
Rock (USACE, 1997). interaction and the ability of a rock mass to self-
support with or without reinforcement. It is based on
The rock load in ksf is equal to the unit an assumed rock wedge that is supported by the initial
weight of the rock determined by support or final lining. The size of the wedge is a
laboratory testing multiplied by the value function of the tunnel’s excavated width. This method
Hp from Table 3.5.2.5-1. yields conservative results for loadings on the
supporting structure.
Initial and final support structural
elements shall be designed using the final Table 3.5.2.5-1 is adapted from the U.S. Corps of
rock load Hp values given in Table Engineers manual EM-1110-2-2901. Refer to Section 5
3.5.2.5-1. for additional information.
C = B + Ht (3.5.2.5-1)
Where
2. Tunneling Quality Index (Q) developed by This method proposes the use of a Tunneling
Barton, Lien and Lunde (1974), updated by Quality Index (Q) for the determination of rock mass
Grimstad and Barton (1993). characteristics and tunnel support requirements. This
method is based on field observation and case histories
and does not take into account the concept of
ground/structure interaction.
b) Analytical Methods
This method is limited to use with simple
1. Kirsch’s elastic closed form solution. geometries and material models and is therefore of
limited practical value. This method is considered useful
for checking the reasonableness of the design developed
using other methodologies.
c) Numerical Methods
Surcharge loads shall be calculated in accordance Concentrated surcharge loads induced by building
with the LRFD Specifications. Surcharge loads shall and other foundations are typically the result of dead
include loads from existing buildings and other load, live load, wind load and possibly other loads that
infrastructure foundations, loads from planned or future are associated with load factors other than ES. However,
development, and surcharge from future sedimentation the controlling uncertainty in load prediction for
or landslides that could be applied to the tunnel. surcharges is the transmission of the surcharge load
The factored soil stress increase on the tunnel wall through the soil to the tunnel below the surface. Hence,
or lining caused by concentrated surcharge loads or ES should be applied to the unfactored concentrated
stresses from structures constructed adjacent to or above surcharge loads.
the tunnel alignment shall be calculated using the When available, construction plans and other
unfactored surcharge loads generated by the structure information regarding existing buildings should be
multiplied by the load factor ES. consulted to establish realistic surcharge load values and
to determine the point of application of the loads relative
to the position of the tunnel.
3.5.4. Piping Loads: (PI)
A pedestrian load of 0.075 ksf shall be applied to A detailed discussion of the development of the
components inside the roadway portion of the tunnel that pedestrian load is given in the AASHTO LRFD Guide
are subject to pedestrian loads. Specifications for Design of Pedestrian Bridges
The pedestrian live load to be applied to (AASHTO, 2009)
components outside the roadway portion of the roadway
shall be determined by the planned use for the space.
A minimum live load of 0.1 ksf shall be applied to The minimum live load stipulated here accounts for
suspended ceilings over roadways that enclose personnel carrying small tools and light equipment into
ventilation ducts large enough for personnel to enter. the air duct for the purposes of maintenance and repairs.
This load shall be applied to the suspended ceiling in a Tunnel owners may elect to design suspended ceilings
manner that causes the maximum load effect to the for larger loads and should incorporate any special
components, the connections and attachments that operational aspects of the tunnel into the design loading
comprise the suspended ceiling systems. for the ceilings.
Ancillary spaces such as staircases, corridors and These underground spaces may be used in the event
cross passages adjacent to, or between tunnels, shall be of an emergency evacuation of the tunnel and as such
designed for a minimum pedestrian live load of 0.15 ksf. can be congested with motorists exiting the tunnel.
Therefore a larger live load is specified for these spaces.
Spaces containing machinery should be designed for
a live load consistent with the use of the space and local
building codes.
Pedestrian railings shall be designed in accordance
with Section 13 of the LRFD Specifications.
levels shall be determined from historic data and/or toppling walls towards the sea.
modeling. The effects of tsunami and flood water shall
be considered in the design and shall not be combined
with other extreme loads.
When designing for resistance to buoyancy, only the
permanent structural loads shall be used to resist the
effects of buoyancy. The weight of items that could be
removed from the tunnel such as machinery, lighting
fixtures, signs, signals, and architectural finishes shall
not be included in the calculation of the resisting forces.
See Article 8.7.1.2.1 for transient water loads for
immersed tunnels.
Tunnel Data:
Truck Data:
o Length = 60 feet
o Cross Sectional Area = 80 square feet
o Perimeter = 36 feet
o Skim Friction Coefficient = 1.0
o Drag Coefficient = 1.0
o Vehicle Speed = 50 mph
Cases Examined:
o Single truck through the tunnel
o Two trucks side by side
Tunnel elements subject to uniform temperature Examples of tunnel elements that are subject to
change shall be designed in accordance with provisions uniform temperature change included suspended ceilings
of Section 3.12 of the LRFD Specifications. roadway slabs that enclose ventilation ducts.
The temperature gradient between the inside face The temperature gradient described in this Article
(face of tunnel lining exposed to the inside of the tunnel) is the gradient due to temperature differences between
of the tunnel lining and the outside face (face of tunnel the inside and outside face of the tunnel lining due to
lining adjacent to the ground) is a function of the seasonal changes in ambient air temperature inside the
average yearly variation in the outside ambient air tunnel. This provision shall not be used to check the
temperature at the tunnel site. For normal ranges of tunnel lining under fire conditions. For fire loading, see
tunnel lining thickness (< 30”), the temperature gradient Article 3.12.
between the inside and outside face of the tunnel lining The provisions of this section are derived from
may be estimated as 4º F per 20º F variation in yearly research performed in the development of the SES
average outside ambient air temperature. The program software. Reports and background information
temperature gradient shall be checked with both the can be obtained through the U.S. Department of
lower and higher temperature on the inside face of the Transportation, Research & Innovative Technology
tunnel lining. Administration, Volpe National Transportation Systems
Frictional restraint from the foundation and backfill Center.
material shall be considered and may influence Information regarding local ambient temperature
longitudinal axial forces. yearly variations should be determined from historical
records for the location of the tunnel. If more accurate
The effects of settlement of immersed and cut and The settlement described herein is the settlement of
cover tunnel structures shall be evaluated. Ground and the tunnel structure and does not address the effects of
structure settlement due to applied loads, dewatering, settlement and ground movement caused by the tunnel
excavations, tunneling, pile driving and other excavation on adjacent existing structures and
construction activities shall be estimated in designs, infrastructure. These effects should be evaluated as part
using generally recognized procedures and methods of of a tunnel project. Methodologies for predicting ground
analysis. movements due to tunnel excavation can be found in
Differential settlement due to varying ground and Section 6 & 7 of these specifications.
loading conditions longitudinally and transversely shall
be analyzed and the effects of predicted settlement shall
be accounted for.
See Article 8.7.1.1.1 for information regarding
settlement of immersed tunnel sections.
When ground treatment is used that could degrade
with time (for example ground freezing) the effects of
settlement due to the degradation shall be considered
regardless of the construction methodology used to
construct the tunnel.
Where it has been determined that a tunnel or tunnel The size, shape, location and type of explosive
component shall be designed for intentional or charge determine the intensity of the blast effect
unintentional blast effects, the following shall be produced by an explosion. For comparison purposes, all
considered: explosive charges are typically converted to their
equivalent TNT charge weights.
• Size of explosive charge Explosions inside a tunnel create effects very
• Shape of explosive charge different from an explosion in the open air. When an
• Type of explosive explosion occurs in a tunnel, the peak pressure and the
• Stand-off distance impulse associated with the shock front are extremely
• Location of the charge high and amplified by the confining structure. Because
• Possible modes of delivery and associated of the close-in effects of the explosion and the
capacities (e.g., maximum charge weight will amplification of the blast pressures due to reflections
depend upon the delivery method and can within the structure, the distribution of the shock loads
include pedestrians, cars, trucks, buses, etc.) on any one surface is non-uniform and extremely
complicated.
• Fragmentation associated with vehicle-
delivered explosives An explosion in an underground structure produces
an air blast that interacts with the tunnel surface and may
also induce damage to the surrounding ground. The
underground features (tunnel lining and surrounding
ground) go through several cycles of expansion and
rebound (reflection) due to the shock interactions
between the tunnel boundary and the air. The rebound
motion is considered to be the most critical with regard
to the potential separation of a liner from its confining
surrounding grout and/or ground. After or during
separation and fragmentation of the liner, the dynamic
wave propagates through the surrounding medium,
potentially damaging adjacent structures and surface and
underground utilities. The disruption of the intimate
contact between the tunnel lining and the surrounding
medium can cause additional instability in the tunnel
lining due to the fact that the tunnel lining and
surrounding ground rely on each other for stability. This
loss of surrounding ground support can lead to
secondary damage due to unanticipated loading on the
lining resulting in collapse of the tunnel lining.
Other modes of failure of a tunnel lining due to
blast include excessive cracking that lead to excessive
water infiltration and flooding for tunnels under the
groundwater table; breaching of the tunnel lining can
also lead to flooding or the inflow of surrounding earth.
The loss of ground surrounding the tunnel due a breach
could lead to collapse of the tunnel lining or settlement
at the surface.
Post blast analysis of the effects of the explosion
should be a component of the investigation into the
effects of the blast.
Information on blast loads and their effect on
tunnels may be found in S. Choi (2009), FHWA (2003),
NCHRP (2006).
Tunnel elements essential to the stability of the Tunnel elements essential to the stability of the
opening that are directly exposed to the effects of a opening include any element in direct contact with the
vehicle fire in the roadway portion of the tunnel shall be surrounding ground and any element that supports or
designed to resist the heat released by the design fire for braces an element in direct contact with the ground.
a minimum of 1 hour. Analysis of heat transfer to the Owners may elect to include other components or tunnel
material that includes material behavior as it absorbs the elements in this category at their discretion.
heat shall be performed. Additional information can be obtained from the
Alternately, essential tunnel elements can be ITA Guidelines for Structural Fire Resistance of Road
protected from exposure to heat by sacrificial layers, Tunnels (Russell, 2004) and NCHRP Synthesis 415
protective coatings or protective boards. Protective (Maevski, 2011).
measures shall be designed to provide protection against
the heat released by the design fire for a minimum of 1
hour with a maximum temperature at the surface of the
protected element of 250º Celsius.
𝑥 = 0.4𝑁𝑝𝑒𝑛 𝑑𝑒 (3.14-1)
3.0𝑚𝑤
𝑁𝑝𝑒𝑛 = 3.28� 3 ∙ 𝑣𝑖 (3.14-2)
𝐸 𝑟 𝑑𝑒
4𝐴
𝑑𝑒 = � (3.14-3)
𝜋
where
Recommended construction loading types for the The recommended construction loading types are
tunnel construction methodologies are provided in the based on typical loads used in the design of tunnel
Sections specific to the methodology. The Contractor projects. The design for construction loads is highly
shall be responsible for verifying that the construction dependent upon Contractor means and methods.
loadings can be supported by the tunnel structural
components.
3.16. REFERENCES
2. AASHTO. Technical Manual For Design Of Road Tunnels – Civil Elements, 2010
3. Associated Engineers, a Joint Venture of Parsons Brinckerhoff Quade & Douglas, Inc., DeLeuw Cather &
Company, and Kaiser Engineers, “Subway Environmental Design Handbook, Volume I, Principles and
Applications” (SEDH), Second Edition, 1976, NTIS PB254788
4. International Tunneling Association (ITA) (1988). “Guidelines for Structural Fire Resistance for Road
Tunnels”, Working Group Number 6: Maintenance and Repair, May, 2004.
5. American Concrete Institute, “Guide for Determining the Fire Endurance of Concrete Elements (ACI 216R).
6. U.S. Army Corps of Engineers (USACE) (1997). "Engineering and Design, Tunnels and Shafts in Rock" EM 1
1 10-2-2901, May.
7. Terzaghi, K. (1946). "Rock Defects and Loads on Tunnel Supports" Rock Tunneling with Steel Support, R. V.
Proctor and T. White, Commercial Shearing Co., Youngstown, OH: 15-99.
8. Deere, D.U., et al. (1967) “Design of Tunnel Liners and Support Systems”, PB 183799. Customer Services
Clearing-house, U.S. Department of Commerce, Springfield, Virginia.
9. Barton, N., Lien, R., and Lunde, J. (1974). "Engineering Classification of Rock Masses for the Design of
Tunnel Support” Rock Mechanics, Vol. 6, No. 4.
10. Grimstad, E. & Barton, N. (1993).”Updating of the Q-System for NMT. In Kompen, Opsahl & Berg (eds), Proc.
Of the International Symposium on Sprayed Concrete – Modern Use of Wet Mix Sprayed Concrete for
Underground Support, Fagernes.
11. Bieniawski, Z. T. (1992). “Design Methodology in Rock Engineering. 198 pp. Rotterdam: A.A.
12. Bieniawski, Z. T. (1989). “Engineering rock mass classifications: a complete manual for engineers and
geologists in mining, civil and petroleum engineering. 251p., Wiley, New York:
13. International Tunneling Association (ITA) (1997). Immersed and Floating Tunnels State of the Art Report,
Working Group No. 11., Tunneling and Underground Space Technology, Pergamon Press, Vol. 12, No.2
(April).
14. The International Federation for Structural Concrete, Information Bulletin No. 187: “Concrete Structures under
Impact and Impulsive Loading”, August, 1988.
15. Mitchel, J.K. (1976), Fundamentals of Soil Behavior, J. Wiley and Sons
16. Choi, Sunghoon (2009). “Tunnel Stability Under Explosion”, Parsons Brinckerhoff, Incorporated, New York,
New York.
17. McMahon, G.W., “Vulnerability of Transportation Tunnels to Terrorist Attack”, Bridge and Tunnel
Vulnerability Workshop, Sponsored by Federal Highway Administration.
18. Russell, R.A. (2004). ITA Guidelines for Structural Fire Resistance of Road Tunnels, International Tunneling
and Underground Space Association (ITA), Lausanne, Switzerland.
19. Federal Highway Administration (2003), “Recommendations for Bridge and Tunnel Security”, the Blue Ribbon
Panel on Bridge and Tunnel Security, FHWA.
20. Federal Highway Administration, Reference Manual on Earth Retaining Structures, Publication No. FHWA-
NHI-99-025, April 1999.
21. Nation Cooperative Highway Research Program (NCHRP) (2006), “Making Transportation Tunnels Safe and
Secure”, NCHRP Report 525, Transportation Research Board, Washington, D.C.
22. Kirsch, G., (1898). „Die theorie der elastizitat und die bedurfnisse der festigkeitslehre.“Veit. Deit. Ing. 42 (28),
797-807.
23. Maevski, I. (2011). Design Fires in Road Tunnels, NCHRP Synthesis 415, National Cooperative Highway
Research Program (NCHRP) Synthesis, Washington, DC.
24. AASHTO (2009). LRFD Guide Specifications for Design of Pedestrian Bridges, 2nd Edition, American
Association of State Highway and Transportation Officials (AASHTO), Washington, DC.
25. Bickel, Kuesel and King, 2nd ed. (1996) "Tunnel Engineering Handbook"; Chapman & Hall, N.Y.
TABLE OF CONTENTS
4.1. SCOPE
4.2. DEFINITIONS
4.3. NOTATION
4.4. DESIGN REQUIREMENTS
4.4.1. General
4.4.2. Limit States
4.4.3. Load Combinations
4.5. CONCRETE STRUCTURES
4.5.1. Limit States
4.5.1.1. Service Limit State
4.5.1.2. Fatigue Limit State
4.5.1.3. Strength Limit State
4.5.1.4. Extreme Event Limit State
4.5.2. Reinforced and Prestressed Concrete
4.5.2.1. Material Properties
4.5.2.2. Design Considerations
4.5.2.3. Details of Reinforcement
4.5.3. Structural Plain Concrete
4.5.3.1. Material Properties
4.5.4. Fiber Reinforced Concrete (FRC)
4.5.4.1. Material Properties
4.5.4.1.1. Steel Fibers
4.5.4.1.2. Fiber Reinforced Concrete
4.5.4.2. Resistance Factors
4.5.4.3. Design for Flexural and Axial Force Effects
4.5.4.3.1. Assumptions for Service Limit State
4.5.4.3.2. Assumptions for Strength and Extreme Limit States
4.5.4.3.3. Flexural Members
4.5.4.3.3.1. General
4.5.4.3.3.2. Factored Flexural Resistance
4.5.4.3.3.3. Factored Early Age Flexural Resistance
4.5.4.3.3.4. Factored Axial Resistance
4.5.4.3.3.5. Factored Axial/Moment Resistance
4.5.4.3.4. Bearing
4.5.4.3.4.1. General
4.5.4.3.4.2. Factored Bearing Resistance
4.5.4.3.4.3. Factored Splitting Resistance
4.5.4.3.5. Shear
4.5.4.3.5.1. General
4.5.4.3.5.2. Factored Shear Resistance
4.5.4.3.6. Details of Reinforcement
4.5.4.3.6.1. Minimum Dosage Requirements
4.5.5. Shotcrete
4.5.5.1. Details of Reinforcement
4.6. STEEL STRUCTURES
4.6.1. Limit States
4.1. SCOPE
4.2. DEFINITIONS
For definitions not shown, see the LRFD Specifications or the reference document associated with the term.
Aspect Ratio – the nominal length of an individual steel fiber divided by the diameter of the fiber.
Flexural stress – force per unit area at a given distance from the neutral axis, determined using linear elastic
assumptions.
Lattice Girder— a ground support element consisting of an open lattice of three or four steel bars connected by
lacing bars and encapsulated with shotcrete, which is sprayed through the open-work lattice.
Net deflection – the deflection of a beam specimen, measured at mid-span, excluding any extraneous effects due to
seating or twisting of the specimen on its supports, or deformation of the support and loading system.
Neutral axis – the plane of zero stress in a member subjected to flexural stresses.
Peak flexural strength – the maximum flexural tensile stress recorded in a beam test. For a fiber volume fraction of
less than approximately 0.5 percent, the peak strength is equal to the modulus of rupture.
Residual flexural strength - the flexural tensile stress recorded in a beam test at a stated mid-span deflection.
Shotcrete - Sprayed concrete applied as dry mix or wet mix by pneumatic methods. Shotcrete may be either plain
shotcrete, applied alone or reinforced with welded wire fabric, glass-reinforced plastic (GRP) fabric or steel fiber-
reinforced shotcrete (SFRS), which includes deformed steel fibers distributed throughout the shotcrete. Thin layers
of shotcrete (less than 4 in. [100 mm] nominal thickness) placed as surface protection to prevent raveling behaves as
membranes. Greater thicknesses should be analyzed as structural members, either alone or compositely with lattice
girders.
Toughness - The amount of energy absorbed during the cracking process. When a FRC specimen is tested in
flexure, toughness is defined as the area under the load-deflection curve up to a certain deflection. Toughness
represents the ability of FRC to sustain load after it cracks.
Volume fraction – the concentration of fibers in concrete, defined as the volume of fibers per unit volume of
concrete.
4.3. NOTATION
For notations not shown, see the LRFD Specifications or the reference document associated with the definition.
The following notations are applicable to steel fiber-reinforced concrete (FRC):
4.4.1. General
• The spacing s of mild steel reinforcement bars In order to better minimize and distribute
in the layer closest to the tension face shall be cracking in concrete structures, more restrictive criteria
0.95 times that calculated in accordance with than that of the LRFD Specifications is presented as part
the LRFD Specifications. of this design specification. Cracking is a source of
• The provisions governing the control of leakage in underground structures. Limiting cracking
cracking by distribution of reinforcement are through more restrictive service requirements combined
not applicable to structural plain concrete. with dense concrete mixes will tend to minimize leaks
• Deformations for structural plain concrete shall associated with cracking.
be calculated in accordance with the latest
edition of the American Concrete Institute’s
Building Code Requirements for Structural
Concrete (ACI 318).
• Deformations for fiber reinforced shotcrete
The strength limit state shall be investigated in During tunnel construction, the tunnel
accordance with the requirements of Section 5 of the excavation process disturbs the in-situ state of stress.
LRFD Specifications with the following modifications. An immediate state of equilibrium occurs that will result
in initial load effects imposed on the tunnel structure.
• The provisions for segmental construction Strain within the surrounding ground continues to
contained in Section 5 of the LRFD change with time until a final condition of equilibrium is
Specifications are not applicable to segmental reached which will result in the final load effects
concrete tunnel linings or to precast concrete imposed on the tunnel structure. The load effects during
immersed tunnel components. both the short-term (or temporary) condition and the
long-term (or final) are checked using the strength limit
state.
Refer to Section 5 of the LRFD Specifications for Concrete mix designs should be formulated to
reinforced or prestressed concrete material properties. result in dense concrete to minimize the potential of
leakage through the concrete. Dense concrete mixes can
be subject to shrinkage cracking. When designing dense
concrete mixes, the effects of heat of hydration and the
formation of shrinkage cracking should be considered,
and the mix formulated to minimize shrinkage cracks.
The intent of the mix design should be a durable
concrete with low permeability.
Redistribution of moments by empirical formulas Moment redistribution in tunnel linings will occur
for cast-in-place concrete linings shall not be used for as the tunnel lining cracks, resulting in varying moments
the design of bored or mined tunnel linings. Modeling of inertia around the perimeter of the tunnel lining.
redistribution of moments due cracking should be
performed using analysis software that can account for
the ground structure interaction.
• Compressive Strength: The specified The 3.5 ksi minimum compressive strength is
compressive strength for concrete (f'c) shall not required here to accommodate uncertainties in loadings
be less than 3.5 ksi. Otherwise the provisions and the length of time required for the surrounding soil
of Chapter 1 of the latest edition of the and groundwater to reach its permanent loading
American Concrete Institute’s Building Code condition.
Requirements for Structural Concrete (ACI
318) shall apply.
• Coefficient of Thermal Expansion: The
coefficient of thermal expansion of structural
plain concrete should be determined by
laboratory tests on the specific mix used. In the
absence of more precise data, the thermal
coefficient of expansion may be taken as 6.0
10-6/°F for both normal weight and
lightweight concrete.
• Shrinkage and Creep: Values for shrinkage and
creep shall be in accordance with Section 5 of
LRFD Specifications.
• Modulus of Elasticity: The modulus of
elasticity of structural plain concrete shall be as
per the latest edition of the American Concrete
Institute’s Building Code Requirements for
Structural Concrete (ACI 318).
• Poisson’s Ratio: Unless determined by physical
tests, Poisson’s ratio may be assumed as 0.2.
For components expected to be subject to
cracking, the effect of Poisson’s ratio may be
neglected.
The provisions of this article apply to the design of The provisions of this article are based upon
tunnel structural components constructed of normal research summarized in “Fiber Reinforced Concrete for
weight concrete and reinforced with steel fibers cut from Precast Tunnel Structures” (Smith, 2011).
cold drawn wire.
The use of synthetic fibers as structural Concrete tunnel components are often exposed to
reinforcement for concrete tunnel components is extreme heat during fire incidents inside the tunnel.
prohibited. Exposure to high temperatures will cause synthetic
fibers to melt which destroys their load carrying
capacity. Synthetic fibers may be used to increase the
resistance of the concrete to explosive spalling during a
fire event.
If lightweight concrete is used in FRC, all design The use of lightweight concrete is not recommended
parameters must be determined through laboratory for FRC.
testing.
Steel fibers shall be deformed to enhance the Deformed fibers are specified to increase the
pull out strength of the fiber. pullout strength of the fibers. The pullout strength
combined with the bond strength between the fiber and
the concrete accounts for the strength and toughness of
the FRC.
Deformed fibers are available in a variety of
configurations. The performance of FRC is dependent
on the configuration of the deformation and surface
qualities of the fiber, combined with the properties of the
concrete mix.
Performance of the product selected for
inclusion in the FRC shall be verified through
testing.
• Tensile Strength
• Aspect Ratio
• Compressive Strength
The maximum 28-day compressive strength of Higher concrete strengths may result in less ductile
concrete mixes used for FRC shall be limited to failure, due to more fibers breaking instead of gradually
8.0 ksi unless full scale testing is employed to pulling out of the concrete matrix by deforming.
verify that greater strengths may be employed
without detrimental effect to the final structure.
• Modulus of Elasticity
• Modulus of Rupture
Unless determined by physical tests, the In lieu of testing, the peak flexural strength of fiber-
modulus of rupture of FRC for the concrete reinforced concrete may conservatively be taken as the
strength limits shown above shall be modulus of rupture of the plain concrete.
determined in accordance with the LRFD
Specifications.
Resistance factors, φ, shall be taken as: See Smith (2007) for information regarding
The strains in the concrete may be assumed to vary Examples of components for which the
linearly, except in components or regions for which assumption of linearly varying strains may not be
conventional strength of materials is inappropriate, for suitable include deep components such as deep beams,
the design of FRC. corbels, and brackets as defined in the LRFD
Specifications.
• The maximum usable strain at the extreme concrete The stress-strain relationships stated in this section are
compression fiber shall not be taken greater than applicable to FRC meeting the requirements of this
0.003. specification. Alternative stress-strain relationships can
be derived in accordance with ACI 544.8 (Report on
• The relationship between concrete compressive Indirect Method to Obtain Stress-Strain Response of
stress and strain, may be considered satisfied by an Fiber-Reinforced Concrete, subject to approval by the
equivalent rectangular concrete compressive stress owner.
block of 0.85 f’c over a zone bounded by the edges Strain compatibility equations are typically
of the cross-section and a straight line located used to generate interaction diagrams that define the
parallel to the neutral axis at the distance a = β1c capacity of a member under different flexural and axial
from the extreme compression fiber. The distance c load conditions. Load cases are plotted on the same
shall be measured perpendicular to the neutral axis. diagram, and the factor of safety determined. The
The factor β1 shall be taken as 0.85 for concrete demand and capacity must be determined for a
strengths not exceeding 4.0 ksi. For concrete consistent length of tunnel, such as per linear foot.
strengths exceeding 4.0 ksi, β1 shall be reduced at a
rate of 0.05 for each 1.0 ksi of strength in excess of
4.0 ksi, except that β 1 shall not be taken to be less
than 0.65.
• The relationship between tensile stress in the fiber An equivalent rectangular stress block is
matrix and strain, may be considered satisfied by an recommended. A more precise stress-strain relationship
equivalent rectangular concrete tensile stress block can be developed, with stress varying from zero at the
of σ3 over a zone bounded by the edges of the cross- neutral axis, increasing to a maximum value of σ2 close
section and the neutral axis. to the neutral axis, and reducing to σ3 at the extreme
tension fiber. However, the added precision and
Where σ3 = 0.37 f150,3.0 4.5.4.3.2-1 complexity generally provide minimal increase in
capacity.
f150,3.0 is described in section 4.5.4.3.3
The 0.37 factor converts the flexural stress
calculated assuming linear-elastic behavior to direct
tensile stress assuming cracked behavior, with
rectangular stress blocks. See Smith (2011) for more
information.
For components in pure bending, the required fiber Fiber reinforced concrete should not be used for
type and dosage shall be determined through the use of permanent members in pure bending. However, for
manufacturer’s data for specified concrete strengths. temporary load cases, such as handling loads on precast
members, these provisions can be applied.
Mr = φMn (4.5.4.3.3.2-1)
where:
Mn = nominal flexural resistance = f150,3.0 x Sm Residual flexural strength data is typically provided
by manufacturers based on testing in accordance with
ASTM C1609. Values are typically provided based on
φ = resistance factor as specified in Article testing of standard specimens at a mid-span deflection of
4.4.4.2 3 mm. Manufacturers may provide the residual flexural
strength directly, or as a percentage of the peak flexural
Sm = Elastic section modulus strength.
f150,3.0 = Residual flexural strength, according The manufacturer’s data should be certified by an
to the manufacturer’s data. independent testing laboratory. The analysis using
residual flexural strength should use the full/gross
section because, although cracked, the fibers engage
throughout the section, to the extreme tension face.
Residual flexural strengths reported in accordance with
2
𝑓′ 𝑐,𝑑 3
𝑓𝑒,𝑑 = 𝑓𝑒,28 . �𝑓′ � (4.5.4.3.3.3-1)
𝑐,28
where
• Eccentricity
• Axial Loads
• Variable moments of inertia
• Degree of end fixity
• Deflections
• Duration of loads
Pr = φPn (4.5.4.3.3.4-1)
where:
4.5.4.3.4. Bearing
4.5.4.3.4.1. General
Pr = φPn (4.4.4.3.4.2-1)
where:
Pn = 0.85f’cA1m (4.4.4.3.4.2-2)
φ = resistance factor as specified in Article
4.4.4.2
f’c = 28 day compressive strength (psi)
A1 = loaded area (in2)
m = modification factor as per Section 5 of the
LRFD Specifications
Tr = φTn (4.4.4.3.4.3-1)
where:
4.5.4.3.5. Shear
4.5.4.3.5.1. General
Vr = φVn (4.4.4.3.5.2-1)
where:
Vn = 1.33�𝑓’𝑐 bh (4.4.4.3.5.2-2)
and
3 𝜋.𝑑𝑓 2 .𝑙𝑓
𝑠=� (4.4.4.3.6.1-1)
4.𝑣𝑓
where:
The provisions of this section shall apply to the Applying shotcrete is a process of installing
design of tunnel structural components constructed of concrete at a high velocity. In general if applied
reinforced, unreinforced, and fiber-reinforced shotcrete. correctly, its behavior and properties are not different
from concrete. Shotcrete typically has a compressive
Unless otherwise specified herein, design of the strength similar to normal and high-strength concrete,
tunnel components constructed using reinforced but hardened properties are operator-dependent.
shotcrete, unreinforced shotcrete and fiber-reinforced Because shotcrete is installed at a high velocity, it will
shotcrete shall conform to the requirements of Articles have a higher density than conventional concrete in most
4.5.2, 4.5.3 or 4.5.4 respectively. cases. The increased density will provide reduced
permeability and higher durability. shotcrete mixtures
Definitions and notation shall be as per the latest can in fact exceed the compressive strength of most
edition of the American Concrete Institute’s Guide for mixtures used for placed walls. The compaction that
Specifying Underground Shotcrete (ACI 506.5R). occurs during application of shotcrete helps achieve
improved compressive strength and durability, and low
Shotcrete proportions shall be selected that allow water-cementitious material ratios of shotcrete mixtures
suitable placement procedures using the delivery produce other benefits, including reduced shrinkage and
equipment selected and shall result in finished in-place lower permeability. A well designed shotcrete mix that
hardened shotcrete meeting the strength requirements of provides the proper material properties for shotcrete
this specification. placement is essential to the successful installation of the
product.
Supplementary cementitious materials like fly ash, Proper placement is an important component in
silica fume and slag cement may be used in shotcrete achieving good shotcrete results. Defects that occur in
applications to improve workability, durability and shotcrete can be due to poor placement. Proper handling
chemical resistance. of the material components of the shotcrete at the
construction site is also an important component in
achieving good shotcrete results.
Steel fibers may be used in shotcrete to improve the Synthetic (polypropylene) fibers may be used
flexural strength, ductility, and toughness. Plastic fibers in shotcrete to improve placement, limit cracking and
shall not be used for these purposes. improve performance during fires. Synthetic fibers are
not permitted for strength applications due to the fact
that they melt during fire events.
4.5.5.1. Details of Reinforcement C4.5.5.1
Reinforcement details shall be in accordance with For additional information with regard to
the LRFD Specifications, Article 4.4 of these reinforcement details see the latest edition of “ACI 506R
Specifications and as specified herein: Guide to Shotcrete, Reported by ACI Committee 506”,
and the “International Building Code”.
• The maximum size of reinforcement shall be
No. 5 bars unless it is demonstrated by
preconstruction tests that adequate encasement
of larger bars will be achieved.
The provisions of this section shall apply to the Lattice girders are structural members made of bars
design of permanent tunnel structural components with an open lattice. The girder, once encapsulated with
constructed using steel lattice girders. shotcrete that has sufficiently cured, can provide initial
support for openings and acts together with the shotcrete
as an arch. The shotcrete between the girders acts as
lagging between these arches.
The structural design of tunnel components The main advantage of the lattice girder is its ability
constructed from lattice girders shall conform to the in working with shotcrete. Because of the open nature of
requirements of the Article 4.5 of this specification the lattice girder's construction, shotcrete passes through
except as modified or supplemented herein: it, reducing the potential for unconsolidated shotcrete
areas behind the girder. The shotcrete can be applied
• All lattice girders shall consist of three or four evenly producing an integral lining. On the other hand,
primary retaining bars connected by stiffening some minimum stiffness is required to make sure that
components. the individual bars in the lattice girder will not deform
• The spacing and size of the bars used in a during the shotcrete application process.
lattice girder shall be designed to allow Lattice girders provide important functions in the
shotcrete to penetrate into, and behind, the tunneling process. They could be used as:
girder with a minimum of shotcrete shadows. • Temporary ground support once encapsulated
• The maximum centerline spacing of the with shotcrete.
stiffening components shall be less than three • Support for steel bar or fabric reinforcement of
times the height of the girder to assure stability the shotcrete lining shell.
against buckling. • Add to the reinforcement for the overall
completed lining.
Some important aspects for designing the lattice
• Provide a template for initial ground support
girders that shall be considered during the design
limits.
process are:
4.8.1.2. Notation
4.8.3.1. General
The tunnel response due to blast shall be defined by The blast referenced here is due to vehicle accidents
the Owner. or intentional explosions intended to do harm to the
tunnel.
4.8.6. Shear
4.9. REFERENCES
2. AASHTO. Technical Manual For Design Of Road Tunnels – Civil Elements, 2010
3. American Concrete Institute, ACI-318-14, Building Code Requirements for Structural Concrete and
Commentary
4. American Concrete Institute, ACI-350-06, Code Requirements for Environmental Engineering Concrete
Structures
5. American Concrete Institute, ACI 544.8R-16 (Report on Indirect Method to Obtain Stress-Strain Response of
Fiber-Reinforced Concrete, 2016.
6. Bickel, Kuesel and King, 2nd ed. (1996) "Tunnel Engineering Handbook"; Chapman & Hall, N.Y.
7. Smith, D. 2011, Fiber Reinforced Concrete for Precast Tunnel Structures, Parsons Brinckerhoff, Inc., New
York, NY.
TABLE OF CONTENTS
5.1 SCOPE
5.2 DEFINITIONS
5.3 NOTATION
5.4 GEOTECHNICAL INVESTIGATION
5.4.1 General
5.4.2 Office Studies
5.4.2.1 Review of Existing Reports
5.4.2.2 Review of Historic Maps
5.4.2.3 Imagery Evaluation
5.4.3 Field Reconnaissance and Geologic Mapping
5.4.4 Geotechnical Borings
5.4.5 In-Situ Tests and Sampling of Soil and Rock
5.4.5.1 Soil Sampling
5.4.5.2 Rock Coring
5.4.5.3 Bore Hole Sealing
5.4.6 Geophysical Tests
5.4.7 Laboratory Tests
5.4.7.1 Soil Tests
5.4.7.2 Rock Tests
5.4.8 Groundwater and Surface Water Investigation
5.5 SELECTION OF SOIL AND ROCK PARAMETERS FOR DESIGN
5.5.1 General
5.5.2 Soil Strength
5.5.2.1 Undrained Shear Strength of Cohesive Soils
5.5.2.2 Drained Strength of Cohesive Soils
5.5.2.3 Drained Strength of Granular Soils
5.5.3 Soil Deformation
5.5.4 Rock Shear Strength
5.5.5 Rock Deformation Modulus
5.5.6 Poisson’s Ratio
5.6 ENVIRONMENTAL ISSUES
5.7 INSTRUMENTATION AND MONITORING
5.8 GEOTECHNICAL REPORTS
5.8.1 Geotechnical Data Report
5.8.2 Geotechnical Baseline Report
5.9 GEOTECHNICAL DESIGN MEMORANDA
5.10 REFERENCES
The provisions of this section shall apply to the The geotechnical considerations presented in this
geotechnical considerations for planning, design, section include the geotechnical investigation program
evaluation and rehabilitation of road tunnels. and the development of geotechnical parameters for
Geotechnical considerations that shall be evaluated for planning, design and construction of road tunnels. The
tunnels include, but are not limited to: information gathered during the investigation program
will also be used for geotechnical design analyses,
• Historical, physical and structural geology constructability studies and the development of
• Identification and characterization of soil and rock geotechnical reports. The provisions included in this
units section are based on the guidelines presented in
• Identification of variation of ground conditions Technical Manual for Design and Construction of Road
along tunnel alignment Tunnels – Civil Elements (AASHTO, 2010), relevant
• Identification of geological hazards (e.g., landslides, provisions included in AASHTO LRFD Bridge Design
rock fall, debris flows, fault zones) Specifications (herein referred to as LRFD
• Determination of the groundwater regime and Specifications), and the FHWA Geotechnical
evaluation of short-term and long-term impacts of Engineering Circular No. 5 – Evaluation of Soil and
the tunnel on it Rock Properties (FHWA, 2002).
• Evaluation of soil permeability and rock Successful planning, design and construction of a
conductivity for dewatering considerations highway tunnel require the use of various types of
investigative techniques to obtain a broad spectrum of
• Identification of type and location of hazardous and
pertinent topographic, geologic, subsurface,
explosive gases in the ground
hydrogeological and structural information and data.
• Identification of hazardous materials requiring
Although most of these techniques and procedures are
mitigation or special disposal methods
similar to those applied for roadway and bridge projects,
• Identification and location of underground
the specific scope, objective and focus of the
obstructions and boulders
investigations are considerably different for tunnel
• Identification and location of karst terrain, caverns, projects and can vary significantly with subsurface
abandoned mines and development of mitigation conditions and tunneling methods.
measures
• Identification of seismicity and seismic hazards
• Identification of potentially active faults along the
tunnel alignment or nearby
• Location of volcanic centers/hydrothermal activity
• Characterization of groundwater chemistry.
• Development of ground loads for tunnel design
(short-term and long-term loadings)
• Development of hydrostatic pressures for tunnel
design
• Evaluation of ground loss, ground deformations and
consolidation settlement caused by tunneling
• Evaluation of long-term and time-dependent ground
settlement
• Evaluation of impact of tunneling on nearby
structures and utilities
• Evaluation of disposal or use of excavated material
• Evaluation of the seismic response of the tunnel
• Evaluation of soil and rock conditions for
application of ground improvement measures
• Evaluation of ground behavior for soft ground
tunnels
• Evaluation of rock jointing for stability analysis and
rock reinforcement design
• Evaluation of rock abrasion characteristics for
tunnel boring machine (TBM) cutter wear
• Ground/structure interaction analysis
• Stability analysis for soil and rock slopes for cut-
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 5: GEOTECHNICAL CONSIDERATIONS 5-3
and-cover excavations
• Development of geotechnical instrumentation
program
5.2 DEFINITIONS
Bedding— The layering in a sedimentary rock unit. Rock units range from thinly bedded (less than 2 inches between
bedding planes) to massively bedded (greater than 10 feet between bedding planes).
Bedding Plane— A smooth, continuous plane in a sedimentary rock unit, parallel to the bedding; often a weakness
plane.
Boulder — A rock fragment with a maximum edge dimension greater than 12 inches, with no upward limit.
Boulders may be found disseminated throughout deposits of cohesionless and cohesive soil or may be concentrated
in dense layers.
Breccia — A zone of fractured rock often associated with a fault. If the breccia zone is porous, it can be a source of
significant initial and sustained water inflows into a tunnel excavation. The breccia zone may include soil material
filling the pore space between rock fragments.
Cobble — A rock fragment ranging in size from 3 inches to 12 inches. Cobbles may be found disseminated
throughout deposits of cohesionless and cohesive soil or may be concentrated in dense layers.
Core Stone — A rock fragment with a maximum edge dimension greater than 12 inches, with no upward limit. Core
stones are masses of rock surrounded by highly weathered to decomposed rock as a result of in-situ weathering.
Cohesionless Soil — A soil composed of visible soil particles. Cohesionless soils include non-plastic silt, sand,
gravel, cobbles and boulders. Shear strength of cohesionless soils is developed from inter-granular friction. Many
natural cohesionless soil deposits have a minor fraction of cohesive soil which adds a cohesion component to shear
strength.
Cohesive soil — A soil composed principally of sub-microscopic particles. Cohesive soils generally are
characterized as clays and plastic silts. Electrical charges on the surface of the plate or rod-shaped soil particles
develop a shear strength component that is known as cohesion. Many natural deposits of cohesive soils have minor
fractions of cohesionless soil.
Fault — A fracture in a rock mass with significant indication of displacement. Fault thickness may range from
inches, to hundreds of feet.
Gouge — A zone of finely comminuted soil and rock material often associated with a fault. Gouge material can
range from clay to sand size, but may include cobble or boulder size material in the same gouge zone.
Igneous rock — Rock formed by the cooling and solidification of molten magma. Examples of igneous rocks
include basalt, gabbro, granite and rhyolite.
Joint — A fracture in the rock mass with minimal indication of displacement. Joints are secondary features that
develop after formation of the rock unit. Joints may be formed by tensile or shear forces caused by cooling of
magma, or folding or faulting of the rock unit.
Lithification — The process for the formation of sedimentary rock from compaction or consolidation of soil under
the weight of overlying material and often accompanied by the deposition of cementing material in the pore space of
the soil.
Metamorphic Rock — Rock formed by the alteration of existing rock under conditions of high temperature and high
pressure. Examples of metamorphic rocks include gneiss, phyllite, schist and slate.
Parting — A thin layer of one type of sedimentary rock embedded within a sedimentary rock unit of different
lithology. Often a weakness plane, such as a shale parting in a sandstone or limestone unit.
Rock — Material that is formed by the lithification of soil, the cooling and solidification of molten magma or the
alteration of existing rocks under conditions of high pressure and high temperature.
Sedimentary Rock — Rock formed by the lithification of deposits of sand, silt, clay, gravel, cobbles and boulders, or
the precipitation of calcium carbonate and magnesium carbonate from water.. Examples of sedimentary rocks
include claystone, conglomerate, dolomite, limestone, mudstone, sandstone, shale and siltstone.
Shear Zone — An area of concentrated shears. Distance between individual shears in a shear zone can be highly
variable.
Slickenside — A smooth, polished and often striated surface on a rock joint or in stiff to hard cohesive soils.
Soil — Natural material derived from the decomposition and weathering of rock. Soil that remains in place at its
point of formation is called residual soil. Soil that is eroded, transported away from the location of its formation and
deposited at a remote location is called transported soil.
5.3 NOTATION
5.3.1 General
For notation not shown below, refer to the LRFD Specifications
5.3.2 Abbreviations
ft Foot/feet
GBR Geotechnical Baseline Report
GDM Geotechnical Design Memoranda
GDR Geotechnical Data Report
GSI Geological Strength Index
ksf kips per square footNATM New Austrian Tunneling Method
OCR Overconsolidation ratio
PMT Pressuremeter
RMR Rock Mass Rating
RQD Rock Quality Designation
SASW Spectral analysis of surface waves
SCPTu Seismic CPTu
SEM Sequential Excavation Method
SOE Support of excavation
SPT Standard Penetration Test
TBM Tunnel boring machine
UU Unconsolidated undrained
VST Vane Shear Test
A geotechnical investigation program for a tunnel Geotechnical investigation includes all preparatory
project shall use appropriate means and methods to office and field work to develop the subsurface
obtain necessary characteristics and properties as the investigation and field/laboratory testing program, as
basis for planning, design and construction of the tunnel well as the subsurface investigation program and other
and the related underground facilities, to identify the investigations needed to obtain information for planning,
potential construction risks, and to establish a realistic design and construction of a tunnel. In general, an
cost estimate and schedule. At a minimum, the investigation program for a highway tunnel project may
geotechnical investigation shall be performed to provide include the following components:
information required for evaluation of stability of
excavation/tunneling, design of the tunnel structures, • Existing information collection and study
impact of excavation/tunneling on nearby utilities and • Surveys and site reconnaissance
structures, groundwater conditions and the short-term • Geologic mapping
and long-term impact of tunnel construction on these • Subsurface investigations
conditions, and identification of potential obstructions • Field and laboratory testing
and construction risks. • Geophysical testing
The extent of the investigation program shall be
• Test pits
consistent with the project scope (i.e., location, size,
• Environmental studies
budget), the project objectives (i.e., risk tolerance, long-
• Seismicity evaluation
term performance), anticipated site variability and the
project constraints (i.e., geometry, constructability, • Geospatial data management
third-party impacts, aesthetics and environmental • Groundwater evaluation
impact).
Because the alignment and profile may often
deviate from those originally anticipated, phasing of the
subsurface investigations may provide an economical
and rational approach for adjusting to these deviations.
The elements of the process that shall precede the The performance of a geotechnical investigation
subsurface investigation and field and laboratory testing program is part of the process of obtaining information
program, include a review of local and regional relevant for the design and construction of tunnels.
geological publications, a search and review of Examples of unpublished information include subsurface
published and unpublished information at and near the data and construction records from the tunnel owner, and
project location, review of available imagery and a from government agencies, utility owners and private
detailed field reconnaissance of the tunnel site and its owners of nearby structures and facilities. Unpublished
immediate vicinity. The geotechnical investigation information may also be available from individuals with
program shall be developed by a geotechnical engineer local experience from previous projects in the vicinity of
knowledgeable of tunnel design and construction the tunnel, or with tunneling within the same geologic
requirements. The geotechnical investigation program formations.
shall be appropriate for the project requirements and Special investigation needs based on tunneling
data needs for planning, design and construction. methods and anticipated geology along the tunnel profile
are summarized in Tables C5.4.1-1 and C.5.4.1-2,
respectively.
The guidelines included in this article for the For further information on planning a geotechnical
geotechnical investigation program shall be considered investigation program, refer to Technical Manual for
as minimum requirements and shall be supplemented Design and Construction of Road Tunnels – Civil
with additional investigation and testing depending on Elements (AASHTO, 2010), the FHWA reference
the nature of the project and the subsurface conditions manual on subsurface investigations (FHWA, 2002a),
encountered during investigation. and the AASHTO Bridge Design Specifications (2014),
At a minimum, the subsurface investigation
component of the geotechnical investigation shall
consist of borings, Standard Penetration Tests (SPT),
undisturbed sampling in cohesive soils, double or triple
tube core barrel coring and packer testing in rock,
groundwater measurements and Cone Penetration Tests
(CPT) within soil deposits and laboratory testing on
Available materials relating to geological and Detailed office study of existing reports, geology
subsurface conditions shall be reviewed and evaluated references, historic maps and evaluation of imagery can
prior to developing a boring program for the project. A maximize the results of the geotechnical investigation
list of documents reviewed shall be included in the program by providing a general overview of the project
Geotechnical Data Report (GDR). Potentially relevant geologic environment for planning of the subsurface
actions are included herein. investigation program, as well as indications of potential
problem zones that may require detailed investigation.
Maps and imagery are also useful in assessing
accessibility to possible boring locations, especially in
rural or mountainous locations, where construction of
access roads or clearing of landing zones for helicopter
access for drill rigs may be required.
Existing reports may include geologic reports and Geologic reports discuss the mineralogy of the
maps prepared by the U.S. Geological Survey and the different rock types in the project area, structural
various state geological agencies, county agricultural geology and groundwater. County agricultural soil
soil maps published by the U.S. Department of maps, published by the U.S. Department of Agriculture,
Agriculture and geotechnical and/or construction reports are on an aerial photographic base, show the distribution
prepared for other projects in the tunnel project vicinity. of rock types and agricultural soils within the county and
contain various engineering soil classification properties,
using the AASHTO system, for the different soils.
Geotechnical reports prepared for other projects in the
tunnel project vicinity may contain extremely valuable
information, irrespective of project age. Construction
reports, if available, can also provide extremely useful
information.
Historic maps may include both planimetric and Historic maps show terrain conditions and changes
topographic maps. in terrain conditions. Locations of former marsh areas
and stream areas shown on historic maps can be of
assistance in planning effective boring programs, by
identifying locations of potentially adverse ground
conditions. Historic maps can also provide useful
insight about previous land use and site development.
Various types of imagery may include those from Imagery evaluation is important for evaluating
various U.S. government and state agencies, county and possible stability issues at portal locations in both rural
municipal governments, regional planning agencies and and urban locations, where tunnels may pass though
private companies. significant geologic features, and where inactive
landslides may be present. Based on the evaluation
using imagery, relocation of portals may be indicated as
desirable within overall project location constraints.
Table C5.4.1-1 Special Investigation Needs Related to Tunneling Methods (after AASHTO, 2010; Bickel et
al. 1996)
Cut-and-Cover Plan exploration to obtain design parameters and define groundwater conditions
for excavation support, assessment of excavation base stability, seepage analyses
and dewatering or seepage cut-off systems. Also, define conditions to reliably
determine appropriate and cost-effective location to change from cut and cover to
mined tunnel or Tunnel Boring Machine (TBM) tunnel construction.
Drill and Blast Obtain data needed to determine blasting patterns and sequencing, estimate stand-
up time, determine initial (temporary) support requirements, estimate overbreak
and evaluate water inflow.
Rock Tunnel Boring Obtain data on rock hardness to determine cutter ware, cutter costs and
Machine (TBM) penetration rate. Obtain data to estimate stand-up time to determine if an open-
type machine will be acceptable or if a fully shielded TBM is necessary.
Determine adequacy of rock to support loads from gripper pads. Evaluation of
immediate and sustained water inflow.
Roadheader Obtain data on jointing to evaluate if roadheader will be plucking out small joint
blocks or must grind rock away, and to estimate overbreak. Obtain data on
hardness of rock to predict cutter/pick costs and advance rate. Also, evaluation of
immediate and sustained water inflow.
Shielded Soft Ground TBM Obtain data for assessing stand-up time important to face stability and the need
for breasting at the face, as well as to determine the requirements for filling tail
void. Need to fully characterize and define limits of potential mixed-face
conditions. Also, evaluation of immediate and sustained water inflow.
Pressurized-Face (Earth Obtain reliable estimate of groundwater pressures and of strength and
Pressure Balance and Slurry permeability of soil (or rock) to be tunneled. Obtain data to predict size,
Shield) Tunnel Boring distribution and amount of boulders or core stones. Need to fully characterize and
Machines define limits of potential mixed-face conditions.
Compressed Air Borings must not be drilled on the alignment, and must be carefully grouted to
avoid loss of compressed air into old boreholes. Identify strata where air loss may
occur. Identify hazardous gases that may migrate due to tunnel air pressure.
Sequential Excavation Requires comprehensive geotechnical data and analysis to predict behavior, and
Method(SEM)/New to classify the ground conditions and ground support systems into multiple
Austrian Tunneling Method categories based on the estimated behavior. Obtain data for design of tunnel
(NATM) supports. Assess potential for ground swelling. Also, evaluate water inflow.
Immersed Tube Obtain soil data to reliably design dredged slopes, to predict rebound of the
dredged trench, estimate settlement of the completed immersed tube structure and
evaluate liquefaction potential. Also identify and assess potential obstructions
and/or rock ledges. Determine appropriate and cost-effective locations to
transition to cut and cover or bored/mined tunnels. Obtain data for excavation
support for trenching that extends inboard of shoreline.
Jacked Box Tunneling Obtain data to estimate soil skin friction and to determine the method of
excavation and support/ground treatment needed at the heading. Also obtain data
to design reaction thrust blocks. For launch and receiving pits, obtain data as
noted for cut and cover tunnels.
Portal Construction Obtain data to determine appropriate and cost-effective location of portals and to
design temporary and final portal structures. For portal excavations, obtain data
as noted for cut and cover tunnels.
Shafts Obtain data to identify appropriate and cost-effective locations for the shafts. At
each shaft location, obtain data as noted for cut and cover tunnels.
Table C5.4.1-2 Geotechnical Investigation Needs Dictated by Geology (AASHTO, 2010; Bickel et al., 1996)
Hard or Abrasive Rock • Difficult and expensive for TBM or roadheader to excavate. Investigate, obtain
samples and conduct lab tests to provide parameters needed to predict rate of
advance and cutter costs.
Mixed-Face • Especially difficult for wheel type TBM
• Particularly difficult tunneling condition in soil and in rock. Should be
characterized carefully to determine nature and behavior of mixed-face and
approximate length of tunnel likely to be affected for each mixed-face
condition. Size and concentration of boulders or core stones in mixed-face
conditions often are significant.
Karst • Potentially large cavities along joints, especially at intersection of master joint
systems; small but sometimes very large and very long caves capable of
generating undesirably large sustained inflows of groundwater.
Gypsum/Pyrite • Potential for removal of soluble gypsum or expansion of pyrite because of
change of groundwater conditions during and after construction. Evaluate muck
disposal issues.
Salt or Potash • Creep characteristics and, in some cases, thermal-mechanical characteristics are
very important.
Saprolite • Investigate for relict structure that might affect behavior.
• Depth and degree of weathering; important to characterize especially if
tunneling near rock-soil boundary.
• Different rock types exhibit vastly differing weathering profiles.
• Size and concentration of core stones in saprolitic soils often are significant
parameters.
High In-Situ Stress • Could strongly affect stand-up time, support requirements and deformation
patterns, both in soil and rock tunnels. Should evaluate for rock bursts or
popping rock in particularly deep tunnels. Conduct in-situ stress testing, such as
hydrofracture tests or overcoring, where applicable.
Low In-Situ Stress • Investigate for open joints that dramatically reduce rock mass strength and
modulus and increase permeability. Often potential problem for portals in
downcut valleys and particularly in topographic “noses” where considerable
relief of strain could occur.
Hard Fissured or • Lab tests often overestimate mass physical strength of soil. Large-scale testing
Slickensided Soil and/or exploratory shafts/adits may be appropriate.
Gassy Ground • Test for hazardous, toxic and explosive gasses: methane and hydrogen sulfide as
a minimum.
Adverse Geological • Faults
Features Known or suspected active faults. Investigate to determine location and
estimate likely ground motion.
Inactive faults are still sources of potentially difficult tunneling conditions
o Faults sometimes act as dams and other times as drainage paths to
groundwater.
o Fault gouge sometimes a problem for strength and modulus.
High temperature groundwater
• Collect samples for chemical tests.
• Sedimentary Formations
Frequently highly jointed
Concretions could be problem for TBM
Presence of weak layers or seams
Continued on next page
Table C5.4.1-2 (Cont’d) Geotechnical Investigation Needs Dictated by Geology (AASHTO, 2010; Bickel et
al., 1996)
Table C5.4.1-2 (Cont’d) Geotechnical Investigation Needs Dictated by Geology (AASHTO, 2010; Bickel et
al., 1996)
For a rural project , the field reconnaissance team For a tunnel project in rural terrain, the
should be composed of a multi-discipline team that reconnaissance will identify accessibility constraints to
includes expertise in geotechnical engineering, geology, the portal locations, both for subsurface investigation
structures, alignments, estimating, and management and construction purposes.
from both the design consultant and the Owner. Access requirements for remote boring locations
can also be confirmed, assisting in preparation of
specifications for boring access road construction,
including acceptable cut slopes, erosion control
requirements, stream bridging/fording requirements,
stream siltation protection requirements and site
restoration requirements. Certain federal and state
agencies, e.g., U.S. Forest Service, have very specific
requirements relating to temporary road construction and
restoration.
If a need for helicopter transportation of drill rigs is
identified, specifications for landing zone preparation,
maintenance and restoration can be prepared. Also, the
feasibility of pumping drilling water from nearby steams
vs. requirements for water trucks can also be evaluated
during the field reconnaissance.
For an urban project, the field reconnaissance team For a tunnel project in an urban area, the field
may be limited to staff with expertise in geotechnical reconnaissance can identify surface structures in the
engineering and structures. portal areas that must be removed or supported.
Overhead obstructions and subsurface utilities that may
interfere with boring operations can be identified and
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 5: GEOTECHNICAL CONSIDERATIONS 5-14
Borings shall be used to identify subsurface For the most part, field classification of soil for a
stratigraphy and to obtain disturbed and undisturbed tunnel project is similar to that for other geotechnical
samples for visual classification and laboratory testing. applications, except that special attention must be given
Borings shall be sufficient in number and depth to to accurately defining and documenting soil grain size
establish a reliable subsurface profile at areas of concern characteristics and stratification features. Items of
(e.g., variations in soil deposits and/or rock formations) particular importance to tunnel projects are listed below:
and to investigate any geologic hazards (e.g., karstic
formations, mined out areas, swelling/collapsible soils, • Groundwater levels (general and perched levels),
existing fill/waste areas, fault/shear zones, layers evidence of ground permeability (loss of drilling
susceptible to liquefaction, slope instability potential) fluid, rise or drop in borehole water level; etc.), and
that could impact the tunnel design, construction and evidence of artesian conditions.
performance. • Consistency and strength of cohesive soils
Table 5.4.4-1 shall be used as guidance for • Composition, gradation and density of cohesionless
determining the number and locations of borings. The soils
final number of borings shall be adjusted based on the • Presence of lenses and layers of higher permeability
variability of the anticipated subsurface conditions for soils
the project, as well as the conditions encountered during • Presence of gravel, cobbles, boulders and core
execution of the investigation program. Additional stones, and potential for nested boulders or
borings shall be provided to better define localized concentrated core stones
geologic hazards, such as faults and slope instability, • Maximum cobble/boulder/core stone size from
and for assessing potential impacts and protection coring and/or large diameter borings (and based on
measures at existing structures and facilities. For understanding of local geology) and the unconfined
economy, the program should be staged to gather the compressive strength, abrasiveness and hardness of
amount of information appropriate to the stage of project cobbles/boulders/core stones (from field index tests
development (i.e., planning, preliminary design, final or laboratory testing of recovered samples)
design, etc.). • Presence of cemented soils
Borings for tunnels and shafts shall extend to at
• Presence of contaminated soil or groundwater
least 1.5 tunnel/shaft diameters below the proposed
tunnel/shaft invert unless there is uncertainty regarding
In rock, rock mass characteristics (e.g.,
the final profile of the tunnel. Borings for cut-and-cover
discontinuities) as well as special intact rock properties
tunnels and portals shall extend at least 1.5 times the
are of interest for tunnel projects. In addition to general
depth of the portal excavation for design of the support
rock lithology and discontinuity descriptions (e.g.,
of excavation (SOE) system and portal structure
predominant joint sets with strike and dip orientations,
foundations. This requirement may be waived if the
joint roughness, joint persistence, joint spacing, joint
portal excavation extends into rock. In that case,
weathering and infilling), other information that should
exploration generally should be advanced below the
be noted include:
excavation invert until a minimum continuous core
recovery of 85% is recorded with rock quality
• Presence of faults or shear zones
designation (RQD) greater than 50 over a length of 20
feet. • Presence of intrusive material (volcanic dikes and
If there is uncertainty regarding the final profile of sills)
the tunnel, the borings should extend at least two to three • Presence of voids (solution cavities, lava tubes, etc.)
times the tunnel diameter below the preliminary tunnel • Groundwater levels, artesian pressure, and evidence
invert level. of rock permeability (loss of drilling fluid, rise or
drop in borehole water level, etc.)
Table 5.4.4-1 Guidelines for Vertical/Inclined Borehole Spacing (after AASHTO, 1988; AASHTO 2010)
Structure Type/Ground Conditions Typical Borehole Spacing
Cut-and-Cover Tunnels 100 to 300 ft
Rock Tunneling
Adverse conditions, closely jointed to sheared and folded rock 50 to 200 ft
Favorable conditions, moderately to widely jointed or massive rock 500 to 1,000 ft
Soft Ground Tunneling
Adverse conditions, soft compressible soils or significant groundwater issues. 50 to 100 ft
Favorable conditions, moderately dense to very dense or stiff to hard soils 300 to 500 ft
Mixed-Face Tunneling
Adverse conditions, irregular and variable rock contact 25 to 50 ft
Favorable conditions, relatively uniformly varying rock contact 50 to 75 ft
In-situ tests may be performed to obtain For further information on in-situ testing and
deformation and strength parameters for soil and rocks sampling of soils and rocks relevant to highway tunnels
for design/analysis purposes. At a minimum, in-situ and limitations refer to Technical Manual for Design
tests shall be conducted in soils that do not lend and Construction of Road Tunnels – Civil Elements
themselves to undisturbed sampling as a means to (AASHTO, 2010)). The in-situ tests usually used for
estimate design parameters. When performed, in-situ soils and rock are presented in Tables C5.4.5-1 and
tests shall be conducted in accordance with the C5.4.5-2.
appropriate ASTM or AASHTO standards. When in-situ test results are used to estimate design
Whenever in-situ tests are performed, several of the properties through correlations, such correlations should
in-situ test holes shall be performed adjacent to be well established through long-term wide spread use
geotechnical borings to assist in the interpretation of soil or thorough detailed measurements that illustrate the
classifications at other in-situ test locations, and to accuracy of the correlation.
provide correlations between in-situ test data and Often, CPT soundings are performed in soil to
laboratory test results. obtain in-situ test data to complement the data obtained
A soil/rock sampling program shall be developed to from geotechnical borings and laboratory soil tests. CPT
obtain necessary information for planning, design and soundings are an economical means of providing a
construction of the tunnel. larger number of exploration locations in comparison to
geotechnical borings. In addition, when considered
appropriate by the PGE, CPT soundings may be used to
replace some of the geotechnical borings, particularly at
sites requiring a large number of borings.
Continuous rock core generally shall be obtained It is desirable to preserve the rock cores retrieved
below the surface of rock, with a minimum core from the field properly until the construction is
diameter of NX-size (diameter of 2.16 in.). completed and disputes/claims are settled. Common
At the discretion of the PGE, based on his/her practice is to photograph the rock cores in core boxes
evaluation of project geology, the continuous rock and possibly scan the core samples for review by
coring requirement may be waived for very deep holes. designers and contractors.
In that situation, coring may begin two to three tunnel Drilling through a significant depth of soil and rock
diameters (widths) above the crown of the tunnel. The above the tunnel horizon using conventional soil
boring may be advanced by rotary drilling methods from sampling techniques and rock coring is a significant
the ground surface to the start of coring operations. A expense that may yield limited useful information for
post-completion ATV survey may be desirable in this deep tunnels. In such cases, an economical approach
situation if the geologic environment is complex. may be to limit soil sampling and rock coring to zones
Double or triple tube core barrels shall be used to within and near the tunnel horizon. The limits of
obtain high quality cores representative of the in-situ sampling and coring should be determined by a
rock. For deeper holes, coring shall be performed with geotechnical engineer who is knowledgeable of
the use of wire-line drilling equipment to further reduce tunneling and the geologic formations within the project
potential degradation of the recovered core samples. site.
Core runs shall be limited to a maximum length of 10
feet in moderate to good quality rock, and five feet in
poor quality rock.
Table C5.4.5-1 In-situ Testing Methods Used in Soil (After FHWA, 2002a; AASHTO, 2010)
Method Procedure Applicable Applicable Soil Limitations / Remarks
Soil Types Properties
Electric Cone A cylindrical probe is Silts, Estimation of soil Excellent tool for providing
Penetrometer hydraulically pushed sands, type and detailed continuous profile of soil
(CPT) vertically through the soil clays and stratigraphy characteristics and can capture
measuring the resistance at the peat Sand: φ′, Dr, σho′ thin layers often missed by
conical tip of the probe and conventional SPT tests.
along the steel shaft; Clay: su, σp′ No soil sample is obtained; The
measurements typically probe may become damaged if
recorded at one to two inch testing in gravelly soils is
intervals attempted
Piezocone Same as CPT; additionally, Silts, Same as CPT, If the filter element and ports are
Penetrometer penetration porewater sands, with additionally: not completely saturated, the pore
(CPTu) pressures are measured using clays and Sand: uo / water pressure response may be
a transducer and porous filter peat table elevation misleading; Compression and
element wear of a mid-face (u1) element
Clay: σp′, ch, kh will effect readings; Test results
OCR not particularly good for
estimating deformation
characteristics
Seismic Same as CPTu; additionally, Silts, Same as CPTu, Excellent tool for obtaining shear
CPTu shear waves generated at the sands, with additionally: wave velocity profile of the soil
(SCPTu) surface are recorded by a clays and Vs, Gmax, Emax, which represents maximum soil
geophone at three ft. intervals peat ρtot, eo stiffness, a key parameter for
throughout the profile for estimating deformation
calculation of shear wave characteristics, at small strains
velocity and seismic evaluation of soil
response.
First arrival times should be used
for calculation of shear wave
velocity (if first crossover times
are used, the error in shear wave
velocity will increase with depth)
Flat Plate A flat plate is hydraulically Silts, Estimation of soil Membranes may become
Dilatometer pushed or driven through the sands, type and deformed if over-inflated;
(DMT) soil to a desired depth; at clays and stratigraphy Deformed membranes will not
approximately to 12 inch peat Total unit weight provide accurate readings; Leaks
intervals, the pressure required in tubing or connections will lead
to expand a thin membrane is Sand: φ′, E, Dr, mv to high readings; Good test for
recorded; Two to three Clays: σp′, Ko, su, estimating deformation
measurements are typically mv, E, ch, kh characteristics at small strains
recorded at each depth.
Pre-bored A borehole is drilled and the Clays, silts, E, G, mv, su Preparation of the borehole most
Pressure bottom is carefully prepared and peat; important step to obtain good
meter (PMT) for insertion of the equipment; marginal results; Provides useful
The pressure required to response in information for calculation of
expand the cylindrical some sands lateral deformation characteristics
membrane to a certain volume and gravels
or radial strain is recorded.
Table C5.4.5-1 (Cont’d) In-situ Testing Methods Used in Soil (After FHWA, 2002a; AASHTO. 2010)
Method Procedure Applicable Applicable Soil Limitations / Remarks
Soil Types Properties
Full A cylindrical probe with a Clays, silts E, G, mv, su Disturbance during
Displacement pressure meter attached and peat advancement of the probe will
Pressure behind a conical tip is lead to stiffer initial modulus
meter (PMT) hydraulically pushed through and mask liftoff pressure (po);
the soil and paused at select Provides useful information for
intervals for testing; The calculation of lateral
pressure required to expand deformation characteristics
the cylindrical membrane to a
certain volume or radial strain
is recorded
Vane Shear A four-blade vane is Clays, su, St, σp′ Disturbance may occur in soft
Test (VST) hydraulically pushed below some silts sensitive clays, reducing
the bottom of a borehole, then and peats if measured shear strength;
slowly rotated while the undrained Partial drainage may occur in
torque required to rotate the conditions fissured clays and silty
vane is recorded for can be materials, leading to errors in
calculation of peak undrained assumed; calculated strength; Rod
shear strength; The vane is not for use friction needs to be accounted
rapidly rotated for 10 turns, in granular for in calculation of strength;
and the torque required to fail soils Vane diameter and torque
the soil is recorded for wrench capacity need to be
calculation of remolded properly sized for adequate
undrained shear strength measurements in various clay
deposits
Table C5.4.5-2 Common in situ Test Methods for Rock (after USACE, 1997; AASHTO, 2010)
Parameter Test Method Procedure / Limitations / Remarks
In situ Stress Hydraulic Typically conducted in vertical boreholes. A short segment of the hole is
Fracturing sealed off using a straddle packer. This is followed by the pressurization by
pumping in water. The pressure is raised until the rock surrounding the hole
fails in tension at a critical pressure. Following breakdown, the shut-in
pressure, and the lowest test-interval pressure at which the hydrofracture
closes completely under the action of the stress acting normal to the
hydrofractures. In a vertical test hole, the hydrofractures are expected to be
formed vertical and perpendicular to the minimum horizontal stress.
Interpretation of hydrofracturing tests can be difficult at depths less than 150
feet below ground surface.
Overcoring Drills a small diameter borehole and sets an instrument to respond to changes
in diameter into it. Rock stresses are determined indirectly from
measurements of the dimensional changes of a borehole, occurring when the
rock volume surrounding the hole is isolated from the stresses in the host
rock. Maintaining correct drill hole orientation is of critical importance.
Flat Jack Test This method involves the use of flat hydraulic jacks, consisting of two plates
of steel welded around their edges and a nipple for introducing oil into the
intervening space. Flat jack is inserted into the slot, cemented in place and
pressurized. When the pins have been returned to the initial separation, the
pressure in jack approximates the initial stress normal to the jack. Usually
performed in an exploratory tunnel/adit. Disturbance of stress field around
exploratory tunnel/adit is a concern.
Modulus of Plate Bearing A relatively flat rock surface is sculptured and leveled with mortar to receive
Deformation Test circular bearing plates 20 to 40 inches in diameter. The rock surface is
loaded and the resulting displacement is monitored. This is easily arranged in
an exploratory tunnel/adit. The site should be selected carefully to exclude
loose, highly fractured rock.
Borehole A borehole expansion experiment conducted with a rubber sleeve. The
Dilatometer Test expansion of the borehole is measured by the oil or gas flow into the sleeve
as the pressure is raised, or by potentiometers or linear variable differential
transformers built inside the sleeve. One problem with the borehole
dilatometer test is that it affects a relatively small volume of rock and
therefore contains an incomplete sample of the fracture system.
Flat Jack Test This method involves the use of flat hydraulic jacks, consisting of two plates
of steel welded around their edges and a nipple for introducing oil into the
intervening space. Provide measurement points on the face of the rock and
deep slot (reference points). Modulus of deformation can be calculated from
the measured pin displacements.
Radial jacking Loads are applied to the circumference of a tunnel by a series of jacks
test reacting against circular steel ring members. This test allows the direction of
load to be varied according to the plan for pressuring the jacks.
Pressuremeter The pressure required to expand the cylindrical membrane to a certain
volume or radial strain is recorded in a borehole. It is applicable for soft
rocks.
Continued on next page
Table C5.4.5-2 (Cont’d) Common in situ Test Methods for Rock (after USACE, 1997; AASHTO, 2010
Parameter Test Method Procedure / Limitations / Remarks
Dynamic The velocity of stress waves is measured in the field. The wave velocity can
Measurement be measured by swinging a sledgehammer against an outcrop and observing
the travel time to a geophone standing on the rock at a distance of up to
about 150 ft. The stress loadings sent through the rock by this method are
small and transient. Most rock masses depart significantly from the ideal
materials, consequently, elastic properties calculated from these equations
are often considerably larger than elastic properties calculated from static
loading tests, particularly in the case of fractured rocks.
Imaging and Acoustic ATV produce images of the borehole wall based on the amplitude and travel
Discontinuities Televiewing time of acoustic signals reflected from the borehole wall. A portion of the
reflected energy is lost in voids or fractures, producing dark bands on the
amplitude log. Travel time measurements allow reconstruction of the
borehole shape, making it possible to generate a 3-D representation of a
borehole.
Borehole Video The Borehole Video System (BVS) is lowered down boreholes to inspect the
geology and structural integrity. The camera view of fractures and voids in
Televiewing
boreholes provides information.
Permeability Slug Test Slug tests are applicable to a wide range of geologic settings as well as
small-diameter piezometers or observation wells, and in areas of low
permeability where it would be difficult to conduct a pumping test. A slug
test is performed by injecting or withdrawing a known volume of water or air
from a well and measuring the aquifer’s response by the rate at which the
water level returns to equilibrium. Permeability values derived relate
primarily to the horizontal conductivity. Slug tests have a much smaller zone
of infiltration than pumping tests, and thus are only reliable at a much
smaller scale.
Packer Test It is conducted by pumping water at a constant pressure into a test section of
a borehole and measuring the flow rate. Borehole test sections are sealed off
by packers, with the use of one or two packers being the most widely used
techniques. The test is rapid and simple to conduct, and by performing tests
within intervals along the entire length of a borehole, a permeability profile
can be obtained. The limitation of the test is to affect a relatively small
volume of the surrounding medium, because frictional losses in the
immediate vicinity of the test section are normally extremely large.
Pumping Tests In a pumping test, water is pumped from a well normally at a constant rate
over a certain time period, and the drawdown of the water table or
piezometric head is measured in the well and in piezometers or observation
wells in the vicinity. Since pumping tests involve large volumes of the rock
mass, they have the advantage of averaging the effects of the inherent
discontinuities. Most classical solutions for pump test data are based on the
assumptions that the aquifers are homogeneous and isotropic, and that the
flow is governed by Darcy's Law. The major disadvantage is the period of
time required to perform a test. Test durations of one week or longer are not
unusual when attempting to approach steady-state flow conditions.
Additionally, large diameter boreholes or wells are required since the
majority of the conditions encountered require the use of a downhole pump.
Geophysical tests shall be used only in combination Application of geophysical testing methods and
with information from direct methods of exploration to other relevant information regarding subsurface
establish location and identification of the subsurface investigation for highway tunnels are presented in
materials, the profile of the top of bedrock and bedrock Tables C5.4.6-1 and C5.4.6-2.
quality, the depth to groundwater, the limits of soil layers, ASTM D6429, Standard Guide for Selecting
the limits of organic deposits, the presence of voids, the Surface Geophysical Methods, provides additional
location and depth of utilities, the location and depth of guidance on selection of suitable methods.
existing foundations and other obstructions, etc.
Geophysical tests shall also be used to define the Vs is a parameter that is needed to compute the
shear wave velocity profile of soil and rock formations, maximum shear modulus Gmax for analysis of
Vs. This parameter, Vs, is an essential parameter for deformations around tunnels and excavation in some
estimating small strain deformation around tunnels and geotechnical software that employ finite element
excavations, especially in urban areas. This parameter, Vs, and finite difference methods. It is also a parameter
is also essential for seismic site response evaluation and needed in seismic site response analysis.
can be used in liquefaction evaluation of soil
The shear wave and pressure wave velocities of the
geologic strata required for seismic design shall be
evaluated using cross-hole seismic logging, suspension
logging, spectral analysis of surface waves (SASW),
Multichannel analysis of surface waves (MASW), or
similar. For preliminary assessment, dynamic properties
based on empirical correlations (e.g., correlations with
measured SPT values or laboratory measured undrained
shear strength) may be used in the absence of measured
data.
Table C5.4.6-1 Applications for Geophysical Testing Methods (after AASHTO, 1988; AASHTO, 2010)
Laboratory testing shall be performed to provide For further information on laboratory soil tests, refer
basic data with which to classify soils and to provide to the FHWA Geotechnical Engineering Circular No. 5
parameters for design and modeling purposes. When – Evaluation of Soil and Rock Properties (Sabatini et al.,
performed, laboratory tests shall be conducted in 2002).
accordance with AASHTO, ASTM, or Owner-supplied
procedures applicable to the design properties needed.
When performed, laboratory tests shall be Standard rock tests used to evaluate physical
conducted in accordance with ASTM or owner-supplied properties of the rock include density and mineralogy
procedures applicable to the design properties needed. tests (thin-section analysis). The mechanical properties
Laboratory tests shall be used in conjunction with field of the intact rock core include uniaxial compressive
tests and field characterization of the rock mass to give strength, tensile strength, static and dynamic elastic
estimates of rock mass behavioral characteristics. constants, hardness and abrasiveness indices.
TBM performance rates shall be assessed through
specialized tests including three drillability and
boreability tests, namely, Drilling Rate Index (DRI), Bit
Wear Index (BWI), and Cutter Life Index (CLI).
Joint shear strength may be evaluated using
laboratory direct shear tests.
Depth to groundwater shall be recorded at all Groundwater is a major factor for tunnels since it
boreholes during drilling. Groundwater levels within the may not only represent a large percentage of the loading
limits of the tunnel shall be monitored periodically on the final tunnel lining, but also it largely determines
within groundwater observation wells or piezometers ground behavior and stability for soft ground tunnels;
over a prolonged period of time to provide information the inflow into rock tunnels during construction; the
on seasonal variations in groundwater levels. An method and equipment selected for tunnel construction;
appropriate minimum monitoring period shall be at least and the long-term performance of the completed
12 months, but preferably 24 months, during the project structure. Accordingly, for tunnel projects, special
design period. Monitoring shall also continue during attention must be given to defining the groundwater
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 5: GEOTECHNICAL CONSIDERATIONS 5-25
construction to provide information on the influence of regime, aquifers, sources of water, any perched or
tunneling on groundwater levels. artesian conditions, water quality, temperature, depth to
In addition to groundwater levels, hydraulic groundwater and the permeability of the various
conductivity of the soils and rock shall be evaluated materials that may be encountered during tunneling.
through laboratory testing or field tests. Related considerations include the potential impact
Site specific groundwater chemistry shall also be of groundwater lowering on settlement of overlying and
considered for tunnels, as aggressive groundwater may nearby structures, utilities and other facilities; other
contribute to a reduction of the lining durability unless influences of dewatering on existing structures (e.g.,
special concrete mixtures to resist the attack of accelerated deterioration of exposed timber piles);
aggressive groundwater are used for the final tunnel pumping volumes during construction;
lining. Groundwater chemistry considered to be decontamination/treatment measures for water
aggressive toward concrete durability includes, but is not discharged from pumping; migration of existing soil and
limited to, factors such as adverse pH, high sulfate groundwater contaminants due to dewatering; the
content and high chloride content. Although potential impact on water supply aquifers; and seepage
waterproofing membranes should limit the exposure of into the completed tunnel.
the final tunnel lining to groundwater, protective Borehole permeability tests in general provide low
measures shall be in place to ensure long-term durability cost means for assessing the permeability of soil and
over the design life of the facility. rock but may provide information for a limited zone near
the test location. Continuous pumping tests, on the other
hand, may provide information over an extended area.
Further information regarding the details and procedures
used for performing and evaluation of these field tests
are provided by Mayne et al. (FHWA, 2002a).
Surface water bodies in the immediate vicinity of If there is a hydraulic connection between the
the tunnel alignment, such as streams, ponds, lakes and surface water body and the tunnel, high initial water
reservoirs, shall be identified, and the potential for inflows and reduced sustained inflows may be
drainage into the tunnel shall be evaluated. encountered that may damage equipment and require the
implementation of extensive water inflow control
measures.
Although not common, drainage of surface water
bodies into tunnels has been reported with high volume
initial flows and reduced sustained flows. These
incidents have sometimes led to the temporary or
permanent drying up of small streams and ponds and to
significant delays in tunnel construction.
5.5.1 General
The selection of soil strength parameters for design For additional information, see Article C10.4.6.2.1
shall consider the following at a minimum: of the LRFD Specifications and FHWA Geotechnical
Engineering Circular No. 5 – Evaluation of Soil and
• Rate of construction loading relative to the Rock Properties, 2002.
hydraulic conductivity of the soil (drained versus
undrained strengths);
• Loading direction;
• Strain levels; and
• Effect of the construction sequence.
The design shear strength parameters for the rock In general, the rock shear strength, τ, can be defined
shall be evaluated based on laboratory tests on intact using Mohr-Coulomb envelope as a function of cohesion
rock specimens, visual assessment or rock mass (c), friction angle (φ), and effective normal stress (σ’)
classification of the recovered cores, and available along the rupture surface. The development of rock
information from previous studies/investigation on shear strength parameters is presented in detail in the
similar geologic materials to account for discontinuities FHWA Geotechnical Engineering Circular No. 5 –
(e.g., joints, bedding, foliation planes), infillings and Evaluation of Soil and Rock Properties (Sabatini et al.,
geologic history. 2002).
Alternatively, other rock mass classification
systems (e.g., Tunneling Quality Index or Q System) can
also be used to evaluate rock mass strength parameters.
For example, Barton (2002) proposed:
c = (RQD/Jn)(1/SRF)(σc/100) (C5.5.4-1)
φ = tan-1 [(Jr/Jn) Jw] (C5.5.4-2)
where:
Table C5.5.4-1 (Cont’d) Classification of Individual Parameters for Q System (AASHTO, 2010)
Table C5.5.4-1 (Cont’d) Classification of Individual Parameters for Q System (AASHTO, 2010)
The deformation modulus for rock mass shall be For information on rock deformation modulus, see
derived from in-situ tests (e.g., borehole dilatometer, Tables C5.5.5-1 through C5.5.5-4
borehole jack) or correlations with intact rock modulus
and rock mass classification parameters.
Table C5.5.5-1 Estimation of Rock Mass Deformation Modulus Using Rock Mass Classification (AASHTO,
2010)
1 − 𝐷/2
𝐸𝑚 = 145,000 � �
1+ 𝑒 {(75+25𝐷−𝐺𝑆𝐼)/11}
Guidelines for the selection of D are presented in Table C5.5.5-2.
Hoek and Diederichs (2006)
(D is a factor which depends upon the degree of disturbance due to blast
damage and stress relaxation. It varies from 0 for undisturbed in situ rock
masses to 1 for very disturbed rock masses.)
Bieniawski (1978)
𝐸𝑚 = 145 (2 RMR -100) for RMR ≥ 50
𝑅𝑀𝑅
𝐸𝑖 Nicholson and Bieniawski (1990)
𝐸𝑚 = � � �0.0028 𝑅𝑀𝑅2 + 0.9 𝑒 �22.82� � where 𝐸𝑖 = 7,250 𝑘𝑠𝑖
100
Where squeezing problems result in significant floor heave, disturbance can be D = 0.5
severe unless a temporary invert is placed. No invert
Very poor quality blasting in a hard rock tunnel results in severe local damage,
D = 0.8
extending six to nine ft., in the surrounding rock mass.
D = 0.7
Small scale blasting in civil engineering slopes results in modest rock mass Good blasting
damage, particularly if controlled blasting is used. However, stress relief results in
some disturbance. D = 1.0
Poor blasting
Very large open pit mine slopes suffer significant disturbance due to heavy D = 1.0
production blasting and also due to stress relief from overburden removal. Production blasting
In some softer rocks, excavation can be carried out by ripping and dozing, and the D = 0.7
degree of damage to the slope is less. Mechanical excavation
Table C5.5.5-3 Estimation of Em based on RQD (AASHTO, 2012; modified after O’Neill and Reese, 1999)
Table C5.5.5-4 Summary of Elastic Moduli for Intact Rock (AASHTO, 2012; modified after Kulhawy, 1978)
Poisson’s ratio for rock shall be determined from For representative values of Poisson’s Ratio for
tests on intact rock core. rock, see Table C5.5.6-1.
Table C5.5.6-1 Summary of Poisson’s Ratio for Intact Rock (AASHTO, 2012; modified after Kulhawy, 1978)
The GDR shall present the factual subsurface data The GDR avoids making any interpretation of the
for the project without including an interpretation of data since these interpretations may conflict with the
these data. All factual geological, geotechnical, data assessment subsequently presented in the
groundwater and other data obtained from subsurface Geotechnical Design Memoranda (GDM) or other
investigations shall be included. geotechnical interpretive or design reports, and the
Data reduction shall be limited to determination of baseline conditions defined in the Geotechnical Baseline
the properties obtained from individual test samples, Report (GBR). Any such discrepancies may be a source
while avoiding any recommendations for the of confusion to contractors and open opportunities for
geotechnical properties for the soil or rock unit from claims of differing site conditions.
which the sample was obtained. For more information on GDR, refer to the
The GDR shall contain the following information, at Technical Manual for Design and Construction of Road
a minimum,: Tunnels – Civil Elements (AASHTO, 2010).
The GBR shall establish the site specific subsurface The GBR translates facts, interpretations and
conditions to be considered as baseline conditions to opinions regarding subsurface conditions into clear,
develop bids and select means and methods. The GBR unambiguous statements for contractual purposes. Items
shall not be interpreted as a prediction or warranty of the typically addressed in GBR include:
actual site conditions, but rather seen as a contractual
instrument for allocating risks and a basis for • Amounts and distribution of different materials
determining the merits of claims of differing site along the selected alignment;
conditions during construction. The GBR shall be based • Description, strength, compressibility, grain size
on factual information presented in the GDR engineering and permeability of the existing materials;
evaluations made in GDM, as well as input from the • Description, strength and permeability of the
Owner. The baseline presented in the GBR shall be clear ground mass as a whole;
and concise and be such that it can be measured during • Groundwater levels and expected groundwater
construction. conditions, including baseline estimates of
inflows and pumping rates;
• Anticipated ground behavior and the influence of
groundwater, with regard to methods of
excavation and installation of ground support;
• Construction impacts on adjacent facilities; and
• Potential geotechnical and man-made sources of
potential difficulty or hazard that could impact
construction, including the presence of faults, gas,
boulders, solution cavities, existing foundation
piles and the like.
• Items to be baselined should be limited to those
that have significant influence on construction
5.10 REFERENCES
1. American Association of State Highway and Transportation Officials (AASHTO) (2014), LRFD Bridge Design
Specifications, 7th Edition
3. AASHTO (2010), Technical Manual for Design and Construction of Road Tunnels – Civil Elements
5. Barton, N., Lien, R. and Lunde, J. (1980), “Application of the Q-System in Design Decisions Concerning
dimensions and Appropriate Support for Underground Installations,” Int. Conf. on Subsurface Space,
Rockstore, Stockholm, 2:553-61
6. Barton, N., (2002), “Some new Q-value correlations to assist in Site Characterization and Tunnel Design”,
ISRM, 39, p185-216, Pergamon.
7. Bickel, Kuesel and King, 2nd ed. (1996), "Tunnel Engineering Handbook"; Chapman & Hall, N.Y.
8. Bieniawski, Z. T. (1978), “Determining Rock Mass Deformability – Experiences from Case Histories,” Int. J.
Rock Mech. Min. Sci. and Geomech. Abstr. 15, 237-247
9. FHWA, (1998), “Geotechnical Instrumentation,” Reference Manual to NHI Training Course No. 13241 –
Module 11, Publication No. FHWA HI-98-034
10. FHWA (1999), “Drilled Shafts: Construction Procedures and Design Methods,” by O’Neil, M. W. and Reese,
L. C., Publication No. FHWA-IF-99-025
11. FHWA (2002), Geotechnical Engineering Circular No. 5 – Evaluation of Soil and Rock Properties, FHWA-IF-
02-034
12. FHWA (2002a), “Subsurface Investigations – Geotechnical Site Characterization – Reference Manual,”
FHWA-NHI-01-031
13. Grimstad, E. and Barton, N. (1993), “Updating of the Q-System for NMT,” in Kompen, Opsahl & Ber (eds),
Proc. of the Int. Symposium on Sprayed Concrete – Modern Use of Wet Mix Sprayed Concrete for
Underground Support, Fagernes
14. Hoek, E. and Brown, E. T. (1988), “The Hoek-Brown Failure Criterion – A 1988 Update,” Proceedings, 15th
Canadian Rock Mech. Symposium, Toronto, 3-38
15. Hoek, E. and Diederichs, M. (2006), “Empirical Estimates of Rock Mass Modulus,” Int. J. Rock Mechanics
Min. Sci., 43, 203-215
16. Kulhawi, F. H. (1978), “Geomechanical Model for Rock Foundation Settlement, “ J. of the Geotechnical
Engineering Division (ASCE), 104 (GT2), Feb 1978
17. Nicholson, G. A. and Bieniawski, Z. T. (1990), “A Nonlinear Deformation Modulus Based on Rock Mass
Classification,” Int. J. Min. and Geological Engineering 8, 181-202
TABLE OF CONTENTS
6.1 SCOPE
6.2 DEFINITIONS
6.3 NOTATION
6.4 GROUND AND MATERIAL PROPERTIES
6.4.1 Determination of Ground Properties
6.4.1.1 General
6.4.1.2 Invert Condition
6.4.1.3 Envelope Ground
6.4.1.4 Groundwater
6.4.2 Materials
6.4.2.1 Concrete
6.4.2.2 Structural Steel
6.4.2.3 Reinforcing Steel
6.4.2.4 Prestressing Steel
6.4.2.5 Shotcrete
6.5 CONSTRUCTION OF CUT-AND-COVER TUNNEL STRUCTURES
6.5.1 General
6.5.2 Reinforced Concrete Diaphragm Walls (RCDW)
6.5.3 Soldier Pile and Tremie Concrete (SPTC) Walls
6.5.4 Secant Pile and Tangent Pile Walls
6.5.5 Precast Prestressed Panel Walls
6.5.6 Cast-in-Place Concrete Box Structures
6.5.7 Structural Steel Frames
6.6 LIMIT STATES AND RESISTANCE FACTORS
6.6.1 General
6.6.2 Service Limit State
6.6.3 Strength Limit State
6.6.4 Extreme Event Limit State
6.6.5 Load Factors and Load Combinations
6.6.6 Resistance Factors
6.7 GENERAL DESIGN FEATURES
6.7.1 Ground Movement
6.7.2 Buoyancy
6.7.2.1 Partially Completed Structure
6.7.2.2 Complete Structure
6.7.3 Loading
6.7.3.1 Symmetrical Loading
6.7.3.2 Asymmetrical Loading
6.7.3.3 Construction Condition
6.7.3.4 Distribution of Loads
6.7.3.5 Superimposed Loads
6.8 JOINTS
6.8.1 General
6.8.2 Construction Joints
6.8.3 Contraction Joints
6.8.4 Expansion Joints
6.9 STRUCTURAL ANALYSES
The provisions of this Section shall apply to the Cut and cover tunnels are tunnels constructed in
planning, design, evaluation and rehabilitation of cut and an open excavation or trench, then backfilled with
cover highway tunnels, and the permanent support of fill material. Shallow depth vehicular tunnels are
excavation (SOE) systems that are incorporated into the usually designed as cut and cover tunnels. For invert
final tunnel structure. The tunnels may be constructed in depths up to 60 feet below grade, this method is
place or formed of precast sections. Temporary SOE and often less expensive and more practical than
temporary slopes for open excavations are not included in tunneling. Cut and cover vehicular tunnels are also
this Section. used at the approaches to mined, bored and
Cut and cover tunnels and their components shall be immersed tunnels.
designed to sustain the most severe combination of loads to The ground surrounding a tunnel can act as a
which they may be subjected both during construction and supporting mechanism, loading mechanism or both,
after the final stage when the construction is complete and depending on the nature of the ground, the tunnel
the tunnel is in service. size and the method and sequence of constructing the
Effects of erection, bracing, excavation sequence and tunnel. Thus, the rock or soil surrounding a tunnel is
other temporary loads during the construction shall be a construction material.
considered in the design of cut and cover tunnels and their
components.
A structural system study shall be prepared to determine
the most suitable structural alternatives for construction of
the cut and cover tunnel. This study shall include a
determination of the proposed tunnel section, the excavation
support system, the tunnel structural system, the
construction method (top-down or bottom-up) and the
waterproofing system.
When an open cut with stable sloped sides for the earth
being excavated is not practical, a SOE system (shoring
system) shall be used to stabilize the ground. Permanent
SOE systems may be used as part of the final structure if
they are designed and detailed accordingly.
Refer to Section 3 for load factors and load
combinations that shall be considered during the design of
cut-and-cover tunnels.
Refer to Section 4 for material properties and resistance
factors that shall be considered during the design of cut and
cover tunnels.
Refer to Section 10 for seismic considerations during
the design of cut and cover tunnels.
Cut-and-cover tunnel structures shall be designed in
accordance with AASHTO LRFD Specifications including
all applicable interim changes, except as modified or
supplemented here.
6.2. DEFINITIONS
Reinforced Concrete Diaphragm Wall – Slurry wall designed to span vertically with no structural continuity
between panels. Typically reinforced with conventional deformed reinforcing steel bars.
Soldier Pile and Tremie Concrete Wall (SPTC) – Slurry wall reinforced with vertical wide-flange steel sections
placed at the ends of the panels.
Secant Pile Wall – Wall constructed of drilled shafts that intersect the perimeter of adjacent shafts.
Slurry Panel – Smallest unit of length of slurry wall constructed at one time. Panels are constructed in an alternate
patter; primary panels are constructed first, followed by secondary panels.
Tangent Pile Wall – Wall constructed of drilled shafts that touch each other but do not overlap.
6.3. NOTATION
6.3.1. General
6.3.2. Abbreviations
ASTM ASTM International (formerly known as the American Society for testing and Materials)
AREMA American Railway Engineering and Maintenance-of-Way Association
FE Finite Element analysis
PTI Post-Tensioning Institute
RCDW Reinforced concrete diaphragm wall
SOE Support of excavation
SPTC Soldier pile and tremie concrete
The embedment of both permanent and temporary The Engineer is responsible for investigating the
supports of excavation shall be analyzed with respect to stability of the excavation prior to the construction
stability of the base and ground water cut off or dewatering and backfilling of the permanent structure. Studies
during construction of the structure. The potential for should be performed to determine the most economic
piping and base heave shall be analyzed. Embedment approach to stabilizing the open excavation.
information and appropriate details for the support of The Contractor is responsible for the final
excavation (SOE) shall be developed for incorporation into selection and proper execution of measures to
the structural design and contract documents. The need for maintain stability of the open excavation during
mitigating measures such as ground improvement shall be construction when the stability is maintained by
investigated. See Section 9 for ground improvement. temporary means.
If cut slopes are used in lieu of SOE structures, the
stability of the cut slopes in soil and/or rock, groundwater
conditions and the base of excavation shall be investigated
to ensure a stable, dry open excavation.
The earth and groundwater pressures shall be The characteristics of the ground around a cut
calculated in accordance with the provisions of Section 3. and cover tunnel determine both how far the
The modulus of subgrade reaction may be calculated using structural walls and invert slab can deflect into the
conventional soil mechanics used in the design of walls and surrounding ground, how much pressure the ground
foundations. Other pertinent ground properties shall be and groundwater will exert on the structural wall over
determined in accordance with the provisions of Section 5. time and the effects of loadings from adjacent
6.4.2. Materials
Mixes for cast-in-place concrete shall accommodate Cast-in-place concrete is commonly used to
placement requirements, which frequently involve pumping construct cut and cover tunnels due to the ease with
over long distances. Set-time and slump shall be considered which large members can be constructed in restricted
during design of concrete mixes as they pertain to the work space. The weight of the concrete resists
means and methods of concrete placement which will vary buoyancy; concrete can be detailed to be fairly water-
with the Contractor’s equipment and sequence. tight, and it is resistant to fire and corrosion.
The chemistry of the groundwater shall be considered However, other materials such as precast, prestressed
when designing the concrete mix. concrete, post-tensioned concrete and precast
Air entrainment of three to five percent is concrete are also used for construction of cut and
recommended for the durability of the concrete in moist cover tunnels. The selection of materials is based on
and cold environments. construction method and is generally done early in the
Often thick elements are required to support loads or to planning stages.
When used, measures shall be provided to protect Structural steel framing is not as commonly used
steel members from corrosion and heat from fire events. now as it was early in the last century due primarily
The design life of the structure shall be considered when to the difficulties associated with corrosion protection
developing corrosion protection measures. for the structural steel. However, composite designs
Refer also to Section 4 for Structural Steel material can be used to reduce the thickness of members
properties. where space is constricted. Careful attention to
waterproofing and corrosion protection is required for
durable facilities.
Prestressing steel shall be bonded and protected against Some jurisdictions prohibit the use of prestressed
corrosion, with attention to combating the effects of elements below grade because of concerns about
corrosive compounds in the surrounding soils or corrosion. However, with appropriate protection,
groundwater. Bond capacity shall be tested in accordance prestressed, precast elements can streamline
with ASTM A981. Strand shall conform to ASTM A416, construction. Prestressed, precast elements have been
and bars shall conform to ASTM A722. The Engineer shall used to form roofs of shallow buried structures, with
include relaxation requirements in the project thin cast-in-place slabs placed over the top to provide
specifications. a diaphragm. Prestressed steel is commonly used for
Refer also to Section 4 for Prestressing Steel material permanent rock anchors, with protection against
properties. corrosion provided by corrosion-inhibiting
compounds (resins and greases), sleeves and grout.
Prestressed steel is also often used in the walls of
underground storage tanks and in underground
parking garages.
Refer to Section 4 for Shotcrete material properties. Shotcrete is frequently used as a smoothing layer
between excavated rock faces, slurry, secant, and
tangent pile walls and waterproofing membranes in
cut and cover construction. It has also had limited use
as a replacement for cast-in-place walls to save the
costs and schedule associated with erection and
removal of formwork.
When shotcrete is used to replace concrete in the
final structure it will be applied in layers with a time
lag between the applications. To ensure that the
behavior is identical to monolithic concrete, it is
Excavations shall be supported by wall systems Cut and cover tunnels are built inside an
laterally supported by temporary bracing and/or temporary excavation and covered over with backfill material
or permanent tiebacks, unless the excavation is sloped back when the tunnel structure is completed. This method
to eliminate the need for structural support. These systems is used when the tunnel profile is not deep, making
shall also minimize ground movements adjacent to the excavation from the surface both possible and
excavation, to protect adjacent utilities, buildings and other economical.
infrastructure. Where required, excavation support systems Cut and cover construction methodologies
shall be designed to prevent or limit groundwater include ‘top-down’ and ‘bottom-up’ construction. The
drawdown outside the excavation limits. SOE systems may construction methodology must be considered when
be temporary or permanent. developing designs and details.
When the construction area is limited and an
open sloped excavation is not possible, a system to
support the excavation is necessary to create space for
the construction.
Groundwater drawdown can result in unwanted
ground settlements that affect adjacent existing
infrastructure, migration of contaminates in
groundwater and the need for disposal of the
groundwater entering the excavation.
Temporary SOE systems shall be designed by the
Contractor and removed or abandoned in place, as required
by permitting authorities. The drawings shall show the
following information:
• Space for the temporary SOE system.
• Restrictions on the temporary SOE system.
• Design load criteria for the temporary SOE
system.
• Limits on the vertical and horizontal spacing of
bracing or anchor elements.
Permanent SOE systems are defined as those that serve Permanent support systems can minimize the
both as temporary support and as part of the permanent excavated width of excavation, save schedule and
structure. Since seepage through the permanent excavation reduce costs.
support system can occur because the exterior of the
support walls cannot be waterproofed, additional mitigation
measures, such as an interior cavity wall drainage system or
interior impervious architectural facing wall, may be
required. Cavity wall drainage systems shall include a
collection system and pumps for discharging the collected
water.
SOE systems shall be classified as flexible or semi- Flexible SOE systems include sheet piling and
rigid. soldier pile and lagging walls.
Flexible systems shall be considered temporary
Reinforced concrete diaphragm walls (RCDW) shall Reinforced concrete diaphragm walls are
be designed to support vertical, or near vertical faces, of the constructed by excavating a trench to the thickness
excavation in areas of soil and decomposed rock below the required for the external structural wall of the cut-
water table. RCDW’s may be designed to be incorporated and-cover tunnel and to the depth required for
into the permanent structure or may be used as temporary geotechnical and structural requirements. The trench
SOE. RCDW’s used for temporary SOE are not included in is kept open by filling it with dense slurry of
the scope of these Specifications. bentonite or other naturally occurring clays as it is
The invert slab shall be anchored to the wall to transfer excavated. For this reason, diaphragm walls are also
all the force effects from the wall to the base slab and vice referred to as slurry walls. Polymer slurries have been
versa. used for diaphragm wall construction with variable
Connection details shall be such that they provide a success. Considering the geometry of the excavated
watertight connection. panels and the superior performance of mineral
Lateral earth pressure and water pressure for reinforced slurries, the use of mineral slurry should generally be
concrete diaphragm walls shall be calculated in accordance specified.
with Section 3. The trench will typically extend for some
The following are design requirements for RCDW’s: distance below the bottom of the tunnel structure for
Soldier pile and tremie concrete (SPTC) walls shall be SPTC walls are constructed in the same
constructed using vertical wide flange or built-up steel sequence as reinforced concrete diaphragm walls.
members placed at the ends of excavated slurry panels. However, once the primary panel is excavated,
Concrete is placed between the soldier piles. The soldier vertical wide flange steel beams or girders are
piles shall be designed to span vertically to resist the loads lowered into the panels, one at each end of the
transferred by the reinforced concrete spanning horizontally primary panels, followed by reinforcing steel cages,
between them. if required. Secondary panels are excavated and
constructed between the steel members placed in the
The following are design requirements for SPTC primary panels. Reinforcing steel when required is
walls: placed into the secondary panel. The slurry used to
hold the excavated secondary panel open is displaced
• Steel piles shall be designed to span vertically and to by structural concrete placed via tremie pipes from
resist all temporary, construction and final loads. the bottom of the panel. SPTC walls provide a
• Assumed excavation and construction sequence for the relatively watertight wall and significant strength in
design of walls shall be explicitly and clearly shown on the vertical direction. They allow greater flexibility in
the contract drawings, including all bracing detailing connections to permanent horizontal
assumptions and design loads. members than is allowed by the use of rebar couplers
• Effect of removal of the internal bracing during the in diaphragm walls. Careful attention must be paid to
Secant pile and tangent pile walls shall be constructed Secant pile and tangent pile walls are constructed
using vertical drilled shafts. The drilled shafts shall be in a similar manner. Every other pile (primary piles)
reinforced with deformed reinforcing steel bars or with a is constructed first. The remaining piles (secondary
structural steel core fabricated from rolled shapes or built- piles) are constructed next. Either slurry or steel
up plate members and backfilled with structural concrete. casings are used to support the excavation when
Reinforcement is commonly placed in alternate secant piles required by ground conditions. Concrete is placed
and every tangent pile. If required, steel sections can be into the shaft utilizing tremie pipes. When used, the
placed in every secant pile taking care to avoid interference slurry is displaced by concrete placed from the
during installation of secondary piles. Structural concrete bottom of the shaft. Steel casing are extracted as the
shall be used to backfill the shafts after placement of the concrete is placed, keeping a minimum amount of
steel sections. The drilled shafts constructed either adjacent casing within the plastic concrete as the casing is
to or touching each other (tangent pile walls) or the drilled extracted.
shafts shall have some overlap with each other (secant pile Secant pile and tangent pile walls exhibit good
walls). The reinforced shafts or the shafts containing steel strength in the vertical direction. They allow greater
cores shall be designed to span vertically to resist the loads flexibility in detailing connections to permanent
transferred by the unreinforced concrete shafts between horizontal members (when steel cores are used) than
them. is allowed by the use of rebar couplers in reinforced
The following are design requirements for secant pile concrete piles. Construction tolerances can result in
and tangent pile walls: large gaps between piles in both the longitudinal and
transverse directions. Often, ground improvement is
• Reinforced concrete or steel core piles shall be required after construction of the piles to cut off
designed to span vertically and to resist all temporary, groundwater flows from between the piles. Careful
construction and final loads. attention must be paid to waterproofing and corrosion
• Assumed excavation and construction sequence for the protection of the structural steel members and
design of walls shall be explicitly and clearly shown on connections.
the contract drawings, including all bracing
assumptions.
• Effect of removal of the internal bracing during the
final phase of the construction of the cut-and-cover
tunnels shall be investigated during the design.
• Minimum cover protection for the reinforcement steel
or steel core shall be three in.
• Detailed analyses shall be performed to evaluate wall
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 6: CUT-AND-COVER TUNNEL STRUCTURES 6-13
deflection at each stage of construction and the
possible ground movement and settlement due to the
wall deflection and its effect on adjacent existing
construction.
Precast prestressed panel walls shall be designed and Precast, prestressed panel walls with appropriate
detailed similarly to conventionally reinforced concrete details for roof and invert connection in future stages
diaphragm walls. are lowered into the slurry, requiring careful control
of the vertical placement. The construction of the wall
then follows the same sequence as that described
above for reinforced concrete diaphragm walls. This
type of the construction will provide the best quality
finish wall. These types of wall become less practical
for deeper excavations and in locations where utility
crossing or obstructions can be expected.
Precas,t prestressed beams may be used for roof
framing, with the connection possibly formed by pockets in
the walls to support the beams.
Detailing of the connection shall be consistent with the
structural system and design assumptions.
Cast-in-place concrete box structures shall be detailed Cast-in-place concrete box structures are the
according to Section 5 of the LRFD Specifications and most common system used for cut-and-cover tunnels.
additional requirements of these Specifications, with the Cast-in-place concrete can be easily adjusted to
following modifications: accommodate any geometric irregularities required by
function.
• When the structure lies below the water table, the For any buried structure, it is desirable to limit
minimum amount of temperature and shrinkage cracking. Most damage to these structures is caused
reinforcement shall be increased 100 percent for by the infiltration of groundwater through the
all members of cast-in-place concrete box structure over time. The upfront cost of additional
structures. temperature and shrinkage reinforcement is minimal
• The maximum spacing of the temperature and compared to the costs of retrofit leak mitigation or
shrinkage reinforcement shall be 12 in. management systems. Crack control can be achieved
with careful concrete mix design, wet curing, and
closely distributed temperature reinforcement. Crack
widths on flexural members are frequently limited to
0.08 in., a crack considered to be “self-healing”.
Structural steel frames shall be detailed according to Structural steel frames are used in the
Section 6 of the LRFD Specifications and additional construction of cut-and-cover tunnels, when there is a
6.6.1. General
Service T-IA: Cut-and-cover tunnels shall be Buoyancy has traditionally been checked as a
investigated for the effects of buoyancy during the service factor of safety against flotation. However, to include
life of the tunnel, including but not limited to, maximum the effects of friction against foundation and vertical
groundwater elevations and changes in groundwater wall elements in resisting uplift, a service limit state
elevation caused by tides and flooding. The effect of approach to this check is required.
salinity and other inclusion in groundwater that affect the
unit weight of groundwater shall be included.
Extreme Event T-I: Cut-and-cover tunnels shall be Under Extreme Event T-I, the acceptable level of
Cut-and-cover tunnels shall be designed for the load Section 3 provides guidance on the methods to
combinations shown in Tables 3.4.-1. be used in the computations of the loads applicable to
When developing the loads to be applied to the cut-and-cover tunnels. The sequence of construction
structure, each possible load combination of the loads shall will impact loading and assumptions. For example, in
be developed. Engineering judgment may be used to top-down construction, permanent SOE walls used as
eliminate the combinations that do not govern. part of the final structure will receive heavier bearing
loads because the roof is placed and loaded before the
base slab is constructed. The permanent SOE walls
are also braced as the excavation progresses below
the roof slab, resulting in a different lateral soil
pressure distribution than would be found in the free-
standing walls of a cast-in-place concrete structure
constructed using bottom-up construction. The base
slab of a top-down constructed tunnel acts as a mat
for supporting vertical loads, but it is not available
until towards the end of construction of the section,
eliminating its use to resist moments from the walls
or to act as bracing for the walls.
Structures are subjected to a wide range of load
combinations during construction. These include the
variability of dead and live loads on partially
completed configurations, erection and equipment
loads, and the full range of environmental loads to
which the final structure is subjected, although with
differences attributable to return period of events
Ground movement during excavation and construction Ground movements during the construction of
and its effects on adjacent structures, utilities and other the cut-and-cover tunnels are more significant
infrastructure shall be carefully considered in all phases of compared to the other tunneling methods.
design and construction. Ground movement shall be Ground movement can be due to:
explicitly addressed in the development of contract • Excavations for utility relocations, guide
documents and carefully monitored in the field once wall construction, pre-trenching for guide
construction begins. Instrumentation to monitor the walls and slurry panel installation.
movements of adjacent existing structures shall be in place • Deflection of the SOE walls during
during construction. Threshold values and values for total excavation for the tunnel structure.
permissible movement of the facility being monitored shall • Consolidation due to dewatering during
be established. construction and during the service life of
Detailed analysis and monitoring shall be performed in the tunnel.
advance to predict these movements accurately and to
adjust the design if necessary.
Numerical modeling shall be performed to estimate
ground movements at each stage of the construction.
Mitigation measures shall be designed to limit ground
movements to values that can be tolerated by the feature
being studied.
Existing buildings and facilities shall be evaluated for
the soil movement estimated to occur due to excavation
activities for construction of cut-and-cover tunnels. This
evaluation is not within the scope of this Specification.
Cut-and-cover tunnels that are partially or completely In general, the preferred method for resisting
below the water table, shall be evaluated for the effect of buoyancy is utilizing the dead weight of the structure.
buoyancy unless a pressure relief system is provided In cases where this is not practical, consideration may
beneath the invert slab. See article 6.11 for requirements be given to the utilization of drilled shafts, driven
for pressure relief systems. Buoyancy forces shall be piles and skin friction on RCDW & SPTC slurry
computed using the density of the groundwater at the site. panels or on tangent or secant piles. When these
A construction sequence, together with all temporary Contractors generally elect to work in the dry and
measures necessary to provide adequate resistance against pump out any water that makes its way into the
flotation during all stages of construction, shall be indicated excavation. Often, loss of power to the pumps results
on the contract drawings. Resistance shall consist of the in the flow of the water into the excavation, so that
dead load of the completed portion of the structure and any flotation is quickly counteracted by the weight of
additional resistance provided by the provisions indicated water above the completed slab.
in the construction sequence documents.
Friction between soil and wall elements shall be
neglected when calculating resistance during construction.
If the main structure is not symmetrical, rotational
effects due to the buoyancy shall be considered.
6.7.3 Loading
All components of the cut-and-cover tunnel shall be
designed for the applicable loads described in Section 3 and
as supplemented in this Article.
Cut-and-cover tunnels shall be designed for any
additional loading from existing adjacent buildings when
the horizontal distance from the building line, to the nearest
face of the tunnel, is less than the depth of the tunnel below
the building foundation.
If the foundation of the adjacent buildings are
supported by underpinning and/or deep foundations that
transfer loads to a depth below the influence line of the
tunnel, these additional loads need not be applied to the
tunnel.
When the loads from the adjacent structures are not
equal on both sides of the tunnel, the most critical
unbalanced load case shall be investigated.
As a minimum, the following basic non-seismic
loading cases shall be investigated:
The following cases shall be investigated: Where SOE walls are incorporated into the
permanent structure, the design of the connections
Case I – Maximum vertical loads including dead between walls and roof or invert slabs is governed by
loads, live loads, surcharge loads and hydrostatic pressure the unbalanced lateral load combinations.
with lateral pressure as follows:
Maximum lateral pressures (at- rest) due to soil loads
applied to one side of the structure and active pressure from
soil on the opposite side.
Construction sequence and procedures may result in Intermediate stages of the construction may
conditions that are more severe than the general loading induce higher stresses than the end of construction
conditions mentioned in the previous sections. Stresses in stage and govern the design of structural members.
the partially completed structure shall be checked for the
appropriate critical conditions at the various stages of
construction.
The Engineer shall be responsible to develop a
construction scheme and to clearly state assumptions
regarding the scheme in the contract documents. If the
Contractor uses different methods, the documents shall
require that the Contractor provide a complete analysis of
all construction stages.
6.8 JOINTS
Joints in concrete construction shall be categorized as: A main objective in the design of joint spacing is
construction joints, which allow discrete concrete to try to control the locations where the concrete
placements in a continuous structure, contraction joints, cracks. In cut-and-cover structures, cracks are
and expansion joints. locations where water will infiltrate into the structure,
Joints shall be carefully detailed to prevent the often causing structural and systems degradation over
infiltration of water yet simultaneously accommodate the time.
6.10.2 Gaskets
Pressure relief systems installed to reduce the Pressures imposed on drained structures may be
hydrostatic pressure shall be sized and detailed to function less than those imposed on structures that are sealed
with minimal maintenance in the in-situ conditions to and fully immersed. Drainage systems provide this
which they are subjected. pressure relief. However, drainage systems must be
The effect of potential localized lowering of the maintained, because they tend to clog and allow water
groundwater table, including settlement of surrounding pressures to build behind the structure. In general, a
ground and the impact of that settlement on adjacent gravel bedding layer is placed under the invert slab
existing infrastructure by pressure relief systems, shall be and large diameter perforated pipes at the base of the
analyzed. Mitigation measures for anticipated settlement structural walls, with closely spaced clean-outs, are
shall be designed. required.
Management of the water collected shall be An additional concern in urban areas is the
considered when deciding to build a pressure relief system. capacity of municipal sewage treatment plants. Many
Long-term pumping equipment and a pressure sewerage agencies will not allow groundwater to be
monitoring system shall be provided to ensure the long- pumped into their systems.
term performance of the pressure relief system.
Pressure relief systems constructed in tunnels in cold
climates should include measures to prevent freezing.
Groundwater that is liberated from these systems that
contains mineralization that is likely to precipitate or
deposit on pipes shall be conveyed using systems that
consider the maintenance and removal of any precipitates
that form.
2. AASHTO, Technical Manual for Design and Construction of Road Tunnels – Civil Elements, 2010
4. Federal Highway Administration (1999), Geotechnical Engineering Circular No. 4, Ground Anchors and
Anchored Systems, U.S. Department of Transportation, Office of Bridge Technology, Washington, DC.
5. Post Tensioning Institute (2014), PTI DC35.1-14 Recommendations for Prestressed Rock and Soil Anchors
6. America Society of Civil Engineers, ASCE 37, “Design Loads on Structures during Construction”
TABLE OF CONTENTS
7.1 SCOPE
7.2 DEFINITIONS
7.3 NOTATION
7.4 GROUND AND MATERIAL PROPERTIES
7.4.1 Determination of Ground Properties
7.4.1.1 General
7.4.1.2 Ground Classification
7.4.1.3 Groundwater
7.4.1.4 In-Situ Stresses
7.4.2 Materials
7.4.2.1 Concrete
7.4.2.2 Structural Steel
7.4.2.3 Steel Reinforcing
7.4.2.4 Prestressing Steel
7.4.2.5 Shotcrete
7.5 CONSTRUCTION OF MINED AND BORED TUNNEL STRUCTURES
7.5.1 General
7.5.2 Construction of Bored Tunnel Structures
7.5.3 Construction of Bored Tunnel Structures
7.6 LIMIT STATES AND RESISTANCE FACTORS
7.6.1 General
7.6.2 Service Limit State
7.6.3 Strength Limit State
7.6.4 Extreme Limit State
7.6.5 Load Factors and Load Combinations
7.6.6 Resistance Factors
7.7 GENERAL DESIGN FEATURES
7.7.1 General
7.7.1.1 Initial Ground Support
7.7.1.2 Final Lining
7.7.1.3 Cross Passages, Sumps and Ancillary Spaces
7.7.2 Ground Movements
7.7.2.1 General
7.7.2.2 Empirical Method
7.7.2.3 Analytical Method
7.7.2.4 Numerical Method
7.7.3 Buoyancy
7.7.4 Loading
7.7.4.1 Symmetrical Loading
7.7.4.2 Asymmetrical Loading
7.7.4.3 Construction Condition
7.7.4.4 Distribution of Loads
7.7.4.5 Superimposed Loads
7.7.5 Analysis and Design
7.7.5.1 General
7.7.5.2 Design
7.7.5.3 Moment of Inertia
The provisions of this Section apply to the planning Mined tunnels are constructed utilizing
design, evaluation and rehabilitation of the permanent lining excavation techniques such as drill and blast,
for tunnels constructed by tunnel boring machine (TBM) or mechanical excavation with road headers or other
mining. The lining types covered by this Section are as mechanized equipment. The excavation is performed
follows: with an open face and can be performed with or
without the use of a shield. The use of a shield is
• Cast-in-place concrete (reinforced or structural dependent upon the ground conditions.
plain concrete) Bored tunnels in soil or rock are constructed
• Precast concrete segmental linings (reinforced with utilizing a tunnel boring machine (TBM).
reinforcing steel bars or steel fibers) The ground surrounding a tunnel can act as a
• Initial precast concrete segmental linings supporting mechanism, loading mechanism, or both,
(reinforced with reinforcing steel bars or steel depending on the nature of the ground, the tunnel
fibers or constructed from structural plain concrete) size and the method and sequence of constructing the
• Shotcrete final linings (reinforced with reinforcing tunnel. Thus, the rock or soil surrounding a tunnel is
steel bars, lattice girders or steel fibers and considered a construction material and shall be taken
structural plain shotcrete) into account in the design of tunnel linings
• Pre-fabricated steel liner
7.2. DEFINITIONS
Final Lining – The permanent tunnel structure, constructed within an excavation which has been supported by initial
support elements installed concurrently with excavation.
Horizon – The cross section of a tunnel, cross passage intersected by a plane perpendicular to the centerline of the
tunnel.
Lattice Girder— A ground support element consisting of an open lattice of three or four steel bars connected by
lacing bars and encapsulated with shotcrete, which is sprayed through the open-work lattice.
Overbreak – Quantity of rock actually excavated beyond the perimeter established as the desired tunnel excavated
cross section.
Tunnel Boring Machine (TBM) – Machine that excavates a tunnel by drilling out the heading to full size in one
operation; sometimes called a mole; the TBM is typically propelled forward by jacking off the excavation supports
emplaced behind it or by gripping the side of the excavation (AASHTO, 2010).
Sequential Excavation Method – Construction methodology in which the tunnel is mined in specified sequence to
control ground movements; Also known as the New Austrian or North American Tunneling Method (NTAM).
Initial Ground Support – Support required to provide stability of the tunnel opening and to maintain the inherent
strength of the ground surrounding the tunnel openings, while preventing unnecessary loosening and enhancing the
stress redistribution process. This function of support may be enhanced by installation of systematic Tunnel Pre-
support and local support where required by ground conditions. It typically consists of reinforced shotcrete, rock
reinforcement, pre-support, steel rib or lattice girder sets, or combinations thereof. (AASHTO, 2010)
7.3.1. General
7.3.2. Abbreviations
Ground conditions, including geological, geotechnical The tunnel lining and the surrounding ground act
and hydrogeological conditions, have a major impact on the together to create a stable opening for the tunnel.
planning, design, construction and cost of a road tunnel. A Detailed information regarding the properties of the
subsurface investigation shall be performed to obtain surrounding ground is essential for correctly
information on the ground conditions to: modeling ground/structure interaction. Design loads
transferred to the tunnel lining including ground
• Define the subsurface profile loads, groundwater, surcharge and existing
• Determine soft ground and rock material infrastructure loads, are determined through a
properties and mass characteristics thorough understanding of the subsurface conditions
• Identify geotechnical anomalies, fault zones and and surrounding ground properties that is gained
other hazards through the execution of a well-planned subsurface
• Define hydrogeological conditions investigation program.
• Determine the presence of hazardous materials A carefully planned subsurface investigation
• Identify potential construction risks program is essential to the successful design and
construction of mined or bored tunnels. Minimum
Subsurface investigations such as boring, sampling, in- requirements for spacing of bore holes and laboratory
situ testing, geophysical investigation and laboratory testing are presented in Section 5. Owners and
material testing are essential to obtain design parameters funding agencies often have supplemental
for the tunnel lining, and to define the best and most cost- requirements for more comprehensive programs that
effective route and location for mined or bored tunnels. may also be tied to risk management. Owner and
Refer to Section 5 for special geotechnical funding agency specific requirements in excess of
considerations for mined and bored tunnels and those contained in these specifications should be
requirements for subsurface investigations. considered.
For mined and bored tunneling, ground classifications Ground classification determines the expected
vary between soft ground and hard rock. As a naturally behavior during tunneling which in turn determines
occurring material, great variation within these two generic the most appropriate tunnel construction
classifications can be expected along the tunnel alignment. methodology. Other aspects such as groundwater
The ground classification and characteristics often conditions and the surrounding surface and near
determine the most feasible tunneling methodology. surface infrastructure also influence the determination
Further information regarding ground classifications can be of applicable tunnel construction methodologies.
found in AASHTO (2010). The length of the tunnel must also be considered
The characteristics of the ground around a mined and in conjunction with ground classification in
bored tunnel influence both how much the tunnel lining can determining the economically appropriate tunneling
deflect during construction and service and how much methodology since the cost of a TBM may not be
pressure the ground will exert on the structure over time. economical for a relatively short tunnel length, even
These properties of the ground determine the nature of the if the ground conditions are ideal for the use of a
ground/structure interaction that creates the loading in the TBM.
lining.
Earth pressures shall be calculated in accordance with
Section 3.
Groundwater conditions shall be determined as part of The presence of groundwater will influence the
the subsurface investigations. The effect of the hydrostatic selection of the tunnel construction methodology, the
pressure shall be considered whenever the groundwater need for ground improvement and the design of the
table is detected within the tunnel horizon or may be tunnel lining.
reasonably expected to occur within the tunnel horizon over Hydrostatic pressure can create large axial loads
time. in the tunnel lining that can offset the moments
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 7: MINED AND BORED TUNNEL STRUCTURES 7-7
Groundwater levels to be used for the design shall be generated by applied ground and surcharge loads.
established in accordance with Sections 3 and 5 and as Therefore, it is important to explore a range of
modified in this Article. groundwater design values since a lower hydrostatic
Long-term variations in the groundwater level shall be pressure may produce the governing load effect for
considered in establishing design groundwater elevation. the lining design.
Flood conditions with 500-year return period shall be The presence of groundwater will also impact the
investigated during the design and shall be evaluated as design of the waterproofing system for the tunnel.
extreme load case during the design phase. Pressure relief systems can be used to relieve
In the absence of definitive data, groundwater groundwater pressures. Pressure relief systems are
elevations for the design of non-extreme load combinations installed between the initial and permanent ground
shall be taken as five ft above and five ft below observed support systems. See Article 6.11 for additional
groundwater elevations in order to account for seasonal and information.
tidal variations.
Load effects on tunnel initial and final linings from the The state of stress in the ground surrounding a
surrounding ground shall be evaluated for the following tunnel is changed when excavation begins. An
possible sources of loads: understanding of the in-situ state of stress can be
gained through a comprehensive subsurface
• Overburden, surcharge or vertical pressure investigation. The change in the state of stress will
• Horizontal pressure due to vertical pressure determine the load effects in the initial ground
• Squeezing due to release of in-situ pressure support and in the final tunnel lining.
• Uniform rock loads Utilizing the change of the state of stress to
maximize the load carrying capacity of the
• Block rock loads surrounding ground is the underlying concept in
• Varying ground conditions around the tunnel design. This concept assumes that the ground
perimeter of the tunnel and the structure act in concert to create a stable
• Varying ground conditions along the tunnel opening with the ground supporting the majority of
alignment the load redistribution that occurs during excavation.
Thin, flexible structural members are utilized that
• Seismic effects
allow the ground deformations required to mobilize
the strength of the surrounding ground. This
The investigation of the load effects shall be based on redistribution of stresses around the tunnel opening
ground/structure interaction. results in maximum usage of the load carrying
capacity of the ground, while minimizing the bending
and shear in the structural members, thereby
optimizing the overall design.
The redistribution of stresses also results in
movement of the ground. Ground movement needs to
be managed in order to mitigate impacts the
movement may have on existing facilities and
structures. The management of the ground
movements is done through the timing of the
installation of the ground support and the stiffening of
the structural elements used to maintain the stability
of the opening. This can lead to increased load on the
structural elements. This balancing of the load
carrying components of the ground versus the
structural elements results in necessary compromises
between the most efficient structural element and the
management of ground movements.
Mixes for cast-in-place concrete linings shall be Cast-in-place concrete is commonly used to
formulated to accommodate placement requirements, which construct tunnel linings for mined tunnels. The
frequently involve pumping over long distances. Set-time geometry of the lining for mined tunnels is
and slump shall be considered during design of concrete established to minimize moment load effects to the
mixes as they pertain to the means and methods of concrete greatest extent possible. Cast-in-place concrete can be
placement, which will vary with the Contractor’s formed and poured to any geometric shape.
equipment and sequence. Often, early stripping of When ground conditions are such that immediate
formwork for cast-in-place concrete is beneficial to the lining of the tunnel excavation is not required, for
construction schedule and can provide economy during example, tunnels constructed in competent rock, then
construction. When high strength is required prior to cast-in-place concrete can also be used to line bored
stripping forms, consideration should be given to the use of tunnels. Initial support is installed as the TBM
high early strength concrete. advances, and a cast-in-place final lining is installed
The chemistry of the groundwater shall be considered against a waterproofing membrane. Initial support
when designing the concrete mix. can be in the form of reinforcement elements such as
Air entrainment of three to five percent is rock dowels or bolts, shotcrete (reinforced or plain) or
recommended for the durability of the concrete in moist precast concrete segments (reinforced or plain). This
and cold environments. construction sequence is known as a two-pass lining
Refer to Section 4 for Concrete material properties. system.
Refer to AASHTO 2010 for more details.
Refer to Section 4 for Structural Steel material Structural steel is used for prefabricated liner
properties. sections used for the final lining, as well as for ribs
used with lagging to form initial support. Steel liner
plates generally would not be used for large diameter
tunnels typically constructed for highways.
Prestressing steel shall be bonded and protected against Some jurisdictions prohibit the use of prestressed
corrosion, with attention to combating the effects of elements below grade because of concerns about
corrosive compounds in the surrounding soils or corrosion. However, with appropriate protections,
groundwater. Bond capacity shall be tested in accordance prestressed, precast elements can be used to
with ASTM A981. Strands shall conform to ASTM A416, streamline construction. Following are some
and bars shall conform to ASTM A722. The Engineer shall examples of use of prestressing steel in underground
include relaxation requirements in the project applications. Prestressing steel is commonly used for
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 7: MINED AND BORED TUNNEL STRUCTURES 7-9
specifications. permanent rock anchors, with protection against
Refer to Section 4 for Prestressing Steel material corrosion provided by corrosion-inhibiting
properties and resistance factors. compounds (resins and greases), sleeves and grout.
Shotcrete is frequently used as a smoothing layer When shotcrete is used in lieu of concrete in the
applied to irregular rock surfaces prior to the application of final structure, it is applied in layers with a time lag
waterproofing membranes. Shotcrete may also be used for between the applications. To ensure that the behavior
initial ground support in mined tunnels, alone or in is equivalent to monolithic concrete, it is essential to
combination with other support elements. limit the time lag between the applications. It is
Shotcrete may be used for the final permanent tunnel recommended that a bonding agent be used between
lining and can be either be structural plain shotcrete or layers.
reinforced with reinforcing steel, welded wire fabric, lattice
girders or steel fibers. Pneumatically applied shotcrete
(PAC) is a variant of conventional shotcrete that can be
used for the final permanent tunnel lining.
The surface of the shotcrete shall be clean and free of
any dust or dirt that might create a debonding between
individual layers.
Shotcrete shall not be considered as a barrier to the
movement of water over the long term, i.e. shotcrete shall
not be used as a waterproofing membrane.
Refer to Section 4 for Shotcrete material properties and
resistance factors.
Construction of mined tunnels is performed through Information regarding initial ground support
various excavation techniques that all fall under the general measures can be found in Section 9.
category of sequential excavation. Techniques utilized for Refer to AASHTO (2010) for additional
the construction of mined tunnels include: information regarding mined tunnels in various
• Drill and blast in rock ground conditions and the analysis of sequential
• Roadheader excavation in various materials excavation.
• Coventional excavation techniques such as
backhoes and rippers
The construction of mined tunnels is sequenced in a
manner customized to the ground conditions expected to be
encountered. The sequencing includes both the area of the
face that is excavated at one time (drift) and the length of
excavation performed prior to installation of the initial
support (round). The drift can be the entire tunnel face at
one time or it can be subdivided into multiple sections.
Round lengths will vary as a function of the time limit
required to install the initial support. This methodology is
also known as the Sequential Excavation Method (SEM).
Ground movements will occur with the excavation of,
and are managed by, limiting the size of the drift and the
length of the round.
The excavated opening created during each drift
excavation is made stable through the use of initial ground
support. The initial ground support can consist of ground
improvement or structural elements installed prior to
excavating the drift, or can be structural elements installed
after excavation of the drift, or a combination of support
installed before and after excavation. The type and
configuration of required initial ground support is dictated
by the ground and groundwater conditions and the
requirements for limiting ground movements. The type and
configuration of the required initial support, along with
time restrictions for installation of the support, are referred
to as excavation support classes (ESC).
Once the entire tunnel cross section is excavated, the
waterproofing system (if required) is installed and the final
lining is constructed. Additional stress redistribution will
occur over time until a state of equilibrium is reached. Each
phase of the excavation and lining construction along with
the permanent long-term condition shall be investigated to
determine the load effects in the support elements, as well
as in the surrounding ground. During construction, experienced personnel must
Ground conditions will vary within the length of a be on site to determine the ESC required as each drift
tunnel. The contract documents shall provide information of the tunnel is excavated. Records of the tunneling
regarding the ground conditions to be expected along the and installation of ESC should be kept for the entire
tunnel length, where each ESC may be required, and the length of the tunnel. Instrumentation installed and
details required to construct both the initial support and the monitored during construction provides real-time data
final structural lining. regarding the performance of the ESC.
The number of ESCs should be kept to a minimum to Instrumentation data related to ground movements is
maximize efficiency and economy of construction. used to modify ESCs as required and to ensure that
project criteria regarding ground movements are not
This approach is called a one-pass lining. The design The traditional distinction between TBMs – hard
of the TBM shall be predicated upon the most difficult rock and soft ground— has become less distinct over
ground conditions expected to be encountered. the years. Properly designed TBMs are capable of
The Engineer shall identify the performance traversing varying ground conditions along a tunnel
requirements of the TBM based on the ramifications of alignment. They are capable of installing initial
ground movement and the ground conditions expected to be ground support as they proceed, which is followed by
encountered. The Contractor shall be responsible for the a final cast-in-place concrete lining. This approach is
design, procurement and operation of a TBM that meets the called a two-pass lining. TBMs can also install a
performance criteria set forth by the Engineer. precast segmental tunnel lining designed for the
initial and final conditions.
7.6.1. General
Extreme Event T-I: Mined and bored tunnel structures Under Extreme Event T-I, acceptable level of
shall be investigated for the design earthquake to ensure damage could include partial failure of tunnel
life safety and survivability of the structure taking members that result in limited leakage and could
progressive collapse into account. include complete loss of service. The Owner shall
determine acceptable levels of damage.
Extreme Event T-II: Mined and bored tunnel structures Under Extreme Event T-II, it is recommended
shall be investigated for extreme events other than that the tunnel should sustain no more than light
earthquake. Other extreme events, such as explosion and damage and/or minor leaks, while experiencing no
fire, shall be considered on a project-specific basis and, if significant loss of service during the prosecution of
relevant, shall be included in Extreme Event II individually repairs, i.e. partial performance level.
but not simultaneously with other events. The Owner may,
at its discretion and after performing a hazard analysis,
create load combinations that have more than one of these
loads applied to the structure simultaneously. In this case, it
is recommended that the load factors shown in Table 3.4-1
be used when combining the loads.
Extreme Event T-III: Mined and bored tunnel
structures shall be investigated for a rare event for the
simultaneous combination of loads such as flooding. This
load combination shall be used for both surface flooding
that raises the groundwater elevation and for flooding of
the inside of the tunnel.
Under Extreme Event III, the following flooding cases
shall be investigated:
Mined and bored tunnel structures shall be designed Section 3 provides guidance on the methods to
for the load combinations shown in Tables 3.4.-1. be used in the computations of the loads applicable to
When developing the loads to be applied to the mined and bored tunnels. The construction
structure, each possible load combination of the loads shall methodology (SEM or TBM) will influence the
7.7.1. General
Initial ground support shall be designed for the load The load effects are generated during excavation
effects expected to be experienced by the structure during of each drift in the case of mined tunnels, or the
the initial stages of construction. The initial ground support initial/short-term load effects generated as the
also shall be designed for load effects generated by the temporary lining exits the TBM in the case of bored
construction methodology. tunnels. For mined tunnels, the load on support
When cross passages, sumps and ancillary spaces are elements may vary significantly over the sequential
constructed after the construction of the initial ground excavation process.
support, the load effects generated by creating the openings
in the initial ground support shall be accounted for in their
design.
Section 3 provides guidance for the determination of
loads other than those generated by construction. Section 9
provides guidance relative to the design of initial ground
support.
Cross passages, sumps and ancillary rooms are Cross passages are required by NFPA 502 when
generally mined from the completed main tunnel utilizing the tunnel length exceeds limits specified. Cross
various techniques. Cross passages, sumps and ancillary passages are used in conjunction with side by side
rooms shall be designed for the load effects expected from tunnels.
the construction methodology, short-term and long-term Sumps are constructed at the low point in the
ground and groundwater loads and the loading associated tunnel alignment to collect seepage, wash and
with appurtenances and live loads expected during the life firefighting water and spills that occur inside the
of these features. tunnels. Sumps are equipped with pumps that
The Engineer shall indicate the location of required discharge the collected fluids to the tunnel piping
cross passages, sumps and ancillary spaces on the contract system.
drawings. Ancillary spaces encompass a large range of
uses, including mechanical and electrical rooms,
systems rooms, storage, niches for equipment or
ventilation fans, and local widening of the tunnel
cross section to provide refuge space for disabled
vehicles.
Cross passages, sumps and ancillary spaces,
when required, can be constructed before or after the
final lining is constructed. They are usually
constructed after the initial ground support. The
creation of an opening in the ground support and
subsequent excavation, creates a redistribution of the
stresses in the surrounding ground. Temporary
supports inside the main tunnel lining are required to
stabilize the tunnel lining by creating redistributed
load paths that allow sections of the lining to be
removed that are large enough for construction of the
cross passage, sump or ancillary space.
7.7.2. Ground Movements
Ground movement occurs primarily due to ground loss Ground movement during excavation and
during excavation and due to the change of stress in the construction, and its effects on adjacent structures,
ground caused by the excavation process. Ground utilities and other infrastructure must be carefully
movement affects the construction process in the following considered in all phases of design and construction.
areas: Ground movement must be explicitly addressed in the
development of contract documents and carefully
• The stability of the open excavation at the face of monitored in the field once construction begins.
the tunnel during construction. Instrumentation to monitor the movements of
• Ground movement into the tail void of TBM adjacent existing structures should be in place and
tunnels. actively monitored prior to construction, during
• Ground movement caused by the excavation of construction and for a period of time after
cross passages, sumps and ancillary spaces. construction to confirm that ground has stabilized.
• Surface subsidence due to the excavation process. Threshold values and values for total permissible
• Impact of ground movement due to the excavation movement of the facility/structure being monitored
process on existing buried utilities, buildings and should be established. The Contractor must be
infrastructure above or adjacent to the tunnel required to halt work should the threshold values be
alignment. exceeded and mitigation measures should be
• Surface subsidence due to lowering of the implemented to keep movement within permissible
Settlements at the ground surface may be estimated Empirical assessments are based on observed
utilizing the following equations derived from those field behavior related to simplified ground conditions
presented by R.J. Mair (1993). The settlement equations and are assumed to be applicable to similar ground
shown below are applicable at a specific location along the conditions. The empirical method presented here,
tunnel alignment. A settlement profile that is parallel to the Mair (1993), is generally used for initial screening to
tunnel should be developed to fully understand the potential identify the need for more detailed analyses to assess
ground movements. impacts on adjacent existing features. Empirical
assessments can also be used to evaluate the
The maximum settlement (vertical movement) at the reasonableness of analytical and numerical analyses.
tunnel centerline is calculated as follows: The equations provided herein are generally used for
soft ground and will produce conservative results for
𝑉𝑙 𝐴𝑡 tunnels in rock. These equations assume a ‘green
𝑆𝑚𝑎𝑥 = 0.4 (7.7.2.2-1)
𝐾𝑧0 field’ condition. This condition does not take into
account the effects of existing loads that may occur
Where: along the tunnel alignment from buildings or other
infrastructure. Numerical analyses utilizing
Smax = maximum settlement at tunnel centerline (in.) specialized software can account for these loads.
Vl = ground loss ratio
−𝑦 2
𝑆𝑦 = 𝑆𝑚𝑎𝑥 ∙ 𝑒𝑥𝑝 � � (7.7.2.2-2)
2(𝐾𝑧0 )2
Where:
Closed form analytical solutions have been developed The equations provided herein are generally used
by Loganathan (2011) that can be used to estimate for soft ground and will produce conservative results
4𝐻(1 − 𝜐) 1.38𝑥 2
𝑈𝑧=0 = 𝜀0 𝑅2 ∙ ∙ 𝑒𝑥𝑝 �− �
2
𝐻 + 𝑥 2 (𝐻𝑐𝑜𝑡𝛽 + 𝑅)2
(7.7.2.3-1)
Where:
𝑧−𝐻 𝑧+𝐻
𝑈𝑧 = 𝜀0 𝑅2 �− + (3 − 4𝜐) 2
𝑥2 + (𝑧 − 𝐻) 2 𝑥 + (𝑧 + 𝐻)2
2 2
2𝑧[𝑥 − (𝑧 + 𝐻 )]
− 2 �
[𝑥 + (𝑧 + 𝐻2 )]2
2
1.38𝑥 0.69𝑧 2
∙ 𝑒𝑥𝑝 �− � + ��
(𝐻𝑐𝑜𝑡𝛽 + 𝑅)2 𝐻2
(7.7.2.3-2)
Where:
1 3 − 4𝜐
𝑈𝑥 = 𝜀0 𝑅2 𝑥 � + 2
𝑥2 + (𝐻 − 𝑧) 2 𝑥 + (𝐻 + 𝑧)2
4𝑧(𝑧 + 𝐻)
− 2 �
(𝑥 + (𝐻 + 𝑧)2 )2
1.38𝑥 2 0.69𝑧 2
∙ 𝑒𝑥𝑝 �− � + ��
(𝐻𝑐𝑜𝑡𝛽 + 𝑅)2 𝐻2
(7.7.2.3-3)
Where:
Numerical methods involve the use of finite element or For additional information regarding the use of
finite difference software to model the response of the numerical modeling to estimate ground movements,
ground to the tunnel excavation. refer to AASHTO (2010).
Numerical modeling techniques should be used when
other methods indicate that estimated ground movements
may exceed tolerable limits for displacement and angular
distortion established for the features surrounding the
tunnel. When utilizing numerical modeling software to
estimate ground movements, existing loads from buildings,
highways, railroads and other infrastructure shall be
included in the model.
7.7.4 Loading
All components of the mined and bored tunnels shall
be designed for the applicable loads described in Section 3
and as supplemented in this Article.
Mined and bored tunnels shall be designed for any
additional loading from existing adjacent buildings, when
the horizontal distance from the building line to springline
of the tunnel is less than the depth of the tunnel below the
building foundation.
If the foundation of the adjacent buildings are
supported by underpinning and/or deep foundations that
transfer loads to a depth below the influence line of the
tunnel these additional loads shall not be applied to the
tunnel.
When the loads from the adjacent structures are not
equal on both sides of the tunnel, the most critical
unbalanced load case shall be investigated.
As a minimum, the following non-seismic loading
cases shall be investigated:
Case I - Maximum vertical loads including dead loads, Asymmetrical loading cases should only be used
live loads, surcharge loads and hydrostatic pressure with when conditions exist, or are likely to exist, in the
lateral pressure as follows: Maximum lateral pressures (at- future that cause this type of loading.
rest) due to soil loads, applied to one side of the structure
and active pressure from soil on the opposite side, or
maximum lateral rock load applied to one side of the
structure, zero rock load applied on the opposite side for
tunnels in rock.
Case II- Maximum vertical loads including dead
loads, live loads, surcharge loads with maximum lateral
pressure (at-rest) applied to one side of the structure and
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 7: MINED AND BORED TUNNEL STRUCTURES 7-20
active pressure from soil on the opposite side, or maximum
lateral rock load applied to one side of the structure, zero
rock load applied on the opposite side for tunnels in rock.
Construction sequence and procedures may result in Intermediate phases of the construction may
conditions that are more severe than the general loading induce higher stresses than the end of construction
conditions mentioned in the previous sections. Mined and stage and govern the design of structural members.
bored structures shall be designed to resist the load effects
generated during construction operations.
The Engineer is responsible to develop a construction
scheme and to clearly state assumptions regarding the
scheme in the contract documents. When an alternative
sequence of construction is allowed by the contract
documents and proposed by the Contractor, the Contractor
shall provide a complete analysis for all construction
stages.
Loads generated by the construction sequence and
procedure can include:
C7.7.5.1
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 7: MINED AND BORED TUNNEL STRUCTURES 7-21
7.7.5.1 General
7.7.5.2 Design
Numerical modeling shall be used to account for The equations presented in this article are taken
ground/structure interaction. The numerical modeling may from Engineering and Design, Tunnels and Shafts in
consist of beam/spring models, finite element modeling or Rock, United States Corp of Engineers (USACE) EM
finite difference modeling. The spring constants used to 1110-2-2901, 1997. These equations are applicable to
represent the static (non-seismic) behavior of the soil and rock, because they are based on the theory of
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 7: MINED AND BORED TUNNEL STRUCTURES 7-22
surrounding ground in ground/structure interaction elasticity. Engineering judgement and experience
modeling shall be calculated as follows. should be used when determining spring stiffness
values for design.
The radial spring stiffness may be taken as:
𝐸𝑟 𝑏𝜃
𝑘𝑟 = (1+𝜐)
(7.7.5.4-1)
Where:
0.5𝑘𝑟
𝑘𝑡 = (1+𝜐)
(7.7.5.4-1)
Where:
7.8 JOINTS
7.8.1 General C7.8.1
Three types of joints in concrete construction are Provisions to control cracking include heavier
commonly detailed: construction joints, which allow longitudinal (temperature and shrinkage)
discrete concrete placements in a continuous structure, reinforcement and the detailing of joints to control the
contraction joints and expansion joints. locations where cracking occurs. Joints must be
A main objective in the design of joint spacing is to carefully detailed to prevent the infiltration of water,
try to control the locations where the concrete cracks. In yet simultaneously accommodate the movements
mined and bored tunnel structures, cracks are locations expected over time.
where water will infiltrate into the structure, often causing Shrinkage during initial curing is a major cause
structural degradation over time. of concrete cracking. Concrete mixes for mined and
All joints in cast-in-place concrete and shotcrete shall bored tunnel structures should be designed to limit the
be provided with waterstops. heat of hydration, using the same provisions that are
applied to mass concrete placements. Provisions
include the substitution of blast furnace slag or fly ash
for Portland cement to reduce the heat of hydration,
careful curing in the wet and the control and
monitoring of temperature differentials across the
curing section.
Waterproofing for cast-in-place and shotcrete tunnel Waterproofing systems are manufactured by a
linings shall be designed to the anticipated hydrostatic number of companies. In general, details of system
pressures. Typical waterproofing systems include: application are left up to the manufacturer, whose
responsibility to the facility owner is inherent in the
• Waterstops warranty required by the specification. Most
• Gaskets manufacturers will not warrant their product unless
• Membrane waterproofing the seaming, penetration and termination details that
• Liquid applied waterproofing they have developed and tested are used in the
7.9.2 Gaskets
Gaskets shall be designed to resist the anticipated
hydrostatic pressures through compression of the gasket for
the design life of the gasket. Compression of gaskets
between rings is accomplished through the thrust of the
TBM. Compression of the gasket within a ring is
accomplished through tightening of the bolts between
gaskets.
Precast segmental concrete linings that do not have Criteria generally include a measured infiltration
applied waterproofing shall be subject to the permissible of volume/ft2/day and a maximum flow at any single
leakage criteria. point. Typical criteria range from 0.0002 to 0.01
gals/ft2/day, with 0.02 gallon per minute of flow from
any single leak. The Owner shall establish the
required leakage criteria. Factors to consider when
establishing permissible leakage include the long-
term management of the incoming water, the selected
structural system and associated number of joints,
constituent components of the groundwater including
groundwater chemistry and contaminants.
1. AASHTO, Technical Manual for Design and Construction of Road Tunnels – Civil Elements, 2010
3. American Society of Civil Engineers, ASCE 37, “Design Loads on Structures during Construction”
4. Johann Golser, The New Austrian Tunneling Method (NATM), Theoretical Background & Practical
Experiences. 2nd Shotcrete conference, Easton, Pennsylvania (USA), 4-8 Oct 1976.
5. Loganathan, Nagen (2011), “An Innovative Method for Assessing Tunneling-Induced Risks to Adjacent
Structures”, WSP Parsons Brinckerhoff (http://www.pbworld.com/news/publications.aspx)
6. Muir Wood, A M. (1975). “The circular tunnel in elastic ground. Geotechnique, 1, 1975, 115-127
7. NFPA 502 – Standard for Road Tunnels, Bridges, and other Limited Access Highways
8. Özdemir, Levent (2006). North American Tunneling 2006. Washington, DC: Taylor & Francis. p. 246. ISBN 0-
415-40128-3.
9. Rabcewicz, L. V.(1948) “Patentschrift, Oesterreichisches Patent Nr. 165573” (Patent Entry, Austrian Patent Nr.
165573, 1948).
10. Rabcewicz, L.V. (1964). "The New Austrian Tunneling Method," Water Power.
11. Rabcewicz, L. V. and Golser, J., (1973). “Principles of Dimensioning the Supporting System for the New
Austrian Tunneling Method,” Water Power, March 1973 Issue.
12. Tunneling: Management by Design, Alan Muir Wood, Taylor & Francis, 2002, ISBN 0203477669
13. U.S. Army Corps of Engineers (USACE) (1997). "Engineering and Design, Tunnels and Shafts in Rock", EM
1110-2-2901, May.
TABLE OF CONTENTS
8.1 SCOPE
8.2 DEFINITIONS
8.3 NOTATION
8.3.1 General
8.3.2 Loads and Load Designations
8.4 DESIGN CONSIDERATIONS
8.4.1 Determination of Ground Properties
8.4.1.1 General
8.4.1.2 Foundation
8.4.1.3 Fill Material
8.4.1.4 Sideslopes
8.4.2 Materials
8.4.3 Support Loss
8.5 CONSTRUCTION
8.5.1 Shipping Channel Traffic
8.5.2 Trench Excavation
8.5.3 Element Length
8.5.4 Fabrication Facility
8.5.5 Transportation
8.5.6 Outfitting
8.5.7 Immersion
8.5.8 Joining and Filling
8.6 LIMIT STATES AND RESISTANCE FACTORS
8.6.1 General
8.6.2 Service Limit States
8.6.3 Strength Limit States
8.6.4 Extreme Limit States
8.6.5 Load Factors and Load Combinations
8.6.6 Resistance Factors
8.7 GENERAL DESIGN FEATURES
8.7.1 Loading
8.7.1.1 Permanent Loads
8.7.1.1.1 Settlement (SE)
8.7.1.2 Transient Loads
8.7.1.2.1 Transient Water Loads (WAp)
8.7.1.3 Construction Loads
8.7.1.3.1 Launching (LA)
8.7.1.3.2 Transportation (TR)
8.7.1.3.3 Immersion (IN)
8.7.1.3.4 Joining (JO)
8.7.2 Joints
8.7.3 Scour Protection
8.8 STRUCTURAL ANALYSIS
8.9 WATERPROOFING
8.9.1 Waterproofing Systems
8.9.2 Water Infiltration
8.10 REFERENCES
This Section supplements the AASHTO LRFD Immersed tunnels are used to cross waterways and
Bridge Design Specification (hereafter referred to as the typically include a cut-and-cover section at both ends of
LRFD Specifications). The provisions of this Section the tunnel. An immersed tunnel consists of one or more
apply to the analysis and design of immersed tunnels tunnel elements, typically 300 feet or more in length.
constructed of elements of steel, concrete or a The elements may be fabricated on or off of the tunnel
combination thereof. alignment and designed to be floated, either with or
This Section includes provisions for loads that may without temporary buoyancy to a prepared bed or
be encountered during the construction of immersed excavation at the bottom of the waterway being crossed.
tunnels. Provisions for permanent loads are contained in The elements may consist of reinforced or prestressed
Section 3. concrete, concrete acting compositely with structural
This Section also includes provisions for detailing steel or a steel structure with concrete infill. The
and inspectability. elements are fabricated in dry docks, diked basins, on
Temporary works for the fabrication, launching, submersible barges or on dry land to be launched like a
transportation, immersion and joining of elements are not ship, lowered on a ship lift or floated when the
included. Temporary support of excavation and fabrication basin is flooded. The ends of the elements
temporary side slopes for open trench excavation are not are sealed with temporary bulkheads. The tunnel
covered. elements are towed to their final location, floated into
position, lowered into the prepared bed and joined
together. After any additional foundation works have
been completed, the sides are backfilled and most often
some fill is placed on the roof as protection.
8.2 DEFINITIONS
Anchor Release Band – Earthen construction intended to choke the gape of a ship’s anchor, i.e. the space between
the hook and the shank, and bring the anchor to the surface.
Engineer – Agency, design firm or person responsible for the design of the tunnel and/or review of design related
field submittals.
Fabrication Facility – A dry dock, diked area or factory used to build the immersed tunnel elements.
Fully serviceable – The state of a tunnel under which all traffic normally permitted to travel through the tunnel can
do so safely, with all tunnel systems functioning to the extent required for safe travel.
General Fill – Backfill that is placed above the horizontal axis of the element after placement.
Heeling Moment – A moment (a force x distance) about the longitudinal axis in the transverse direction which
induces roll (heel). The investigation of heeling moments are an important consideration to an element’s stability.
Immersed Tunnel – A tunnel that is built in sections (elements) in the dry and then floated to the alignment and
placed.
Inner Reinforcement Cage –The reinforcing steel layer closest to the inside of the tunnel.
Joining – Engaging the jacks and pulling the element being placed to the in place element or existing approach
section.
Launching – Sliding the element into the water at the fabrication site, if the site is a ship building facility with a
launch.
Locking fill – Backfill that is placed on either side of the element after placement up to the horizontal axis.
Outfitting – Adding internal concrete to the element after float up in the vicinity of the alignment to obtain a larger
negative buoyancy than was obtained at float up.
Righting Moment – The lateral moment that can be applied to the element without causing it to capsize or heel.
Terminal Joints – Joints between immersed tube elements and approach structures.
8.3 NOTATION
The following permanent, transient and construction loads shall be considered and supplement information
given in Section 3:
• Permanent Loads
• Transient Loads
8.1.2 Abbreviations
8.4.1.1 General
A foundation capable of supporting the tunnel Immersed tunnels are usually placed within an
adequately under all design conditions shall be provided. excavated trench. Some methods of soil improvement
The foundation may be prepared either before or after may need to be carried out before the trench is
placing a tunnel element. Where improvements to the excavated to the final depth.
underlying soils are required, these improvements shall
be prepared prior to preparing the foundation or prior to
placing the element, if placed first. Soil improvement
may include some form of piles or compaction piles not
in direct contact with the underside of an element, or an
appropriate type of in-situ ground improvement.
Based upon seismicity, analyses are required to
determine the risk of liquefaction of both the underlying
soils and of the foundation materials; soil improvement
may be required to reduce the risk of liquefaction of the
underlying soils to an acceptable level. Foundation
materials shall be selected such that they do not liquefy.
See Section 10 for seismic design requirements.
Acceptable methods of foundation preparation
include:
• Screeded material onto which the tunnel element is Depending upon the level of seismicity, a screeded
placed. The material shall be capable of transferring foundation may consist of a well graded material or
the loads from the tunnel element to the underlying single-sized stone. The material is placed in the trench,
foundation materials without causing unacceptable typically through tremie tubes or by clamshell, and then
settlement or differential settlement. Settlement screeded (leveled) to the line and grade required for
analyses shall be performed in accordance with element placement using a blade or screed box to form
Section 10 of the LRFD Specifications. a continuous flat surface. An alternative and quicker
method is placement of the material by the Dutch
Scrading® method, whereby the foundation material
(usually stone) is placed using a computer controlled
tremie pipe in a zigzag pattern with a slight separation
of the rows. Scrading® is used for all widths of tunnels.
• Sand-flow or grouted foundation prepared beneath the For the sand flow method, a sand-water mixture is
tunnel element while resting on temporary supports. pumped in through pipes with orifices in a pattern
Sand flow shall not be used in seismic areas where the below the tunnel. As the mixture is pumped in, it forms
sand bedding may be susceptible to liquefaction. a “pancake” that grows around the orifice in use. The
Where a grouted foundation is used, it may be pumping pressure required increases as the diameter of
underlain by gravel or stone. The grout shall be the pancake increases. The pancakes shall be arranged
formulated such that it neither penetrates the to overlap and to be sequenced such that the entire
underlying materials nor mixes with the surrounding underside is filled. Sand flow is particularly useful for
water. Sand jetting is not recommended. wide tunnel elements but has also been used for narrow
tunnels.
A foundation produced by the grouting and sand
flow methods is installed after an element is placed,
whereas the screeded foundation is prepared before
Foundations, other than discrete supports shall be at The thickness of the foundation affects the final
least two ft. thick. depth of excavation of the trench and height of
associated side slopes.
When varying ground conditions occur along the
tunnel alignment, or when sharp transitions from soil to
rock occur under the tunnel elements, analyses shall be
performed to estimate longitudinal and transverse
differential settlements within each tunnel element,
between adjoining tunnel elements and at the transitions
at the ends of the immersed tunnel. These analyses shall
be performed in accordance with Section 10 of the LRFD
Specifications to determine the magnitude of potential
differential settlement. The tunnel elements shall be
designed to accommodate the calculated differential
settlement.
Settlement of the element while resting on the
foundation pads shall be monitored and corrections made
to the element elevation in event that movement takes
place.
See Section 3 for additional design requirements for
foundation settlement.
thereof.
General fill shall also be placed in lifts to ensure that
displacement of the element does not occur. The
gradation of the fill materials shall be designed such that
it cannot liquefy in a seismic event. It is common practice
to place fill over the top of a tunnel to protect against
sinking ships, falling anchors, etc. The required thickness
of this fill shall be sized by analysis and is typically at
least five feet, depending upon expected vessel size and
anchor weight; concrete ballast and concrete protection
over the tunnel may be used to reduce the thickness of
any needed protective fill. The composition of fill placed
over the tunnel shall be such that pressure from sunken
ships and falling anchors is cushioned to reduce the risk
of damage to the structure below, and shall be confirmed
by analysis. Areas of general fill shall not be permitted to
contain materials such as rubble rock, masonry and metal
without prior agreement from the designer and Owner.
Where fill materials are subject to scour or erosion,
for example by waves, currents and/or propeller wash, the Guidance on the suitable gradation of materials
uppermost layer of fill (scour protection) shall be against scour may be obtained from The Rock Manual
designed to prevent scour and erosion. (CIRIA) and Propeller Induced Scour (Prosser); rock
size may be selected using USACE Hydraulic Design
It may be appropriate to provide anchor release bands Criteria Sheet 712-1 Stone Stability.
against dragging anchors in locations where extreme Anchor release bands have typically been located
conditions can arise such that ships could drag anchors 16 ft. clear of the tunnel.
that would snag on the tunnel.
Placing fill above the natural bed of the waterway
should be avoided unless proven that negative hydrologic
or environment consequences will not occur.
8.4.1.4 Sideslopes
8.4.2 Materials
This design consideration is unique to immersed The value of 30 ft. is empirical, commonly used
tunnels and can result from construction practices. and takes into account purposely low foundation levels
Support loss shall include loss of support (subsidence) around immersion joints to ensure foundation materials
uniformly below the tunnel or to only one side. For the do not get trapped in immersion joints.
immersed tunnel, a loss of support of 30 ft. over the full
width of the tunnel element at any point along the length
of the element shall be considered. Uneven support shall
be considered also as follows: zero at one side of the
element transitioning to full support on the opposite side
of the element for a length of 30 feet along the
longitudinal axis of the tunnel.
8.5 CONSTRUCTION
The design of immersed tunnels shall take into The requirements for maintenance of marine traffic
account the maintenance of marine traffic, and establish may: dictate maximum element lengths, location of
the criteria for maintenance of marine traffic during immersion joints, construction sequencing, require the
construction at the early stages of design. dredging of temporary channels to detour marine traffic
around the active construction site and time restrictions
on construction activities.
Areas required for marine construction operations Typically, a Notice to Mariners must be issued by
such as excavation, foundation preparation, immersion the responsible authority well in advance of the
and filling shall be clearly marked so that shipping traffic occupation of such areas. Changes at short notice to the
is excluded from such areas. dates of occupation may not be possible.
There will be an impact on shipping movements
during dredging, placing the tunnel elements and
during fill operations, all of which require specialised
equipment. Standby vessels may be required to protect
work areas from errant vessels. Proper coordination has
made it possible to construct immersed tunnels in even
the busiest and in the narrowest of waterways.
Design of the element shall be determined based on Many elements have been between 300 and 400
the length selected. Constructability shall be considered feet long and some have been up to twice that length.
in determining element lengths. Loadings dependent on The actual length of an element may be governed by
element length shall be checked for each length used in the available size of the fabrication facility, the
the design. navigable channel along the waterway used to float the
The final selection of element lengths shall be the elements to the construction site, ability of available
responsibility of the Contractor. The Contractor shall be tug boats to handle the element, marine traffic, currents,
responsible to perform the design and checks required to wave height during tow, element shape, vertical profile
ensure that the final structure is adequate for both and horizontal alignment, outfitting facility size and
permanent loads and temporary loads imposed during location and placing barge equipment. The length of a
construction utilizing the selected elements and the tunnel element usually only affects schedule, not
Contractor’s proposed means and methods. methodology.
One or more potential fabrication facilities shall be The selection and choice of sites for a tunnel
identified as part of the design. Assumptions relative to element fabrication facility typically requires
the location, size and configuration of the fabrication consideration of at least the following factors:
facility shall be included in the contract documents.
The final selection of the location and configuration • Distance from the tunnel site
of the fabrication facility shall be the responsibility of the • Availability over required period of use
Contractor. • Navigational access
• Effects on marine traffic
• Land access
• Overall suitability for construction of steel or
concrete tunnel elements
• Geotechnical conditions
• Environmental impact
• Archaeological interests
Stability shall be checked while a tunnel element is The distance of the facility from the tunnel
afloat, including all marine operations. Due attention shall alignment is preferably short, but many elements have
be paid to effects of variations in structural dimensions, been fabricated hundreds or thousands of miles away
including results of thermal and hydrostatic effects. Items and towed across open oceans. If built on the alignment
to consider shall include: of the approaches, towing distances are practically
eliminated.
• Sufficient freeboard for marine operations, so that Tunnel elements have been towed on submersible
tunnel elements are relatively unaffected even when barges or floating on their own. The transportation
waves run over the top. A factor of safety exceeding methods may depend on the route and distance between
1.01 is recommended to guard against sinking due to the fabrication facility and the construction site.
variations in both the tunnel dimensions and in the
densities of tunnel materials and the surrounding
water.
• Lateral stability of the element using cross-curves of
stability analysis shall have a factor of safety in excess
of 1.4 of the area under the righting moment curve
against that under the heeling moment curve. See
Figure 8.5.5-1.
• Sheltered location
• Away from shipping channels
• Sufficient space between elements such that
they cannot collide
• Maintenance accessibility
Tunnel elements shall be designed to withstand force Depending upon how complete a tunnel element is
effects associated with outfitting performed after being once it is afloat, some outfitting or further construction
floated. Unequal loadings due to addition of permanent or may be required before leaving the vicinity of the
temporary ballast, structure components or ancillary items fabrication facility.
shall be analyzed and checked.
External ballast shall not be capable of being scoured
away or falling off, e.g. concrete or blocks, or else stone
or gravel retained to prevent displacement.
Potential locations for element outfitting shall be One or more outfitting locations often in the vicinity
identified during the design process. of the final alignment are required to complete at least
Determination of the final outfitting location(s) shall the primary structure of an incomplete tunnel element,
be the responsibility of the Contractor. The Contractor perhaps add some ballast either internally or externally
shall also be responsible for performing the analysis and to add temporary immersion equipment.
required to ensure that the outfitting process selected will
not damage the element.
Backfilling shall occur in a manner that does not cause A typical joint between elements includes:
differential loads on opposite sides of elements or
immersion joints. • Temporary watertight bulkheads (dam plates);
Force effects applied to the elements during joining • Temporary watertight access doors in the
and backfilling shall be determined and checked under bulkheads;
Service II. • Permanent joint seals or gaskets;
For design purposes, it shall be assumed that • Temporary dewatering equipment including any
backfilling will occur simultaneously on both sides of an pumps and piping;
element with no more than two-ft. differential in height of • Temporary location devices (to guide and adjust the
backfill on the sides of the element. element horizontally and vertically into place
For design purposes, it shall be assumed that relative to the preceding element) and may include
backfilling will occur simultaneously on both sides of wedges, jacks and shims;
immersion joints with no more than two-ft differential in • Provisions for transferring shear across a joint
height of backfill on opposite sides of the immersion (horizontally and vertically).
joint.
If the Contractor elects to backfill in another
sequence than stated, the Contractor shall be responsible
for performing the analysis and checks required to ensure
that the element is not be damaged or displaced laterally
during the backfilling operation.
8.6.1 General
Extreme Event T-II: Immersed tunnel elements Under Extreme Event T-II, it is suggested that the
shall be investigated for the design earthquake, ship tunnel sustain no more than light damage and/or minor
sinking or anchor impact individually, not combined. leaks, while experiencing no significant loss of service
Other extreme events such as tsunami, explosion and fire during the prosecution of repairs, i.e. partial
shall be considered on a project-specific basis and, if performance level.
relevant, shall be included in Extreme Event II
individually but not simultaneously with other events.
8.7.1 Loading
Structures shall be designed to accommodate both Settlement may occur at the fabrication facility as
short-term and long-term settlements. Where uneven well as at bed level after immersion, for example due to
settlements on a foundation may occur, structures shall be soft soils, in which case their effects are investigated
designed to accommodate the resulting stresses. The each time the pressure on the soils changes. For an
effects of placing fill on or around an element or on element on temporary supports after immersion, one
adjacent elements shall be taken into account; lateral temporary support may settle more than another. Fixing
movements can occur in soils that are non-uniform an immersion joint (removing a degree of freedom
laterally and where the soil surface is sloping. Anticipated using shear keys, for example) also changes subsequent
variations in soil properties shall be taken into account in behavior. Short-term settlements may occur after
analyses. Ground and structure settlement due to applied placing an element due to compaction of the foundation
loads, dewatering, excavations, tunneling, pile driving layer.
and other construction activities shall be estimated in Selection of a more favorable fabrication site,
designs, using generally recognized procedures and improvement of poor soils, proper preparation of the
methods of analysis. Analyses shall be performed to foundation and planned placement of fill can reduce
estimate foundation rebound due to excavation of the settlement effects.
overburden soils and the recompression of the foundation For a typical immersed tunnel, the effective weight
soils due to placement of the tunnel and backfill material. of the structure is less than the soil it is replacing.
Settlement analyses shall consider compression of the
foundation course placed beneath the tunnel elements.
Analyses shall also be performed to estimate the
longitudinal and transverse differential settlement within
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 8: IMMERSED TUNNEL STRUCTURES 8-15
This load represents the effects of variations in water Such variations are caused by tides, storms,
level above and below MSL (Mean Sea Level). At least tsunamis, large waves, etc.
two water levels shall be considered: For Strength I, the
water level shall have an annual probability of being
exceeded of 0.2 or greater, and for Extreme Event limit
states, water levels with a probability of being exceeded
once during the design life. The effects of global warming
and rise or fall of the land mass shall be taken into
account. Where pore water pressure relief is not provided
from beneath an immersed tunnel, then passing ships,
seismic events and the troughs of tsunamis and large
waves can result in pore water pressure beneath the tunnel
tending to lift the tunnel. Both maximum and minimum
hydrostatic loads shall be used for structural calculations
as appropriate to the member being designed. The design
shall take into account the fact that the specific gravity of
water may vary according to depth, prevailing weather
conditions and season. The effect of suspended material
shall be taken into account in determining the specific
gravity of water.
In the absence of better data, global warming may be
assumed to result in a two ft rise in MSL.
Loads occurring during launching or flooding of a Where elements are ballasted down during the
dry facility shall be analyzed to ensure that no damage flooding of a dry facility, for reasons of control, it is
will occur to the element. advisable to float one end up before the other when
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 8: IMMERSED TUNNEL STRUCTURES 8-16
“launching”.
Attachments on an element that are used to lower Where immersion is carried out by a jack-up or
elements during immersion shall be designed using a load other platform resting on ground, or by a shore-
factor of 2.0. Typically, four such attachments are used. mounted crane, wave action on the element may cause
The design load for the attachments shall assume that the significant loads on lowering equipment.
lowering equipment fails or breaks at any one attachment.
The design load shall also consider possible dynamic
loads cause by wind and wave action resulting in
differential motion between the element and the lay
barge, etc., from which it is suspended.
8.7.2 Joints
occur.
Calculations shall define the extent of protection
needed and the necessary grading of the material. The
material shall be durable for at least the design life of the
tunnel, or else regularly inspected and replaced on an as-
needed basis. The method of placing this material shall
ensure that larger sized stones do not penetrate the
general backfill and shall not cause damage to
waterproofing of the tunnel (if used). The protection layer
shall not be placed by bottom dumping.
Structural analysis shall be as specified in Section 4 Classical force and displacement methods are often
of the LRFD Specifications, where a number of used in the structural analysis of concrete immersed
permissible analysis methods are described. Members tunnel elements. Other methods (as described in this
shall not be in pure tension. Nominal cover to section) may be used, but will rarely yield results that
reinforcement shall not be less than that required to meet vary significantly from those obtained using classical
fire resistance requirements. methods.
The modeling shall be based on elastic behavior of For steel immersed tunnels analyzed using the
the structure as specified in Article 4.5.2.1 of the LRFD same structural model, the efficiency of any curvature
Specifications. of the steel members will not be fully utilized. Most
Analysis and design shall take axial loads and general purpose structural analysis programs have
secondary effects into account. The LRFD Specifications routines based on these principles for dimensional
Article 4.5.3.2 terms this type of analysis as “large models.
deflection theory”. It may be appropriate to use two or three
For two or three dimensional finite element analyses, dimensional finite element analyses to model the tunnel
the loads on exterior surfaces of members shall be applied in both the transverse and longitudinal directions,
taking into account load eccentricity and that member especially for steel tunnels. Finite element models
surfaces may have dimensions that differ from member identify load sharing, account for secondary effects and
centerline dimensions. identify load paths. Steel immersed tunnel elements are
complex assemblies of plates that might be curved, and
have stiffeners and diaphragms. Simplifying these
systems to the point where classical methods of
analysis can be used may undermine the efficient use of
materials that can result from complex load paths.
For serviceability analyses, reinforcement shall be Some designers design for crack widths less than
designed for crack widths less than or equal to 0.008 in. at or equal to 0.006 in. notwithstanding the considerable
two-inch depth of cover. increase in reinforcement required.
8.9 WATERPROOFING
External waterproofing for concrete tunnel elements Waterproofing, particularly if it is adhered to the
shall be considered. Notwithstanding the provision of a concrete, may reduce potential leaks and the amount of
membrane, the underlying structural concrete shall be leak repairs required, should leaks occur. Some
designed to be watertight. The materials of a segmental tunnels have omitted waterproofing.
waterproofing system shall have a proven resistance to
the specific corrosive qualities of the surrounding waters
and soils. The materials of the system shall be flexible
and strong enough to span any cracks that may develop
during the life of the structure. The waterproofing shall
preferably envelop the element where exposed to soil and
water.
For steel tunnels, the outer steel membrane may act
as waterproofing membrane.
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 8: IMMERSED TUNNEL STRUCTURES 8-19
Groundwater infiltration shall be limited to 0.002 The allowable water infiltration value is based on
gal/ft²/day. criteria obtained from the International Tunneling and
No dripping or visible leakage from a single location Underground Space Association (ITA), Singapore’s
shall be permitted. Land Transport Authority (LTA), Singapore’s Public
Utilities Board (PUB), Hong Kong’s Mass Transit Rail
Corporation (MTRC), and the German Cities
Committee, as well as criteria used by various projects
in the United States and others abroad for both highway
and transit tunnels.
8.10 REFERENCES
1. Proceedings of the 33rd ITA-AITES World Tunnel Congress, Prague, Czech ... edited by Jirí Barták
2. Underground Space – the 4th Dimension of Metropolises – Barták, Hrdina, Romancov & Zlámal (eds)
3. © 2007 Taylor & Francis Group, London, ISBN 978-0-415-40807-3 L.C.F. Ingerslev Parsons Brinckerhoff,
New York, U.S.A. - Immersed tunnels state-of-the-art
4. State-of-the-Art Report, 2nd Edition, International Tunneling Association Immersed and Floating Tunnels
Working Group, Pergamon, 1997
5. CEB Bulletin d’Information No 187, August 1988,
6. The Rock Manual. The use of rock in hydraulic engineering (2nd edition) (c683) June 2007 - CIRIA
7. Propeller Induced Scour – M. J. Prosser (1986) BHRA report for the British Ports Authority, February 1986
8. USACE Hydraulic Design Criteria Sheet 712-1 Stone Stability
9. Designing an Immersed Tunnel PB Network #62 Feb 2006 By C. Ingerslev
TABLE OF CONTENTS
9.1 SCOPE
9.2 DEFINITIONS
9.3 NOTATION
9.4 GENERAL
9.4.1 Criteria for Initial Ground Support Design
9.4.1.1 Soft Ground and Mixed Face Conditions
9.4.1.2 Rock Conditions
9.4.2 Initial Support Types Appropriate for Different Ground Conditions
9.4.2.1 Soft Ground and Mixed Face Conditions
9.4.2.2 Rock Conditions
9.5 INITIAL GROUND SUPPORT ELEMENTS
9.5.1 Soil and Rock Reinforcement Elements
9.5.1.1 Steel Reinforcement Elements
9.5.1.2 Glass Reinforced Plastic (GRP) Elements
9.5.1.3 Friction Rock Stabilizers
9.5.2 Lattice Girders
9.5.3 Shotcrete
9.5.4 Steel Ribs and Lagging
9.6 LIMIT STATES AND RESISTANCE FACTORS
9.6.1 General
9.6.2 Service Limit State
9.6.3 Strength Limit State
9.6.4 Extreme Limit State
9.6.5 Resistance Factors
9.7 INITIAL SUPPORT DESIGN
9.7.1 Rock Reinforcement
9.7.1.1 Pattern Rock Reinforcement
9.7.1.1.1 Selection of Element Length and Spacing
9.7.1.1.2 Pattern Design
9.7.1.2 Spot Rock Reinforcement
9.7.1.3 Deformation and Excavation Sequence Analysis
9.7.2 Shotcrete
9.7.2.1 Shotcrete Membranes
9.7.2.2 Structural Shotcrete
9.7.3 Steel Ribs and Lagging
9.7.4 Precast Concrete Segments
9.7.5 Spiles
9.8 GROUND IMPROVEMENT
9.9 PORTALS, CROSS PASSAGES AND ANCILLARY STRUCTURES
9.10 REFERENCES
APPENDIX 9-A: RECOMMENDATIONS FOR SOFTWARE USE FOR DESIGN AND PERFORMANCE
EVALUATION OF ROCK REINFORCEMENT, SHOTCRETE AND DIRECT ROCK SUPPORT FOR
UNDERGROUND OPENINGS IN ROCK
This Section provides guidance for the selection and Contract documents typically include designation of
specifications for the design of initial support elements anticipated reaches of individual ground conditions. The
for conventionally mined and Tunnel Boring Machine- initial ground support is designed for these specific
mined (TBM) tunnels in soft ground, mixed-face, and ground conditions.
rock conditions. The specifications in this Section are for
construction that is considered temporary in that it is not
accounted for as part of the permanent load carrying
elements of the final tunnel structure. In general, the
elements covered under this section are considered
sacrificial. This Section also discusses various ground
improvement methods that may be used in support of
tunnel excavation operations.
The design of initial ground support for mined and
bored tunnels may be performed by the Engineer.
Alternately, a performance specification may be
developed by the Engineer whereby the Contractor
selects means and methods for initial support systems.
However, since actual reaches of specific ground
conditions will likely vary from what is included in the
contract documents, during construction the ground
condition is identified at the site and the appropriate
initial ground support is installed.
This Section does not address support of excavation
for open-cut construction.
9.2 DEFINITIONS
Face Bolt— Reinforcement placed to support and limit inward movement of face between rounds. Typically Glass
Reinforced Plastic (GRP) to prevent damage to drilling and cutting tools.
Friction Rock Stabilizer— A rock reinforcement element which develops load resistance from frictional contact
with the drill hole surface; functions effectively as a dowel.
One-pass precast concrete segmental lining— Full perimeter precast concrete segmental lining with connectors and
gaskets installed concurrently with mining by TBM. This lining functions as the permanent tunnel structure as well
as the temporary support; a single shell lining.
Pattern Rock Reinforcement— Rock reinforcement installed on a fixed longitudinal and transverse spacing and
intended to function as a unit with the ground, to mobilize the self-support of the ground through arch action or
beam building.
Permanent Support— A type of support with a service life equal to the service life of the tunnel, which can be relied
upon as part of the final tunnel structure; forms part of a “double shell lining”; permanent support requires
protection against corrosion.
Rock/Ground Anchor— A tensioned rock reinforcement element with a much larger load capacity than a rock bolt;
often installed for permanent use, with special corrosion protection.
Rock Quality Designation (RQD)— A measure of rock mass integrity based on the condition of rock core samples.
Rock Reinforcement— Steel or composite element installed in a drilled hole and anchored or bonded to develop
tension and shear resistance to ground deformations and displacements across joints or other weakness planes.
Rock Surface Protection— Material installed to prevent fallout or raveling of ground exposed in the tunnel
excavation perimeter between rock reinforcement elements. Rock surface protection may include chain link fencing,
welded wire fabric, Glass Reinforced Plastic (GRP) fabric and thin shotcrete membranes. Steel channel sections or
mine straps (thin flexible sheet steel members with pre-punched holes) are often used with rock surface protection.
Self-Drilling Anchor— A reinforcement element with a sacrificial bit for installation in drill holes that may collapse
or otherwise be blocked before conventional reinforcement elements can be installed.
Spile— A pre-reinforcement element generally installed around the perimeter of the tunnel and extending beyond
the temporary excavation face; used to increase ground stand-up time to facilitate installation of initial support.
Spot Rock Reinforcement— Rock reinforcement installed intermittently as required or directed to supplement pattern
rock reinforcement or to support isolated rock wedges.
Stand-up time— Amount of time that an unsupported heading or excavation face (length and span) will stand before
the ground begins to move into the excavation. Stand-up time varies from indefinite for strong, intact, self-
supporting rock to minutes in weak ground.
Steel Rib— A steel shape expanded to full perimeter contact with the rock in tunnels mined by TBM or erected
tightly against the rock with timber blocking in conventional mined excavations.
Two-pass precast concrete segmental lining— Full perimeter precast concrete segmental lining installed
concurrently with mining by TBM. A “secondary lining” of cast-in-place concrete or shotcrete is constructed inside
the segmental lining. The two distinct systems form a “double shell lining”.
9.3 NOTATION
9.3.1 General
9.3.2 Abbreviations
9.4 GENERAL
The information in this article applies to various rock Information regarding recommended software
classes defined by the Engineer in the Geotechnical for the design of initial support for rock can be found
Baseline Report (GBR), which generally shall be prepared in Appendix A.
in parallel with the GDM. Occasionally, special water
control measures may be required. Requirements for such
measures will be discussed in the GDM.
Generally, four rock classes shall be anticipated for The classes are differentiated on the basis of
most tunnel design projects. For special situations, a fifth joint (fracture) spacing and the degree of
class may be developed. For tunnel projects with uniform decomposition and weathering of the rock mass. The
rock conditions, no more than two rock classes may be behavior of each class in response to excavation and
required. the development of load on the initial support and the
The rock classes shall be identified by the Engineer in the permanent tunnel lining are determined principally
GBR. Each class also may be readily identified during by these factors.
tunnel excavation by direct visual observation by a trained Each rock class can be differentiated on the basis
geotechnical engineer or engineering geologist prior to the of information contained in the boring logs and the
installation of support elements. results of field and laboratory testing. This
information can be found in the project Geotechnical
Data Report (GDR).
Rock Class I: Fresh intact rock with a joint/fracture Rock Class I: This material generally would
spacing in excess of six ft. Joints/fractures are very widely exhibit a Rock Quality Designation (RQD) greater
spaced, with very widely spaced clusters of very closely to than 85. It would be classified as Rock Condition 1
closely spaced fractures. Slickensided fractures are very to 3 in Table 5.6.4-1. Standup time (time before
rare. Mineralization along joints/fractures is rare and few unsupported rock begins to fall or ravel around the
infilled joints/fractures are observed. Joint surfaces range excavation perimeter) in mined tunnels is generally
from planar, rough and irregular, undulating, smooth; or greater than 24 hours in this rock class for
undulating, rough or irregular. excavations less than about 25 ft in width.
For tunnel excavations greater than 25 ft in
width, generally characteristic of road tunnels,
sequential excavation of multiple drifts is
recommended. Round lengths up to 12 ft are feasible
for mined excavations using controlled blasting or
roadheader excavation.
This material generally can be supported by spot
rock reinforcement or pattern rock reinforcement,
with longitudinal and transverse spacing between
rock reinforcement elements of five to six ft in both
conventionally mined tunnels and TBM-mined
tunnels.
Pattern rock reinforcement often is used in
TBM-mined tunnels in conditions where spot
reinforcement might be used in conventionally mined
tunnels. The reason is that wedges that normally
would be dislodged by vibration or gas pressures
when explosive excavation is used may remain in
place for an indeterminate period before falling
without warning along the length of the tunnel.
Occasional use of rock surface protection
between rock reinforcement elements is
recommended to prevent fallout of small blocks or
raveling of the excavation perimeter. Rock surface
protection does not need to be installed concurrently
with installation of rock reinforcement.
with a joint/fracture spacing of less than two ft, or multiple be classified as Rock Condition 4 or 5 in Table 5.6.4-
and random joint/fracture sets with smooth or slickensided 1 of this Specification. Standup time (time before
surfaces, irrespective of joint/fracture spacing, or multiple unsupported rock begins to fall or ravel around the
zones of brecciated and heavily fractured rock with clay or excavation perimeter) in mined tunnels is generally
disintegrated between rock surfaces or one or more less than 8 hours in this rock class for excavations
shear/fault planes with a filling thickness greater than six in. less than about 25 ft in width, unless pre-
reinforcement, such as spiles, is installed ahead of
the face.
For tunnel excavations greater than 25 ft in
width, generally characteristic of highway tunnels,
sequential excavation of multiple drifts is
recommended. Round lengths no greater than four ft
are recommended for mined excavations using
controlled blasting or roadheader excavation.
This material generally can be supported by
pattern rock reinforcement, with longitudinal and
transverse spacing between rock reinforcement
elements of 3 to 4 ft. Use of Self Drilling Anchors
(SDA) may be recommended if there are concerns
with drill hole stability.
Use of rock surface protection between rock
reinforcement elements is recommended to prevent
fallout of small blocks or raveling of the excavation
perimeter. Rock surface protection generally may
need to be installed concurrently with installation of
rock reinforcement.
Alternatively, this material can be supported by
steel ribs using steel, timber or concrete lagging and
by lattice girders with shotcrete. Supplemental
installation of rock reinforcement or SDAs may be
necessary if an alternative support methodology is
used.
For tunnels excavated by TBM, use precast concrete Historically, one-pass systems using cast iron,
segmental linings. These linings may be either a one-pass ductile iron or fabricated steel segments have been
precast concrete segmental lining or a two-pass precast used. Two-pass systems using steel ribs with full
concrete segmental lining with a cast-in-place concrete final perimeter timber lagging as initial support and a cast-
lining. See definitions in Article 9.2. in-place concrete final lining also have been used.
For tunnels excavated by TBM, using either one-
pass or two-pass precast concrete segments, the
segments generally are designed for the worst
anticipated combined ground and water loads along
the tunnel alignment. It generally is not considered
economical to have multiple segment designs,
principally for construction logistics reasons (having
the right segment type, at the right place, at the right
time).
For tunnels excavated by SEM, use combinations of For tunnels excavated by SEM, the Engineer has
lattice girders, shotcrete, bolts, dowels or Self Drilling the option of designing different cast-in-place
Anchors (SDA). See definitions in Article 9.2. concrete or shotcrete final linings for defined reaches
of tunnel. Generally, the internal geometry of the
tunnel remains constant, but lining thickness and
reinforcement bar size and spacing can be adjusted
for different loading conditions.
For tunnels excavated using conventional mining For tunnels excavated by TBM, one-pass precast
methods, including SEM, use bolts, dowels, friction rock concrete segmental linings are frequently used. Two-
stabilizers, SDA, steel ribs and lagging or lattice girders and pass systems using precast concrete segments, steel
shotcrete. See definitions in Article 9.2. ribs and lagging and rock reinforcement as initial
support with a final lining of cast-in-place concrete
are still commonly used in TBM-mined tunnels in
rock.
For TBM-mined tunnels using precast concrete
segments for support, segments generally of a single
design are used over the full length of the tunnel, for
the same reasons as in soft ground and mixed-face
tunnels. The most unfavorable loading conditions
will govern the design.
Various ground support elements may be used on This article lists and discusses the elements most
tunneling projects. They include the following basic types: commonly used for initial support.
Steel reinforcement elements shall include solid and Various types of anchorages and corrosion
hollow bars. Hollow bars used with a sacrificial drill bit protection methods are used with steel reinforcement
shall be defined as SDA. elements. Anchorage methods include mechanical
Construction specifications shall include provisions for anchorage, resin grout anchorage and cement grout
pull testing of a minimum percentage of installed rock anchorage. Corrosion protection methods include
reinforcement elements (both pre-production and a selected epoxy coating, galvanization, plastic sleeves, cement
number of production elements) and requirements for grout and resin grout.
replacement of elements that fail the test. Mechanical anchorage or resin anchorage of
rock bolts is almost immediate. Fast set resin
cartridges are used to develop the anchorage. Cement
grout anchorage requires time to develop, which is a
problem in certain ground conditions.
Conversely, successful installation of rock
reinforcement elements through a full column of
resin cartridges requires careful coordination of hole
diameter, cartridge diameter, and reinforcement
element diameter and proper rotation and thrust of
the reinforcement element to rupture the resin
cartridge, mix the resin and catalyst, and achieve
effective encapsulation of the reinforcement element
by the resin.
Glass reinforced plastic (GRP) reinforcement elements GRP elements use the same range of anchorage
shall include solid and hollow bars, similar to steel types as steel reinforcement elements. However, the
reinforcement. Hollow GRP bars may be used as SDA. reinforcement element material is itself corrosion
resistant, so less care is necessary to achieve an
installation resistant to long-term corrosion. GRP
elements can be excavated easily by TBM or
Two basic types of friction rock stabilizers, the Swellex These friction rock stabilizers originally were
type and the Split Set type, may be used. proprietary, but the patents have expired and
elements of both types are now available from
multiple manufacturers. The Swellex type is a hollow
steel tube that is inserted in the drill hole and inflated
under high water pressure (approximately 30,000 psi)
forcing the steel against the rock. The Split Set type
is a split steel tube of slightly larger diameter than
the drill hole that is forced into the hole.
Friction rock stabilizers have limitations on
capacity and require greater displacement to develop
their anchor loads than grouted or mechanical
elements.
Lattice girders in various grades of steel and in GRP Lattice girders are used as reinforcement for
may be used. shotcrete. Lattice girders have minimal load carrying
capacity and are dependent upon the time-dependent
composite action of lattice girders and shotcrete.
9.6.1 General
Axial Tension:
Shear:
Select element length and longitudinal and transverse Table 9.6.1-1 is based on precedent experience.
spacing of elements using criteria in Table 9.7.1-1 or by the
application of the Geomechanics Classification (RMR) or
the NGI Q-System. These systems are described in Section
3.
Table 9.7.1-1 may be used to select rock reinforcement
element length and spacing for conceptual or preliminary
design purposes with the element length and spacing
adjusted later, on the basis of analyses done during further
design stages.
Table 9.7.1.1-1 Minimum Length and Maximum spacing for Rock Reinforcement (USACE, 1980)
3. Spans 20 ft to 60 ft – interpolate
between 10 ft and 15 ft lengths,
respectively
* Where the joint spacing is close and the span is relatively large, the superposition of the two bolting patterns
may be appropriate; e.g., long heavy bolts on wide centers to support the span, and shorter and thinner bolts on
closer centers to stabilize the surface against raveling due to close jointing as outlined by Reed (1970).
Figure 9.7.1.1-1 Gravity Wedge Analysis to Determine Anchor Loads and Orientations (USACE, 1997)
Analyze ground deformation during excavation for Deformation and excavation sequence analysis is
openings supported by rock reinforcement using Distinct a critical step in the design of rock reinforcement for
Element Code software for analysis. Adjust rock tunnels to confirm that the excavation will remain
reinforcement element length and spacing as necessary to stable during all stages of excavation, minimizing
maintain deformation within acceptable limits. potential hazards to overlying development.
Use of two-dimensional analysis generally is
sufficient. Three-dimensional analysis should be used
as necessary for low-cover situation, adverse ground
conditions and for intersection evaluation.
9.7.2 Shotcrete
𝑤𝑙2
𝑀= (Eq. 9.7.3-1)
12
Where:
w = the ground load with the appropriate load factor
specified in Section 3
l = the center-to-center spacing between ribs
9.7.5 Spiles
The Engineer shall identify locations along the tunnel Additional information on ground improvement
alignment that will need ground improvement. The GDM can be found in “Ground Improvement Methods”,
will identify the required station limits of ground FHWA-NHI-04-001, Federal Highway
improvement, the appropriate method(s) of ground Administration (FHWA) (2004) Washington,
improvement at each location and the required dimensions
D.C.
of the improved ground mass.
The Strategic Highway Research Program
Typical ground improvement methods include:
hosts a website that provides state of the art
1. Permeation grouting – cement grouting, micro- information on ground improvement techniques
fine cement grouting and chemical grouting and other geotechnical topics. The website
2. Replacement grouting – jet grouting and deep address is: www.geotechtools.org.
soil mixing
3. Displacement grouting – compaction grouting
and fracture grouting
4. Ground freezing
Initial support for portals, cross passages, and other Cross passages and other ancillary structures such
ancillary structures shall be designed in accordance with as pump stations, electrical and mechanical rooms, etc.
the requirements of this Section. Perimeter reinforcement are included in the tunnel project.
in the form of spiles or use of ground improvement
methods may be required to support these excavations.
The need for such measures shall be identified by the
Engineer, and the required measures shall be described in
a GDM.
9.10 REFERENCES
1. AASHTO. Technical Manual For Design Of Road Tunnels – Civil Elements, 2010
2. Bischoff, J.A and Smart, J.D. “A Method Of Computing A Rock Reinforcement System Which Is ly
Equivalent To An Internal Support System”, Design Methods In Rock Mechanics, Sixteenth Symposium
On Rock Mechanics, ASCE, 1977
3. FHWA, Training Course in Geotechnical and Foundation Engineering – Rock Slopes, 1998
5. US Army Corps of Engineers, Engineering Manual (EM) 110-2-2901 Tunnels and Shafts In Rock, 1997
6. US Army Corps of Engineers, Engineering Manual (EM) 1110-1-2907, Rock Reinforcement, 1980.
APPENDIX 9-A:
RECOMMENDATIONS FOR SOFTWARE USE FOR DESIGN AND PERFORMANCE
EVALUATION OF ROCK REINFORCEMENT, SHOTCRETE AND DIRECT ROCK
SUPPORT FOR UNDERGROUND OPENINGS IN ROCK
A1.0 Introduction
This Appendix provides recommendations for the use of software for the design and performance evaluation of
initial support systems consisting of rock reinforcement, shotcrete or direct rock support, operating alone or in
combination. These recommendations are based on experience with the use of UNWEDGE and UDEC. A comment
regarding the use of 3DEC for more complex situations is included. This appendix does not constitute the
endorsement of any particular software, nor implies that other software that are available or may be introduced in the
future are in anyway less reliable than the software described herein.
Rigid Block software evaluates support requirements for 3-dimensional, rigid block wedges. Wedge geometry and
size are based on the following parameters:
Wedge size may be determined exclusively by excavation geometry, dip and dip direction, or can be scaled by using
criteria of apex height and length along the longitudinal axis.
The software also includes the capability to evaluate the effects of horizontal stress ratio, ko, and joint water pressure
on support requirements.
Rigid Block software generally can evaluate the performance of several types of rock reinforcement elements
including:
• Grouted deformed rebar or threadbar (Dywidag bar and similar)
• Cable bolts
• Swellex bolts and equivalent
• Split Set bolts and equivalent
• Expansion shell rock bolts
Rigid Block software can evaluate the performance of shotcrete based on perimeter shear.
Rigid Block software also generates required confining pressure on the wedge face exposed in the opening
perimeter, which can be used as input for the design of direct rock support (steel ribs).
Dip, dip direction, apex height, and trace length can be varied to assess support requirements based on variations in
wedge geometry.
Two-dimensional DEM software is used to model the behavior of jointed rock masses with or without initial
support. It does not analyze a specific -dimensional wedge, as does Rigid Block software, but can model in two
dimensions variations in joint spacing, apparent dip and persistence. Thus, it is a valuable analytical tool. Two-
dimensional DEM software can also evaluate deformations of the rock mass and overlying structures, as well as
stress distributions and stress flow around the openings. This is very helpful when the excavation is at shallow depth
below overlying streets or structures.
Using the data on dip, dip direction, spacing and persistence, the software develops a 2-dimensional, randomly
generated model representative of possible variation in the field. It then evaluates the behavior of the support
system, the rock mass and the foundations of overlying structures, including deformations of the rock, overlying
foundations, and support elements and stress distributions within the rock mass and the support elements.
Use of 3-D DEM software may be limited to critical structures or very complex geometries because of its
sophistication and the expertise required for developing the input geometry and subsequent analysis time. However,
with continued software and hardware development, these issues will become less important.
A3.0 Recommendations
Rigid Block software may be used for the design of rock reinforcement. The Engineer will have to develop
parameters determining wedge size, the joint strength properties and water pressure distribution along the joint
surface at various stages of construction based on project-specific conditions.
During the initial excavation stage, only the support provided by rock reinforcement elements or direct rock support
elements should be considered.
Time of application and consequent strength gain of shotcrete during sequential excavation operations cannot be
predicted. Experience indicates that specification requirements or approved excavation and support installation
sequences, particularly shotcrete application, may be violated during construction, either occasionally or
systematically. Shotcrete should be considered only as an enhancement to short-term factors of safety.
Shotcrete can be considered for evaluation of long-term excavation stability and factors of safety as follows:
• composite action with rock reinforcement and direct rock support after excavations excavated sequentially
have been opened to their final dimensions
• water pressures on joint surfaces have been modified from the initial excavation condition as a result of
groundwater recovery due to the presence of a relatively impermeable membrane (shotcrete) around the
excavation perimeter.
Selection of the factor of safety for the initial stage, depending exclusively on the supporting capacity of rock
reinforcement and direct support, should be selected on the basis of project-specific requirements. As guidance,
factors of safety should be in the range of 1.3 to 1.5. This evaluation can be done outside the LRFD framework.
When dip and dip direction are varied within Rigid Block software to develop families of wedges, a lower factor of
safety can be used for wedges which the Engineer feels, based on experience and rock mapping data, have a lower
probability of occurrence. However, in no case should the initial stage factor of safety be less than 1.3.
Factor of safety for long-term excavation stability, prior to placement of the final lining, should be in the range of
1.5 to 2.0. This evaluation can be done outside the LRFD framework. The factor of safety will be very dependent
upon the assumptions used for hydrostatic pressure. Hydrostatic pressures operating on joints will reduce the
frictional component of joint shear strength. This is the reason for the higher range of factor of safety. However, the
higher hydrostatic pressure is appropriate to assume when the 28-day strength of shotcrete is used.
Rigid Block software can be used to evaluate support requirements related to sequential excavation of large
underground openings. An example of this would be the design of initial support for an opening with a nominal
width of 60 ft. Top heading excavation will be accomplished using a central drift and two side slashes with a
nominal width of 20 ft each. Completion of excavation to invert will be by two or more benches.
If excavation is performed by excavating the two side slashes in sequence before excavating the center drift, wedge
size in the crown of the slashes will be determined exclusively by slash geometry, and the wedges in each slash
should be similar, although there may be differences based on dip and dip direction of the various joints. When the
center drift is excavated, a larger wedge, daylighting in one or both of the side slashes may develop. The rock
reinforcement determined in the analysis of the side slashes must be modified to reflect the end-of-excavation stage.
If the excavation is performed by excavating the center drift first, followed by excavating the two side slashes in
sequence, a large wedge spanning across the combined width of the center drift and slash may develop. The rock
reinforcement pattern may have to be modified to reflect this situation. Finally, excavation of the second slash may
result in wedges that require further modification of the rock reinforcement pattern.
The rock reinforcement pattern should be designed to support the largest wedge that develops from the analyses.
Both excavation sequences: side slashes, center drift and center drift, side slashes should be evaluated, because the
Contractor could select either approach.
The length of the rock reinforcement elements should be checked for constructability. If the reinforcement elements
are to be installed without couplers (and couplers should be avoided for a number of reasons), there must be
sufficient room to install them, bearing in mind the length of the drill and drill boom.
Current hydraulic rock drills have a length of approximately 33 – 43 in. To allow for the length of the drill, the
chuck which grips the rock reinforcement element, and hydraulic hoses at the top of the drill, use a clear distance
from the drill hole collar to any interfering rock surface not less than the element length plus five ft. If the element
length used in the Rigid Block analysis doesn’t meet this criterion, either adjust drift size, within constraints
permitted by geologic conditions, or reduce element length and spacing between elements to provide an equal factor
of safety.
Two-dimensional DEM software should be used to evaluate the performance of initial support systems designed by
the use of Rigid Block software, using the methodology described above. A minimum of three iterations of
variations of joint patterns should be considered. A greater number of joint pattern variations may be analyzed.
Initially, the analysis for each joint pattern should be run without the presence of the initial support to observe
progressive raveling/stopping of the rock blocks without support. This is a useful aid for understanding the
mechanisms that would develop without the support and to communicate the problem to clients and owners.
For each joint pattern selected for analysis, the sequential excavation of the underground opening should then be
simulated using 2-D distinct element analysis, with output after the execution of each construction sequence of:
• Rock mass deformations and stresses,
• Stress trajectories,
• Deformations and stresses of support elements, and
• Deformations of foundations of overlying structures
The results of the analyses for each joint pattern should be reviewed by the Engineer for reasonableness.
Some of the joint patterns randomly generated by two-dimensional DEM software, which indicate instability or
failure of the support system, may have a low probability of occurrence, based on prior experience. Design based on
such unlikely joint patterns is not appropriate.
The project specifications should include provisions for regular geologic mapping of the excavations to indicate if
potentially adverse conditions may be developing. They should also include provisions for installation of additional
support to control any such adverse conditions.
3-D DEM software can be used for analysis of the performance of initial support systems designed by the use of
Rigid Block software, when the project geotechnical engineer/underground engineer recommends that its use is
warranted.
10.1. SCOPE
10.2. DEFINITIONS
10.3. NOTATION
10.4. SEISMIC PERFORMANCE AND SCREENING REQUIREMENTS
10.4.1. Seismic Performance Criteria and Design Earthquake Levels
10.4.2. Structural Design Check
10.4.3. Screening Criteria
10.5. DESIGN GROUND MOTION PARAMETERS
10.5.1. Design Earthquakes
10.5.2. Ground Motion Hazard Analysis
10.5.2.1. Earthquake Magnitude and Distance
10.5.2.2. Peak Ground Motion Parameters
10.5.2.3. Attenuation of Peak Ground Motion Parameters
10.5.2.4. Design Response Spectra
10.5.2.5. Ground Motion Time Histories
10.5.2.6. Spatially Varying Ground Motion Effects
10.6. SEISMIC LOADS AND LIMIT STATES
10.6.1. Load Combinations and Load Factors
10.6.2. Resistance Factors
10.7. SEISMIC SITE CHARACTERIZATION AND DYNAMIC SOIL/ROCK PROPERTIES
10.7.1. General
10.7.2. Seismic Site Classes
10.7.3. Dynamic Soil/Rock Properties
10.8. SEISMIC DESIGN
10.8.1. General
10.8.2. Seismic Loading Effects
10.8.3. Method of Analysis and Assessment – Ground Shaking Effects
10.8.3.1. Transverse Ovaling/Racking Deformation Effects
10.8.3.1.1. Simplified Method for Ovaling Response of Circular Tunnels
10.8.3.1.2. Simplified Method for racking Response of Rectangular Tunnels
10.8.3.1.3. Numerical Modeling Approach
10.8.3.2. Longitudinal Axial and Curvature Deformation Effects
10.8.4. Method of Analysis and Assessment – Ground Failure Effects
10.8.4.1. Liquefaction and Liquefaction-induced Ground Deformations
10.8.4.1.1. Evaluation of Liquefaction Potential
10.8.4.1.2. Post-liquefaction Settlements
10.8.4.1.3. Liquefaction-induced Lateral Spreading
10.8.4.2. Seismic Slope Instability and Landslides
10.8.4.3. Active Fault Crossing Displacement Effects
10.9. SEISMIC DESIGN OF TEMPORARY STRUCTURES
10.10. INTERFACES WITH CROSS-PASSAGES AND OTHER STRUCTURES
10.11. SEISMIC JOINTS
10.12. NON-STRUCTURAL COMPONENTS AND EQUIPMENT
10.13. REFERENCES
This Section supplements the seismic provisions of During earthquakes, surface structures experience
the AASHTO LRFD Bridge Design Specifications inertial loads depending on the shaking intensity of the
(hereafter referred to as the LRFD Specifications) and underlying ground and the vibratory characteristics of
the AASHTO Guide Specification for LRFD Seismic the structure itself. Underground structures, on the
Bridge Design (hereafter referred to as the Guide other hand, behave differently than above ground
Specifications). As such, this Section applies to the structures during earthquakes due to the surrounding
seismic design, evaluation, and rehabilitation of soil/rock medium.
highway tunnels. During a seismic event, underground The main factors influencing the tunnel seismic
structures deform as the ground is deformed by seismic performance can be summarized as: (1) seismic hazard,
waves and shall be designed to accommodate the (2) geologic conditions and (3) tunnel design,
seismic deformations imposed by the ground (Wang, construction and condition. Seismic hazard refers to
1993 Hashash et. al 2001, and AASHTO 2010). ground shaking effects and ground failure. Based on
A performance based evaluation shall be adopted tunnel performance during earthquakes, the damaging
for underground structures, underground shaking and effects of ground failure are greater than the ground
ground failure. For analysis of performance of shaking effects. Unfavorable geologic conditions
underground shaking, a pseudo-static or dynamic including, but not limited to, soft soils, shear zones,
seismic soil-structure interaction analysis using ground transitions from soil to rock and surrounding geologic
deformation approach (as opposed to the inertial force units with major contrast in stiffness may result in
approach) shall be followed as described in this stress concentrations on the lining or differential
section. displacements during earthquakes. Elements of tunnel
To evaluate the ground deformations imposed by design, construction and condition (e.g., tunnel lining
potential ground failures (e.g., liquefaction, landslide) and support system, junctions of tunnels with other
and for analysis of tunnel performance underground structures, degree of cracking and deterioration of
failure, provisions included herein as supplemented by concrete/steel materials for existing tunnels) may
those included in the LRFD Specifications shall be influence tunnel seismic behavior as well.
used.
Seismic analysis and design for non-structural
components, equipment attachments and support and
ancillary structures (e.g., ventilation, control, and
administrative buildings) shall be designed in
accordance with local building codes.
10.2 DEFINITIONS
For other definitions not included herein, refer to Sections 3 and 10 of the LRFD Specifications and the Guide
Specifications, respectively.
Compressibility Ratio – A term defining the relative compression stiffness of the ground and a circular structure in
the ground.
Contractor – Entity responsible for the construction of the tunnel and associated construction engineering.
Ductility – The ability of a material to sustain loads beyond the elastic range. Fiber Reinforced Concrete sustains
loads after cracking and is therefore ductile. Unreinforced concrete rapidly loses strength after the initial crack and is
therefore brittle, rather than ductile.
Embedment Depth Ratio – Ratio of soil cover thickness (from ground surface to top of the underground structure) to
height/diameter of the tunnel.
Engineer – Agency, design firm or person responsible for the design of the tunnel and/or review of design related
field submittals.
Flexibility Ratio – A term defining the relative ovaling stiffness of the ground and a circular structure in the ground.
For a rectangular structure, this term defines the relative racking stiffness of the ground and the rectangular structure
in the ground.
Owner – Person or agency having jurisdiction over the tunnel.
Permanent Ground Displacements – Ground displacements associated with failure of the ground as a result of
seismic events, such as displacements as a result of liquefaction, lateral spreading and landslides.
Transient Ground Displacements – Ground displacements induced by passage of seismic waves (e.g.,
ovaling/racking, axial, and curvature deformations).
10.3 NOTATION
For notations not shown refer to Sections 3 and 10 of the LRFD Specifications and the Guide Specifications.
A two-level target performance criterion shall be Most tunnels are considered as critical
adopted for seismic design and analysis of tunnels in infrastructure and relatively more difficult to repair,
consultation with the Owner. The structure shall provide when compared to regular bridges or other above-
a high level of assurance for protection of life safety ground structures. Hence, multi-level target
during and after a Safety Evaluation Earthquake (SEE). performance criteria are adopted for major tunnel
The structure shall also provide a high level of projects.
assurance of continued operation during and after a Refer to discussion in Article C10.5.1 for selection
Functionality Evaluation Earthquake (FEE). The of design earthquakes corresponding to the target
associated requirements for these performance levels performance levels adopted by these Specifications.
are as follows:
Strain limits for the tunnel lining (e.g., concrete, In lieu of better information, the strain limits in
steel reinforcement) shall be established for each design Table C.10.4.2 may be applied for mined/bored tunnel
earthquake level to achieve the target performance and cut-and-cover tunnel linings. When selecting strain
criteria described in Article 10.4.1. The resulting strains limits for underground structures, factors such as
from the seismic demands combined with the static concrete confinement, ease of access and repairability at
demands shall be checked against these strain limits to critical locations (e.g., near longitudinal and radial
evaluate the structural integrity of the tunnel. joints at mined/bored tunnel lining) should be
considered.
The special components within the tunnel structural
lining (such as gaskets at the segmental lining joints and Table C.10.4.2 Strain Limits
the joint itself) shall be designed to accommodate Cut-and-Cover
Mined/Bored
stresses and deformations associated with the design Design Structure
Tunnel Liner
earthquake levels adopted for the tunnel consistent with Earthquake Linings
the established target performance criteria. Concrete Steel Concrete Steel
FEE 0.002 0.002 0.003 0.002
SEE 0.0033 0.02 0.006 0.02
The level of seismic design and analysis effort For screening analysis of ground failures (e.g.,
required for each tunnel shall be established once all liquefaction and liquefaction-induced ground
information regarding all the potential seismic hazards, movements), the established procedures along the lines
structural complexities, subsurface conditions and of Idriss and Boulanger (2008) and MCEER Technical
performance requirements are collected. Report MCEER-98-005 (Youd, 1998) may be used.
When selecting design earthquakes for seismic The collapse of transportation tunnels could have
design and analysis, the target performance criteria catastrophic effects as well as profound social and
specified as part of Article 10.4.1 shall be considered. economic impacts.
Once the design earthquakes are established, the Information used for seismic source
design ground motion parameters at the project site characterization can often be obtained from the
shall be determined through ground motion hazard publications of the USGS and various state agencies. If
analysis to evaluate seismic loads (e.g., force and there is significant lag time between development and
displacement demands) using either one of the publication, the published hazard results may not
following methods: incorporate recent developments on local or regional
(1) Using existing hazard analysis results seismicity. There are also other situations where
published by United States Geological Survey published hazard results may be inadequate and require
(USGS) or other credible agencies; or site-specific seismic hazard evaluation. These situations
(2) Project-specific and site-specific seismic may include: (1) the design earthquake levels (i.e.,
hazard evaluation. return period) are those different than assumed in the
published results, (2) for sites located within six miles
Site-specific seismic hazard analysis, if used, shall of an active surface or shallow fault where near-field
be performed per Article 3.10.2.2 of the LRFD effect is considered important and (3) the published
Specifications, except for the following: hazard results fail to incorporate major developments on
(1) The earthquake return periods specified in local or regional seismicity.
Article 10.5.1 of this Specification shall be
used. When using existing hazard analysis results
(2) The acceleration response spectrum from the published by USGS or other credible agencies, latest
site-specific hazard analysis shall be no less available version of the hazard information should be
than two-thirds of the design response incorporated, unless there is any site-specific reason to
spectrum developed using the site factors given use the previous versions.
in Article 3.10.3.2 of the LRFD Specification.
Earthquake magnitude shall be determined for the Earthquake magnitude and distance are required
design earthquakes established for design and analysis. when deriving design spectra-matching ground motion
If probabilistic seismic hazard analysis is performed, the time histories or when performing permanent ground
magnitude of the dominant earthquakes from deformation analysis (e.g., liquefaction). Dominant
disaggregation shall be used. In a number of areas in the earthquake magnitudes and distances, which contribute
U.S. the hazard can be dominated by more than one principally to the probabilistic design response spectra
source (example Seattle, or Midcontinent). The use of at a site, as determined from national ground motion
conditional mean spectra is encouraged to develop maps, can be obtained from disaggregation information
realistic hazard demand. on the USGS website: http://geohazards.cr.usgs.gov.
Various types of ground motion parameters The Seismic Analysis and Design of Retaining
including, but not limited to, peak horizontal ground Walls, Buried Structures, Slopes, and Embankments
acceleration (PGA) and peak ground velocity (PGV), (NCHRP Report 611, 2008) provides a discussion on
may be required for seismic analyses, depending on the estimation of PGV based on various ground motion
analysis method used. PGA shall be established based parameters.
on (1) published hazard results by USGS or other
credible agencies; (2) attenuation relationships if For preliminary evaluations, values of PGV may be
deterministic seismic hazard evaluation is performed; or evaluated using the following correlation between PGV
(3) disaggregation analysis if site-specific probabilistic and design horizontal spectral acceleration at one
seismic hazard evaluation is performed. PGV shall be second (S1, in units of g) as given by Seismic Analysis
evaluated using empirical correlations with ground and Design of Retaining Walls, Buried Structures,
motion parameters or directly from the velocity time- Slopes, and Embankments (NCHRP Report 611, 2008):
histories established for the project.
PGV (in/sec) = 55 Fv S1 (10.5.2.2-1)
The developed time histories shall match the target For additional information on ground motion time
design response spectra and have characteristics that are histories, see Article C4.7.4.3.4b of the LRFD
representative of the seismic environment of the site and Specifications.
the local site conditions. Response-spectrum-compatible
time histories shall be used as developed from
representative recorded motions. Analytical techniques
used for spectrum matching shall be demonstrated to be
capable of achieving seismologically realistic time
series that are similar to the time series of the initial
time histories selected for spectrum matching.
Where recorded time histories are used, they shall
be scaled to the approximate level of the design
response spectrum in the period range of significance.
Each time history shall be modified to be response-
spectrum-compatible using the time-domain procedure.
At least three response-spectrum-compatible time
histories shall be used for each component of motion
(horizontal, longitudinal and vertical) in representing
the design earthquakes. The design actions shall be
taken as the maximum response calculated for the three
ground motions in each principal direction. If a
minimum of seven time histories are used for each
component of motion, the design actions may be taken
as the mean response calculated for each principal
direction.
For near-field sites (D < 6 miles), the recorded
horizontal components of motion that are selected shall
represent a near-field condition and shall be
transformed into principal components before making
them response-spectrum-compatible. The major
principal component shall then be used to represent
motion in the fault-normal direction and the minor
principal component shall be used to represent motion
in the fault-parallel direction.
The effect of spatial variations of ground motions The horizontal propagation shear wave velocity,
on long tunnel structures resulting from the effects of CS, in general, reflects the seismic shear wave
wave passage (i.e., different arrivals of seismic waves at propagation through the deeper rocks rather than that of
different parts of the structure) and local soil the shallower soils where the tunnel is located. In
overburden shall be considered. The wave-passage general, this velocity value varies from about 1.25 to 2.5
effect may be accounted for by assuming a time lag of miles per second; (O’Rourke and Liu, 1999). Similarly,
the ground-motion time histories between any two the pressure wave propagation velocities, CP, generally
locations along the tunnel alignment (i.e., estimated by vary between 2.5 and 5 miles per second.
dividing the distance between the two locations by the
horizontal wave travelling velocity along the tunnel In addition to wave passage effects and local site
alignment). conditions, the near-field effects, incoherence effects,
The horizontal propagation shear wave velocity, cross-correlation between orthogonal components of
CS, and the pressure wave propagation velocities, CP, ground motion at different locations along the tunnel
shall be established based on consultation with alignment may also need to be considered. For
experienced geologists/seismologists. In absence of site additional guidance on evaluation of the spatial
specific data Cs and Cp may be assumed to be 1.6 miles variation of ground motions, refer to Article C4.7.4.3.4b
per second and 3.1 miles per second, respectively of the LRFD Specifications, Seismic Soil-Foundation-
(AASHTO, 2010). Structure Interaction by the Caltrans Seismic Advisory
Board Adhoc Committee (CSABAC, 1999) and LRFD
Seismic Analysis and Design of Transportation
Geotechnical Features and Structural Foundations
(FHWA, 2011).
The seismic and non-seismic loads shall be For further discussion on live load factor for
combined using the load combination and load factors Extreme Event I, please see commentary in Article
specified in Article 3.4 of this Specification for Extreme C3.4.1 of the LRFD Specifications.
Event I. The load factor for live load in Extreme Event I
shall be determined on a project-specific basis.
Where seismic loads (i.e., deformations) are
determined using ground-motion time histories as input
for evaluation of impact due to ground shaking, the
ground motions for any one instant shall be input
simultaneously in two horizontal directions and the
vertical direction.
Subsurface conditions (e.g., soil stratigraphy, water Soil parameters that may be required for seismic
level, dynamic soil/rock parameters) shall be evaluated design and analysis include:
for seismic design and evaluations. Subsurface • Initial dynamic shear modulus at small strains
investigations, including borings and laboratory tests, or shear wave velocity,
shall be conducted to provide pertinent and sufficient • Shear modulus reduction and equivalent
information for seismic design and analysis of tunnels. viscous damping characteristics as a function of
Subsurface investigations shall be carried out per the shear strain,
guidance in Section 5 of these Specifications. • Cyclic shear strength of soils (peak and
Subsurface exploration shall also be carried out to residual) and
determine the potential presence of • Liquefaction resistance of soils.
geotechnical/geological seismic hazards that may affect
the performance of the tunnels under the design seismic For additional information on laboratory testing,
event. see Article C6.2.2 of the Guide Specifications.
Laboratory tests shall be performed to determine
soil type, strength and deformation characteristics of
soil and rock. For tunnels in high seismicity areas, it
may be appropriate to conduct special dynamic or cyclic
tests and establish the liquefaction potential or stiffness
and material damping properties of soil at some sites.
The groundwater level shall be determined.
Seasonal groundwater fluctuations shall also be
evaluated.
Soil/rock stiffness parameters (e.g., Young’s Previous studies including those from laboratory
modulus, E; shear modulus, G; Poisson’s ratio, ν) under tests have shown that the shear modulus values are
dynamic loading conditions shall be defined. The values dependent on the shear strain levels. At low shear strain
corresponding to small shear strain levels (i.e., less than levels (i.e., less than 10-4 percent), the shear modulus
10-4 percent) as well as the effect of shear strain level on values can be reliably estimated from the field-
these parameters shall be established. The shear wave measured shear wave velocities, such as using the
propagation velocity of the subsurface soil/rock layers seismic cone, downhole, cross-hole, P-S logging and
shall also be determined to allow estimating transient SASW (spectral analysis of surface waves) techniques.
ground shearing strains. As the shear strain increases, the shear modulus
If a non-linear effective-stress modeling technique degradation effect becomes significant. The shear strain
is adopted in site response analysis, soil parameters level is also a function of the ground shaking intensity.
required to characterize the selected non-linear As the ground motion intensity increases, the shearing
constitutive model shall be validated through strain increases, resulting in reduced equivalent shear
experimental testing data or case history studies. modulus.
In addition to dynamic soil/rock properties, other Typical relationships between the shear modulus
parameters required for evaluation of ground failure degradation and the shear strain level are given by the
shall also be defined (e.g., fines content for liquefaction Electric Power Research Institute (ERPI) report
susceptibility analysis). Guidelines for Determining Design Basis Ground
Motions, Volume I: Method and Guidelines for
Estimating Earthquake Ground Motion in Eastern
North America (ERPI, 1993), Darendeli (2001) and
Menq (2003).
Shear wave velocity measured in the field
10.8.1. General
In addition to static loads, tunnels shall be designed Ground shaking refers to the vibration of the
to accommodate the effects resulting from two types of ground produced by seismic waves propagating through
seismic loading: the crust of the earth. During ground shaking, the
underground structures undergo three primary modes of
(1) Ground shaking (i.e., transient ground deformation: ovaling/racking, axial and curvature
displacement, TGD); and deformations (Figure C10.8.2-1).
(2) Ground failure (i.e., permanent ground
displacement, PGD).
When numerical modeling approach is required, the The static response deformation spring-beam
ovaling/racking deformations shall be evaluated based method uses the structural beam and soil spring model.
on the static response deformation spring-beam method In this method, the displacement of the ground at the
or two-dimensional finite element or finite difference tunnel location is first calculated and then applied to the
continuum method of analysis, capable of capturing tunnel by imposing the displacement via the
soil-structure interaction effects. surrounding ground springs. The calculated ground
In using the continuum method of analysis, the displacement profile is specified at the support end of
following considerations shall be included in the ground springs, forcing the ground springs to
developing the model for the tunnel cross-section displace the tunnel structure. It is to be noted that the
subjected to ovaling/racking deformation: specified ground displacement in this case is not the
• As a minimum, analyze the structure, free-field ground displacement. Rather, it is the
surrounding ground and seismically-induced amplified ground displacement surrounding the
deflections as a two dimensional soil-structure excavated boundary of the tunnel sectional area (i.e.,
model. ground displacement assuming there is a void of the
• Include in the model, if relevant, the internal size of the tunnel excavation in the ground). The design
decks and walls to assess their effects on stress ground deformations applied at the support end of the
concentration and tunnel deformation. ground springs should be derived from free-field shear
• Model the effects of the liner joints, deformation profiles using the seismic site response
particularly where the joints are not properly analysis. The stiffness of the ground springs for the
restrained against opening and closing. static response deformation spring-beam methods can
• Accurately model the soil stratigraphy and be derived from the strain-compatible dynamic
dynamic soil properties relative to the subgrade moduli, which represent the pressure per unit
geotechnical profile and cross-section. deflection. Thus, the dynamic subgrade modulus should
• Apply the free-field deformations due to the be multiplied by the tributary area of the soil/rock
propagation of shear wave based on seismic represented by an individual spring to estimate the
site response analyses. In general, the spring stiffness (i.e., force required for unit deflection).
deformation analysis can be performed using There are three types of two-dimensional
pseudo-static method in which displacements continuum models that have been used in the
are statically applied to the soil-structure engineering practice:
system. (1) Pseudo-static Seismic Coefficient Deformation
• Evaluate the loads and deformations not only Method: The ground deformations are
in the liner segments themselves but also at the generated (induced) by seismic coefficients
joints. and distributed in the finite element/finite
difference domain that is being analyzed. The
The use of elastic models and evaluation of stresses seismic coefficients can be derived from a
are acceptable if the structural response is within the separate one-dimensional, free-field seismic
elastic range. If the response is beyond the yield state site response analysis. The pseudo-static
into inelastic range, a non-linear inelastic model shall be seismic coefficient deformation method is
used and the resulting strains shall be evaluated. suitable for underground structures buried at
shallow depths. The general procedure in using
this method is outlined below:
• Perform one-dimensional free-field
seismic site response analysis (e.g., using
SHAKE, DMOD or DEEPSOIL). From
the results of the analysis derive the
maximum ground acceleration profile
expressed as a function of depth from the
ground surface.
• Develop the two-dimensional finite
element/finite difference continuum model
incorporating the entire excavation and
soil-structure system, making sure the
lateral extent of the domain (i.e., the
horizontal distance to the side boundaries)
is sufficiently far to avoid boundary
effects. The geologic medium (e.g., soil) is
modeled as continuum solid elements and
the structure can be modeled either as
continuum solid elements or frame
elements. The side boundary conditions
should be in such a manner that all
horizontal displacements at the side
boundaries are free to move and vertical
displacements are prevented (i.e., fixed
boundary condition in the vertical
direction and free boundary condition in
the horizontal direction). These side
boundary conditions are considered
adequate for a site with reasonably leveled
ground surface subject to lateral shearing
displacements due to horizontal
excitations.
• The strain-compatible shear moduli of the
soil strata computed from the one-
dimensional site response analysis should
be used in the two-dimensional continuum
model.
• The maximum ground acceleration profile
Stability of the ground surrounding the tunnel In general, it is not feasible to design a tunnel
structures, including natural and backfill soils located structure to withstand large ground displacements. The
within a zone that may influence the performance of the proper design measures in dealing with the unstable
structures during and after earthquakes, shall be ground conditions may consist of: (1) Ground
considered in the seismic design and analysis. This stabilization, (2) Removal and replacement of the
assessment shall consider the potential for ground problem soils and (3) Reroute or deep burial to bypass
failure from fault rupture, tectonic uplift/subsidence, the problem zone.
liquefaction, seismically-induced settlement, lateral With regard to the fault displacements, the best
spreading, slope instability (landslide), and increases in strategy is to avoid any potential crossing of active
lateral earth pressures. faults. If it is not possible, then the general design
philosophy is to accept and accommodate the
displacements by either employing an oversized
excavation, perhaps backfilled with compressible or
collapsible material, or using a ductile lining to
minimize the instability potential of the lining.
If liquefiable soil deposits or unstable soil masses
that are susceptible to landsliding are identified along
the tunnel alignment, more detailed evaluations may be
required to assess whether liquefaction or landsliding
would be expected to occur during the design
earthquake and to assess the impacts on the tunnel.
An initial screening study followed by more refined The empirical liquefaction evaluation procedures
analyses and evaluation of the impact on the tunnel discussed herein are generally applicable for
structure shall be conducted. A site-specific seismic site liquefaction analysis up to the depth of about 65 to 80 ft
response analysis or the empirical procedures, as below the ground surface or mud line.
applicable, shall be used for liquefaction evaluation.
For soil layers deeper than 65 ft below ground For fine-grained soils up to the depth of 65 ft below
surface, only site-specific seismic site response analyses the ground surface or mud line, the evaluation criteria
shall be performed to estimate earthquake-induced shear for liquefaction (or for significant strength reduction
stresses. potential) may be in accordance with those discussed in
If earthquake-induced shear stresses are evaluated the MCEER Technical Report (MCEER-98-005) and
using the empirical procedures, the site-adjusted peak Idriss and Boulanger (2008). Appropriate laboratory
ground acceleration (PGA) should be used (see Article shear strength testing data (e.g., tri-axial cyclic shear
10.5.2). strength tests) can also be used to supplement this
The estimated earthquake-induced shear stresses evaluation.
from either the empirical procedures or a seismic site
response analysis, shall then be compared with the For granular soils up to the depth of 65 ft below the
liquefaction resistance calculated based on SPT/CPT ground surface or mud line, empirical procedures based
data. on CPT (cone penetrometer test) or SPT (standard
The earthquake magnitude shall be determined as penetration test) data may be used for liquefaction
presented in Article 10.5.2. potential evaluations (Idriss and Boulanger, 2008;
For soil layers in which the initial liquefaction NCEER, 1997).
(triggering) is to occur based on the analyses discussed
above, a liquefaction impact analysis based primarily on Care should be taken when interpreting CPT cone
a deformation approach shall be performed. resistance of thin sand layers sandwiched between silt
If the liquefaction impact analyses indicate a or clay layers with lower penetration resistance (Youd
potential for rendering the structures unsuitable for their et al., 2001, and Idriss and Boulanger, 2008).
purpose owing to movement, appropriate mitigation
measures shall be incorporated.
The potential for seismically induced landslides A capacity-to-demand ratio of 1.0 for the seismic
and slope instability shall be evaluated along the tunnel slope stability analysis is used as a screening step for
alignment. If quasi-static slope stability analysis is used, evaluating the need for a more rigorous seismic
the capacity-to-demand ratio shall not be less than 1.0 displacement analysis. A capacity-to-demand ratio of
for the FEE and SEE. If the computed capacity-to 1.0 or greater from a seismic slope stability analysis
demand-ratio from the quasi-slope stability analysis is typically indicates acceptable seismic displacements.
less than 1.0, an impact study shall be performed based However, further evaluation of seismic displacements
on earthquake-induced slope movements, using the and the resulting impact on the tunnel structure is
Newmark Time-History Analysis (Newmark, 1965). warranted if a capacity-to-demand ratio less than 1.0 is
The impact of the potential slope movements on the obtained from seismic slope stability analysis.
affected structures shall be assessed. If the impact When quasi-static seismic stability analysis is
assessments yield unacceptable performance of the performed for permanent structures, the horizontal
structures, appropriate mitigation measures shall be seismic coefficient should not be less than 50 percent of
incorporated. the peak ground acceleration, PGA (expressed as a
percent of the gravitational acceleration constant), at the
site location of interest. The PGA should account for the
site effect (i.e., due to the presence of overburden soil)
and should be developed as outlined in Article 10.5.2. A
detailed discussion of seismic slope stability evaluation
methods is given in Seismic Analysis and Design of
Retaining Walls, Buried Structures, Slopes, and
Embankments (NCHRP Report 611, 2008).
The evaluation of the effects of active fault A detailed discussion of evaluation of the effects of
crossing displacements on the integrity of the tunnel active fault crossing displacements is given in AASHTO
includes characterization of the free-field displacement Technical Manual For Design Of Road Tunnels – Civil
(i.e., displacement in the absence of the tunnel) where Elements (AASHTO, 2010), including the analytical
fault crosses the tunnel and assessment of the effects of models for assessment of the seismic demands
the characterized displacements on the tunnel. The associated with fault rupture. For a discussion of
analysis shall be performed using analytical procedures. estimating fault rupture displacement demands, refer to
LRFD Seismic Analysis and Design of Transportation
Geotechnical Features and Structural Foundations
(FHWA, 2011).
Temporary structures, such as excavation support Depending on the regional seismicity, duration of the
systems and the underground structures under temporary conditions and established target
temporary conditions, shall be designed to resist seismic performance criteria, design seismic loads equivalent to
loads. The design earthquake for the temporary 50 to 100 percent of FEE levels have been used for the
structures shall be established in consultation with the temporary structures by various infrastructure owners.
Owner considering the regional seismicity, duration of
temporary conditions and the target performance levels
for these structures. As a minimum requirement, the
tunnel structures shall be designed to avoid collapse and
any damage shall be repairable. In any case, the design
seismic loads for the temporary structures shall not be
less than 50 percent of the FEE ground motion intensity.
In locations where adjacent buildings and their
foundations create an interaction configuration in
conjunction with temporary ground support structures
If the results of the longitudinal tunnel response Seismic joints are special flexible tunnel
analysis indicate that seismic demands are above the connections that are capable of dissipating several
limits for the tunnel structure, seismic joints or other inches of large relative movements generated by the
alternatives shall be incorporated to reduce the seismic ground during seismic events (e.g., 12 in. of lateral
demands. If seismic joints are found to be necessary, the movement, North Point Tunnel in San Francisco;
seismic displacement demands for the seismic joint FHWA 2004) by allowing the adjacent sections of the
shall be evaluated based on 3-D numerical models tunnel to move or rotate relative to each other and
capable of modeling the longitudinal response of the thereby reduce the seismic demands on the rest of the
tunnel together with seismic joints. tunnel.
10.14 REFERENCES
1. AASHTO. Technical Manual For Design Of Road Tunnels – Civil Elements, 2010
4. ASCE. Guidelines for the Seismic Design of Oil and Gas Pipeline Systems, Committee on Gas and Liquid Fueld
Lifelines of the Council on Lifeline Earthquake Engineering, American Society of Civil Engineers, 1984
5. CSABAC. Seismic Soil-Foundation-Structure Interaction, final report. Caltrans Seismic Advisory Board Ad
Hoc Committee on Soil-Foundation-Structure Interaction (CSABAC), California Department of Transportation,
Sacramento, CA, 1999.
6. Darendeli, M.B. Development of a New Family of Normalized Modulus Reduction and Material Damping
Curves, Ph.D. Dissertation, University of Texas at Austin, 2001
7. EPRI. Guidelines for Determining Design Basis Ground Motions, Volume I: Method and Guidelines for
Estimating Earthquake Ground Motion in Eastern North America, Electric Power Research Institute, 1993
8. FHWA. Seismic Retrofitting Manual for Highway Structures: Part 2 – Retaining Structures, Slopes, Tunnels,
Culverts, and Roadways, U.S. Department of Transportation Federal Highway Administration, Publication No.
FHWA-HRT-05-067, August 2004
9. FHWA. LRFD Seismic Analysis and Design of Transportation Geotechnical Features and Structural
Foundations, U.S. Department of Transportation Federal Highway Administration, Publication No. FHWA-
NHI-11-032, GEC No. 3, Rev 1, 2011
10. Hashash, Y.M.A., Hook, J., Schmidt, B., I-Chiang, Y.J.. “Seismic Design and Analysis of Underground
Structures,” Tunneling Underground space Technology 16, 2001, pages 247-293.
11. Idriss, I.M., Boulanger, R.W. Soil Liquefaction During Earthquakes, Earthquake Engineering Research
Institute, MNO 12, 2008
12. Menq, F.Y. Dynamic Properties of Sandy and Gravelly Soils, Ph.D. Dissertation, University of Texas at Austin,
2003
13. NCHRP Project 20-68A. Scan 09-05 Best Practices for Roadway Tunnel Design, Construction, Maintenance,
Inspection, and Operations, 2011
14. NCHRP Report 611. Seismic Analysis and Design of Retaining Walls, Buried Structures, Slopes, and
Embankments, Transportation Research Board, 2008
15. O’Rourke, M.J., Liu, X. Response of Buried Pipelines due to Earthquake Effects, MCEER Monograph No. 3,
1999
16. Owen, G. N., and Scholl, R. E., Earthquake Engineering of Large Underground Structures, prepared for the
Feral Highway Administration, FHWA/RD-80/195, 1981.
Recommended AASHTO LRFD Road Tunnel Design Guide Specifications
SECTION 10: SEISMIC CONSIDERATIONS 10-26
17. Wang, J.-W. Seismic Design of Tunnels – A Simple State-of-the-Art Design Approach, Parsons Brinckerhoff
Monograph No.7, 1993
18. Youd, T.L. Screening Guide for Rapid Assessment of Liquefaction Hazard at Highway Bridge Site¸ Technical
Report, MCEER-98-005, 1998.
19. Youd T.L., Idriss, I.M., Andrus, R.D., Arango, I., Castro, G., Christian, J.T., Dobry, R., Finn, W., D.L. Harder,
L.F., Jr., Hynes, M.E., Ishihara, K., Koester, J.P., Liao, S.S.C., Marcuson, W. F., III, Martin, G.R. Mitchell,
J.K., Moriwaki, Y., Power, M.S., Robertson, P.K., Seed, R.B., and Stokoe, K.H., II, “Liquefaction resistance of
soils: Summary Report from the 1996 NCEER and 1998 NCEER/NSF Workshops on Evaluation of
Liquefaction Resistance of Soils,” Journal of Geotechnical Geoenvironmental Engineering, ASCE, 127, No. 10,
pp. 817-833, 2001
APPENDIX A
PLANNING AND ROUTE CONSIDERATIONS
TABLE OF CONTENTS
A.1 SCOPE
A.2 ABREVIATIONS
A.3 ENVIRONMENTAL
A.3.1 General
A.3.2 Environmental Permits
A.3.3 Avoidance/Minimization of Environmental Resources
A.3.4 Floodplains
A.3.5 Wetlands/Waterways
A.3.6 Navigable Waterways
A.3.7 Groundwater
A.3.8 Cultural Resources
A.3.9 Environmental Justice
A.3.10 Section 4(f) Resources
A.3.11 Environmental Compliance
A.3.12 Public and Agency Involvement
A.3.13 Economics
A.3.14 Aesthetics
A.4 GEOLOGIC FEATURES AND SUBSURFACE CONDITIONS
A.4.1 Subsurface Investigation
A.4.2 Ground Condition
A.5 EXISTING INFRASTRUCTURE
A.6 CONSTRUCTABILITY CONSIDERATIONS
A.6.1 Construction Methodology
A.6.2 Noise and Vibration
A.6.2.1 Noise Controls
A.6.2.2 Vibration Controls
A.6.3 Muck Removal and Disposal
A.6.4 Staging Areas
A.6.5 Traffic and Public Transportation
A.6.6 Safety and Security
A.2 ABBREVIATIONS
A.3.1 General
Tunnel construction has the most dramatic impact Depending on the tunnel alignment, road tunnels can
on the natural environment where the tunnel interfaces in many ways lessen environmental impacts as
with the surface. These interfaces often involve large compared to surface roadways and bridges. Tunneling
open excavations. The impact of the large open can help to reduce traffic congestion, improve regional
excavations required for tunnel construction must be air quality, reduce noise and improve aesthetics. Tunnels
considered during the environmental planning phase of also provide opportunities for improved economic
the project. potential from land development opportunities at the
During dredging for immersed tunnels, surface. On the contrary, immersed tunnels have impacts
consideration shall be given to investigating certain related to underwater bed levels and dredging activities.
excavation methods for the possibility of limiting Dredging generates bottom disturbance and creates
suspended solids, such as the use of sealed buckets. turbidity in the water.
During the National Environmental Policy Act (NEPA)
phase, existing fauna and flora and other ecological
issues shall be investigated to determine whether
environmentally and ecologically adverse consequences
are likely for a specific project, as well as an assessment
on fish migration and spawning periods, and mitigation
measures shall be identified.
As the project advances into final design, ensure Environmental effects that are typically evaluated
compliance with the approved NEPA document, during NEPA/planning and into the design phase include
continue to evaluate and assess environmental impacts ecological (such as the effects on natural resources and
for consistency with the NEPA document, continue to on the components, structures and functioning of
avoid and minimize impacts as much as possible during affected ecosystems), water quality, aesthetic, historic,
design, implement environmental commitments and cultural, communities, businesses, economic, noise, dust
mitigations during the design phase, as applicable, and or health, whether direct, indirect or cumulative. Effects
obtain all environmental permits or approvals required may also include those resulting from actions which may
as part of a specific project. Any proposed substantive have both beneficial and detrimental effects, even if on
changes to the Preferred Alternative shall be evaluated balance the agency believes that the effect will be
in accordance with 23 CFR Sections 771.129 and beneficial.
771.130, and shall be approved by the lead federal Numerous federal, state and local permits and
agency before the agency may proceed with the change. approvals are typically required and obtained during the
design and construction phases for various aspects of
projects.
Coordination with relevant federal, state and local Permits and approvals are typically obtained as the
regulatory and resource agencies shall continue project design and limits of disturbance are further
throughout final design and construction. All permits refined. This includes implementing avoidance and
and approvals shall continue to be identified throughout minimization design measures and finalizing
the design and construction phases of projects, and construction staging and access areas. Permits include
applied for and obtained at appropriate times to adhere approvals for all media including water, air, land,
to the project design and construction schedules. cultural resources, threatened and endangered species,
waste management/hazardous materials handling,
transportation and disposal, among others, as applicable
to a specific project.
In addition to federal permits and approvals, state and
local agencies often require permits and approvals for
certain activities.
As such, the design team shall be familiar with all In an effort to avoid and/or minimize potential effects
previously made commitments or mitigations so that during construction of a project, environmental
appropriate measures are included as part of the commitments and mitigation measures are typically
project’s design plans and construction contract. identified during the NEPA phase that the construction
Previously obtained permits shall also be reviewed for contractors will be required to follow.
During the design phase for any tunnel project, Construction-related impacts can often be minimized
avoid and minimize environmental impacts as the design by appropriate design stage decisions and by
and limits of disturbance are refined. Different design implementation of construction techniques and
strategies shall be considered and implemented during construction access.
design to achieve effective avoidance or minimization of
resource impacts. Typical tunnel design strategies that
shall be considered for avoidance or minimization
include horizontal/vertical alignment shifts, retaining
walls, steep slopes and other design techniques, such as
the use of sealed clam shell dredge buckets for reducing
turbidity. Additionally, different construction techniques
shall be considered during the design phase as a means
to avoid and minimize the disturbance to environmental
resources. Access to the project site and construction
staging areas shall also be considered.
Best management practices shall also be considered
to minimize environmental impacts. During design,
appropriate measures for controlling sediment and runoff
during construction shall be incorporated into design
plans. A variety of measures shall be considered during
final design to avoid and minimize storm water-related
water quality problems caused by earth disturbance.
Appropriate controls shall be selected for addressing
unique characteristics and problems posed by specific
sites.
Soil and erosion control best management practices
shall be in accordance with federal/state/local standards
and specifications for soil erosion and sediment control,
as applicable to the project. The potential for water
quality effects shall be minimized through adherence to
sediment and erosion control plans, which include best
management practices such as silt fence, super silt fence,
sediment basins, sediment traps, earth dikes, diversion
fence, stone and gabion outlet structures, outfall
protection and other methods to capture potential
sediments from exposed soils. In addition to treatment of
sediment laden runoff resulting from surface
construction activities, Filter Bags, Portable Sediment
Tanks (PSTs) or other acceptable filtration devices shall
be considered during the design phase to filter discharge
pumped from subsurface activities such as tunnel boring
and cut-and-cover construction.
Consideration during design shall be given to State and local regulations and permitting
necessary dewatering operations. Necessary dewatering requirements often dictate the method of disposal.
permits shall also be obtained at the appropriate time,
either during design or construction, and dewatering
shall be performed according to permit
specifications/requirements. Pretreatment techniques
shall be addressed, such as the need for oil/water
separation, grit chambers and/or chemical treatments that
may be required prior to discharge. Filtration methods,
sedimentation basins, controlled pumping rates and
A.3.4 Floodplains
During the design phase, wetlands and waterways Waters of the US, including wetlands, are regulated
shall be delineated and flagged in accordance with the under Section 401 and 404 of the Clean Water Act.
U.S. Army Corps of Engineers (USACE) Wetland Executive Order 11990 of the Federal Register (FR) (42
Delineation Manual or appropriate regional supplement. FR 26961E.O. 11990, May 1977), entitled Protection of
If these resources were previously delineated during an Wetlands, was enacted to avoid to the extent possible the
earlier phase (e.g., NEPA or planning phase), verify with long- and short-term adverse impacts associated with the
the regulatory agencies that the delineation remains valid destruction or modification of wetlands, to avoid direct
and that all resources remain jurisdictional. The extent of or indirect support of new construction in wetlands
the field delineation shall also be evaluated to confirm wherever there is a practicable alternative and to ensure
that the wetlands/waterways delineation study area that proposed construction incorporates all possible
encompassed the entire limit of disturbance established measures to limit harm to the wetlands. Many states also
during the design phase. If not, a supplemental field regulate these resources.
delineation may be required. Impacts to wetlands/waterways will vary depending
on a specific project and may include impacts at the
surface, near portals or portal approaches, or impacts
may occur from dredging operations associated with the
construction of immersed tunnels.
Installation of an immersed tunnel requires agency Immersed tunnels are often selected over bridges for
coordination and procurement of a Section 404 permit water crossings for various reasons such as shorter portal
and other related disposal site permits. approaches and shorter overall length as compared to
bridges. Tunnels can also be used to avoid the potential
hazards to navigation that can be created by bridges.
Tunnels can also often be constructed in soils that would
otherwise create challenges to a bridge structure. Despite
some of these advantages, trench excavation in any
waterway is an environmentally sensitive issue.
Immersed tunnels often have negative impacts related to
underwater bed levels and dredging activities. Dredging
generates bottom disturbance and creates turbidity in the
water, which can affect aquatic ecology, fish/aquatic
species habitat, fish migration and spawning periods.
Navigable waters within the project study area shall The USACE regulates structures that are located in,
be identified, and a Section 10 permit shall be obtained, under or over navigable waters of the U.S. under Section
if applicable. 10 of the Rivers and Harbors Act of 1899.
Navigable waters of the U.S. are those “waters that
are subject to the ebb and flow of the tide and/or are
presently used, or have been used in the past, or may be
susceptible for use to transport interstate or foreign
commerce” (33 C.F.R Part 329.4). Coordination with the
USACE and U.S. Coast Guard is recommended to
determine the navigability of certain waterways.
Projects requiring a Section 10 permit may range
from a simple tunnel bore crossing of a small stream
considered to be navigable to an immersed tunnel
project within a large waterway or harbor.
All impacts on navigation in all navigable
waterways shall be considered and addressed, and often
require extensive permitting.
A.3.7 Groundwater
Historic and archaeological resources shall be Compliance with Section 106 of the National Historic
assessed in accordance with the regulations (36 CFR Part Preservation Act of 1966 is typically initiated during the
800) implementing Section 106 of the National Historic NEPA process; however, impacts to cultural resources
Preservation Act of 1966, and the area of potential must continue to be evaluated during the design phase to
effects (APE) for the project shall be determined by the ensure continued compliance. PA’s or MOA’s are also
lead federal agency in consultation with the State typically executed during the NEPA planning phase;
Historic Preservation Office (SHPO). Be aware of any however, they are typically implemented during the
Programmatic Agreements (PA) or Memorandums of design and construction phases. Continued coordination
Agreement (MOA) executed during planning, and with the SHPO and continued assessment is typically
adhere to the commitments at the appropriate times required as the project advances into the design and
during design and construction. construction phases.
During the design phase, cultural resources shall During the design phase, it is typical that a Phase IB
continue to be evaluated to ensure that the design archeology identification survey of limits of disturbance
complies with the original Section 106 assessment of of the subsurface alignment be conducted, along with
affects. Additionally, if a Section 106 PA or MOA was any additional Phase II archeological evaluation studies
executed for the project, the Engineers shall review the of archeological sites identified, and Phase III
PA or MOA for stipulations related to cultural resource archeological data recovery efforts for National
processes for the completion of the project and for Register-eligible sites that cannot be avoided. The
mitigation requirements in accordance with Section 106 Section 106 PA or MOA typically outlines these work
of the National Historic Preservation Act of 1966 (as efforts.
amended), as applicable.
The design team and lead agency shall continue
consultation during design with the SHPO, with input
from other consulting parties, for identifying additional
potential historic properties, identifying and minimizing
and/or mitigating unanticipated adverse effects, and
providing project plans and soliciting comments on
design-related issues of the built project components.
Adhere to commitments related to continued Typically, the PA or MOA will stipulate requirements
coordination with Section 106 Consulting Parties. for continued coordination efforts during design with
Federal projects shall comply with Executive Order Compliance with Executive Order 12898 is typically
12898, “Federal Actions to Address Environmental completed during the NEPA process.
Justice in Minority Populations and Low-Income
Populations,” as implemented through the U.S.
Department of Transportation Order (US DOT Order)
5610.2(a) to Address Environmental Justice in Minority
Populations and Low-Income Populations.
Disproportionate impacts to Environmental Justice
populations must continue to be evaluated during the
design phase to ensure continued compliance, which
may include continued public outreach to Environmental
Justice communities. Refer to FHWA’s Guidance on
Environmental Justice and NEPA, December 16, 2011.
The proposed use of land from any significant The provisions of this article are mandated by Section
publicly-owned public park, recreation area, wildlife 4(f) of the U.S. Department of Transportation Act of
and/or waterfowl refuge or any significant historic site 1966, 49 USC § 303(c). Refer to FHWA’s Section 4(f)
shall not be approved as part of a federally-funded or Policy Paper, July 20, 2012.
approved transportation project unless:
• It is determined that there is no feasible
and prudent avoidance alternative to the
use of land from the property, and the
action includes all possible planning to
minimize harm to the property resulting
from such use (23 CFR 774.3(a)), or
• It is determined that the use of the Section
4(f) properties, including any measures to
minimize harm (such as avoidance,
minimization, mitigation or enhancements
measures) committed to by the applicant,
would have a de minimis impact on the
property (23 CFR 774.3(b)).
Impacts to Section 4(f) resources shall continue to Compliance with Section 4(f) is typically completed
be evaluated during the design phase to ensure the during the NEPA process.
design and impacts to Section 4(f) resources are
consistent with the final Section 4(f) Evaluation. If
design changes are proposed that affect Section 4(f)
resources, additional impact assessment, evaluation and
coordination with agencies having jurisdiction over the
Section 4(f) resources will likely be required.
The public shall be involved throughout the NEPA Public and agency involvement is integral to the
process. overall project efforts throughout the planning and
design phases of projects. Public involvement early
during the planning and NEPA phase allows for
consideration of public comment related to the range of
alternatives, the tunnel alignment/location and other
concerns such as environmental impacts.
Sec. 1506.6 of NEPA requires the lead federal agency
to involve the public throughout the NEPA process. The
lead agency for federal highway projects is typically
FHWA. Specifically, the FHWA policy 23 CFR Section
771.105(c) states, “Public involvement and a systematic
interdisciplinary approach are essential parts of the
development process for proposed actions.” The lead
agency has the responsibility to ensure compliance with
NEPA and prepare the environmental document. The
lead agency is also responsible (during NEPA) for
identifying and inviting cooperating and participating
agencies. Cooperating agencies as defined in 23 CFR
Section 771.109(3), are federal agencies that are
During the design phase, adhere to the final NEPA During the NEPA phase, the characteristics of the
decision document. Any proposed substantive changes to existing economy within the project study corridor and
the Preferred Alternative shall be evaluated in the likely effects associated with the project’s Preferred
accordance with 23 CFR Sections 771.129 and 771.130 Alternative on the economy is considered and
and shall be approved by the lead federal agency before documented. In addition to general economic impacts,
the agency may proceed with the change. If a the NEPA document typically also discusses the fiscal
reevaluation or supplemental document is required, the impact of the project on local property taxes. An
economics shall also be reassessed. As the project moves analysis of tax revenue changes as a result of the
into final design, construction duration and budget proposed project is typically conducted and documented
projections, as well as right-of-way requirements, shall in the NEPA document. For example, the analysis would
continue to be refined and evaluated. Any newly be based on the estimated right-of-way needs associated
acquired private property shall be transferred to with construction of the Preferred Alternative.
transportation use and become part of the public right-of-
way, thus removing the property from the local tax base.
During the design phase, tunnel construction
materials shall be selected with due consideration of
projected future costs. During design, the effects of
trends in labor and material cost fluctuations shall be
projected to the future tunnel construction year. The cost
of future expenditures during the projected service life of
the tunnel shall be considered. Regional factors, such as
availability of skilled labor, material, fabrication,
location, shipping and erection constraints, shall also be
considered.
During the design phase, adhere to the final NEPA During the NEPA phase, the proposed aesthetics at
decision document as it relates to visual and aesthetics. portals and ventilation shafts are typically very
conceptual. NEPA requires the assessment and
consideration of aesthetics, but it is typically more
related to the tunnel portal and shaft locations and
features as opposed to specific aesthetic elements and
treatments, which are typically not known during the
planning phase. There are typically commitments or
requirements to engage the public or other stakeholders
during the design phase to present alternative aesthetic
options and treatments and obtain public comments.
There are multiple engineering and environmental For road tunnel projects, the most visible permanent
factors that are considered and assessed in selecting the elements of tunnels are the portals and ventilation
locations of portals and ventilation shafts. Among the structures.
considerations, portals and ventilation shafts shall be
located such that they satisfy environmental and air
quality requirements, as well as the geometrical
configuration of the tunnel.
As design progresses beyond the NEPA phase, Tunnel portal and ventilation shaft locations are
review commitments related to aesthetics identified in identified during NEPA, but the details of the aesthetic
the final NEPA decision document or other commitment elements are not typically known at this early phase.
documents or agreements. There are often commitments made during the early
planning phases to seek community and stakeholder
input regarding the aesthetic elements and treatments of
tunnel portals to address visual impacts.
The Engineers shall consider an aesthetically Not only is the geographic location of the portals and
pleasing portal that fits appropriately within its ventilation structures important to consider, but the
surroundings and shall implement context sensitive materials and vertical and horizontal positioning is also
design techniques, particularly in historic-eligible areas important.
or within community settings. The project may have
prior commitments to seek input from certain agencies,
stakeholders, communities or Section 106 Consulting
Parties related to the aesthetics design of portals or
ventilation shafts.
Other design elements or mitigation measures to
consider, if required, may include the potential use of
structured screening, architectural and landscape
treatments to reduce effects to neighboring properties,
pedestrian lighting, decorative paving materials,
incorporation of public art, among other design
considerations.
Ground conditions for tunneling shall be defined as The ground and groundwater conditions dictate the
soft ground or rock or mixed-face. appropriate tunneling methodology and may have an
The tunneling methodology selected for a project impact on the feasibility of the tunnel. Ground
shall be suited to anticipated range and type of ground conditions typically transition from one type to the next,
and groundwater conditions along the length of the for example, soft ground can overlay rock. There may
tunnel. also be transition zones where soft ground transitions to
rock without a defined boundary. It is ideal to be able to
tunnel with the full face in a single ground condition for
the entire length of the tunnel, but this is rarely the case.
The design phase of tunnel projects shall identify Though the location and type (i.e., bore, immersed,
and design based on anticipated construction methods, cut-and-cover) of tunnels are typically identified in the
activities and sequencing that are reasonably expected to planning and NEPA phase, construction details are not
be employed and undertaken during the construction finalized during these early phases, and therefore require
phase. The NEPA document typically includes much greater attention to detail during the design phase.
commitments or mitigation measures to be considered or For the majority of their length and depending on the
implemented during the design and construction phases construction method, tunnels have no impact on the
to mitigate or minimize negative environmental effects. surface. Cut-and-cover construction would be very
During design, these commitments or mitigation disruptive at the surface during construction, while
measures previously agreed to, shall be reviewed and tunnel boring is only disruptive at the surface portal
implemented, as appropriate. locations.
The vertical profile of the tunnel shall be set with
respect to the geologic conditions and existing
underground infrastructure as well as surface
infrastructure above the tunnel. Ground subsidence and
vibrations during construction shall be monitored and
controlled. Staging areas shall be identified and made
secure. Construction noise shall be managed and muck
removed and disposed of. During design, the design
team shall consider construction means and methods for
avoiding and minimizing impacts from construction
activities. For example, consideration of using a barge in
certain areas for the storage and transport of material
rather than creating excessive traffic along haul routes.
Proper planning and restrictions on activities shall be
performed in order to meet local ordinances and
accommodate existing adjacent land use.
During design, construction specifications shall be The areas that are typically most affected by
developed such that construction contractors comply construction activities generally comprise the areas
with applicable environmental regulations and obtain immediately bordering the construction activity.
necessary permits for the duration of construction. However, in some cases, effects from construction
Construction of a project shall follow applicable federal, activities extend beyond the immediate area surrounding
state and local laws for building and safety, as well as construction sites. For example, the traffic effects of
local noise ordinances, as appropriate. delivering or transporting material off site includes a
bigger study area than the study area for the noise effects
During design, the Construction Environmental Prior to construction, and often during the design
Protection Plan shall be reviewed and adhered to as phase, Construction Environmental Protection Plans or a
applicable to the design phase. Specific environmental similar type of plan, are prepared. The purpose of these
requirements and controls shall be tailored to the plans is to identify means, methods and coordination
construction contract(s) and included in contractor necessary to limit potential impacts to the environment,
specifications. protected resources and communities within and
adjacent to a project. These reports typically identify:
• Project specific environmental requirements
required to comply with federal, state and local
regulatory permit conditions and the procedures
defined to meet them.
• Define environmental commitments and
mitigation measures stipulated within the
NEPA document to ensure that these
requirements are identified in the Contract
documents.
• Define responsibilities and actions required to
maintain compliance with environmental
requirements during design and construction,
and to effectively respond to problem situations
or agency/public concerns.
• Establish necessary procedures for
communication, documentation and review of
environmental compliance activities for the
construction contract.
• Describe protected resources within the project
area and the types of mitigation measures
needed to protect them.
• Ensure that Contractors submit all documents
required in the Contractor documents as they
pertain to the Contractor’s work, and ensure
that Contractors provide all means and methods
to avoid or minimize impacts to the
environment and general public in compliance
with the construction contract documents.
Tunnel construction and operation shall comply During the planning, NEPA and preliminary
with applicable regulations, contract specification engineering phase of major tunnel projects, a noise
requirements and noise and vibration limits, as assessment is conducted in accordance with NEPA, 23
applicable. Noise and vibration concerns for most CFR 772, Procedures for Abatement of Highway Traffic
highway tunnel projects include impacts from Noise and Construction Noise, as amended July 13,
construction operations and from future traffic at 2010, and other relevant federal and state guidance.
approaches to the completed tunnel.
During the design phase, key noise and vibration Road tunnel vibration concerns are typically related
sources and receptors shall be considered and assessed. to construction operations, such as drilling and blasting,
A more detailed noise and vibration impact assessment and not long-term operation effects. There are no federal
may be warranted during the design phase that considers requirements directed specifically to highway traffic
appropriate control measures that demonstrate induced vibration. All studies that highway agencies
compliance with state or local noise criteria or other have done to assess the impact of traffic-induced
project-specific criteria. The design team shall work vibrations have shown that both measured and predicted
with the Construction Management Team, if one exists, vibration levels are less than any known criteria for
to develop noise and vibration control strategies for structural damage to buildings (FHWA, Highway Traffic
integration into the design specifications. Vibration Noise: Analysis and Abatement Guidance, Appendix G,
analysis should be conducted on a case-by-case basis as December 2011).
deemed appropriate and included in the noise analysis or
in a standalone vibration analysis report.
To minimize potential noise and vibration impacts The location of noise and vibration monitoring sites
due to construction activities, the design team shall are identified and preliminary predicted long-term
consider, evaluate and incorporate performance controls operational and short-term construction effects are
into the contract specifications. This includes assessed and documented in the NEPA document and
specifications related to equipment (e.g., noise and detailed technical reports. Mitigation measures are
vibration suppression devices or other abatement typically investigated to determine their effectiveness in
measures such as enclosures and barriers for the reducing or eliminating noise effects. The NEPA
protection of sensitive receptors). document will likely include some recommended
measures to mitigate or reduce any potential noise and
vibration effects, however, approved control measures
are considered and incorporated into the project during
final design.
The design team shall also consider the need for The Noise and Vibration Control Plan is typically
development of a Noise and Vibration Control Plan, implemented prior to construction to avoid and minimize
which is typically comprised of a Noise Monitoring noise and vibration impacts. It is not uncommon that the
Plan, Noise Abatement Plan, Vibration Monitoring Plan contract specifications require the Contractor to develop
and a Vibration Abatement Plan. During the design this plan.
A Noise Monitoring Plan and a Noise Abatement The Noise Monitoring Plan typically includes:
Plan, when required, shall identify and implement • Requirements for testing equipment to
mitigation measures to control noise levels during demonstrate compliance with noise limits and
construction. procedures for reporting compliance,
• Source Limits and Performance Standards to
meet noise level thresholds for daytime,
evening and nighttime hours at adjacent
sensitive land uses,
• Monitoring and reporting procedures, including
receptors locations, noise monitoring locations,
type of noise measurement devices, response
procedures to be taken for any exceedance of
specified noise limit and compliance response
and resolution procedures.
The Noise Abatement Plan shall include
consideration of noise reduction methods such as:
• Temporary noise barriers at laydown
approaches
• Routing of trucks and placing equipment
farther from noise-sensitive receptors
• Alternative construction methods, with special
low noise emission level equipment, and
quieter demolition or deconstruction methods
• Concrete crushers or pavement saws for
concrete deck removal, demolitions or similar
construction activity
• Alternative piling techniques such as bored or
augured piling, rather than impact piling
• Use of local power grid to reduce the use of
generators
• Attach intake and exhaust mufflers, shields or
shrouds to equipment
• Line noise-deadening materials (rubber) to
inside of hoppers, conveyor transfer points or
chutes
• Noise barriers, screens or enclosures to reduce
the noise from activities such as jackhammers,
spoil being loaded into trucks, concrete trucks
mixing concrete
• Restrict hours of operation whenever possible;
fit jackhammers, air compressors, generators,
light plant and cranes with silencer, and
• Clad crane with timber paneling, and possibly
locate ventilation fans, dewatering pumps, air
compressors and generators in the tunnel.
The Vibration Monitoring Plan and Vibration The Vibration Monitoring Plan typically includes
Abatement Plan shall identify and implement a proactive requirements or stipulations for:
Identify and set up staging areas where construction Tunnel project construction typically requires
machinery and other equipment and materials would be disturbance on above-ground sites for the temporary
delivered, stored and operated. Staging areas may also stockpiling of spoils (muck) from the tunnels and for
accommodate assembly, launching and removal of construction materials, machinery and workers to enter
During design, consideration shall be given to Construction-related effects often include increased
traffic, public transportation and pedestrian management traffic because of street or lane closures and restricted
during the construction phase for any tunnel project. access to businesses or residences, as well as local area
This shall include planning and design strategies for transit affects from such closures and restrictions. These
avoiding, minimizing or mitigating impacts to public disruptions may include bus stop closures, provision of
roadways, sidewalks, bike lanes and the maintenance of temporary bus stops, scheduled delays and bus route
access to residences, businesses and public services detours.
throughout the project area.
During design, consideration shall be given to the
development and implementation of a Maintenance of
Traffic Plan and Transportation Management Plan for
construction. This requirement and process may be
included in the Contract Documents to provide specific
guidance on traffic, public transportation and pedestrian
management within the construction zones, haul routes
and construction staging areas.
Typical mitigation measures that may be
implemented by the Contractors, but shall be considered
during design and incorporated into design plans and
contract documents, as applicable, (and based upon the
Maintenance of Traffic Plans and Transportation
Management Plans) may include:
Appendix B
February, 2016
APPENDIX B: B-2
The following specification section headings represent work associated with tunneling and related activities. They
are primarily civil sections. Other sections that would be required for a completed project including systems,
mechanical, electrical, plumbing, architectural, ventilation, utilities, maintenance and protection of traffic, traffic
control, etc. are not included in this listing. The sections are organized according to the Construction Specifications
Institute format and numbering system, although section numbers have not been assigned. Typical specifications for
civil projects (for example, Structural Steel, Cast-in-Place Concrete, Excavation and Backfill) are readily available
from other sources and can be tailored to specific projects as needed.
February, 2016
APPENDIX B: B-3
February, 2016