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THE ART OF TUNNELLING
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•
THE ART OF TUNNELLING

KAROLY SZE C H Y
MOnI ..... of Ih~ lI "nprian Ac.odemy '" Scion«.
,.,..,f_ of Fo.u>dati"" ~nterin ...." Tun .... l!n.
0' .-. UDivonitr of Tec .... ical Scionno. BM<la_

liECO/'lU EI'IO LI S H EDI T ON (REVISF:D "'~ D ENLARGED)

AKAD E M IA I K IAD6 . BUDA PEST 1973

 A LAGllTt; p iT BTA N

Fim E",H.h «Iition : A kodt ", io, K,. do!>, 8~d • .,..t 1%6
Reprinted 19~ 7 , 1970
Se<:ond [ n_lish «Iition /rcvi><d .r><l <" lorKed)

T ra n,la ted from the H "".arian

"'
D E N IS SZt::C H Y, 110',,1'1 LIESZ KOVSZ K Y. ZOLT Al" SZILVASSY. MI K LOS ESZTO

© A K ".r)~ M IAI K I" OO . BU D APEST 1911

 Dedicated to MY WIFE
helpJlIl and affect ionale consort oj my life and work
•
 PREFACE TO TH E SECOND ENGLISH EDITION

The ra pidly progressing world-wide urbanization on the one hand, and the equally
rapid devclopmcni of moto r-traffic on the other, have given lately great impetus
to subterra nean and tu nnel constructi ons. T he i mmen~ growth of surface traffic
congestion in the downtown areas of metropolitans inferred not only the unavoid-
a ble necessity of the construction of unde rground railways, but also of varioUS-'
public-u tility t unnels as well as pedestria n a nd vehicular subways.
The fast de velopment in molor-car traffic coupled with interna tional tourism
led to the construction of long-distance international motor",:ays com prising the
const ruction of vehicula r tunnels in the scenic mountainous countries.
Increased demands have resulted considerable develo pment not only in the art
and tec hnique of t unnelling but also in the scientific background reflected pri-
marily by the scientific advances mad e in "rock mechanics."
Under these ci rcumstances it seemed lO be necessary 10 revise and to complete
the fi rst English edition of this book at least with the most important fealUres of
recent developments, wh ich was a ttempted by the Author in this somewhat en-
larged second edition.
T he favourable rece ptio n of the finn edition (two re print5: in 1967 a nd 1970)
and that since 1966 the book was published also in German (1969) and in Frem:h .
(1 970) allow me to hope that this second edition may also satisfy the prese nt de-
mands of my English-speaking Colleagues.
T he additional figures were dra wn by Mr Gaspar P«hy and Mr Tibor M nnya i
whereas typin g wo rk and re vision of the proofs was done agai n by Mrs J ulia
Tompa to whom I am very much ind.cbled . At the same ti me I should like to ex-
press my gratitude to the Design O ffice: UVATE RV, \0 Messrs Christian i &
Nielsen (Copenhagen). G. Halli nger (Gelsenkirc hen), COBIJT (Amsterdam)
Wayss & Freytag (Essen) fo r the photograp hs and explanations given.

Karoly Szichy
 P REFACE TO THE FI RST ENGL ISH EDITION

II has been a very flattering satisfaction \0 the Aut hor t ha i since this book was
published in Hungarian , it has met wit h a favourable reception, not only in
Hunga ry. but also in foreign countries. This has proved. on lhe one hand, that
the book was meeti ng the actual demands of related Civil Engineering Practice
and, on the other hand, it was c:m:ouraging for its publication in a foreign language.
[ am grateful to the Publishing House of the Hungarian Academy of Sciences
for having kindly underta ken Ihis English publication because it makes the book
accessible to interested engineers in a very greal part of the world. Minor revisions
and the addi tion of somt supplementary material seemed to be necessary in this
English version, of cou rse, but it represents the tra nslatio n of the Hungarian
edition, as a whole.
I should like to ex press my than ks here especially to Mr Denis Szechy and 10
Mr Ivan Lieszkowszky (Toronto) for their C"J.reful and excellent tra nslation and
to Mr Pranklyn North for the carerul revision of the English manuscript.
Dr Mikl6s Eszt6 and Mr Zolui n Szilvassy have also partici pated in the work of
translation. English inscriptions on the figures and additional drawing work was
done by Mr Tibor Manyai whereas typing and revision was again done by Mrs
Julia Tompa .

K. 5zechy
 CONTENTS

Prdace to the s«ond Engli sh edition 7

Pn:facc to the fi rst English edition
•
Cloapl~r I
Int,oduc:tlotl

1.1 l'urpo'ICS and claMi fical ion of tunnel, "

21
1. 11 Traffic l un ...,ls 22
1 J . 11 Ousificalion by position or alignment 22
11 . 111 Saddle and base IUlllleJ, 22
11 . 11 2S pirl.[ t unnels 24
11. 113 Olfspur tunnels
11. 114 Slop<: t\lo nds
11. IZ Oassifjcalion according w pu rpOsc
""
26
11 . 12 1 Railway tunnels 26
11. 122 Urban undugrou nd railways 27
1 L.ID tilghway tunnels 27
11 . 124 l'edl!'llrian l un n.:b 3.
11 . 12.1 Na\'i gation tunnels 3.
I . 12 T ",nspo rta ' ion tunnels 31
11.2 1 Hyd roelectric plant tun nels Jl
11.22 Wale r su pply lunneb 32
11.2) I'ubl ;c utility tunnel s 32
11 .24 Sewe r tunnels 33
11.2.1 Olher tu n".,!, 33
1. 13 Sto rage tunnd~ (garages, park ing ~rcu, ~hcllers and storehouses) 34
1.2 A brief history or tunnel co nst ruct ion 37

CAapI .., 1
'"rtliminafY sludifs altd Ittner.' dHlp tQftJlde .... 'lo. s
2. 1 l>rc hm in.ry ~ I Lld ics
."
2.11 Economic anlllY5i~
2. 12 Geolo,k.1 survey li nd e~pl oralio n "56
21.21 General geological survey
21.22 Delailed geological s ile inve5II,ali ons pr ior 10 plannin, "
"
10

21.23 Site explo ration du ring design 69

21.24 In situ exploration during construction 70
2.13 Typical Jtolocical factors and their effect on tunnd lin, 72
21.3 1 The sit uat ion and orientation of layers to be per.etrated 72
21.32 Condition and situat io n of strata \0 be perforated 76
zl.n Stms. st rengt h and deformat ion properties of rocks 77
2 1.14 Hydl'l)lotical survey 90
21.35 0aseJ and roc k tem perat ures 96
21. 351 Ga ses occ urr in g in t unne ll in.ll 97
2 1.352 Rock temper a! urcs!O be upcclw in the interior of a mountain 99
2.1 4 G eological profile aJong the tu nnel axis 105
2. 2 Facto rs in/l.""ncin l the location of t he tumid 118
2. 2 1 Selection uf t he li oo: 11 8
2.22 Selection of the lonail ud inal el evalion and gradients 122
2.23 Dc lum ina lion of the cross-section 129
22.31 Tun nel clea rance IJJ
22. 32 [nfl uc!'!ce of gcolOlk.1 environment on i ha pe of crOSS-5«'tion 136
n ~ ~ Infl uence o f con.tru~tio " me thod on sh ape of cross-s«tion 13!1
22. l41ofl uence of t unnel linina on shape of (f05$-s«tion 140
22.3.5 Size of the tunnel cross-sectlon 140
Refereocn - Bibliollraphy 144

CIMJJIU J

Ana ly.i. of loads nn t unn ~ls a nd under\:ruund structu res 14 S

3. 1 Ca uses and types of rock pre~u re 14 S

3. 11 St ress <;"ondi tions around Ihe OlY;!)' called fort h by lilt: uut break ing process 148
3 1. 11 S l res~ <;"ondi lion in It homogeneo us clasl k hal f-space 14 9
31.111 I nfl ~nce of t he shape of the <;lI\li ly 1S3
31.11 2 1on uencc o f other factor, ($lratification. li ni na. cover dept h) 163
JI.lIJ Finite clemen t method 166
)1.114 T he basic com puta tion prill('iplcs in el astic- ideal plashc
materia l 17 1
31. 12lne elt"ect of plastic phenomena upon stms di)t" bo,a tlon 114
3 1.1 2 1 KASr.oIu ·s theory 116
31.1 22 F6NN£"·S theory 18 1
3. 12 '-oosc:n ina pre5sure
3. 130enuine mountai n prc.uure
"7
' 99
3. 14 Swellin& pressure 20>
3. 1S L~al typct a nd facln. s mffect inll the ma)!,ni tude of rod'- pressure 207
31. 51 Res idua l (orollen) slreu 207
l l .SZ Hover in, or sli dln, pressure 20.
31.S3 Tectonic (oro aen) pressures 20.
3.2 O<:lcrm im"iu n "r venic.l r"" L pr"",", •. Kock p resau n: 'hooriH 209
3.2 1 Estimates a nd appro~ jmK te methods based on the e~ te nt of upbrcak 211
3.22 Theor ies based o n \lar ious archinll .nd rupt ure patt ern ass umpti ons 2 14
 CONT~NTS II

32.2 1 Theo ries tak in, the df~t of d epth into aCCOunt 214
32.2 11 ntf Ii IlAU",,~""S theor), 21 4
32.2 12 MA1 .. LART·S theo ry 217
32.2 13 Es:tT6's th~ry 219
32.2 14 TF.lIlAO Ht·S rock pressure theor)' 224
32.215JAKY·' concept of theoretical slope 227
32.216 BAl. .. A", theory 228
32.217 SOQOfrr'. theory of rock pressure 230
32.22 T heories nCIP~t inll the d'~t of depth 23 1
32.221 KO!>t!lltll.E....·S theory 23\
32.222 FOICcHHfr",ulI's rock pressure Iheor), 233
32.223 KITTf.II'S theory 233
32.224 PROTOOI'A KOSOI"S theo ry 23S
32.225 ENCILS.'[UII"$ theory 239
32.226 SZ(CHI"S theory 241
3.3 Dete rmination of l.teral pressures on tur,"o::l~ 244
3.31 Approximate dclermmatoon of la terll pre$.Sures 244
3.32 Exact determination of Lateral pressures 247
3.33 ElpcriJT1Cntal dete rmination and in situ mea~uremcnt of lateral pressures 248
3.4 IIOtlom pre'lsu rc.'
3.41 Dete rmination of btmurn pressure attording 10 TSI ", RA RYFVlTCIl ,,,
'"
3.42 Determi natio n of hollOm prcss ure accord in; to TUZA<lIli
3.5 De"elopment and superposition of rock pressures '"
m
3.51 De~lopment of rock pressure durIn.: excavation m
3.52 SupelJK)5ition and interaction of roof loads aboye
3.53 Loads on rock-pillars
adja~nt tunnels
""
'"
35.31 PROTOOYU:ONOV'S theory 265
3$.32 TSIMBAIIY~\"I"(;H'S theory 266
3.6 Critkaltrcatlllent of rock pressure theories and in silu rock pressure measurements 268
3.6 1 Measu rements o n the rock face 269
3.62 Mc;osurements in the inte rior of the rock 272
3.63 Meuu remenU on tunnel supports 273
3.64 Measurement or pressure "hanlOn in "o n,pleted lininJP 27$
3.65 Determination or pressures b)' modd te.~ls 282
3.66 Main t)"pe~ of preMure measu rin; instruments 283
3.7 Water pressure 288
3.8 Live loads 291
3.81 Internal loads 291
3.82 Surfaa: loads 291
3.9 1>cs.gn loads 291
3.91 Estimated desian lo~ds for deep tunnels in solid ground 292
3.92 ESlimated design loadS for ~ha.llow tunnels in loose. saturated 50il 294
3.9) Excerpts from the specifications for the design loads of the Li$oon subway 29$
3.94 Excerpt~ frum the .pedr,cations for lhe desi;n load. of the lI udapeSI subwa)' 296
3.95 Soviet ~Iandard s[)CCificDlions for the desi;n of undergrou nd and motom-ay
tunnels 30 1
Re(erenecs- Bibliollraphy 305
12

Clr",,'~r 4
Otshln of ' _nMI 5«t '(MI~ 307

4.1 General prindllle~ and historical development of design methods 307

4.2 Design of horseshoe-~hapcd tunnels 310
4.21 [)esign by members 310
42 . 11 G raph;", invnlitl_lion (KO"'''~'f.l.I.)

42. 111 Absence of latc ral pressure '"

)12
42. 112 Lateral prcliliures prescnt ) 1'
42.12 Analytical desi," by members ) 1'
42. 12 1 A nalYliis for horse$hoc: 5«tion~ 31'
42. 122 The cffecl! of relali~e displacements 3J2
42. 123 Example )).
42. 1l Common dcformation_~ and (ompl)$;IO: action of the surround ing KTound
(DAVII)OV'S met hod) 342
42. 1)1 OJl,VIOOV'S approximative theory 3.00
4.22 Analyt ical design method Irealinl the ,,",iun .5 .... hole and co nsidc:rin& rom·
posile action of the &found 346
42.2\ M ethod of Z UllAfIOV and 8oUO"Y~V A 341>
42.22 Nu mc.;",.1 ulI'nple of the Zu a .. BOV_ nOUClAYEVA method 3~1

4.3 Des; &n of circular tunnel !;«tions 365

4.31 Graphical investl,ation 36.5
4.32 Approximate method for the calculation of ring sectloni l66
43.21 Desian by dividln. the section InlO lIe,menu 366
43.22 Iksian 0( l monolithic rina section )68
43.23 The HEWI!TT- JOHANSl.SSON method 379
4.3J Thc desisn of circular tunrw::ls as JeCtions elastically embedded in the subsoil 3117
43.31 The method of BovIlOV-GOM~LIIC 388
4).32 The pol)'1onal mcthod "9
4J.33 Bo\)OAI'IiV,,'S method .I S
4J.34 D"vlut)v's method 42.
43.35 Vu.G"'S dewJopment 427
43,36 MUSSNU 'S melhod
43.31 The mcthod of OUDO ECIC and SO/v!.!:..
41,38 The metllods of OKLDV and ROzs"
'"
m
412
43.39 Critical conclusions as to the various dinlC'nsionina mcthod~ of clfcular
tu nnel $eCtlon$ 436
43.391 Computation methods 437
43.392 The df«t of va rious parameters upon the maanilUde of sectional
"rtUd 431
4,34 Desip of the tunnels with double linina 440
43.4 1 Soviet $pcclficallo ns (ba~d on G"UIIKIS'S Iheory) 441
43.42 Design with steel plale lininl (deiian after M OHU,()f'~) 443
43.43 [ksIln of tunnels ...·ilh taminated lininp 446
43.44 Desian of laminated linings for non-radial (cxternal) loads 4.5 1
4.4lXsign of cu l ~erts and cond uits 4.54
4.41 Desian of circu lar cul"cns 4SS
44, l l lXlerminal;o n of vcrtical carlh prcuurc (accordin, to Y""(1SHtiNo;O) 4SS
 44.12 Uctcrminatlo n of traffic loads
"
464
44.13 Effect o f the beddin g ."
44. 14 Cr05$oso;tion,,1 design of culvf n so;tiOn5 ."
44. U Lo naitud inal des;an of cu lveru
4.42 De.ign of circular cond ui ts
."
.,.
4.4 3 The seml-a raphical desian of eu-shflp(d cul "crts ."
4.44 Flexi bl e metal eulvens of corrugated steel shee ls 48'
4.' [)esiin of recta ngUla r tun ne l 5Cctions .9Q
4.'1 One-bay rectangul ar section on rigid foundat io ns .91
4.'2 Two _ba)' bo ~ secli on on elastic (ou nda liOM 49,
4.6 ~siin directives for antillary works, se rvices find installa tions 51)
4.6 1 Com posi tion and structure of tunnel walJs , OJ
4.62 Wfl terproofi na of tu nnd s
46.21 Mult i-layer plaslerina and ~holen: te
'I'
m
46.22 Guni te plaSler
46.2l Bo nded waterproofi nM ,,.
m
,,.
46.24 Reinforced bituminous .... terproofinl
46.2' PVC water proofin, ,,.
46.26Steel·dlec::t W'.Ile rproofin , m
4.63 IJrainllJC of tunnels
4.64 Prote<;:tio n aMa inst corrosion '"
m
46.41 Problems of co rrosion by soli
,.,
m
46.4 2 Groundwa,,,r ~orro~ion
4.6' Tunnel ventilation ,.,
46.S I Ventilation du ring construct ion
46.52 Natu ral ~'c nl i la lion ,.,
541
46.$3 Mechanical ventilation 54'
46.531 Meo.::hani<:al "enl llll1on of hi,h"'ay tunnels 54'
46.B2 Special considera lions on \'entilation of subway l unnd~ 55'
4.66 Liahtinl. and noi5C control in tunne" 56 1
46.6 1 Li,hting
46.62 Noise control
4.61 Ancillary works
46.71 Safety recesses
,.
561
56'

56'
46.72 Po rta ls
References- Biblioil'3phy ,'"..
Ciwplrr j

T IInlwl $ur"tyJIIg S 69

5. 1 Surveying from porlals 569

5 I I Il nnzontal layout S69
51.11 Layout of ~h or t tu nnels 5611
51.12 Layoul of IonS t u n ncl~ 511
$1. 121 Layout of lo ng tunnels from e~i)ling triangulatio n networks of
nation al surveys !il l
51.1 22 Lo you t of loni tu nnels from specia l networks 573
14 WNTENTS

S.12 Mark in g the ~t ahon5 j77

S.1l Layout of deta ils 518
S.14 Me1ilodl to improve accuracy S79
S. IS Veniclil layou t S8 1
'.2 Layout of tunnels starting u nderaround
S.21 1I0tizontai layoul '"
32, 11 Surface reference net '"
H . III Typn of Il:fen:nce nets '"
'"
H.112 Relining lhe rdeten« point nel
H . 12 T ransfer of dire<:tions down ~harts
".
32. 12 1 Pl um b line.' '"
S2.1220ptital plum b '"
'"
SZ.12301her methods of orientation
S2. 11 UnderJCound d irectional layout '"
600
'2.1 4 PossibiHt ies for il>C"reiui ng the accur&"Y o f the- la~oul 602
S.22 Vertica l layou t 602
S.23 Layout of ri ng ~ ionJ (Kgments) arid shields 604
n.3 l Layout of Kgment! 604
52.32 Determi nina the positio n of the shield 608
Refercnces- Biblioaraphy
'"
Cloapiu 6
ConstrllCilo. and de ign of tuanels

6. 1 T unnelli ng in solid Toch

'"
6. 11 Means of excavation in wlid rocks
61.1 1 Mechanica l drill ina and Cull ing
'"
61 '

61.1 2The usc of clIp losl,'cs and bluling technique ''16"

6. 12 Full_face tun nellina wi thout supports '23
61.2 1 Blas t-free m«hankal borina
6. 11 Full-face lunnclling with supports '"
632
61.31 Temporary suppOrt independent of the permanent lining 633
61.3 11 Su p po"inl wit h steel ,(rUClum; 633
61.312 Wooden supports (limbering)
61.313 Suppa" wilh reinforced-conerele ItructUfe$
61.314 Rock bolting
'"
64'
64'
61.313 Supporl by , uni te--n:ndenlla 66'
61.316 Water exclusion by a routing 668
6.Z T unnellina in moderately fi rm roch and aro und} 669
6.21 Tunnellinl by stlcccuive ellicavation a nd Ii ninll of smaller independent headi ngs
(clullieal or mining methods) 61>9
62. 11 Scope and con~ t ruct ion of headings 6"
62. 111 TimMred hc:ad inp 677
62. 112 Head ings with stttl sup porlS 632
62.1 13 PrecaSI rein forcedo(:oncrete supports 684
62.1 14 Headings of masonry lininl 686
62.12 Vertical brcak-ups and pilJ 688
 CuNT~NU

6.22 Si ngl e-stage millIng met hods of lunnd construction

"
6"'
62.21 The crown-bar (English) method 6"'
62.22 The cross·bar ( A.ustri an) method 696
62.221 The c1a ssiCliI A. usl ri an method 696
62.222 The new Austrian met hOt! 700
62.23 The alternate rinl method 701
62.24 The cent re-c ut method 701
6.23 Multiple-<\tage da ~sical methods 702
62.3 1 The Belgian ur underpinni ng (rlying arc h) method 702
62.32 The core-leaving or German method 711
62.33 The Italian or invert·arch method 71'
62.34 Combined tunnelling methods 718
6.24 Recent tunne lling me th ods employing both timber and steel supporti ng elements 121
62.4 1 Tunne ll ing wit h line r plates (the needle· beam) method
62.42 The full -face erector me thod '"
724
62.43 Tunnelling with liner plales and stiffeni ng rings 724
62.431 System employed in the Chicalo su bway 724
62.432 The liner-plate method 726
62.433 Side·drift met hod wi th sleel supports no
62.44 The K UNZ method
62.45 The Cologne me thod
62.46 Sheet·pile proofinl (Messervorlrieb)
'"
7J\
734
6.3 Tunnellin g in shallow depth and in loose ground
6.31 Construction method s started from the surface '"
'"
63.1 1 Cut and cover method
63. 11 1 Restric tion of traffic-fl ow '"
716
740
63. 11 2 Traffic now OVer te mpo rary bridges
63.12 Construction methods interfering part ially or t~ mporarily wi th surface
traffic ?42
63. 12 1 Restrictio n of traffic in time (Margaret·Bridge pedestrian sub-
way) 744
63. 122 Restriction of traffic in space (con.traction in patches) 145
63. 123 Th e lcos- Veder ( Milanese) method 149
63.1 24 Const ruc tion of ~ide walls by piling or diaphragm walls (Vienn a,
Pa ris etc.) 15 1
63. 13 Sin king methods 757
63.13 \ Open caissons or wells (L-oRfNZ- FEHL ~ ANN) ?58
63. 132 Constructi on wit h working chambers 76 1
6.32 Shield tunnellini 764
63.21 Struc tu re and dim~nsions of tuonel shields 76(,
63.22 The main workin g procedures of shield tunnelling 786
63.221 Excavation 786
63.222 Mu cking (baulage) 807
63.223 Shield advancement 810
63.224 Erection of tunnel lining 81 1
63.225 Grou tin g. ca ulbn g and dramage 811
63. 23 Lining segments for shield·driven lunn<:ls 832
63.231 Cast_iron linin gs 833
63.212 Structural st~1 segments 840
16

63.2]) Concrete SCamenl) 843

63.23 4 Reinforced-concrete lin in g Sl:JI.I".. nI S 852
63.235 Pre-tensioned and post.tcn$IOlICd 5el:mcnls 874
63.24 Applica tion of compressed air (the ple num process) and !!Oil 51ablhullon
in l unncllinll 880
6.33 Construction of cul v<.:rlS li nd se ..... ers by pipe jadin& and horizontal ca rlh
boring 895
63.3 1 Pressure shafts (driv;na pits) 11911
63.32 Excavation a nd dcwlllerinll 901
63.33 Pipes and cuuinS edges (cu UIna; shields) 902
63.34 Jackin, and re duction of friclional forces 905
63.35 Horizontal boring methods 907
6.3 4 SIKCial undcr,round st ructures and rail ..... y S1.lions 908
63A I Acraa or vent ilation shalls 909
61.421nclincd ~hafls and escalator t unnels
63 .42 1 Indined shafts '"
92.
63.422 E5Calator tunn els
63.43 Connectina; drifts (ven lilatioll dUCIS) '"
929
63.44 Underground halls bhield I:h.ambe~, po"'l:r and substation rooms. etl:.) 932
63 . 4 ~ UDderground statjons and adjoining servia and I:u.nmunica. ion localities 'H M
63ASI Subsurfal:e undergro und stations 939
63.452 D.:ep Ic,'d ~tation s 942
6.3~ Construl:tion of s ubways and utility conduiU in open I:ut$ 964
6.4 COO!ilroction of subaqueous tunnels 968
6.41 Sinkinll met hods with I:aiswn~ of the covered- roof type: %8
6. 42 Sinki nll methods of floating ca issons 971
64,21 Structural steel uni ts of c;r<;u la r se<:tion with 51eel ins ul ation sheetinll 973
64. 22 Tun'hd" constrOCted of reetana ular R.C. floatinll caissons 975
64.23 Rollom ~u pport and coupling join ts of lQ¥>ered un its 981
64.231 Seating of lu bn>e ' lIC'd uniu 981
64.232 Cou plin, of 5ubmerccd units 98 4
6.5 Safety measures and health protection in lonnell in, 989
6,51 Safe ty me:uo.cs
6.52 Ilealth protect ion
65.21 Silicosis
'"
990
991
65.22 Cai550n dt!ICa5C 992
Refe rences - Bi bliOIl.aphy 99'

C1wpf.. ~ 7

Service, opt'.atio. I nd mlinlenanec or lan Mls 999

7. 1 O.,ll nizalion and responsibilities of maintenance an d service departments 999

7.11 ] n~pccl ion of the shape of the tonnel 999
7. 12 Inspection of the tral:k drainage. and insulation 1002
71.21 Inspection of the lral:k.~ 11102
71.22 1nspechon in the Buda~t subway '00)
7.13 I nspc~tion >tnd tnaintenance of lin ing and lral:ks 1004
7. 14 Or&ani7~tion of mai ntena n« services 1006
7. 15 Storage or main.enana equipn~nl 11107
 COl'o"TU<o"TS 17

7.2 Deterioration and repair of tunnels 1007

7.21 Causes of deterioration of tunnels 1008
n.1l Deterioration due to defective materials and IOorkmanship 1008
72.1 2 Deterioration caused by waler 1008
72.13 Damage caused b)' smoke ]0 10
72. 14 Dam age due to atmospheric conditions 101 0
72. t S Impact d amalle 1010
72.16 Dam age caur.cd by ovcrburden I 0 II
72.17 Deteriorati"n io pressure tunnels lOll
72. t8 Damallc to ra ilway tracks 1012
72.19 Maintenance of cables 10 12
7.22 Repair and reconstruction of tunncls 101 2
72.2 1 Repai~ to the drainage system J013
72,211 I{epairs aimed a t the exclusion of water 10] 3
72.212 Repair by controlled drainage 1019
72.213 Repair b)' mechanical ventilation 10 20
72,22 Repair of lin inliS 1020
7.23 Remodelling a nd reconstruction o f tII nnel! J02S
72,31 Reconstruction for operationa l demands 102S
n,n Ke<:omtruction because of deteriora tion. decay of l i nim~ materials and
of extern al effect s 10211
72.33 Enn' ples of tunnel remodellinll 1030
72.331 The Scmmering tunnel 1030
72 .33 2 The Ko- Pecp t unnel 1031
72.3)3 The Kan devan highway tunnel 1032
72.33 4 T he P U ,EctiS-D"'ROISS shan t unnel 1034
7.3 Su rfaa: subsidence rc,ultina from tunnel comtruction 1034
7.31 Estim ation of surfa~e subside nce due to minins activities 103S
13. 11 Estimating surface subsidence on a theoretical basi s 103S
13.111 Em pirical formulae 103S
n. 112 AClUal observations and pre<:aut iona,y ",nsureS a pinsl hu mful
subsidence of buildings 1041
7.32 S"rfm;c ,.,tt lemcn ts due to tunnelling activities 104'
13.21 Theoretical considerations 104,
73.2 11 Circular l un nel in a homOlleneous la)'er 104'
73.2 12 Surface ""t!lemen!' of a two_layer liystem IOS3
73. 213 Scttlement superposition fron, adjacent tunnel s 10 55
73 .21 4 Computation of surface lleulcmcnts based on finite·etement
met hod (example)
73.22 AC1u~1 observations
"" IOS9
1063
73.221 SellIemen! ohserv8tions at the Ch icaKo subway 11>6'
73.222 Settlement observat ions at the Budapest u nderground 1067
73.223 Settlement observations at 1he London underllround 1()69
73.224 Surface sett lements in Berlin 107 0
73.225 Surface settlements due to secondary c ffec t.~ 107 1
73.226 Measuri nll the su bsidence o f buildinliS a1d thc utension of sub·
sidena: trough due to subway const ruction 1073
RefcrelKeS_ Bibliogra phy 1078
General lile nu ure 1079
Index (t(Hllpiled by JO>.Ser I'ark". ) 108 1
•
 CH.... PTER I

I NT ROD UCT ION

Even in ancient times underground structures prcsented a challenge to Man.

The arduous labour and considerable danger associated with underground con-
~tru ction was at all times justificd only by e)[ceptional reasons of defence, assault.
production (transportation), or traffic.
Apart from natu ral caves which offered shelter to primitive man, tunnels driven
to unde nnine. or underpass fo rtifications constituted an important, and in many
instances effective. means in ancient warfare. Various secret unde rground passages
into and from fortresses in the Middle Ages, as well as the assault tu nnel systems
built for undermi ning and blowing up fort ress-walls in more recenl military
history have played similarly important roles.
Underground Mructures have retamed thcir military signifH.;ance 10 Ihis very
day, in spite of the change in their character from an offensive to a defensive one.
Thus, the role of shelters affording protcction against air raids and of "bomb-
proof" undergrou nd plants. power stations, fa ctories lind warehouses is still
considerable in modern warfare.
Second to military purposes was the extraction of valuable mineral resources
from the hidden depths; in other words, major systems of considerable extension
became necessary for mining purposes. It will be recalled that the origins or o re
mining in particular can be tmced back [0 the beginnings of human history.
Besides military and mining purposes tun nels were often incorporated in water
su pply a nd drainage systcms. The tunnels introducing domestic water into some
of the ancient towns (Jerusalem, Athens, Rome) concealed to a certain extent
from the enemy, served the first !;onveyance fu nelion.
Neither could mall dispense with the benefits afforded to traffic by underground
structures. Starting with the secret underground passages mentioned above,
undergro und traffic routes, i.e. tunnel s constructed to avoid surface obstacles
and for a wide variety of traffic and transportation purposes, became an indispens-
able feat ure in modern transportation systems.
Tunnels, therefore form an important section of subterranean structures, as they
can be defined as IIndergroun(/ posl'(lges c:oflstru(',~d jor the purpose of direct
traffi~. or Q transportation c:olII~ction betll'een 111'0 poillls. Simply defined lunllels
are "underground passages made lI'i/holtt r~moving rM oreflying rock Of soif'.
Underground str uctures can be classified broadly into fou r categories;
(a) The most ancient are those built for the mining industry. These comprise
in part the permanent transporta tion network excavated to final dimensions and

2'
20 INTltoournn:-

provided wi th a permanent lining. and in purt of t he interconnected exploitation

drifts and ga lleries in which on ly temporary su pports are employed. This latter
system is not permanent but cha nges cOnlinuously in keeping with the mining
faces. There IS, therefore, a fundamental difference between these changing mining
engineering str uctures of a temporary charac ter <Iud tunnels proper, not o oly on
account of their motility and temporary support system. but also because of the
basic aims.
The purpose of mining is the exploitation of minerals. The cavities are pro-
duced as unwanted by-products creating an additional problem by the necessity
for thei r subsequent maintenance in order to prevent the collapse of the enlire
system and Ihe occurrence of unwanted surface subsidence. Tunnels, on the
other hand, are inva riably built as permanent structures. The basic objccti~ of
their construction is the creation o f cavities suitable fo r the admission of traffic
and tra nsportation. The unwanted by-product in this case is the material exca-
vated from the an-i ty, the removal and d isposal of which must be provided for
separately.
Another distinction between underground structures associated with mining
ilm! tun nels can be drawn as regards depth, since the former are const ructed
mai nly at great (several hundred, o r even thousand metres) depths in rock
formations of earlier geological ages according to the occurrence of the min·
erals to be exploited, while tunnels may equally be driven at great depths, e.g.
base tunnels, or close to the surface, e.g. subway tunnels, In yo unger geological
forma ti ons and thus different methods of construction can be adopted.
(b) The second category of underground engineering structures is constituted
by tunnels, the typical features of which have just been described.
(c) The third ca tegory comprises shelters offering protection against air attacks
to persons, materials, warehouses, even to enti re factory plants. The objective
in this case is to ensure protecti on and the condi tions necessa ry to life for a limited
period or sometimes even for norm .. ! operating conditions. Safety is the only
consideration in selecting the depth for these structures and consequent ly they are
usually built in young geological formatio ns. Their dimensions may vary within
wide limits and a re governed primari ly by the effort to arrive at an economical
structural design.
Chambers of abandoned qua rries a nd natural underground cavities have
been frequently used for this purpose.
Cd) Finally, increasing use has been made in recent times of the subsurface
space in highly developed cit y Hreas of metropolitan centres with dense traffic,
not only fo r solving Imffic problems and to provide for eventual wartime protec-
tion, but a lso for public-utility tu nnels and for various purposes of peacetime
storage. Typical examples of this category are underground railways, garages and
parking areas.
 PUR POSES "'0 CI..A.'iStFtC"TtO~ or TU~~~U 21

1.1. PURI)OSES AND CLASSIFICATION OF TUN~ELS

The demands on passenger and 1Joods transportation have increased immensely

wi th social development. Not even the most adverse natural obstacles cou ld
cu rta il it . Rivers, mountains and oceans cou ld delay transportation for certain
periods only. bm were e\'c:muaJl y conquered by human endeavour. People and
terri tOries fo rmerly isolated from each OIher are now linked by bridges s panning
rviers and by tunnels underpassing mountains in increasing num bers and wi th
increasing dimensions. each representi ng II lie and contribution (owards the cu i·
t ura! unlly of mankind.
The purpose of tunnels is to ensure the direct transporta tion of passcngers o r
goods th rough cer1ain o bstacles. Dependi ng on the ohstacle to be overcome a nd
on Ihe traffic, or Irdnsportalion objective to be achieved. tunnels can be classified
into various groups.
T he obst:lclc: may be a mountain. a body of water, dense urban. or indus tria l
areas (traffic. etc.). T unnels mlly pass accordingly under mountains, rivers, sca
channels, dense urban , o r industrial areas. buildings a nd traffic rou tes. Their
purpose may be to clITry railwa y, road. pedestrian, or watc r traffic, 10 convey
water, electric power. gas, sewage, etc. or 10 provide indoor transpo rta tion for
industrial plan ts. T unnels may thus be classified according to their purpose,
location a nd geological situatio n Depending o n their purpose the following two
main groups of tunnels may be distinguished :

(AJ T raffic tunnels:

I. railway !Unnels
2. high ..... ay tunnels
3. pedeslrian tunnels
4. navigation tu nnels
S. subway tunnels.

(8) Conveyance tunnels:

l. hrdroelectric power station tunnels
2. water suppl y tunnels
3. tunnels for the intake and conduit of public utilities
4. sewer tunnels
5. tra nsporta tion tunnels in industria l plants.

In addition to purpose, importAnt classifica tion criteria a re location, pOSitIOn

relative to Ihe terrai n and alignment as well . these having a decisive influ e nce on
the tu nnel section, t he method of construction, the design and the acting forces
(cr. Section 21.1).
Tunnels will hereafter he ul/llerswtx1 as being undtrground SUUClure.~, which
apart from sen 'ing Ihe aboN! purpoSf'S, arc cO/Wrucled by special underground
/flnnelling melhods generully M';IIIOUI dlSlurbing Iht' sur/uu. Tunnels a re also
 PU RI"OSI!S .. NO CL"SSOHC " Y'ON 0 ' T UNNU. .

construc ted on o pen pi ts e " cu"ated fr om the te r ra in s urface a nd arc bad,filled

s ubseque ntl y (c ut and cover) . The m eans emp loyed in t hese "CUt and oovet"
met hod s do not differ essentially fro m those a~s<x ialed with tho <on$ttuction
of foundation p i, e n closure. d e wate rin g, e ~ c"ya tion a n d b a c kfilli "II method. u>ed
on fo"" d" t ion enginee nn g.

1 . 11 . TMAI'I'I C TUNNELS

Traffic lunnels may be classified ll~Q rd i ng 10 Iheir posi tion, or alignment and
purpose.

ILl I. Classification b)' PosJtion or Alignment

I 1, 1I I . Satklle alltl base IImnels. When leadi ng from o ne side of a walershed

to the other and when connecting parallel valleys, railways and highways are
bound to cross mountain ridges. Tunnels being the most e~pen she of all strue--
tures, the general tendency is to follow an o pen ro ute as far up as possible in
o rder to minimize the length of thc tun nc l. Thc open trJ ck is. in such eases. led

t.;

Ft G. t/I. Loc>tlion of the Ira>trse liDe in

co mparison with the na tura l rise of contour
li ne$ or a valley

a Jon8thc val lc)'s. As long as t he nat ural ~Iope of the valley does not become stetper
than the ruling gradient of the roule, the length nt:cel!sary fo r t he tlimb can be
ensured withou t difficulty. As soon as t he valley becomes Steeper (Fig. 1/1) thi:
line must be developed in length. At first onc, thcn both sides of the I'alleyand
 T ..... r . 'c "-UN"' ~ ""

in mllny cases C"e n t h e s ide va lle ys mu s t be ulilized for Ihi s p~rpose. In>lead <>r
a straight nack Ihe necessary length m ust be crea te d by s inuous CUll". Dolh lhe
wasle in di s lance, and th e number o f b rid ges "nd st ruc t ures increa .. in Ihi. process
(c f. F ig. 1/ 3). The specific eonst r uclion cost rel ated to t hc di stan"" Ixtwttn lh~
points 10 be co nnec te d (termi n i) increllses s;m illl r iy. The vall eys I>ec<>"", gradually
""rrowe r lind sleeper u mil a n y rurlher lenglhening of t he line. when adhering 1<>
the s pecified s n,alJes t r ad ii of cU r-.·a lU re and steepest r u lin g g radients, pr<lv" 10
be t ec hnica ll y impossible (cr. Fig . 1{2). Th e high es t elevation i. then au ain«l

FlO. 1/2. Cumparison of ba~ and paSS-fullnels

beyo nd which the line must inevitably be led into !he interior of the mounlain,
in o rder to arrive a t the adjace nt valley in compl ian ce w;l h the speORerl alignment
an d Iraction req uirements. Tunne l ~ built thus at the highest possible elevation
are referred 10 as suddle, or wutershed tunne ls. They 3te usua ll y adopted on railway
lines of seconda ry importance and light t ra ffic and on high ways, where it is justi-
fiable to save construction costs at the price o f higher o perating COSIS. On main
lines, however, where the traffic densit y is greal a nd traction loads are heavy,
the increased travelling distance a nd the lost heigh l would increase oper·
ating costs sufficientl y to ma ke the construction of a tunnel 31 a grealer
depth and of a grea ter length at the bollom of the va lley more economical
in the long ru n th.:In 10 bear the constant losses arising from increased
o perating costs. It shou ld also be bornc in mi nd that the call)·ing capac-
ity of a sho rter line with gentie gradients is appreciltbly greater Ihan of a longer
one with stee p gradi ents and sha rp bends, and so Ihe construction of 3 tunnel
at grealer depth, a base t unnel ( Fig. 1}2) by which someti mes even lhe construction
of a sel:ond line may be avoided, will represent the best sol ut ion economically.
Anothe r fa ci revealed by the figure is th at secondary ra ilwa y lines and panicularly
higbways with a steeper ru ling grad ient t'J a ttain the hi ghest permissible embank-
ment heights and cut depths (dmmt) only at steeper terrain slo pes and ol'er sbon
distances. On main lines with a more ge ntle ruling gradient, ell thiscircmustanct
a lso will soon limit a ny line deve lopment. The inl:rease of this ,j ~alL/e il al the
same li me represenlative of the topogra phical difficu lties cncounlered in tbe line
d"velopm"n L In cond u s, on it ca n . thus. be; "~tabl i shc:d ,ha, 0 " r .. , I,,·ay lr~nk ......
b"s" tunn"l~ o r in c re a sed leng th tore u 5u"lI y prer"r...,d whereby b<lIh 1M kn~'h
or the track lind lost h"'(l.ht clln be; m in.m i:.:ed . wh " ...,as on seco nda r y ra,l,....y line$,
.. nd especially for hi g hwa ys. s addle tunnels ~re g ive n prefe ren ce . Until recentl)'
eve n 5"ddl" t unncl~ were ,..... re ly a dopt ed for h ighway~ s in ce Ihe allowabk """P
grades and s m .. 11 rlldiu s o f cu r vature made the n~""" r y de~elop'''''n' of the li~
o n o n e side o f Ihe .,.. Uey possible a nd Ih"s Ihe hi(l.hw .. y could be condu<ted in . n
ope n Cut across Ihe P""s~. In fact. the ope n ro ule runs t h e ro5k of beinl .... de
impassable by snow and ice, whi le other sections may be enda naereti by 11"1'
h",ches. O..... ing 10 the spareil ), and secondary significance of highwlY Iraffit JlK"b
seaso na l inlernlplions of highway routes were fo rmerl y to lern ttd. Nffill-ada)"l,
hO.... cl'u, uninterrupled and safe !rallic condJlio ns must be ensured particularly
on busy motorways which justify the eo nslruction of saddic tun nels instead of
(\pen routes for highways as wcJL Even base !Ullne ls ha ve been adopl«i on high.
ways or internat ional importance, as exemplified by the 6 kIn 51. Ikmard and
Ihe J2 lull MOn! Blaoc high way IUnnels.

J 1.112. Spirol /um,c!.f. In the co urse o f d eveloping the required kngthmin!

of the line the use of Jpirallllrlnl.'i£ often becomes inevitable. In Valle)ll00 nafTl)W
to relurn the Irac k arriving from o ne side with the minimunl permissible: radi~l
to Ihe Olher and where t he steep slope of the valley ea n no longer be followed
(Cr. Fig. II I. t > .:1/), the necessary add iliona J Icnglh muSI be ensured by penetrat·

FICl. 1/3. Loopinl lunnd:i

 ·' ·.... n'c .......... .. '-"

ing .nto Ihe interior o r the 1l10u nt l>tI,"nd the length reqUIred ror o"~rcomtlli the
rise "". ~I be obta Ined by (ormmg" loop (FIg. 1/ 3). T he (amous ,p, .. ltunn~l.
on Ihe GOl1 hard and Albul" ..."lwu y" in SWl t".crland mtly be menllOIlN h~",.

F,o. 1/4. Olfspur lunnel~

Geologically. the widesl varic ly of rOt:k I;ondi tions is likely 10 be encounlercd

in driv ing spiral lUnncls. since in formi ng t he loop the ou ter ..... cathered .nd inner
sound r(X:h muS I be travcrsed bOlh para llel And normal 10 the dip (cf. Scl.1ion
21.31.).
11.113. OffSPllf lunllels arc used to sho rtl;UI mino r local cl(lrudtng obslades
(Fig. 1/4). when it is desired 10 maintain a straightlinc fo r any tmffic roule (railway,
hi ghway, canal). or whe n a sha r p a nd stee p p rojcction cnn nol be followed with
the mini mum pe rm illed curva t ures (cf. Fig. 1/4). A nother ind ication for Ihii I)'poe
of tunnel is if the cu t lead ing through Ihe obs tade ..... ould Ix: too d«p, or Irlhe
open cut wou ld induce sliding in Ihe sloping layers. In ge neral beyond 20 10 25 m
cui depths the construc tion of a tunnel is more economical.

11.1 14. Slope tUlllr~/s. These are also co nstructed wit h a local characler. Thei r
objective is to ensure safe operation and protection to ra il ..... ay ,00 hi(fl.,,;ay
rou tes in Sleep mou nta in hang!'. In such cases the dIp of the la)"tr5, ... helher
inwllrd. or o utward is of paramount imparluncc. Oulward d ip of the la)'tl1 15
especially da nge rous fo r open rou tes, and e,'e n slope tu nnels muSI be localed
deeper in the mountai n side under such circumsla nces (Fig. I/S). Even -.lhcre lhe
stl"J. ti fica tion of the rock: forma ti onJi is favou rable enough. i.e. mclincd inward,
il is not advisable to a ppl y milted c;:ul a nd fil l seclions even thotl!h lhere is no
"
dangcor of s lid ;n •• for the danger of ro<:k a nd e .. rthalides. or avalanches lIill
remai n s. TM p ..-ima r y a i m o f these tunnels is t he provis io n o f sa f" lrafficoond,tions,
bm sometimes the y nrc LtdOpled for eco nomi c re~on~, as the c:on ~lructionofllle
"lternati ve c ut _and · fill seclion m ay cu ll for t he e<>n Slructi o n of vety long sloptS
lind of very h igh re tai n in a willis the co51 of which ma y well exceed I,,", ofa tunnel.
T unnelli n g. be!oides being c heaper. may al so be appreciably safer.

\ \ \

f'xl. 1/5. lia nS lunnels

\

l1 .n . Classification According 10 Purpose

11 .121. Ruilway t"f/llelJ. Amo ng traffic tunnels th e impor tance of raih," y

tunne ls is unquestionabl y Ih~ greatest. The majority of ra il way tu oncl5 are 10 be
found in mo unta inous country. bUI there are some, 100, which ha"e b«o too-
structed under wa tercourses. or in urban areas (e.g. New Yo rk). As raras location,
 n
si te and funcl;o " " o f mou nuo in railway tunnel. are co n ce r ned, .he same ' ypet an
be d lsli n &u 'i1 h c d as di scu~sed in seclio n I 1,1 I . Otherwise t tlcK di •• ioc,;ons apply
equall y \0 h ig hwa y (pri ncipuUy mOlor .... ,,)') 'u""c ls in mounta in ous regionl. T he
chara.,.' e",,!;,;: (caH.res o f railw ay t u"n "ls will be discu"""d in detail in oonnoction
with the,. design, location. c ross-secti on lin d profile lef . Se<;:. ion 2.1\.

11.122 . U r ban undergr<Jun(J rai/ ..,oJ's. Although es§C:nlilltly railway lu"""I., 1M

lUnnel s of urban unde rg r ound rail ways constitute an .ndividual IrouP amonl
them, differing rrom olher railroad t un nels as rega rd s locatio n, ronstrucuon
mel hods, materials and purpose. The laller are mostly or horseshoe section, while
the tunne ls o f underground ra ilways a re us ually circular, rectangular,or polygonal
in cross.secti o n, depend ing on ~'hether highly hX:ilted ··eut an d eOI'Cr", or deeply
located tunnels are co ncerned (cf. Fig. 2/ SI). In design they most resemblc sub-
aqueous hIghway tunnels. The obstacle to be und erpassed in the interestoftrafficis,
in this caS(:, the densely oycrbui lt urban area, the netwo rk of streets alld buildings.
Underwa te r railway tu nnels belong es'>Cntially to the same group. Such tunnels
were re lati ve ly few in nUlnbc r, owing primarily 10 the di flicultics encountered \I;th
steam a nd diesel tractio n.
The stati ons of underground railways are of special structural desip alld of
a grea t variety of typ«, especially in the case of deep lines (see Figs 6/259 to
6/280).
The principal special requirements of un de rgrou nd mi lwa y tu nnels. distinguish·
ing them from ot her railway tunnels, can be grouped as follows :

I. Increased safety requ ireme nts due to the grea t densi ty a nd high spffii of
traffic (freedom of displacement a nd deformation of track and tunntllininJ):
2. Careful watersealing :
3. A high sta ndard of cleanhness lind ven tilation.

ad I. Derailing du e to breakage o r e\'en 10 the slightest loose ning of rail I INy

involve catastrophic consequences in view of the high speed of trains alld to tbe
co nfined space.
tJd 2. The tunnels, being localed unde r grou ndwater level in the geologically
youngcst. waterbearing top rormations, practically stand in water.
ad 3. Since the stati ons themsclves are accommodated in the same tunnel as
the tra ck, increased attentio n must be paid to the sanitation and vcnlilltion
requirements of the: large number o f passengers. Also. the re mon! or heal and
dust ca used by the s udden bra ki ng and accelera ti on of high speed tralDS must
be provided for, a nd the tunnels must be kept clean.

11. 121 flighK'tJ)' lu,lItds. Highway tunne ls elln be classified broadly into thrct
groups (see Figs 2/44 and 2/45).
(a) Tunnels constructed on motorwa)"5, o r modern main tra ffic routts may
belong 10 the same typ« as rai lroad tu nnels: pass tunnels (G iOI;), base tunnels
(Mon t alane. SI. Bernard). 0 IT5 PUr. Or 510pe t un nel $ arc equally pobIbit 0 ...,",
to the Slccper ru ling ll.-ad'en t on highw"y~. gpi.al lu nncls h ll ve not been built
so fur . The on ly differe n ee ,n e ros....,eCI, on in co ,npari50n with "ilway tunnel!
'5 Ihe reduced he igh •• s ince Ihe ... 110 o f w,d l h ' 0 h e ' gh l in . he e ... 01I ....o-lo""
high .... " y Imffie <.hITe •• f.o m .." Iw"y clearnnce requiremen l!L lI. gh ..... y .unnel. or
this n n Ul'" hll ve bee., eonst ruc l ed in recent li mes only. SinCe Ih e "In,ficancc of
high .... "y ,ram" ,ncre"scd 1re ... endo u$ ly ..... i'h I he devel o pm ent of t he motor "ch,d.
I n e".I,er l i m ea lughwa ),,, alw .. y~ fo llowed Ihe slopes of t he te r .... 'n ... nee 'M sparK
horse·drawn traffic tolt:: ra tt:d \'cry na rrow cuo cs and Sleep gradients and lhe lost
height in Ihc ali gnmen t was nOI co n ~ide red . T he claims of modern motofways
built fo r a great tramc volume an: sumlar 10 those of rai lroads.
(b) Interconnectio n tun nf:ls. unde rpassing minor hills in th e interior ollo",ns
differ from the former group Inainl), in Iheir d imensio ns. These IUnnelsarc usually
direct continua tions of wide urban rood arteries and :Ire d is tinguished by a \I.·ide
roadwa)' and a grea t scctional heigbt as well, in the !Ole,rests of Sood t"IItural
ve~ti l:lIi o n . e.g. the urban tunne ls in San Frn ncisco. Budapest. Prague. Naples.
Ro me, Rio de Janeiro. etc .• or thc)' are IIrtlficially venlillited . .,I\(n 0( a flat
section ( Brusse ls. Paris. etc.).
(c) The third gro up of ve hicular tunnels. those under watcrcourses are also
encountered In urban a reas. In carr)'tng urban trunk. these tunnels compete
with hrid ges and prescnt an especi;llIy a ttra cti~·e allc rnati\'e to lhe laner ",litre
high ele.. rances are requi red to ensu re the paSSage of seagoing vessels It all times,
I n highly freq uented sea ports :Itlem pts were pre"'lously made 10 soll'c the problem
of simult nneous navigation a nd road tra ffic by the com prom ise of lifting, or ft,·oh-
ing bridges (Leningrad, London. Copenhagen. etc.). With traffic or Increa~ng
density on both waler and road. the si tuation c rea led b)' such ~ulJons became
soon in to lerable. The nccom mod nllon o f the Ilpp roaches of fixed hIgh It'ocl bridges
rna)' encounter unsu rm ountllble town plllnning diffi culties in eongtSted ur ban
areas. interfere: wilh Ihe \'ery im portant traffic o n qua),s and d ocks. and In .ddlUon
mn )' produce such an unaesthetie appearance to a ci ty that this alone might
justify t he abando nment of this solut ion. In mll n)' instllnceS a l:-o theconslruction
costs of n permanent bridge lila)' e.~ceed those o f a tunnel. Thus, e.!- In Hamburs
the requ ired na vi gntio n clearance fo r seagoing vessels wou ld hal"t betn 55 m
a nd whi le the tu nne l IIctuaU )' cost IS millio n m ark ~. the construction COstl of a
bridge were estimated a t 25 millio n. A similar clearance of .5S m \I.·ould hal"t
been necesS;lr y in Ant werp as welL and a suitable bridge wou ld ha\'e cost from
260 to 360 millio n francs in 19]2, whereas Ihe Ilctua l construction costs of the
tunnels a mou nted to 24.5 mIllio n francs onl),. For t he same reasons luoncl~ re-
mllined the onl)' choice in the mOSI valuable cit)' areas of New York. The reduc-
lion in construct io n costS of tun nels resulting from t he use o r pn:fabriCiled large
R. C. caissons has fu rther added to their ad \'anta~s over bndses (ROIttrrlam.
Amsterdam, An twerp. Got henburg. Montrea l, San F ranCISCO, elc.. 5Ct Table
2JII . and Section 6.4).
In Budapest. on the other ha nd. whe re the requi red na ... igati on cleal'llnct is nol
 -'M "'",C TU,.,. n ..
"
m Orc .ha n 15 m .• he e<»U' of ... "" .. cl ,""ou ld be .h..,.. .imes .. ~ h.gh U ,,,,,* of.
permanc", bridgc.
Thc .. d.·a ..... ges offered by $u c h .unncl~ .0 to,""" pla" .. i" . may e\~n OU''''''&/I
economic considera.ions. In fac. o pen eU'$ for . he a <>CeSs and cifr_ ra-ds 01 •...,
.un"e' Itrc incvi.able beyond .. een .. in dcp.h . Th is de p.h ,~. howc ..«. u~ ...11y no
morc .h" .. 5- 6 n. and wII" grad lcn.~ of 3 - 5::-;. permincd for vc h' cul.....IIk,...,
di"urbance o f .he ' o,""n are .. e ..cnds .0" Icng,h o f 100 - 150 ,n only. On."" other
ha .. d. the approach ramps of , he bridges ",e,,,ioned ",us. be a. lell s, II SO- IXIO m
long . (Sec com parati ve Fig. 1/ 6 .)

l,H, >l.

FtO . 1{6 . ComparBon of bridle I."..,. .... ith suhqllt{)uS I.. n nd Itvel
ocr os.~ a waten.:o ... se

Further advantages of tunnels are Iheir greater immunitY 10 mllilary alUlck,

liS well as the grealer freed om in alignment to devi;,le from the strai&h' uis.
as a consequence of which not only may the ;' pproaehes be shortCf bIi"hey an
be fitted much more rtadily into the existing street pallern of the city. and the
disturbance of embankment areas of great traffic yalue and o rten of hl$lOncal
significance can be a voided.
As demonstmted by Ff.UCHT,,",OCR in a Iraffie engineering Slud) prcpaml for
I 1
II particular project. . tunnels under wa terways are superio r 10 bndges as far IS
lost height is concerned, a nd from Ihe point of view of trallie engineering four·lane
e{)llstrucliolls arc preferable 10 two· lnne ones. T he su mmary ond comparison of
rclotive costs yielded the following sequence:

I. four·lane
2. four·lane
tunoel
bridge - 82%,
119 ~-;.,
-
~

3. two·lane tunnel IOO"{

4. tv.o-Iane bridge • 113 .....

As regards the steepest permissible gr.1dient. c rossing time and constructIon

costs are confticting fact ors. Assuming mIxed vehicular traffic. the most tcOI\om·
I.' Fl uclm"mu .. M . E. HochbrOckc \Klcr Tunncl, St,.OIU lind Autnholl. 19}6 226.
.cal grudients fo r c rO$,..nll t.me .. nd fue l consun.ption ...... ]'5',. lind 3"O~..
....specti ... e ly. In ..uin g the ro le of ume facto r the m o re impoftllnt. be 'p«ifies
the mO$t favou .... ble grad .ent "t ]'5 Y..
Veh.cular t"nnels under ....aterways show a great .imilarlty to u~nd
ra.lw"y t"nnels in CrO" ... CCUOn and t o some ex ten t in conlllruct..,.. m<1hods.
They a .... built in idem ical u.b"" IIONo"n d lnp an d under idenllclIJ uowkr,..ound
condiuons. Naturally. the grad Ient on the appro"c h es may be s teeper. For tunnel,
designed mainly fQr mOlor tr"m" t h e IIra d ie nt va l ue u su .. lly rbnges from ]10 5%.
In parl;"ular, Ihe old vehicu lar "'nnels under the Elbe R.ver in Hambura Ihould
be men lioned, where," o rde r to save the inclined approaches and valuable ur·
ban area which would have been affecled by them, connection 10 the meet net·
work was made by elcvators accommodated in vertil;al shafts at t!le tunnel ends.
The employment of the sinking method of prefabricated caissons previously
mentioned also offers a possibility for a considerable reductIOn In the !lope Ind
length of acxess ramps. This is best demonstrated just in Hambur, llhelt the
construction of the new vehicular tun nel is just in progress and "'ill be realized
by the cai~on sinking method with a junction 10 the city street·oowork IbrOligh
access ramps (cr. Fig. 6/296).
11 . 124. Pedestrian tunnels. Essentially. these belong 10 t he grollp ofroad tunnels.
bul owing 10 their smll iler cross-sectio n, shon radii of curvalurt Ind sleep per.
missible gradient (u p to IO %) as well as 10 the possibility of pro~idinK for their,
access in vertical shafts insteadof ramps, their construction and design i! $uflitiently
simplified to justify t heir discussion as II separate group. They nrc usuaJJyemployed
under surface traffic centres, i.c. in the interior of towns or under "''1lercourse5.
Beginning with the undcrpa~es at congested intersections and under bridF
approaches (London, Paris, Frankfurt, Munich, Vienna, Genoa. Rome, ttt.) UII
to the pedestrian tunnels under wide watercourses (Hamburg, Antwerll) ilmdar
structures are built under the greatest vlHiet y of conditions. AmO/lJ pedestrian
tunnels those under the Elbe in !.Jamburg, the one recently built under lhe North·
EaSt sca-canal at Rendsburg :lIId under the Schelde at Antwerll b,se piDed the
widest reputation. These were built wtthout incJi[led approaches alld termilllte,
in verticil I shafts, where pedcstrians are carried by passenger lift, to and from Ihr:
surface. The employed construction mel hods (shield, resp. caisson sin~ing) are
also differing from those of the met ropolitan undcrpasses (cut and co~er). The
tunnel in Antwerp was buill espec;;inll)' for pedestrian traffic, ",hile Ihe old one
in Hamburg carries mixed tr.aftic, with " 25 m wide sidewalk$ II both sides of
the centra l single-lane roadway in a way similar to the deck arranlC1II(nt of
highway bridges (cf. Fig. 2/43).
11.125. Nor:;gat;on tunnels. Among tunnels for traffic, navigallOlltunl!ds \II'C1t
among those whose importance and the economic interests conctrDCdjustilied the
expensc and labour involved in their constructio n. In the development of ci\'ilj·
zalion the lransportation potential of waterways was first utilized,.1Id in order
10 establish conncclions for navigation from o ne river system 10 another, lhe
con structio n of inland ""v is ation canals was s,a ned a s eady liS the I'th ,,",DIUf}'.
"
I n "".o!<Sing d iv id ina m o untain r id ges the n ecessity fo r c" ' >llrueti ". navipble
tunne ls 500 n arosc. Fro m th" Mal pas !unlle l o pened in 1679 the,. "'.... a lonl
developme nt to the CO n Slruction of Ihe Ro v" canal I"nnd in t he vicinity or Mar-
se oll"", i n 1922. Thi s is s till the world 's horg"s ' tu nnel. Typical feature ¥ofnuigation
tunne ls are the impe rm eab le li nin g and ca rerul Rcaling, as well li S t he grell! width,
w h ich is, relati ve t o the vuse l lowed . t h e la , sc51 amo ng all traffic tunnel, in the
interest o r keepin g lowing resistances ItS Rma n 85 po!<SibJe (cr . Table 1II Iod Fi,.
6/ 72). An a dditionlll fnc lo r c a lling ro r g rea t wid t h is the poo r ma IHKUl'l:rabilily
of Roa ting craft . For these reasons lhe wide c ross-section is usulIJly COI"tttd ...itb
a nat arch. Watenight internal seals, or linings .....e re frequently found necessal)'
(cf. Fig. 2/4 1). In regions where there is a possibility of lectonic movement, or
where the rock: formations are faul ted o r cracked and show Il lendcl)I:Y to slip,
nllvigable canal tu nnels must not be constructed.
Uere again. single and two-lane tunnels cil n be distinguished, and in Ibe case
of long tun nels intermediate passing points ure usually provided. It can be
~ tated , howe\'er, that navigation tunnels are nowadays rather scarce.

1. 12. TRANS ..O RTATION TUNNEl.S

11.21 . H,.droeleelric l'lanl TunlK'ls

The water di verted for uti lization in hydroelcctric stat ions is cOflICyed from
the raised reservoi r to the adjacent valley, or the powerhouse, located It I lo"'u
elevation. Two main groups of tu nnels fo r this purpose can be distinguished.

/I;/N Grrm" tuwI

$tGl'.1p1'
f't~rrVOl r
-Y _ 5 it

k.'t1 'F·s!Jr""
0000

FlO. 1/1 . LocH ti on of walc r-conveyina and of ... ater·p~ssure lunnels

Thosc which discharge with fu ll section directly 10 the tu rbines are referred 10
as pressure fIIl1nels. Owing to the considerable difference in elevillion they art
subjected to very internal pressures. In contrast, tunnels constructed for tile
sole function of con\'eying water by normal gravity from one side of I mowllain
to th e: other, or from the point of dj\'crsion to the head or the stCtp indioe. Ire
lermcd discharge IUfll1ds (Fig. 1/ 7).
" Betwee n 'he Iwo g roups sign ifica nt diftc:ren~ ex ' 51 "S ra r a a load., eros .. ....,Uon
and s hape are co n cerned. Press u re tunne ls are s u b)C'Cl ed 10 an int ....... r ..... le.
preuu • ., wh ll, h is f reque nt ly m a n y , ilTl es In .",ces.s
o f the "x,ernll l rork aDd &,oulld
WilIer pre5~"re. T he re5ul,,,,,, te nsi le 5t. cucs can be resis ted ' nOOl «ononlocalJy
by a cire .. ln. cro ss·~ec tlon. Pres~ure tunnels arc theref o re bUll! "mh . circul.r or
h orse 5hoe-~ h o ped "rOlls_sect io n . I he laner be; "II m ore rcnd lIy .. d~l'lable to dr.II'",
...", h ocb . I n o rder 10 resist I.,ns, le fo rces these C ...... ~_s""'l on~ arc: prO>'ided ""'Ih
,. lin ing Of"l least reInforced concrete. b ul stee l linlll"" ",,: al\.oqu"erommon.
These linings have, of co urs~. a sealing functi o n as well . since ....otler under bigh
pressu re is more likely 10 escnpe through the fi ss ures a nd cracks in the rock
(d. Fig. 2/40).
Simple d ischarge tunnels, on the othe r ha nd , are usually d csi~ 'IIith I borlt-
shoe cross'Sl:Clion simila r to that of rail way tunnels, the internal prmu~ exerted
by the wutcr co nveyed being ncgl igibly small in comparison with the rock pressure
acti ng o n the lunnel. The horSl:shoe section wi t h a n inverted base has btto found
most econo mic for tun nels o f this type (cf. Fig. 2/40). II will be realized tllJ.tlM
application of II rehable interior wate~al is esse nlla l.
Tbese tunn els, even more th:m Ihe navigation tunnels mentioned prtl'iousJy,
ca nnot be buil t, un less the rock lS completely lmmobile and solid. I.C. prtSjure
tu nnels, or pressure shafts must not be constructed in roc ks int criactd ""ith 'Iults
an d cr<leks a nd le nd ing to sli p. o r in th ose liable to tectonic molcmtnts.

11 .22. Wa ter S4J pply T un mtls

These are essentmtly idelllical with disch:uge tu nn els dealt wit h in tht prtttdinJ
paragraph. the o nly d ifference being in their respecti~e functIons. Tilt task in thlS
case is the conveya nce of domestIC .... a ter fro m spri ngs, reSt"r~Otrs. or ril'er d!\·er·
sions to the storagc ta nks of the clly waterwor ks lef. the Delaware tunnel In Ihe
suppl y system of New Yo rk). The ma in difference is that. being built for the con·
vey<l rH;e o f domestic water to major 5eltlements, su pply tunnels art JO IlIIny
Instances located in recent alluvial layers, white pressu re tu nnels tr.l\·ene moun·
tainous regio ns. i.e. are usually lOCH led in more solid rocks. Again, th( distincllon
bet ....ecn free·surface. or low·head t unnels lind pressu re o r hi gh·hrad tunnels an
be made here (cf. FIgs 1/ 7 and 2140).

11 .23. Public Utilit y Tunnds

These are usually bUIlt in c ity areas for carr ying po....er. telephone and other
cables. gas, W<l ter and ot her im po rtant utlhty pipes under W<l te rcourses. roadways.
railway tr<lcks. blocks o f ho uses. elc. and to provide for conlJo UQus in>pectioD.
m<li nten<lnC"e an d repair of OCl"aSlOnal damage.
 "
A sIgnificant difference from ,..,~<e ... 1 lunnel t ypes prev Io u sly menlioM<! IS (Il101
...cnica l sh"fu. Jn~lead of inclined acccU palh", IH e used for c onneclon, tl><m ... ,th
I h c s urfa ce. A grca. "dvn'll"8c of . hc~e ".bun public u"IIlY tunnels i. Ihc ",,",_
biti l)' of co n Slrucling them wilh ,unnell'''g methods. eli."on""nlJ I,," ..cce..ity of
open trenches and the d,slurl;>Ilncc of surface IfHIllc. Th .. , . m"intcnanceand"rupec-
lion can be performed s imihorly. Shorl u1ilu l' lunnels of sma ll dlln._ h:I""
recently been bUIlt by jack 'n8 pn::fabr'e,ucd linIng units through the JfOOnd IUn·
ing from propulsion shafb (cr. Section 6) . 3 and Fip 6 / 223 1061234). s.u: .. J
,,!ility h nes (ga s. Wilier. "able" etc) arc accommodated in a common !Unad ~pe.
dally in indusltial plants and in newly established residential areas.
Utility tunnels may be rectangular or circular in cr05s·~tion, dependin& on
whether they arc constructed by tunnel Illig. or by the cut·and-cOl-er mtthod. In
location and dimensions the)' usually resemble urban pedestrian tunnds (d.
Fig. 2/42).
I LU. Sewer Tunnels

These are constructed for the removal of domestic sewage and art, ill tl'rtain
respects. different from other utility tunnels. being mo re similar to 1I1.ter wpply
tunnels (d. Figs 2/40 and 2/42b). Se ....'3ge flows III them under the action 0( Sf1my,
and the primary role of internal watersealing is to protect the ....'ills apinst the
'Iggressi"e action of harmful chemicalagcnts contained in the liquid, the prevention
of seepage losses Ixing the secondary consideTlltion. For this reason BD internal
lining of sintercd bricks. ceramic t!I\!S. laid in acid·resistant and bituminous mortar
is necessary, as a rule. Of course. it is only the main se.....ers of I'ery brgtdtamttcr
which arc constructed by tunnelling techniques. bcc-.J.use these art II a sul!icJtnt
depth below the ground surface to permit the use of such methods. OI\'iOI to
the considerable variations in sewage volume, cross·sections of special shape
are used fo r these tunnels, inasmuch as a smaller trough (cunene) is prol1ded
at the bollom of the inl'crt to collect small flows. Occasionally. onJy thiS troulh
is lined .... ith brickwork.
The construction of se.... er tunnels may become nettSsary under "'ilerrourses
as .....1'11 as under urban t rallie Junes not only fo r conveying but also for iotrodoo08
sewlige into the recipient (cf. Fig. 61115).

11 .25. Other Tunnels

( Jndu.rtriuJ rUfllu:1J .ond access /unrlr/~' to platforms and rU".·1I,.1)

A wide I'arict y of tunnels is required for the operation of particular industrial

plants. Examples of these are the sand conveyance tunnels in foundries, scale.OO
SCJ1l.p tunnels in rolling mills and l'ariollS other utility tunnels. The ICtt:SS of
pedestrians to busy rail .....ay and bus platforms at stations resp. tennilllls is iItC1lrcd
nowadays 1l1so by tunnels resp. subways (cr. Fig. 6/284).
 ' . 13 . STO H.... (~P. "l"UKKELS
(O ... H .... CI!:S . ,· ... HI.a ..... O .... RF..... S. S II P.L TI!:H S .... 1'1 1) STO H P.1I0USI'S)

A~ ... resul l orIhe n'pid developme", or

IIrbA" IrA/fie And Ihe growmlCQnge5!1on
'" I heir cent.-e5. n o ~r"ge fad lilies Ilre now"d,,),s A"AII" ble 10 I housand. of auto..
mobil~ and bRdl)' n eeded public s p'u:e is OCC llpi ed a. nighl by "eh;ci<c, park<:<l at
kerbs and at every conceivable ph.ce. Durmg daytIme mo . or 11lI1f.. In the my
~tree' 5 is pOiclically , mpos.ible. Since Ihe rOlIdways. which a re "'WIlly not ... r·
fic'enl ly wide, are blocked by parked automobIles, dty authorilies It\'Y bea\-y
parking charges to discourage motorisl$ from unnecessary park tn&. (According
to estimates Iraffie congestion, e.g. in Paris. is responsible for an annual Joss of
)4 tbousand million francs.) Following elecuic lramways. buses and trolley buses
ure gradually being excluded from elly (;entres find the underground rail . . 'ay is
becoming the only means of transportalion. These are the reasons . . hich make
the systematic development or the space a~ailable under valuable city at(3S a
compellmg neceSSity. Also. the unobstructed rapid access to the city centre by
public transport must be available. T his demand has led to the Idr~ mlhe under·
ground de\'elopment of met ropolitan ureas, conceived 30 )cars ago. The objectiye
pursued is the advance planmng of the underground transport JletMrk, under·
grou nd railways, express mOlOrways. subways. ga rages and p.1tking lots. and the
SYSlematll: co-ordiDlll ion with the reqUIremen ts and nelwork of public ~tility
serviccs. As ind,cated by the evidcnce alrcady available the mndom location of
utility pipelincs and other miscellaneous struct ures' (pedeslrian sub . . .ays. etc.)
results in \o\'3sting space which is of immense potential significancc for futurt
lown developments, and the relocation orscallered slructures at a lata date in\·oll-c
excessively high costs. Since the construction of underground sarateS and parking
areaS has become un actuality, the space req uirement of underground road and
railway traffic mus t be detennined in advance and the nece~sl'ry areas mUlt he
reserved for them.
Thus. at present. the main obstacles to lhe conslfuction of under~round garages
and parking areas are:

I. the Irregularity o r existing underground conduits and structures:

2. the difficulties encounlered in construction work (maintenance or surface
traffic. or difficult clrcumstunces of underground construction, turnouts):
3. the high investmcnt COSts of this type of construction:
4. ve nt ilntion and sanitation problcms.

Proceeding along the line or least resistance the urban areas utilized IiJ'5llliere
those offering certain natural advantages, e.g. parks. quays. nleT beds, hillsides.
btidge approach viaducts.
Utility conduits are less freque nt under park areas and construClJon ....·ork dOES
not interfere with traffic hert". Utili ties are similarl y infrequent undtr quays and
bridge approaches. and in addi tio n. the side·wall of the quay, or approach C3n
 HORAGE TIJ"Mt..'l
"
be utilized as a lateral wall either at one side or Doth. while In the latter case the
bridge deck may even se rve a, the roof for the gar.lge as well.
When utilizing steep hillsides the length of access ramps can be reduced to a
mi nimum and a saving in lining can also be expected. The space problem of
entrance and exit ramps has rece ntly been eliminated in many instances by pro-
viding special venical lifts for transporting the vehicles to and from the garage.
A further aim in the construction of underground garages and parking areas
is to provide air raid shel ters capable of offering adequate protection 10 the city
population .
Anyway it may be stated that road traffie and car-storage in densely ropulated
urban areas is the field where the imrortance of tunnelling and underground
cOnStrue.tion work is mo re and more realized and has found general recognition.
Beyond the extension of existing and the establishment of new undergrou nd rapid
transit systems. plans are already wo rked out for unde rground road sys tems (e.g.
London, Paris) which are to be built with adjoining car-parki ng or garageing
premises. Al.1Ihorities will be soon convinced that urban mOlorways in tunnels are
acceptable solutions. How greal the shortagt' of surfa ...-e area is in l'ities with
heavy traffic congestions is inuil:aled the best that some ideas are already present-
ed for the utilization of ri ver beds for car-garageing pl.lrroses. E.g. a two-storey-
ga rage was contemplated in Zurich under the ri ver Li mmat to be housed in a

•
••

FIG. 1/ 8. Desilll1 of
sub\~rran~an parking
place

"
36 r URPO!'I[S ASO cu.s5lfIC .. nO,< 01' TU"''i[ U

huge pneumat ic caisson of 126 by 41 m surface area and a more daring suggestion
"OS made in l'arlS to construct a 12 storey garage with 18 sub-fluvial access tubes
under t he river-bed of the Seine.
As an illustrative c:Kample the schematic arrangement of the parking area
planned under the Monceau park in Paris is shown in Fig. 1.8. Aoout 1900
\'chicles can be accommodated in the
30 m wide. 181 m tong. three-bay,
'h'c-storey S!rUC:llu e. which is capable
of affording shelter to about 80 000
persons. Access ramps are designed
with helical bends in order to increase
proteetion against bomb damage.
In order to eliminate the explosion
haza rd caused by fuel vapour.; a
high standard of \cntilation must
be: ensured. imolving the necessity
of a wmpletc air eltchange every
4- 6 minutes.
A detailed treatment of various
regulations and specifications relat-
ing to the design and construction
of air-raid shelters would be out of
place he re_ From Ihe greal varielYof
possible solutions the example of
muhy-story parking-garage may be
presented here (Fig. 1/9) in addition
FlO. J[9. Multl-slOrey parkI ns saragc to the open-caisson type unde r-
under . t'""t_level
ground par king-garages (cr. Figs
6/ 11 0 and 6/ 111). The space requi re-
ments and dimensions of Inge un derground machine halls and other plants for
hydroelectric stations vary for each particular installation and their arrangement
is also adapted to sui t actua l conditions. Geological considerations also favour

..
,,-
_.
F IG. 1/10. Luca ti u n ~nd tu rbi ne house ur II. ,ubternlllun hyd raulic powe r station
 "
the accommodation of turbines :and ge n e ra t ors of h ig h~ head hydrotkcmc plant.
,n la rge underground halls ( Fi g . 1/ 10). Such halls are preferably located in
mount"in-8ides. or i n ex isti ng na t ural caves, or in o ld q" .. rnes by providing for
their proper permanent supp ort and adequ at e e nl a rgemenl. As o" ISUlndln ~ exam-
ples the Kemano_Tunnd and h~droe leclric slal io n may be me nt ionod h.",.

1.2. A BR I EF I-IISTOI{V OF TUNNEL C Ol'OSTRUCTION

The history of the an of tunnel dril'ing reaches bac,k 10 prehistoric limes when
primitive man, seeking sheller against Ihe inclement weather and his enemit'S.
excavated cavi ti es resembling nltlural Ones, or drove headings to tnlarge the
laner.
T here is am ple archeological evidence to indicate thai underground cal'ilies
were excavated as early as the stone age in the sea rch for mineral deposits. These
primitive headings were a lready of circular c ross-secti on and rC:veal a cenain
regu la r pattern.
The oldest tunnel, i.e. underground structure built for the expressed purpose
of commu nica tion was constructed. according to present knowledge, 4(0) years
ago under the reign of the famous Queen Semiramis (or latt' r under Nebuchad-
nezzar) in ancient Babylon to underpass the bed of the River EuphrJtes and to
establish an und erground conneclion ~twee n the royal palace and the Temple
of J ove. The lenlj:th of this tunnel was I km and it was buil t wilh the C<lnside r-
able cross-section dimenSIOns of 3·6 III by 4·5 m. The River Euphrates was
diverted from its original bed fo r the construct ion period a nd the tunnel, which
would be a co nsiderable project even according to mod ern standards lI·as built in
an ope n cut. The wall of the tunnel co nsists of brickwork laid into bituminous
mortar a nd t he section is cove red from above by a vaul ted arch. The vast scope
and extent of th e undert;lkinlj: point to the fuct that this tunne l was not lhe lirst of
its kind built by the Babylonians an d th aI they mu~t have acquired skill and
practice wi th several tunnels built earlier. T o appreciate the grandeur of the
undertaking it should be remembered that the next subaqueous t unnel was optn-
ed about 4000 )·ears liller, in 1843. This was the tunnel under th e KileTTllamts
in London.
Nume ro us tunnels were drive n later for military purposes 10 undermine hostile
fortress walls, and to open access thro ugh them into the inte ri o r of besieged towns.
Tunnels built for undermining or underpasslIIg fo rtifications were an important
feature of Roma n aod Greek wa rfare as well.
The 200 m lo n8 tunnel buil t wi t h 0.7 m by 0.7 m internal dimensions 2700)"rars
ago by Hezekiah , King of Jud ea, in Jeru salem for int rod ucing the water of a
nearby spring into the town a lso se rved military purposes, as it was prompted
by the fea r of the im pending sie!j:C; by the Assyria n arm y. The most famou5 Greek
tunnel on t he Island of Samos was also built 2600 yeaTS ago fo r water supply
purposes wi th a length of about 1·5 kill and wilh I ·S m in tern al dimension~.
 Thcaqueduct tunnels built in I(oma n t imes 11150 aequ i red great rame.nd~pu­
tation. or these ' h e supply t"'\llel bui lt in Ihe reign or I he Emperor lIadri.n.
i.e . 1800 yean IIgo In A l hens. w,,~ reeon~'ruCled In 1925 lind is still Op«alc<i by
I he mun,cip;>1 ",pIC::. ","orl<s.
Tu nn e ls ""~'era l I hou~"nd y .. ur~ ()Id nnd dr've" in rocl< "nve ~n round In
g reul numbent du r in g I he e" pl on,hon or Egypli,,,, tombs an d lemples. l·he number
or tunnels butlt ,n """ienl I ndia nnd ""' e;<;"o. as well 10. in Pc ..... is ... mllarly ....
The 900 m long nnd 7 ' 5 m ","Ide road-tunnel unde . P oslhpo hill on lilt Napln-
POlluoli route was built 2000 yenrs ago and cnn be allribu led 10 Roman dVllta·
tion. A mosl exlensive net .....o r k of tunnels IIo'aS developed .11 the time oflhr per-
secution of the C hristians in Rome. where countless chambers wert eXC311ted
a long t he passages and halls connected by the calacomb s)'slem, IIbich in tum
were started from nb.lndoned quarries. In these chambers o\er (; mllJtOlldtadurt
deposi ted.
In the cultuml dechne of tbe Middle Ages tunnels were bUilt for miliu.ry pur-
poses only. T he construction of the Col di Tenda road tunnel was started undtr
t he Ma rit ime Alps betwccn Nice and Ge noa in 1450. but il was soon ubandonerl
and left unfinished to thiS very day. Mention must be made 0{ thr Hi km
long d ruin age tunnel of the Biber mine at Selmec.Mnya. H ~ngary, wblCh
was started around 1400 a nd was the mos t remarknble underground project or
ils time.
Attention was again focussed on tu nnelling by the const ruction orna~lgauon
tunnels in the 17th century. The differences III elevatiQn which can be ol'ercome
by navigallon canals a re. indeed, \'ery shght and 50 comparatively low ternlln
obstacles. such as hi lls. made tunne lli ng inevitable. GunpoII-de r IIU mtroductd
for rock. blasting in the construction of a tunnel on lhe Languedoc caaaJ in Fr.IIlCC
in 1679. Prior 10 th is. rock was broken wit h hammers and IIocdgtS b) manual
la bour wilh heav), toil and immense effo rt. O«asionllll),. the rock \\'as kited
and the n que nched with cold wa tcr 50 that the rock fissured b) sudden rontraclion.
and so could be broken and excavated more readi ly. Gu npowder had been used
half a century earlier In mining. Its first applica tion was also in Selmed';'nYI.
H ungary. in 1627. Di fficul ties similar to those of excavation wert e!lOOunlmd
also by un derground wa ter inundating t he mi nes. and t~i5led to thrdcI'elopmcnt
of wate r lifting del ices. The importance of these III tunnelling ",3S less prOllOllnctd.
since dra inage could alwuys be aehic\'ed by the relatively sun pic means of con-
slrueling the tunnel at n gnidicnl. or by a separate dr.u nage gallery.
From this da te, navigation cannl tu nnels were built both in rranctand En~and
in Tllpid succession as navigation canals became the economicu l meaM of transport
not only for agricultural products, but lliso for those of indusU)' Ind mlrung.
e.g. coal. On t he canals trnversing hilly mi ning regions in the tlloocounll1daveat
number of O!I\'igauon tunnels hale been bUIlt. the total length of whIch attained
sevcral hundred I..ilometres, d unng om: lind a half century.
The impetus imparted by inland Il[l\'igllt io n was fu rlhcr increased b)'thradl'ent
or ra illV'd),s, which. with thei r gradien t l" ni I3tioOs, lIIe re soon confrOilted with lilt
 •
first lerr"i n obstacles_ T he liTSI raHway lunnel (or horsc-drawn "~r.lUon ..-as
const ructed in F rance in 1826 on the Roanne-Andress,ewr line. 7hc 6nt ..il...,.y
tunnel (o r s tCllm Inact ion was con Slruc ted between 1826 and 1829 on the l i,er·
pool- M anchefi,e r line, The rapid development o( thc rai lway ne' ...·"rk .nd tM
T«ognil io n of II" tremendou~ in,parlance in esta bli shing close OO"\.aCI ,,'ler an
eVer widenin. urea led Sho rt ly 10 the nccessity t o <'O"$ trucl tu nnell under huge
m o unta ", " , naes. The re"lizmion o( IheM: a i. anlic tunnel projecu, invol,-,n. the
pien::,na of ",,~·e ..... 1 kilometres of hard r oc k , WQuid h,,'e been im~1* ..... thou,
Ihe development a nd applic.ation or new rock excavation and conltruction
methods.
It was during the construction of the Mo nt Ccnis tunnel bct~'eCn France and
Italy. started in 1857, thai the hydraulic rock drill was introduced, III-tLirh 'I,as
5uperscded by the pneumalic drill improved by SO)-tM E....I(R . Dynamite "'1.S
mve nted at about the same lime. in 1864. by N06ll. As a result 01 the DtW
tcchniques the 12'8 km long tunnel was already opened 10 tmffic in 1871. The
improvement of tu nnelling tcchniq ues remained associa ted with the r.mousAlpioe
tunnels (in Switzerland the GOllhllrd, Sim plon and L6tschbcrg tunnel1; in Auslna
Ihe SClIlmering. Tauern, Karawanken and Arlbecgtun nels). and laltf III'llh tilt
Italian tunnels ( Ronco, Col di Tenda, Montc Adone, etc.). during tlK constroctJon
of which not o nl y practical methods and equipment wc rc improved and perfectrd-.
bUI also the theory of roc k pressure and the structural analysis and dilDensioning •
of tunnel linings was evolved . Pardllel with these outstanding engineering
achievemen ts countless tunnels of minor o r major Significance were built III ol"Cr
the world, in RUSSia, German y. Fra nce. the United Stales, Norway. Japan. Ne ....
Zealand and morc recently in the Sovict Union, Iran and T ur key as III-ell, usill$
construction methods and equipment some of which may alread y be regarded
as standard, while others are still developing (e.g. lhe mtthanizcd shltkls and
the fr.l7ing machine, "molc" cf. Figs 6/9. 6/10. 6/ 143).
A relativel)' recent outstanding ace:omphshment in the field of rail .... y tunnel
construction is the Greilt Apennine tunnel built o n the Bologna J-loreMt line.
During thl: II years o f construction I 970000 m3 (2 570 00Cl cuyd) of rock-
~cre excavated. The del'elopment wilt be appreciated if It is remembered lhat
during the 14 yea rs o f construc tio n 610000 m' (KOO 000 cuyd) were mmted for
the Mont Cenis tunnel.
The II km long do uble track Tnnna tunnel built on thc T okyo- Kobe roule
fro m 1918 to 1934 has won a special pl a~-e in the history of tunnelllni because
of the difficulties encountered during construction. Thcse Hlcludcd the caI'ing in
of a 60 III (200 fl) high roof and Ihe repeated flooding of the headings by In mllu.\
of water undcr 200 m (600 ft) head and at 3 J C. The dramage of thiS Wolter
necessitated the dri ving of l"he parallel dntinagc dnfts in sequence. Qv."lnglo the
enonnous rock pressu re t he t hic kn ess of the concrete Vll uJt roof had to Ix inmased
in places to 2 m (6 ft 8 in).
The lessons learned with ra ilway tunnels were adequately ulilized dunng the
construction of water t unnels built in in<:reasing numbe r since: tht tum of the
 .. ".'~F HI.....,.. .. O~ .UN"'.... <'<>S"'''''CT'O''
century with simila r c roslWIeC.i ons fo r conveying domes.i.:: a nd induttna! water.
a.. well as for the co nveya n ce of wale. to hyd.""I"""ic stutio,,5. New problem.
arose in thesc: tunnels in connec.i on ",· ith the proper de5;gn of the "",tuproo(
l,nlng (see Fig. 2/ t B). A new challenge ror tunnel conslruction 's offCftd no"",day.
at50 by the construct ion o f mOlo..wllYs. The rcali~"tion of ;merstlte motorway
network in Sw'.~e.tand , "us. ria. lIa ly lind F.ance is ,"cu.ring the COfI.truction
of se~eral vehicuh.... unnels of considerable length and size . II '$ a \.aft aimilar 10
the development of the in tersl;ne railway n e.work about hundlN )'nrJ • ..,.
( Mont-Blanc versus Mont Cems, St. lJernard vs. Simplon. San-Bernardino, Fel-
bern-Tauern VS. Karawanken, etc.). The cros$-sectional SIze of vehtcular·tuOMIs
is larger and the construction technique is also mon: advanced olTerins a I'ery 1000
possibility fo r comparison.
T he demand ror constructing subaqueous tunnels arose in the wake mille t'lIpid
development or trllffic in ctties situated lilong watcrcou rses and lhe lremendous
increase in the 'speed' or urban lire. Subaqueous \'ehicular tunnels 'I'ere lbe first
representatives of th is gro up. bllt were soon fol1ol\ ed by the wnllels of under-
ground railways and of va rious pu blic utilities. A wide variety of oomtruction
methods and materials has been de\·eloped for these. partly in rtSpOIlSC 10 the
new problems encountered. The eonsltuction of the lirst tunnel undcr the Rwer
Thames in london was slarted for the fir.;t lime in 1807, but it was soon Doodtd
and abandoned. Construction work was resumed only IS years laltr by the
engineer IlIl. UNEL using the shield invented by him. After many dlfficullics involvins
sc\'eral Hoodings. the double truck tunnel only 150 rn (500 ft) lonl underthe bed
and with 6·7 (22 ft 4 in) by 11 ·3 m (37 n 11m) cross-secuon was tomp!rted in
11142. Bruner s first shield was rectangullH and the tunnel was lined ""lib brick·
work.
Thc construction method involving the usc of a C)-Itndrical shield was greally
improved by GRl!AnIF""D. who employed it successfully in London in 1869 for
the construction of the Tower T unnel. for whtch cast-Iron segments lII'ere already
used. A pedcstrian tunnel was built almoSI simultaneously in New·York City
by Buell, lllso uStng the shield method. Arter the first suttessful .ppliatJODI the
shteld method was combined with compres!;Cd ai r dewlllenng a nd it500n btatme
the almost exclusive tool for building subaqueous and underl"ound railway
tunnels. It would be a difficult task to allcmpt to list aJ1the famous uadm'-ller
tunnels built with the shield method. The most recenl exampl~s are the lehkular
tunnels between lUacJn...al1 and Rotherhithe in l ondon. the IJamr),. LilK"oln and
Mid town tunnels in New York, the tun nel under the River Scttdde tn "nt'l.erp
.. nd the Inrgellt, the highway tu nncl under the River Mersey of 14·3 m (47 ft 8 in)
diameter from Liverpool to Birkenhead. (It may be mentioned thatillese laner
tunnels constructed in the thirties we re recently doubled by parallel tun-
nels!)
The shield method of tu nnelling has rece ntly been furthe r c\e'.'tlopod In tbe
construction of the Moscow, London. M unich. Paris and l eningrad undtr·
ground railways. The shields have been eqUIpped with efficient ma\'1ting lod
 .
muddn" mach inery as .....ell liS linin g crectou, whkh cnabJ"d the d,u ty peak Idy.
anee of 25 ern nLla,ned by BIl UI'>t:l, to be ;n.:::ren sed to 10_ 1$ m .
In sOll ~ which arc highly pervious bOlh to IIi . ""d ""'"U,., nnd "'hiel, are.t
" m ode,..... !" dept h u"der the d yer boIl On>. the s h ield method ha~ been .U~~
by o ne i n whic h pr .. fab r icuted lu n n<:l e lemen ts lire sunk into 1'1",,<:. For lruo pur·
pose e ither precast ca islI<)n•• ncorpo.-a li ng the l u""eI sectIOnS are ... ok sa<k by
,ide ( R o lle rdam. Antwerp, II"m burg and Amsterdam t unnels and 1M Dea.
I sh. nd tunnel. the "",was,, outfall tunnel In ltudaJ>eSI). or co ntinuou. 5!ttl POI'C
"""'lio n s IHC ~unk i,,10 II dredged trench ( 1"l ousto n ). The prospecu for tblS method
arc Slill very promising lind il may be rega rded liS the la test stage auained in
tu nnelling tec hn ique, t:onc ludi ng al t he same lime the histo ry of development.
A comparison of the dimensions, cross-section and construction limesofSC:leral
transporta tion tunnels is given in Table 1/ 1. iIlusu"ating 10 II certain ntent ttl(
develo pment outlined abol'e. As will be perceived from the ta ble. the tunntl
with the largest cross-section is the Verba- Buena T unnel in San FI'.lncisco, but lilt
Rove Tunne l nea r Marsei lles may sti ll be regarded liS the largest tunnel In lilt
world, whe re the lolal excava ted volume WitS in excess of 2 million ml (2-66
million cuyd). lind, as far as the volu me o f rock excavated annually is COnctflltd.
it occupies the second place among all the tunnels of the World, In Spite oI'ttit
In teTTuptio n caused by World War II. On the basis of total extanttd volume
the second largest tunnel is the Great Apcnnine tunnel bet\\-ccn Bologna and
Florence. t he volume bei ng little less than 2 million m~ (2·6 Illillion cu)d). ahhough
the volume of rock exclII'olcd annually has attai ned II ret:Ord figure hert. I1s length
closely approximllted to that o f the longest II'J.ffic tun ncl, the Simplon lUIIII(I,
although there are sollie water supply tunnel systems (Shanduken tunnel is 27lm
[16·g mlltsl long) of an eve n gn:a ter tota l length.
T he most rapid constructi on rale was - USing conservallH' mmlllg mClhods
allai ned llt the New Cascade tun nel in th: United Sla tes. where the annual rate
of advance was 4 kill (2'5 miles). Comparing this with the 0·9 km (().S6 miles)
annual IIdlancc: of the Mont Cenis tunnel, the striking development in half I
century is m:lllifestc:d. It will be perceived fUll her tha t the ra te of tunncllinl can
be accelera ted to an a pp rcc iable ex tent not o nly by incn:aslng tlx numbtr of
wo rk ing faces. but also by abandOning conventional mining methods and by pro-
gressively introd ucing and perfecting modern Cree fuce und shield met~od5, which
permit the large scale use o f high ca pacity mcc hamcal eq uipmen t.
Outstanding among vehicula r tunnels arc: the rece nt I)' built St. lkmard and
Mont Blanc tunne ls and o r the numerous subaqueous IUnnels those under ttlt
River Mersey. the lj Ri l'er at Amsterdam. and under the Schc:lde It lVeT at Antwerp
These technical achievemen ts npp roach very closely those: of the largest rlilway
tunnels.
The volumes e:o:cu" ated for underground rai lway l un nels lire ra r in cxms nf
those ever a ttained in any o f the largest vehicular tunnel projects. Th us. (Xc.mtion
for the Moscow underground rai lway system tota lled 4·5 million mJ (6 million
cuyd), with the \'o lume for the London ' Tube' being o f the same orderol'magnitudc.
 Th e m osl da ri ng ve nlure in lu nne l co ns, ruc ti o n w ill be t he rea li.. tion of 'M
Channe l tu n n el betwee n England and Prance whic h project has been lately
a pproved in princi p le by ' he two 8o"emmc nts . U I , ,,·ill lUost li kely t.. II railway
tunnel compr ising three tracks, 'he t wo side t .... c k s convey in g road '"("hi~l<, on
rai l platrorm.cars. A s im ilar darin g ventu re has b=n already swned in l.pan ror
the direc t co nn ection o r the t wO biggest is lands H okka id o alld Honshu. I. •.
t he 36·4 km (22·6 mil es) 10118 Sheika n·","ne! underneath T sug:otu-StraitS. u

Muin dar" "I Somt! Retlmrkab/" TJ/n"'.fs

Non •• CUR." .....",,"

poril>d
C' M
"QUO'"
l=- 1=' -_....,.,
.... llWAy

Simplon I. 1895- 1906 Drill Chlano

n. 19 12 1921 Sw itzcrla nd-
Single
track
Gnel~S,
li meston~, ""
M onl Ceni~ ISH- 187 1
- Italy

M odanc-
- S"rdonccchia
France- Ita ly
Double
t l1lc k
day shal.

li lllC'stonr,
II ne15',
$IIndston~
,.
GOllhard 1812_ 1118 1 G &lchenen_ Do uble Gne:i~,
Alrolo
Switzerland
track hrt<:cia
houlders
'"'"
New C ascade 1924- 1927 USA Single:
track

Suramsk 11190- Ca uc~su. Double Hard , ock

.....
So~ict Union tr"llC ~

Gn:at 1\120-1\131 PI1I l0 Dou blo; Sand)·,

Apcnnine It DI) Ir"llck clayey Shale
gnd mgrl

T anna 19 18- 1\1:1 4 Amm;

J ap~n
Double
tr ack
La va. \·olcantl:
,ulf. clay '"
Hokori~u I\lS7 - 1 ~60 Japa n Double Sandstone,
track ~ranile

... O" UC"UUAW, G oc;t)l:L, 11 ... 0 t,,0 and MAL(""QIt; The wurk o f th~ Chan ..1Study Groop
1958- 1960, I'r(l(;. I>lsr . Or. £J,g. l.",,,/oII 1961 Fcbr.
u TA "A!.:A. T.; Seikon undc~ tunnel. Goi!. £"8. luf'. 1970 Scpl.
 As d emonst rated by the abo~'e figures , he ~ign ifi "3 n cc of t unneiling in l,.... n~r<>'­
' 3 , io n "nd eco nom y in general is "c r y g rea t and show s a te n dency to inc ... ase.
T u nnels were bui lt firs t in the .merest of inland na"igation_ but I he emphasi. "'liS
soon placed o n the co n st r uct'on of rail"'''y t unnels_ w hereas loday. lunnel oon_
s truction is mainly concerned 'Wilh high ....."y ,,,, d undergroun d .-. . ilw.)~, ,.. well
as wit h water_supply and hydroclectric p ressure Or dIVcrs io n "'nnel, and ... ilh
public utility t unnel s. Th e la lest u n dergrou n d s tru ctures of ever grO"'lng Imr<>r-
ta nee are sUble rml1 ea n 510 res. garages_ pa rking facilities a nd t he various t)'pes of
subways, undcrpasses and e.,<p ressways_

TAILt Iii

r.",,_
Sha"" .nd Jime,n;ons $«:.ion r-""" -.,,..
linina
ma«,;.] ,.,
of "..,..·...,.ion . . 0.
[m')
"al~
vol • .-
(1!IOOm")
per
,~,
}'H'

TUNN EL-'>

19 730 21< 27 1070

A ~ hlar
Slo ne.
H orseshoe
5'0 X 5'35 ''''''
concrete

St(trlC,
brick:
12 700 H orseshoe
8-0 X 7'50
. 610 43000

JD-8 Stone 14 980 fl or~hoc 704 37 100

8-0 X 7-35

Concrete 12 400 I-I or~hoe

4-87 I< 7-32 "" 112000 4·J km/)n!

(63) 178000 Fin:. ps.

Briel. "oJ
~oncrclc
460 ()()() Ill'
18 510 NO )( 8-JO
(1 1'40 1< 10'20) " 1970
~altr

inrush

8'40 5-26 ., 310 20 000 Fire. pl.

"20 Slone 7800 I<
wJI(rmrwh

Concrete
block
13 1171 l-l {)~shoe
8-54 I< S'30 " <000 250000 WaIn
inr\llh IS C
..
"'-- c" ..... ___ c_
"-- M o><. . . _ 0-
_.
-.~ '"-''' ••
H"'H ... ~y

I O'~ .. - lI iU 1!l3 1_ I IIH R",,~.-,

I l uny.r)'
U."""
"~hlCU!U
M~.I ~~

Verba- Buena 1934 San-rrJ.oci)C\l

LSA
Urban
\'chiclliar
SandSll'lnC "',.,
Oiol! 1932 1934 Milano>-Gcno,-a M otorway
haly
Oay shalt.
h~su)J)e
"",.,
Monl Blanc 195!H96S Fran<e-I lal)' B llh"l), Gnci..s. ,.,
!,r()lOI'" Il("')

SI. !krnard 1 9~9- 1 964 S.... itn-rland- ,,.,.

It aly ,'"
Under the 1907- 19 11 H limburQ Vchku lar+ S;:o.nd,
(I be Ri-c,r Germany pcdcmi an clay, ,hy\e

Under the 19J I- 1933 Anh.crp Vehicular + 5,11,

--,.
SCheidt H/:lllum pcdc$ttian tine ~nd, .S
ctay

Lincoln 1934- 1939 "'ew Yorl; Higlw.:ay Silt 10-12

Il ud$on "SA ,,' ~k

ROlhertu.e 1904- 1908 l ondon

Greal Hritai"
Il i\th..,3.Y Si ll ,
..and and J.la\~ I . "
c la y

Brook 'yn NO" York H ighway Silt lB--ll

Ballery USA
WI RII'cr

Ot.-ns-M idto","n
Ea~I- lI. i'l:r
191t.-1().& 1 New York
US A
Vehicular + Silt,
,~k
.
( ,)
pc:d nlria n
"
M,,,,, 1 92~ _ 1 9J4 l!vnpool Vehicular + SIIn d~l one 1_10
G~D ( Uril l in peueSlr ia n
•
 .,

..'---" _....
T . .... II 1<01>1 ,)

u ....... d d._>on.
~ ~-,'-
e.. '
_
.... (-,
......

( ",'J
h <&_
F."""~""
C.. ' ,
~-

I"~, ~9'6 I l o • ..",hoo

'.h " >< .0-60

k emfon:ed
concrele
". lI oneshoe
24 )( 18
432
" ' ' 00
Horseshoe ; 0000
SIO~
""
(S92) "'20 X 10'].0

12650 9 x 12'45 80
'" ""'000

~I-""
9 x 9-65

I R. C. ,... , ' I O!1><:shoe

064 X 956 .
12Q 000

Ll il i~ed
c ro)",, !iC!Cllon
4'H l( 9'74
- .

-
.

28-2 6200 VUIICaJ

Structural
sleel rioH
448'S Circle 2)( 6'0, uliI-
,zed cross.section
4' 70 x 4'50
" """
. - -
Casl Iron
'"
Circle: 9 '40 , u'il- ". 54 000 Gllik

.
ri n, 2 II I iled cr~~lion J. J '.
6-7' x 4'}()
- C.s1 iron and
- 272\1 Cirde 9-62, LIlli. 72-S
". ,,,
steel hninll ;zed cr0$5-$«llon (12 (00)
se,menls
. -
4'14 x 6'S4
,
CaSI iron 20'H Circle 9-14, ulil.
'led tT~~-ct;on
65-61 IH·n
" ..
, X ]'4 + "-IH
,
, , .

2]0000
QuI , f aD 2970 Cin:1c 9'' ' '
16-30 +
4>OS) "
- ,
Ct SI iron
rin,
2)(1900 Circle 9-50, utilized
cro!oS-..eclion
6'30 x 4'10
" "<J

l42S + Cin:lc
Cast iron
Klmen! I + 119S 14- 10
80 000 GrllJt
W.
 '"- <;_ ......... -
~-
"-
,,,....... y
"- ._- -- _.
~,

HI()~""H

M ~ u, 19)7_ 1 9 41 l< o l le . d~", Vchicu lu r + , Sd , H

.... ett>c.I."d. pede. ",~ "

U~D£l(;'''''~D

Undcr\:round 193\1_ 1946 London Un d ~ r _ Upfill, '~M

Ufurd tim: Greal BI illin , rou nd clay, ~~
rli h' ay bal1aJl

Me1ro
,"'" Pllri~
France
Under·
I:rou nd
Sill,
" pflll lind
II

ra il"lI}'

U_Hnhn
Nord Slid
IJ.enm
Germany
.. Sa nd l->

Su b"'ly ChiCIISu
USA
Blue: da~
"
Tun rn:lbll nan 1914- 1953 Sloc" holm
Swede n "
G ra n "~ rod ,-"
Mel ro 193-1--1%4 Mosco" ,- Sarmalll"
So~let
Union hmcJlo..::
~lITboo"K" cI.~
._-
Unde rJVou nd 1\150- a lld.~SI
H unsary
" ,.,
Ol illO<%MdlY

~l h y dar

"A ,'I(l' 11(1);

I ... nll!oedoc 1679- Ma lpa~. rn~ Na .. ip lion

Ro\ c 1911-1922 Ma =il1c N a~ il"l ion DoIQl!Il~

rranC(: li mntOlle

Geniui:OI 1946-- 1950 Bc:lleJi rde Prnsurc

Frn~ lunnel
 • ~ .. " , ...... 0 . .• <'" ..,) .......... c o..."..." ... .:-no,.
"
M • •

'-' ....
.... mn.
"'
._.
I . .... h
..,
5 ....... a ...... , ........... ~ •
..r <..... _ _ 11"" .-..... "....
,'~''' ....t • •
,M', ,'000...'
''''u''' , ~ ,n.
T AOL' I t 1«>nO )

L ...... " ..' .

.-
<C. .."
••• 1m' ,

T,,"NUA

.. . C. 1070 2 "" X 11 '40 ,~ 2.2.1 '" 800 ? lane:. I po-

de«,oaft.
•
~ + ""b-
I", ~(ili(in

T ...'JIo..... r.U

l'arUy R.C. "200 Circle II 16' .N ()()

l inI ng (414 000) )'73
scK~nls

+ I~,
Orid;
ro nc;r~l c '" "'" 6-7 x 4 -$

t
R . C. 6l." Innt'.6-24 x )030
6-90 , ,...
Il.C. n' 22500 Ih. rse.h"" 32 12

, ,..,
x 4-S)

..
(;aSI Ifon (4·j
,~

R. C. g-80 x 52'S
I. "'" '''' " IlOO

,, ,, ,,.,.• 2lj 000 Slallon IUn.

Ca~,
a nd R. C.
,.On '''00
30 "'"
Circle
Circle " """
48 """ '00000 neil J x!l" ",

Conc~l c
caS( iron
+ .200 , x s·s . 800
l xl'HI

,......
Station

l xl·Sm.'

11l!<.N I: I .~

Ilriele

COOC~IC
"'1"",9
7 I ltl A • • llrch o,c r reel·
""Iula r 5«11011
f 30'" 2170
" 168 000

Concrete
1-

I " '"
-
22-0 X IS-4

~I ()rsc s hoc:
11 '4 l( 8-65
. 91 24000
""".
lunl!d
,
 c " .....TI: ... 2

PREL[MINARY STU DI ES
AND GENERAL DES IG N CONSID E RATIONS

1 . 1 . PR ELIM INA RY S ·r U DI.ES

2. 11 . ECONOMIC ANAl. YSIS

The plann ing o f every truffic rou te must be preceded by a n economic anal)'Sis
and no actual design can be prepared unless the construction o f the route isjll5u.
lied economically (analysis of the eflkiency of investment). T his is of particular
significance in the case of tun nels, whic h are the mos t e:<pensive civil engiDeering
structures and thus thtir specific COStS per unit length of the Iraffie, or transpor·
tation route are many ti mes higher than t hose of an open line. Consequtotly
the saving in d istance by the tunnel. a nd the volume o f traffic handled by it must
be considerable eno ugh to result in sufficiently lll rge savings in length andoperalins
costs to offset the high specific construttion costs.
In Ta ble 2/1 an attempt has been made 10 compile from available published
da ta the spedfic costs o f various tunnels belonging 10 different categories. Ahbough
dolla r prices are quoted uniforml y. it sho uld be remembercd during tile compar·
ison that the val ue o f the dollar before World War I was three to four timts IS
high as was by the end of World War II and at least '200% deva\l'ltion has 5d
in to present times.
A s will be perceived from Ihe tuble. the COSt per lineal met re of. tunnel in
mountainous ,-"Ountry is from about S 1000-1500, S 300- 450 per lineal foot,
whereas subaqueous tunnels built as a ru le in loose soil by compressed tir methods
are 6 7 times 85 eltpensive. A saving of up 10 30% ol'er this latter method can
he attai ned by sinking t hl: tunnel inlo pluce ( Baltimore).
The rapidly progressing urbanization th ro ugh out the world gave lately. great
im petus 10 the construction or L'Orim15 urban lu"n~/.1 (public-utility Ind under-
ground communication). The same development may be observed in tllerollSltuc·
tion of subaqueo us IUnnels, too. Whilst the fonner is due to the unavoidable
necessity of utilizing underground a reas in big ci ties o ..... ing 10 the unbearable
nu isances o f surface traffic congestion, the laller is due to the advantazesofsub-
aqueous ri ver crossings (mainly under !:Sluaries) offered both in ftODomy and
town.plan ning as compared 10 bridges (ef. Pig. 1/8).
This rapid development a nd mamly the greal progress in construction technics
tune led 10 a considerable decrease in construction prices. On the ba~s of a 1"tI")'
detailed and useful su rvey the Road Research Labora tory o f th~ Ministry nf
Transpo n has prepmed u report.:·t, in ..... hie h il is sta ted thut in the course of a
1.1 MU.uASOl-. G . ,.nd PQC"OCIC. R . G .: A pR'limilUl ry siud y or 1M cmt II IUllIIid COlI-
Slfucl;on. HRL Rrport, t..R 326. Cro"'lhorne 1970.
 COlUlrlK'liu" CwIS 0/ So"", Rl.'lIIurl;abJt r ..""els Tuu: n • ,
1.oc:.l./u~
L ..... h
•• ShiP<
DII_
Of ",idlh ; ""'.~1
1.1"1,,. Mud 1I1".. ~1 COOl ~ ....
l",coI •
1><'
._.
Rail .... ay tunnels
-, --
Mont-C,,";S Brick and Volcunic rock 91'
ISS1-72 12'7 Horwshoe 8-QJ7-J0 ashlat masonry
Simplon I,
18'1$_1906 l'N
"
4-'JjNO
Ashlar 1113sonl')' M I.\~d rock
formationl
..
""
,

..
4'9 , ~'40
Slmplon II. 19 1"
UII$l:hber& 1910-13 " 1'.1-8
14'6
"
.~
-,,•
Moffat 192" H 7'414'8() C..HICr\:I" LimnlOnc ,,~
"
Greal Apc:nninc
1921- 34
18'6
"
8-70 A"hlnr
masonry
Marl,
hmnlon\!
,"" >
,,••
Monl d'Or 1912- U ,,' L,m\!)lon" ."
--•
I h Ch""')'-'lI" fld~

1'~nl\ll)'lvan;a turnpIke 20" Scm;..:irele 6-90,4'30 R , C, Marl sl al e, 11 6'

1939-40 ~auh !>lIudslollC
M e ...... i.. 1 '", .. pll,. ~~ 1-20. ,,-)() C. Sa" d"o,",

."
R, ,~
,-~
,,~
.. nd , I" [e '.......,-
l:>anruni_ p urn"", I'JI cin::le en' i.on N. J.",. b.oll~ .. 17 l Oll An.,,", •• ' "",I
1963 + clay lOIi~ I Iic"",,,
GI"",,,'-Clydc 20<67 "i.cle 9'" Cas. Iron Sand_ Clay 18 100 Ao:no .."""'+
"" V_ita, .... I I -d
 A.~erdam-lj ,... f(:Cta ngic 24-80 S'U It _ C. S<ind, ~I . )<)""
"
•• 1964- 1968 IlfIIIIltBfd CI$MI
Ho lland N . Y ,-OS circle 6'00 3'93 Cast iron Si ll nu~ed ..... Ih I "00 Toul I'trJF
1920 21 rock debrIS (5 200) SbJeId. l«1 ion
Mersey, Lh crpool )'18
I circle + 19-0. 5'70 Cast "on Fis.;ured II 100 IndOOin, Itn,ill·
1926-)" sellment 5lInd. tone ,ion and kmi
nm,..
II . MCNq
I'Jr16 1970
2'19 ci rcle 9'S (31 '7") I"e:1 sh~tcd
co ncrete
.. 62SO l!!dudin, n:-ntill'
tioo and I<xm
nmpo.
1 ,,\Coin N . Y.
1934--45
·4-68
"
6'4S/ 4-OO Cast !fon Sill. nll.\ed "i.h
rud debri s I """ 1....-100.", \utila-
,ion tnd
n. .
~

Qu«ns- Mi lilO .. n N. Y. ,." .. (9'3)6')4-(1

,,
,"""
•• Rock mi.cej
1936--4 1 ... ,th debris "'00 Shicld ~,.un 0011
Ant"-erp 1930-33
llallimore
19S4-S7
"14
2 x )'71 Doubl e
circk
(9'1) 6'6H'1
2 x 6'6014'2O Su:-eL lhcct " 'i, h
It. C. linin,
Oay a nli l(>II m
Silt, Ja nd
and dl)
""'""" !
~
W~ter Supply Tunnels
,,•
Shan da~ell Catskill ,.,., H o~hoc 3'08 t3~S GunilC
,•••
19 11-27
....,...
GM'l$.
lunc) lo"", '"
Culorddo aqueduct ,.' ofllol.:-~+ I Hard rQl,:~
1935-41 ein.,1e
Cone-rete
Concrete
underground ntilwa)')
Hard rod ''""
Moscow eirell: , .... Cas. oron Li mc)\UlIC
limcstooe
15000 Rbi
45000 Rbl
•• 9'''' ••
fluda~1 ,~
"
Var,~d clay 4S 000 F,
I
..
"
"ID
,-,.
Va,v<!d day ISO 000 FI
Toron •., tU .. ;,........ ,,.. "
h ",,)
Monlrca,
Stockl>ol m
,
n·. ....
..
,. ~
~
"'0 " Sand . ~, "
a"
0 .. ,,', ... e<> ncr"',, So1itl R<x1o;
Re,nforced ..
"101
,w'"
2.700 1
,~

conere'e
"
few )=ars t h e lisled 10 la l prices pcr mel re run of t unnel are o nl y about one half to
one third of the p rices of previous con tracts. Fu r thermore . as the prictS of the
seco nda ry c<>mpon e nts (seco n dary lining. ve n tila tion . li g ht i ng. elc.) ~mained
unchanged the difference result s main ly from reduced prices of e,ca_alion and
primary lining. Thi s emphasi~es the importance o f ground co nd ition. and con_
st ruction me tho d s in co n st ruc ti on prices. Some gene ra l informa tion was given in
t he report fo r so m e s hi eld -driven "m ne ls. co n structed IHtely in 'he United King·
dom . in Tabl e 2/ tl . and t hi s is comple'ed to some e'""ent b y the total coSi. "fthree
immersed hmnels constructed in Europe.
The comparison is indicating that the price 01 shield-driven tunnels was reo
dUl-ed fro m 8550 dollars per mete r lengt h ( Da rt ford tunnel) to 3125 dollars (Mer·
scy tunnel) which clearly shows the economy of both mechanical shield and 5tctl
shee ted R. C. lining (er. Fig. 6/ 176) applied in th e latte r casc. The benefJci~1 mle
of the mo re favou rable underground conditio ns (sandstone "crsus partly water·
logged river ballast) must also not to be overlooked .

Summo,)' of ...-mllC ...-ubuquc(m, /Uf1R('i-f"QIII/"'f" /iQn prien

Cty..l<
t917-'l

l..en!!lh (!461') (3JOO') (2870,)

(wi lhoul .ccc:n) 74 t m 990m 862 m

Diameter (2x 2')'-6~} (29·-0-) (28--4-)

(rnp. width) H·90 m 8'70 on 8'~ m

Number of traffIC lanes , , ,

Exeavalitm Lim 6382 3 \167 76~ (914)
Pri mar)' Linin!!

Se<:nndary Lining lim

"- 78

84)
71

1034
" Wl
(62)

Road. Path" Drain$ to 19 1

Vcnltlalton. f/m " ,

.~
Ushtinlo\. Services '"" '"to

TOINI m £
" 82 12 5 562
I
9 141 (7361)
Total ;, S 19700 1J3SO 22 00) (17 {;XI)

TOlal in .$ rer unil 1cnalh of

one traffic lane 6675 1 100 (8800)
" 92S
 The datu g ive n for ; mlTlc..sed 'unnel s ;u e mostly preliminary eslima'., but in_
"
dicate tha I in average a sav ing ra Jl ging between 40--100% ",ay be obt.in.d, willi
due considera,ion 10 the faCl l hat these IU ller .unnels had 10 be constructed under
Ihe vc ry loose s ilr y-sand ballast of r iver es,uIHi es.
A fun her co n clusion m"y be drawn from . h e rela'ively hi g h costs of ,h. 813Ck_
willi and D a r tford tu"nels. - whe re" rtofic ial soil so lidifica.ion was applied _ lha\
this ilem may considerably raise the cos t s m ain ly whe n co mbined wilh compressed·
air dewateri n g (e r. See. ion 63.24)_
T he e~onomic analys is prior to const rUl;:ti o n must be ~ef)' thorough and may
p roceed on the following lines.
The anticipa ted traffic volume must be dete rmined first. for which purpose the
effective a rea of tw ice 12 km (7 1/ 2 miles) width. its pop ula tion. consumplion and
indUSlrial production III present nnd fo r al least the next 10 yean rna)' bt laktn
into consideralion . This provides a basis fo r an estimate of the numbtr ofl'ehides
(t rain, au tomobiles, vessels, etc.) using Ihe route. Once these data and Iheopera\.

TAW 2it1

Imm<n<d 'u"n,'.
n."rn,d
19!6-U
M.,. .....
1961 70 R<>".,d"m un.J ..·
.- ~
1%8- 71
H. mbuf, E'toc
'%97« ?) ,...
A_ml,,,,
ij.TIIUri

moen (108JO') (3523) ().MY)

2 190 III J 250 111 1057 m 1039 III
(includi"", D<;.'\;e~~)

(3 1'-7")
9'50 m
I (2x l4' _ 3")
2x4'21 m
(J x 29'_0")
JxS'70m
(2KJO'- lll')
2x9'2l m

2 2 1_ 2 , 4
1-- -I
5722 J 577

m
" "
" '""
,
628 63'l4
7IJJ 2 S98
17 100 "SO 45'" " 000
11000

3 125
""" ""
,nil COS t S pe r u n it weight and le n a , h "re know" ' oge' her wit h 'he sp«1fic ,,,"es,rmnt
""""i per u n it leng,h. 'he ecoOOI11)' of conStrue, ion can be d .. ' .. nnined b)'comparing
Ylldou~ me,hods .
Let D , deno te t heconurue"on costs of the linc ,o .. ol"",.,l1e t un""I, Upuued
as 8, _ L~K.+ L •., K •• and 8. the eons,rueuon cost, of the ahe",""'c w;thou.
II .unnc'. e"pressed as B . _ '~ •• K •• where L •• L.., lind L •• nrc ,he Io"Jlh of ,he
tun n ct, t he op<:n hne lend",,, to. lind from the tu n nel . and t h e op<n It"" of the
aite r n" t i'e wi t hou, a tunnel respecti vely. und K . und K . a re the '0'01 .;:ajl,tal
cosl.s per lineal me.er of tu nnel lind open Itne. respccu ... cly. Wilh U, dtooling
the .o.al annual oper.umg COStS of a ll '"chiclcs using the tunncl roule aDd U: the
corresponding costS o f I'chicles using the altcrnati~'c wi thou t a tunnt!. tbe (.1=
capital inves ted III .he tunnel ..... ill be recuperated aflcr a period

The cOnstruction of a tunnel appea rs to be: justified ..... here f is smaller than a cer·
tain commonly accepted amortiwtion period, usually taken IS aboul S
to 10 years.
Operuting costs may be com pared on the basis of considering rtlatllc I'irtu.al
distances as well. If the highest point of the tunnel al ternative is 1)'lng om one
end point of Ihe li ne, higher by thc vcrtical distuncc III; and by the I"CrticaldiS1ano:c:
mi o'ver the other end point. and pro\'id.:d Ihat . he ~o rrespon d lnl 1·.llleS of tilt:
open.line altcrnall\e are m;
and m;,
resP."(:tl>cJ)'. then the VI rtual distanm Ut :
10000m; + m~)
fI,._ Il+
I'
and
1000(111, + III;)
If,." _ 11 + (2. I)
I'
where II
I'
-
~
the actual distance
1he 5pecific traction reststance per mill.

Where the open.line a lternative i rl volves a considerable number of bends, 1hlS

mus t be a llowed for 111 calculating the ,'er.ical dlstances, by introdu<:iol the ~urve
resiSlante ..: and lIuroducing it into the fo rmu la reduced in the ratio h If. ",hert
h denotes the tota l length of ull curves.
Operating COS1$ wil l obviollsly be proportiona l tn the weight of l(hlCIts in tODS
usi ng t he rou .e annulll1y (II). the virtual dis tunce und Ihe speciJic lraction cost (al
of a ve hicle for a d Istance of I kill. so that we may write U _ If.. Of/.
T he value o f n is to be dcterm ined from the preliminary traffic !Ur,ey, "rule
that or a indlldes prImarily fUl,'l consumptIOn. uack and ~'ehicle mainlenallct and
m"rsh3Uing. On introduci n g t h ese relation s hIps ;nl o Ih" formula of the period
"
of I'1.'fund. "'C Obla i n !

,- B, - B.
(II_-If,.)""
- "'00
_
,
[ (",~
_

+ m. - •
8, _
.
III, -
B~

"j
m. + ~It. 1<, -
H
2' h , ••,]
an
. (2.2)

The ~-:alu""
"
of .. for I Ion 8nd I km may be ,l1k"n at 30·8 fill~ .... (I " ~nl~ mile)
for railw8)s, 182 + 23 = 205 fillers (I 1.2 ccnu!milc) for motor HblClrS aoo
9·3 fillers (0.5 cenls/ mile) for navigution.
Comparison may be effected nOI only on the period of refund bUlllso on the
basis of minimum annual costs of construction (capat:il}' demand) and of Oper.lIIOll,
the baSil;: relationship for which may be writh~n in the following rom:

U..;n - ..t • 8 + U. (2.3)

where d - the standa rd efficiency o r capacity demand coefficient

B _ the firsl investment cost
U "" t he annual operation COSI.

According 10 Soviet data. the value of A mll)' vary from 0·05 to I} 10.
The economic a nal YSIS must be e\tendcd to aspects of regional de\elop~nt
and o f defence as .....ell. which may in many instances o\<errulc thost ofa purdy
economic nature.
The construction cost of short tu nnels must frequentl), be comp3rtd with that
of a deep<ut alternath<e (ef. Section 22.1). The problem arises especially in tOn·
nection with offs pur tun nels and with the entrance section (a ppropriate tbol(t'
of portal location) of tunnels. The limit depth can be calculated from 1M for-
mula:
K. + F. (Kj + K,) + AI + tl. - K.. + A + fl. , (2.4)

, -
where K.
K
-- the cosl of expropriation
the cost of excava tion
K,
AI
- the COSt of earth transportation
the cost of su pplementary Slruttures 111 the CUI (11Iltd ditches,

f.
K.
-- drainllge, lines and ribs, etc.)
the annual mai ntenance cost of the cut
the e\'cntual expropriation or indemnificlIllon cOSt of tbe tunnel

A
-- sile
the construction cost of the tunnel per lineal metre
f.
t
- the annual maintenance cost of the tunnel
the standard time of refu nd.
,. .... ELlMIN ... " .. S""I>I~

With an a ssumed val u e for the '81 1c r the c ross-sect iom,1 " re a F~ can be obtained
f rom Ihe formula and the re lati o n shi p

w h ere p _ the s l ope ( _ <=01 fI)

k _ tI,e "res. width

y i<:lds t he li mi . depth o f the cuI.

2.11. GEOLOGICAL suaVE\' Ai'lll EXPLORATI ON

The mOSI important phase of preli min;u y work in tu nnelling is the careful
Cllploratio n of geological co nditi ons. Re ferent:e has already been made 10 this
in the classificatio n of t unne ls acco rd ing to the ir Joca lion (Seclion 1.11) where
il was poi nted Out that Ihe geologica l cnvironmem decisi\'cly affCCI5 both the
loads acting on the tunnel lind th e choice of the preferable tunnelling method to
be employed.
For Ihis reason Ihe engineer, wh o is full y aW;lrc o f his responsibil ity. consults
a geo logist whe n considering the first draft plans for the tunnel. orothcrcxtensi\'c
unde rgro und structure. The c."(pcrt, as a resu lt of previous local expcrienct, or
t){isting ~eolo~ical maps, may indicate at this early stage of design certain gtolog.
ical formntions, o r slnllilicntio ns wh ic h m,IY render 'construction work diffICult
or even impossible. The refo re, his hel p mny be in v,tluable in the selection of the
first cho ices. The informa tio n ga ined from large.scale geological maps is of a
ge neml character o nl y a nd no de ta iled pictu re of geological condit ions can be
o btai ned unless detailed soil and rock e:'lplorations arc made.
The general loca ti on of the tunnel is governed by uisling 1nlflic or tra nsporta·
tion in terests, whi le t he e:'lact location is cO nlroll ed by the geo loglC"JI conditions
prevailing in the area, An important co nsidcntti o n in selecting the location are
the points wh ere th e tunnel penetrates into, an d emerges from the mountain,
i.e. the loca ti on of the tu nnel pona ls. These acting as reta ining wal ls, arecspeciaJly
sensitive to adverse st ratifica ti on wh ic h may result in a tendency to slidi ng. On the
othe r hand thcy are just to be built in the most weathered, weakest 5urf~cial
crust (see Fig. 2fI A).
T he more carefull y and accurately the geo logical conditions of the: proposed
loca tio n and its enviro nment are ex plored, the more confidently the plans of thc
tun nel can be prepared a nd tu nnelli ng method s seleeted, i.e. essentially, the more:
rapidly and economically ca n the tunnel be constructed.

Depend ing on ~oIo@ical condit ions tunnels may be classified, accordinl to Sn~1, into
the (oIl O"'·in(l cale(lo rie.s :
lfo'W ·rltllnris ( l11l1l1ds (II moltll/(l{1I silks). TlKir location is usually delicate, I-incc the r<lCk
in moun1alll sidn is as a ru le more dCl:omposed ("' eallKre d), of to ....-cr ~Irtn'th, and may in
,n., caM> of' .d."',..., ...... 'iftc •• ion i n volve <I .... .,e. of ~t ; dln. a . . .'e ll .s ,I,." Of ....... _
"
.......
PT""'U"e.! (oce '.'cr) ..... COver o f .,<kqu •• " dcp.h I. of pri .... ry impOr".""" .10<1 .bouId lie
deepe' (~O_60 m) In o lder .<><:1<, ,no,,, " ~ P""'d 10 wnlherinll. , han in f reoh .•oM ,'o"nl «><1.
rorm .. don~ (IIJ.-JO m\ from w h ich Ill" dCCo",p~ ,"rface I.. )'e~ """e remo>al in ~ .. ,,~~
r c<>on . 'Imn by lIlac;er &"" on.
TII..-b ... """""".1.. IHU..... TI>e'. I"", •.,ion i. Ie.... "ffec.ed by aeolo,kal . - " .............
• he equilibrium o r ,I'>e mouma; . . .","c ,,,", '0 leM diM",bed by d,h' i .. , • ".n ..... ''''''''PI II><
",·;de. "., fo,m",;ol1 of mou" , . in b . ..".. Co ........ of , .. ,.11". 'h;~k"" ... "Lay 01... """"" .. " ..
ra" .ory.
O.Jf'~"..I..., '''''''rl.o. Theoo an: " ..... Uy adOp''''' ror ohone""I,,, ,.na,p bend. ol ..~,_.-.
on the convu "de. Till' ~l'N:ral prInciple accord,", 10 "Il;cll the )'oun"" ''''' "",I. U... 1m
"uthcrcd iI i~ and the lov.cr the rock pressu~s li kel y 10 arise:. IIpplies 10 lhese t~nndl" ~dl.
Tu~""ls u~dtr moun/a;" spurs. or u~d.., , Idl/ts. Rod pressures ....·iII here agoin lit COI!lroIlttl
priman l), by the p:oloa,cal strUCtu re. but the mfluenc:oe of surfa"", formanQltl
manifcstfd. Di fferent SlIuaHons ... iII arise: depen d,nll on "'~Ihn the lpur 5 1I'I"1II11"111:d It
te ."'Iha
the baile of the )"o unller p!ologkol roclt fOrr\\.IIlion$. or hi~hcr up 00 the moontlin lOde.
In the fi rst ca.sc= the lento:th of the tun nd K'C"tioll 10 be dr ... en tn "eathercd and frKt.tN rod
,.,11 usuall)' be less than in the ~ond.
TunnelS under offspur~ cons llt Ute II special cateaory abo as far a5 p!01.1 rotIdillons
are conf."Cmed. when Hn e~lrudina rock man which i~ Ilcncrall)' of hiahcr Slfenlth and WIth
atn:a ter abras,w n:$l)tar>ee to utun.l elfeo;l$ tMn the nr:1l1hbounna rocks hal 10 Itt pimaI .
TNI",,,b "ndu "'ul"rJh,,1I1 and ItIrmn,u;n rallSlrJ. Tunnels under watersheds Ire COII$lru:tcd.
u ccordln~ to S'u"'t , u nder minur ridges se:para ling t .. () adjacent 5malle. n'et ~lIinl .... Me
those under mountain r,lnK" pass under formations of m~or IIwgrapt1ica1 IIJ1lillcanct.
Consc:qllC'ntt)' tunnels under watersheds lUually eonnCCI "alley throats and IlIIItc
morain~ d~pO$its accumulytoo n~)' are ~ ubjeo:.:t~d to pressurc>< uf conSltkl1b1e RllJIl,11idr
1l1li *"'"
runnels under mountain r'''&e~ pcneuatc the rock formations necenarily in I direction
perpendicular 10 t~ wikc (~ tater) a nd thus mon. r"'()Urable preuun. eondilloots 1lIIY be:
InticiJIIIled. T be U$ UIIJ1)' ,reat dt pth of oo~er ma),. on the olhoer hand . in,ot."t dtlli.'ltllin
of a ditl"erenl character (tempentture, wllter. etc.).
V,bun (INd IIn(/"""n"" ,,,nn<'ls. Thc~ are built unde r conditions lind In ~ geoIocicIl CRvir6fl.
menl hastcally different f r om the previous ones. Solid rocks I re onl)' I"lIrely C"IIroU8!(ftd.
the format,uns to be dealt with mmt rrequentl), corts,mnllof loose rocls And soib. Thtthllicul.
I ,~s arlslnll from t he low m..chanknl stren~ th of Ihe layers an: 'U.lI,·ated by loor YIUl"ltlOO
,,'llh "1Iltt and by lhe noccs~it)' to minimia surface subsidcl>Cl:~ "h,eh "ould be: drlrimrnw
in dense:I)' overbui lt urba n . r~as. In tunnels und~r waterooul'§oe! there is an inrrralCd dlllCft
of o\"er-noodinl. These: considerat ion, ha"e Icd 10 the \kveiop,ncnt of spec-iHltunnel lIrv.1um
and tunnellin, method,. Urban \lthicul~r. undcrllfOund rall"'AY. public ulilily .nd $Igl1JC
tunnels. both sublerranea n and ~ubaque()Us. belonlto this CltcaOTY.

The purposes of geologica l cx plormion arc as follows:

I. The determination of the origin and actual condition of rodJ:
2. The coll«tion of hydrologicul da ta and information on underground gases
and .soil temperatures;
3. The deh: rnunation of phystcal. mechantcal and strength propmits of roch
along the proposed line of the JUnnel;
4. Delertnination of geological felllures which may affect the magnitode of
rod pressures 10 he antic ipaled II10ng the proposed loca ti ons.
" Explonllions shou ld be """ended :
I to Ih" in,·cstigat;on of the lOp cO'-er
2. 10 Ihe de.erminall on (I f Ihe p<>5ilion and q .. "lily of sub~ urf,,~ rock
J
4
to surfn"" dmim'g" condI tions
10 the position. type and ... oJume of ....
~ .. r race rocks
".c.
and gases conullned b) I,," sub-

5. to ,he d",,,rmin,nion or Ihe physic,"' propcrtieo :.nd rc:,.$IIn« 1(> dn';n,

of the rocks encountered.

The sequencc of geological CXplOTllllons referring to tunnel conmuc!ionl ma}'

be divided into three groups:
(a) I nvc:stigations of a general character prior to planning. which 5hoold include
the blbhographical and statislical survey of morphology. pctrograph)'.lll1tiSJllphy
and h)'drology of the cn .... ronmenL'U This should be completed by a lllorougb
field reconnai5San<:e and by surface e.\pJonltions. The field reconnaiualltt on foot
wh~re possible will amplify and C"ry~tall i LC pre\'ious data obtained from prtttdin&
bibliographical slUdy. From acrial photographs not only much of tile abo~e dati
may be spotted. but the trllined observer by idcntif),InS the vege t ~ul'e plant t)ptS
can often dr.IW conclusions concerning the gross chemical eharaeteristlcund t~uS
the origin (Igneous o r sedimentury) of the underlying bedrock. not to mention
the clearer tracing of faull outcrops, folds, etc.u
Il ydrological studies invol\'c strcam drainage and spring locutions, pH deter-
minations. The thermal, chemical and mlncr.iloglcal chamctcristics of local
sprmg and/ o r surface water can contributc ~ery \'aluabl~ informatlOll n:laliH to
the nature of the bedrock and 10 its condition.
Geochemical in~csti gal ions are designed to establish a corrriation bc!,.-tfn
bcdrocl.: and topsoil. The to tal composition. unusuul concentrations of cklOOIts
and their 1el8li\'e pere('ntage in residual SOils may be a helprul asset to usess the
nature, e'(lenl and, wi thin hmilS also the degree of decomposItion of the underl);n!
bedrock.
Geophysical ex plOT;11 ions (ei 1her elect ri c-resist ivi ty o r scism ic nltthods) are help-
fLil in the cx ploration or the rock-~oil boundary in delineating fault and shear
zones, igneous or orc bodies. gco lo~!lc;11 structures and similar phenomena,
Il owe\'er, compar8li ve check core·borings are advisable:.
Carerul study and mapping of the: joint and fracture s)"St~m may grea!ly f~l;Il­
itatc conclusions on lind predictions concerning the gross geolo&lCll s!t\lClurn
at depth.
(b) Detailed geotechnical (subsurface) in\'estigations parallel to planning but
prior to construclion. by whIch an improved infonnlllion should be obtained

1.1 I.e Monde Soulerrain. t9S9 Atlr. and <XI .

... MlTCl'AlI, T . W. : Tunnel Sl le seteclion by Hcrial pholOllrlphy. A,". Or. c..,. 1961 ,
Au;. 64.
 •
On t h " ph ys ic .. 1 s t"'-n8lh an d c h e .. " " .. ' prope rl;c~ of rock s 10 be: pta.trlte<!. at
"".,11 as On . heir condition ''''·''M l h enng. tin urn,;"n , rehlli v" d e n s ll y , con", •• ""y).
I nforn,a1;on on t he I<>c.ui"n lind dI p of ta)er~. fo lds. f .. .. lts . bedd,ngp!ann. and
join l $, "" well a s on .he localion. qu"".i , y and chemIcal co mpositi on of under_
s ro und ...·".co "ssoc;.ued th"'e", ,,h ., o f paramoun t " ig ni fica nce . T he do.ennina.
lion o f ga" OCcurrence and ro Se in r oc k tempe ral ure: in bol h locu t ion and cUen!
i. 5lT,,, larly impor'" nl .
(c) Geologic,,1 """sugations ~ hould be continu ed durina "on ~Ir""'t;on, no' onJy
in the inlerc: sts of c hecking desisn d"lll but 11150 for ...seeru.. n ing w hether the dn ••
ins method IIdOplCd is correct o r needs to be modified. For this reason. a pilot
hcad ing should be driven in advance: of the ..... o rkmg face to explore aclua! red
cond itio ns a nd to take rock samples o n which strength tests and chemical analyses
can be performed , a nd occasional I) for the lIl·situ meas urement o f rock SIRSStS.

21.21. Gc nct'1I1 Gco logiCil I S urvey

Geological investigallons of a general nature should be extended to lilt geoIog.

ical histo ry of the region. and to the structure and lige of t he variO~1 oomponent
rod.5. The layers de posited and fo rmed in the course of the de~eloplll(nt of the
eurth's crust ha ve only rorely remained in their original position. Cooling of the
earth's solid crust a nd the accompan)ing contmel io n, as "ell as CODtinuolI5 101-
callie action, both intern;11 and rellchi ng the surface. keep the deposited rod
la)crs in com lllual motion. l.u)e rs subject 10 compressive forces acting tourdll
each o t her, o r towa rds an abutment which maY he considered as fixed, \\ill undergo
a deformation and become creased , ruffled and distorted, as a result of lIhich
they become folded (Fig. 2/1 A). According to more recent theorlcs theformation

/
WutlJrred , 'M.;lJIerrJ
ronr
~ ""~ L ronr

PortJ/ Solid can

I{. lit/lit prrss(lf'r (O/ldll/tlfl.j

- -r'' '- -
11 - I1rdlllm pre.w/rr (olldilJOIIJ
S - Sm.;" pres.w" condlt,o"!
FIG . 2/1A. IJct enSlon of t he ..... eal hcred ZOrN:
'"
of folds;s n ol necessarily the r<csull of la.eral (IlruSl due to 'ec'oni< dfocu. but
decp seated laye rs may be<:omc compressed by .he increasi n g prcSllU .... oflhe upper
layers whose thickness is increased by cominuous surface deposition,. Under lhi.
compression the deep layers yield lateraliy and in so doing &h'e rist 10 folding.
The consolidation of sedimentary rocks is usually ,he product Orlhe ovorp .... 'ure
of late r sedi ment s. This process is uccomp'mied by an extrusion of po"'-""'le.,
conseque nt ly by 1he rear'''''gemenl of solid - particles and by 8 decrease of pore
contenl.··· Th is volume-change will produce some cracking and fissuration ,n the
hard snnd stone and limestone layers. The intermillcnt sedimentation process ""ill
prodw,:e distinci bounda ries between the se purU1C layers which represent effective
or po tential separation (bedding) plil nes: natural planes of \\>eakncss or fissuration.
These also offer all easy way for the development of water see pasc coming from the
precipitation and promoted by its lime-solving e!fecl. This is why serlimentary
rocks are always more fissured and interwOI'en by cavities, than erupti\'e rocks.
M Qvemenl of t he Slime ki nd is <;.,used by iSOSTaSY . which term can be explained
by the fact that the earth's crust is composed of Iilyers of different density y,hich
may be regarded as Ooating on t he Ouid magma_ Owing to the tluid·like beha"iour
of the taller the layers of greater densities sink deeper than the lighter ones or.
in keeping with the law of hyd rostatic equilibrium, the laller rise to a greater
height. Equilibrium conditions are continuously disturbed b), erosion which
I:iluses denudillion and must be com pt: ns.1Ied b)' continuous rises and depressions ,
to satisfy i~oslasy.
The folds may a~ume a wide variety of shapes. such as synclines. anticlines.
o\oerfolds, etc. the main types of which arc illus trated in Fig. 2f11l. Thedcl-dop-
ment of an overfold and of a subsequent fault is demonstrated in Fig, 212A,
whereas the typical elfects of thrust and Tension on folding resp. fault-building are
shown in Fig, 2/28 .
Movement, however, results nOi only in the creasing of the layers (raids) but
also ill their fai lure and relative displacement (ef. faults) .

... Ho," much Ihe ~ologica l a~ is Influencing the water..::ontent of altdi~nl1l')" rlX~
is clearly shown for a clay- ~sp. marl·schist formation b~ the fol!ov,-jn& table:

Na'"tol ~·."r
<0.' •• '
• •• ,,'..
Por. , """"

Plcislo<:ene Clfty
Upper Eocellc Ctay
Lowcr Eocene Clay "'"
T .."
Miocene Oay " J9

Triassic Clay
20

I' "
3J
Jurassic Marl Jl 26
ClImbr;stic schist blat~) I)
"
 A f"It/1 is dC"e loped w h ere t h e continuity of . ayers i, interru p ted ulllkr !hoe
"
bending Qr com p ressiv" fO fCeS sel u p .. ~ .. re s u lt of . he c .. uses 1l", n tJoned above.
The laye rs are bro k e n lind their e nd s will be: d i ~p l ll"ed n ,hn;v" l), to each o(l\tr SO
I h ;,1 . h e more Or less plastic d eforma.ion develops into" fllilu re e ither 0"'i"8 10
the brittlcnes. of the mlilerial o r 10 t he ma&nilude o f moven"ml .

(nx/N Mlf;flt

FIG. 2Jllt Main fold (ormation

Beside t he magnitude of lIeling fo rces, the shupe and magni tude of rolds and
faults is greatly affected by t he q ua lity o f the rock. In this respect ,,,,,0 kinds may
be dislinguishcd. Some rocks arc highly resista nt in lraasmi ning lilt actinz pItS-
Stires bul owing 10 their rigidi ty rail at rdatively small deformat ions (solid rocks).
On the o lher hand. some wi ll sulfer deformations a t low pressures b~t are capabJc
of large deforillat io ns wit hout fa ilure (pseudosolid o r plastic rocks). The firsl
group is made up of a ll igneous rocks. qua rt zites, sand stones and, up 10 {'truin
pressure limits, limestones. All kinds of slatcs, shales. m)'loni tC5 and muls as well
as gneiss and limestone belong to the second group. Consequently the nxks
belo nging 10 the firs t group arc in a highly frdclured, fissured condi tion around the
" PRlU,"I~AMY STUDlUI

c,

I KI. 2,2 ... . Dc:"elop .... nt $Iaats of .n ."erlhnm

fold., wh,,""a~ those of the sce,>nd group may sho"" a largely "ouod I,,>lart.n the
"
"'" '''' area. The same a p plies t o r.. ull" a .. ,"""II . ....' he re t h e fault occurred In ootId
rock ... II is I, k e ly t o be surrounded by 10 fr .. elurcd '<One of 'Tr"Ru lar ,,;o.'''"$lon. but

-
o f <.:OH.!'iderab le wid th a n d de p, h , In p luS!"'" or pseUd050lid roc L$, ho""t"'c', the
fault pla n e may be hard ly noticeable. Various types o f fault ~ are shown In fi • .
2/2C. " h" plane a long .... hieh mo"emenl
h". 18k,," pia"" IS te r med the ("ult pi","",
or su rf".;;c. T he mOvemenl itself mlly be
downwa rd. upward, or even lutentl, as
revcaled by the sketches. Fo r identifying
a fRUit the most impoTla nt prob lem is \0
determi ne the direction of movement. In-
fe rences :IS \0 the laller may be derived
from the fact thaI the surface of the im-
mobile part remains sound and smooth :ls
if grou nd off, while the moving layers a rc
fractured and crushed bec',W5e of friction
de\'eloping between t hem, [n f:let, mo\'e-
ment o~.:curs not o nl y alo ng a single sur-
I:ICC, but a long a series o f sliding su rfu ces )
..... ith decreasing intensity, so thai there is a \
gradual transi tion along a series of su b-
fa ults.
These hit ter, toge the r with the main faul ts
conSlllute the f<l ul! zone, or diJ/ucati(m ;:Ol/e,
The prim:u y significance of these crushed
zones, dis tur bed by slips, is that they may
ofTer conduits for the intihration of large
volumes ofwaler or sometimes gases. gl . . lng
rise to elleessive leakage whc n penetrated
by II tunnel. Dri.... lng of headlllgs and the F,(" 2 2M. t: tfoct or ' OClonit f~
const ruction of tun ne ls across the loose, ,n ,lie buitding up ol '1100\I'I
~otollicill form.lionl
crushed zone is only possible by using the
greateSt care a nd, in order 10 elimina te
hazlIrds, under the pro tection of heavy su pports, T he installation of supportS
is difficult owing 10 tlletssi\'c mountalll pressures, T he dficiency of blaMing is
reduced siO(:c the g.1SCS escape wit hout miljor resista nce through the voids in
the loose mass. All these d ifficul ties may also occu r in the "Icinity of I single
main faul t. and in t hi n-layered. va rved rocks simila r to ndltions may II~ be
expected. In the case of joints and beddmg planes Willer seepage and coMtqlltnl
slipping may a ppear,
Inrush or water shows itself in the dis location zones by scouring the loose debri5
imo the tunnel. It tontinuously wide ns ils passage until it may assume catutrOpllic
propo rt ions,
 PUUloIlSAlY nUOIE5
" Inclined faults are associated with non·uniform rock pressures on the tunnel
and necessitate the construction of box sections ~ilh io\'e" arches. They in,lolve
additional expense and greater hazards in construction (cf. Fig. 3/96).
Least harmful 10 tunnelling are those geological formations in ""hich the earlh
crust is broken under the action of \({;tonic forces into large sepa rate blocks.

rUt (Jblf
,

,
, ,
11J,;9M;1 I
Z~

h)

FIe;. 212C. Variou, foul! formaliun$

These blocks slide along the bedding planes ovcr each olher without g reatl y frac~
lUring the adjacent masses. " formation like Ihis affects a short se<;ti on of the
tunnel only and the difficultie's can be ovc:rrome with rdative ease. The joints may
be tilled with .. Iuy deposj ts. o r ma), be open and convey waler. Faults Qf thi s kind
were nOI regarded as cspeciEJly danaerou$ b)' S-n 'l even ""ben considerl\ble move-
ment occu rred along the nrfaces. Such fonnations arc rare, ho ...eve r . nnd the
main fault is lI.'iually accompanied by a number of minor suO-faults. simi lar to
tIM: 5I: t5 of sliding su rfaces. CondItions rna)' be regarded as favourable where the
main flult face I~ not extensively fractured b)' these suO-faul ts. As a rule. however.
the dislocatIon surface itself becomes more or less shal), by the secondary move-
ment of the adjacent rock masses. The dislocation :tonc may. thus, va ry in w idth
 O ' .OLOO.e .. L SU" YIIV ..,.,0 " " n o",,,,,",,..
"
( ro .. , a few ct: nlin>el re5 10 se .. er,,1 hund~ me l res. F ault ~one5 .. ~ rreq~nll)
accotnpa nied by slld lll8 ,,,yen w hic h cause adduional diffic uh .es in IlIn ...1 c0n-
s, rucl io n . Ihe pre",," n c e and dip of eye nlua l (a ults rcsp . d. s toc.u io n (fauh)ron<;Jl.>
"'ny be indi c"led.
Thc deg ree o f nSSl1ri 'J!jIlio n of II .:!: rltlln roc k li nd Ihe e"I<' n~io n ,,,,d magnilude
of Ih e (,,,,It 70 n e may d . ffe r wide ly. d epe n ding o n I h e roc k ml'leri,,1 and on 1M
mugni,"de o f Ih e "clin g forces. Bri'll e rocks, e . g. dolo .."'e. qUll r!Z.stuole and
quarlzite. fraclure re lldil y an d o ve r II grea l w,d , h. 'h ei r c rus h in g zo ... rrequ<nll)'
being filled with sand a nd debris. The degree of crushing of the conucting rock
surfaces along the sliding plane may go us filT as the pulveril.allon of tM rock
material, when the dislocation zone will become filled wi th a clay-like du§!.. The
internal moisture content ()f t he mounta ins then t urns these fine-gtall\td masses
into a paste-like substunce which Increases thc tendency to Sliding.
The site inspt<:lion of the tu nnel regio n in the company or a geologicQ/ txptrf
may be considered part of thc general geologicol survey. This comprises the
observntion of surface fo rmations, tfacing of past landslides, of \egelation aDd
the outcrop of springs, the shape of rock blocks and other cl~umstanctS . . hidt
may help In reconslTueting the geolOgical history of the region and dmdio! 00
its geological structure. Particular attention should be devoted to traces of eanh
crust mo\'ements. Such mo~ements are usually indicated by surface U!lelenness
in the patte rn of ridges, hills and valleys. The Intte r lire prac tically in ronlin~1
movement owing [0 isostasy. The effectivi ty of such II si te in spc~ ti on is the more
cfl~l lve, the more the accompanying geological expcr1.will be aware 3nd 3cquinl'
cd with the requireme nts of the an of tu nnelhng.
Younger orogen elfe(:ls are al most i nvart:~bly e\idenced by the landscape in the
fornl of depressions, ridges, or sharp edges. These represent the weat pOints of
the surface, most susceptible to infiltration, denudation, ",ealheringlnd mher
efTe<:ts. Unde r such points the rock is frequently crushed ilnd fractured by mUI't·
ments of the earth crust, C\'en if it is fo und to be sol id at the surface.

21.22 . tklailcd GeolOXica' Si t ~ In .estigations prior 10 Plaani~

The exact location and me t hod of de tailed soil investigations a t the ~te prelim.
inary to deSign Will all be determined o n the basis of the preliminary sitt'IAspc::tion
sur..eys a nd studies previously described.
The previously described ins pections and studies will otTer II basis to fix the
appropriate loclltion nnd mode of a more de tailed prelimina ry soil - resp, roct-
e'lploratio n.
E.'1cellent services are otTered for this purpose by the various geophl~1 e.~·
plorJtlOn methods by some of ..... hic h one mil)' IIvllil himself alread) dunng the

,., Itc r oo\, K .. ,.",010\':0\. T . and H IG1JCIU, I. : A st udy on metbod of pl'tdicl'DI'lull!

under tunnelling. Quort. Rrp. Rna 1961 II 2.
"
pre" i ou~ sile-inspection process. These ure primarily the gc:oe leclflC, Kismic and
d y n a mic c:>< pl oO< li o n m e thod s. which pe r m it" conclusio n o n 'Itluificalion. i.e.
on t he bound,,!,,), a nd change o f "" r ;ou5 I.. yeu (firs. o f "II upo n the .hie!:".,.. of
the weathered c ru,,1 and upon the location of the .ou nd ... rfa=)."" on lhoe pres-
ence of wa ler resp. On subsurface water sccp88C conditions. B y the help of ,,,",,
methods large: .. real m ay be explored within a re lat ively .short ti me , lid facilitate
' 0 conce ive a general p icHIn: of the geolQaicul ~i t ua,i on . E.g. (h e knowledge ofthc
dip of fault s and of the th ic kness o f di sloc .. , ion (fau ll ) ZO n es ma y be pmlicled by
adequOItc accuracy b)' the seismic gro und ex plo ration method based 00 the differ-
ence of propagating wave velocities due to blasting. Arter litis ODe ClD proem!
with the actual soit-c)[ploralion, i.c. with th e installatio n of exploration borings
resp, start with t he ellea"ati on of explo rati on pi ts, sha fts and exploration.tJrifts,
representing the indispensable tools of a n extensi~'e geological ~xploration. Of
th ese, the results obtained by explor.Hory bo rings arc likely 10 be lilt least accurate,
primarily because dry boring methods are hardly appliC'dble (owilll to their
restricted depth mnge) and thus in the majori ty of caS("! wash borin, must be
resorted to which is nOI well suited for sa mpling.

The methods to be taken into considemlion arc :

1. percussion boring
2. rotary- percussion boring
3. rotary boring (Craelius method) .

The first two methods are used for moderd le depths and in lOO5C itdlIDCotS.
while the third is uscd at greater depths and in solid roc k.
The depth of dry borings is limited to 100-150 m by t he neceuilyofum pling.
This depth is most frequently insufficien t for tunnelling purpo~.ID tbe5c boring
meth ods the rock is smashed and mixed , so that fro m greater depths no repmen-
tati"e samples showing the strength or bedding and dip onentllion of tilt rock
ca n be ta ken a nd no information on chan ges, bedding a nd water contcnt of tilt
layers elln be gai ned, The most usefu l results may be obtained by core drilling,
but n-:liable cores can be extTllcted only from solid rocks, (The orientation of the
sample, i.e, indication or the side facing North is "ery important.)SprciaI ttklision
cnmcras have been develo ped recently (Gru ndig Fernauge) for inspecting tilt
orientation and o ri ginal co nditi o n of the roc k laye rs in the boreholes.u
The inspection of the borehole face with t his device is offering valuablt IItlp
in th e recognition of the stratification alld of the actua l si tuation of dip aDd faU
o f various layers. joints, bedding planes. eventual cavities, inciuSoions. etc. from
the core samplcs, All of them are veT)' important for the recognition of tectonics.
Detai ls which might be oyerlooked by sim ple core. borings, the more, that just

. .. M VI.LU, L.: Ophschc Sorodicru nl im FnltnlC'in, VO~'tlivf 11.., at G' . .... ill
HtI",bu'li 19j1l.
 "
from these d .5IlH bc:d :ta""" i , ,$ ' rnpOs.si ble 10 take sou nd core _sam,*" ""'Y be
cleared. Even if .. sou nd core-liam p1 ins sh ou ld be possible_ il is a lways doubtful
whe ther o r i.",ted COres may be:: ob'mncd beca u se o f the circu nlS'snli.1 and
ud uull y imperfect "lt lraC(i n ll process. It waS th ere fore required _ up 10 the
adve nt of Ih,s device: _ 10 apply t h."e closely spa ced separate bonnp (~IIli.
c IT« •.

I'.a. l IlA. 1";"";1'11 . k.,<h

and .rranl!cmen t 0( tbe Of'"a!
bor~hole 50Ulldinc dc"1CC

•
, ,
£,

,,
I, r
,
,I

rtPfI,mt
f"I
F lO. 2()8. ArrIqtmml
an d rTlell\lrinl':Mmr
of the clectric-rc:sllmi,y

-'"
The most important part of .he device. !;onceivcd by KREBS Bnd Dr. M()ua
and developed by Messrs GR UN"DIG is Ihe so called " HQf~hQle sollllilittg dtrirt"
( 8oIlrloch!.(md~) .
The device will be hung o n 0 cable and lowered down i 1110 t he borehole around
a d lstance-registrating ....'hecl suspended on the lOp of a t ripod e (Fil- 2/lA).
The picture of the borehole fllce will be projected by the help of a rotaling oblique

,.
 .... ~LlMI .. " .. Y HU Dl n

mirro r u p on .. mi n ialure te levision--c;, m e ra an d Trans miTT e d by cable upon The

s~r=n lOt:u ted in Ihe rlOg is lrali on-eha mber of . he hou sing-enrt on the .urface.
A co mpass is "I so moullTe d o n Ihe sound i n g device, w h ich permiu th. de termlna·
.i o n o f Ihe inclination of t h e boreho le direcTi o n . o f Ih~ oblique mirror and of lhe
a:.i",uL
In lIlore s impl e C"SIO~ t h e orientation and in clination of Ihe la )'.r> may be ob-
served by I he h e lp of t h e decrrir borehole COllfro/ metltod and t h e inclination ofth.
per forated tayers by elecTrie -inclin"lion me;, ~u ...,m entS. B<>lh of 'hem co nSlllul.
del:tric· reSlstance measuremen ts. the electric rcsistancy or the rock being one of
the most co nspicuous and d iffe ren tiated roe k· qua liti es. The measurement will be
effected - as a rule - b)' the help of the two cu rren t inducing electrodes (SI> S,)
lowered into the hole by Sleps and by two potential elt;:ctrodes (EI> f " Fig. 2/38).
With the usual ar rangemen t, the penetration depl h is equal to about the double or
re ferem;:e length (L). A lIention must be pai d t hat the resistance of the clcmual
bentonite-slurry will come to pre valence when too little reference lengths art
applicd.
The electric inclina ti on-registration method is based on the determination of
the position or the ellipse intersected by the incli ned plane of the layer from the
circu lar borehole. T his will be etfel;ted by three soundings lowered into the bore·
ho le at 120 degreeS and in th IS way t hree indepen dent pote nt ial mleS will be
detected in dose neighbou rh ood. Should the seque nce of the Ja)'CTS not be petro-
gra phically un ifo rm then the deviations and shape of the si ngle potential curvc5 '
will be displaced to one another. From th e re lutive posi ti on of the elliptical section
concluded therefrom. the inclination (s trike) an d by;t combinati on with a borehole
incli nat ion device a lso the di rec tion of the dip of t he stratu m may be dmrmin«l.
In France and elsewhere inst ruments have bee n dev ised for measuring rQ(k
~'If"nes and thus. indirectly. r od, preS~llrf[S within th e bo rehole (cr. Section
21.33).
A borehole spacing of 300-500 m is usually sufficient for prepa ring preliminary
designs, bu t fo r wo rk ing pla ns bo reh o les should be spaced no wider than SO-IOO
m . A dense netwo rk of boreholes is required in geologically dIsturbed rcgions and
where a greal d ea l o f varintion in tu nnell ing condItio ns may be anticipat«l. Th is
is especIally true for the design of underground rai lway t unnels. In such cases,
es pecially where co mpressed'air methods arc likdy to become n~essary, tilt:
boreholes sho uld be located at a late ral dista nce of 10- 15 m off the conttm plal«l
tunnel a)!.is. These should be carefully backfilled, or even co ncreted after eJ:plora·
lion in o rde r to pre\'enl water see page fro m t he uppe r wate r-bearing la)'CTS into
the tunn el a nd late r the escape through these boreholes of the compressed air
necessary to hep wa ter awa y rrom the working-face of tile tunnel.
It may be mentioned that i t~ connect ion with the constru ction of tilt: nel'
Budapest- Subway a comparative investigati on has been eff«ted ~s to ~ow the
densit y in spacing the boreholes has improved our kn owledge from til<: subler·
mne.1n strnlilicati o n. It came out thot no better results were obtain«l I'htn the
spHcing was reduced from 100 m to 50 me tres, because in the recent dc~sits of
 <:;<OLOG I CAL SU .. ... " ... A"'O H"~LOkATIO'"

the Plci stoce l1e and H olocel1e eUI the random ' nelu sions. pockets "nd seam. could
not be detected and lraced even at t he pr'~ of the denser pal1ern .~·'
The borehOles are seldo m deeper Ih~Il 100-150 m . In ex<xp"ol1al case•. e.g.
al 'h e Great Apennil1e IIInnel betweel1 Bologna ,,"d Fl orell~. there "cre se'cn
exp lo ratory boreholes of 390 m deplh. 'n
t he interest of sa ti sfactory exploratIon
the boreho les s hould. in princi ple. be sun k " t I"a st 20 50 m deeper t han the con·
tem plaled tu n nel bOllom.
The exploratio n of the laye rs u nde-rlying the lunnel~invert ;s not so much from
the viewpo im of safelY against ove rloa d ing or scllicment, bUI for the e~ploration
of il potenlial d rain ing laye r or of Ihe dange r of swelli ng - of importallCt. In
general it offers n possibililY to check the correctness of design and localion.
Should lhe luonel-invert be namely underlain by a laye r of good dmin ing·qualily,
the whole drainage problem may be based on Ihe intake capacity or thi$layer.
Or in Ihe case of a deeper lying bearing layer, the ver tical location and altilude
o f the lunnel may be favourably changed and its constructi on considerably facili-
tnted by placing it into this more solid and resisla m layer. As an example, lilt
G.l1Iko Tunnel mny be mentioned, where a deeper soil exploration could not only
have revealed Ihe presence and nllture of t he dllngerous quick-sand laIcr, but also
delcel Ihal slight ly underneath a comparatively bearing Pliocene layer could have
bee.n reached. 8 y this eventual slight ch:lnge in t he altitude con~iderable costs
and time could ha ve been saved (cr. Fig. 2/ 28).

2 1.23. Site Ex plora tion duri ng Design

Boreholes sp<lccd several hundred metres IIp;!rl yield inform;!tion forprtliminary

design on ly. but are insufficient for preparing working pl;!ns. so Ihal intermediate
ones must be inserted as planning proceeds. Designs must be based on atturatc
information about t he physical, slrength, and chemica l properties of lhe rock
la yers 10 be penetrated and on h~"drauJie, gas and temperature co nditi ons pm'ail.
ing in th em. The data obtainable by boreholes are, however, usually insufficiently
accurate for Ihis purpose (ct". Seclion 21.3).
A far higher degree of reliability C<ln be a tl ained by exploration ShU/II. These
Me usually "crtical, but inclined shafts may al!.O be used excePlionally. Tht shafls
should be localed in a manner to permit their su bsequent use for C<ln5truclional
and laler for operational purposes. During eonslruction they may be used for
materi'll transporta tion and ror startin g intermediate faces, and du ring opemlion
for ven ti latIon and dr;l inage purposes. I I is obvious Ihltl ex ploralory shaft$ permit
the direct inspection o f bedding and dip co nditions as well as the thickness of
layers. Furthermore. Ihe physical and strength properties of Ihe materials can be
de termined with grea t accuracy by tem on samples ta ken. They yield reliable
t., ST"M"'TlLLO, H. : Elaboration d~s prOi\"'UlllnC§ des recherehe§ !leo(eclln iq ~ pour la
conSlructlon des 1unnels dan s les yilles. Prot". Mnro_C."l/rrrnu, Ha lalonfilred 1970 lOl.
V""G .... L. : Rugatma ~ ~gyaz!son alapulo sl~mi t~~lIink megbizha10dsa (The relilbili!~
<>r eak:u lation method, basw on elastic subgTades, Hung) . i.KAlE Tud. Kli:l. 1%6!~.
 ~""LI" ' ''''''V UVDlU

information o n the ~i tion of permeable hl ye .... , on the presence _ftd, chatac1 ...
of wale r p",."ses, II. 'WdlItR on p hy~ica l and chen,icltl propoC'rtile',
Laboralory e"pcrime ... ~ li n d Ie><I, from which phy,io logical dfKI. of WlIler
and gascs CUn be eSIi malcd sbould .. Iso be carried oul during lbe dcsi", .. _,..
The drawbacks o f eJt pl or".ion by sban. lire of "" economic: charJoCle. ooly,
ItS they nrc co n sidera bl y '"0re c"pe n s ive Ih"n boreholes and (.;Innot be sunk 10
src"ler depll15 un less built with a lurge d iu meIer "nd " solid linin,ro.rcspondinl
10 Ihe ultimate purpcHC 10 be se.ved. The depth of shaft. braced ""lIh ",l.lIi ...ly
cheap timbering is very limited and in loose soils can extend only to ttlt ground.
wuter table. Eve n in solid rocks their attai nable dept hs are insignificant in com·
parison with tbe 1000dtion o f the tunnel. Tempomry exploration shans are usllllly
built with cross·sectional dimensions ranging from abou t J m by i'S m 103m
by 2 m, while pe rma nent shafts are. as a rule, circula r in eross-section wilh dla·
meters ranging from 3-6 m. depending on their ultimate purpose.
Shafts alfo rd a possibility for the more accurate measurcmeol of rack SlteSSeS
an d thus indirectly of rock pressures as we ll (cf. Secti on 21.33). The main draw-
backs of exploration with shafts is that because of Ihe expense in~'oh'fd tbey are
speced a t greater distances and consequently changes over the intermediate section
may be overlooked by this ex plo rat ion where soi l conditions, matification and
hydraul ic conditions arc not uniform which. in t urn, may ltad 10 unpitasant
surprises during const ruction.

21.24. la situ Exploration dllrimg Constrllt'tiOli

Ho rizontal pilot headings are used to explore the section belYiren indi~idual
shafts. As a rule they arc not drh'cn in the design stage but during cormruction,
a~ in tegral parts or the particular tunnelli ng method adopted. b:plorltion drifts
in the real sense of the word, i.e. for e)l.ploration purposes oilly and dtll"en before
tunnelling prope r commcoces, are not resorted to unless the partiC'Uiar scttlOn
ap pears 10 be especially dange rous. or where a great deal of unctnlinty e.lISIS.
The usua l practice is to drive ex ploratory headi ngs immedil\tely prior to construc-
tion, o r ru ther elements of the constructi on me thod and ad\-aoccd 11\11'3)'\. few
100 metres ahead of the face. At any rdte It is desirable for these drifts to be
inco rporated jnlo the permanent tu nnel system. While drifts sen'ing purely
u ploralory purposes and lying outside the tunnel section may be utiliztd lJ
Interal dra inage, o r vent ilation duc ts. the pilO! headi ngs which later become an
integral purt of the t unnel section nOI oilly di rect tunnel driving but 1II.iIy be
used for removing lhe SOIl c:xea\-ated from the section, for the tJ1nsponation
of lining and supporting matcrial, fo r drainage and for the accommodation
of service conduits. etc. (cf. Section 62. 11 ).
Very lillIe can be d one, o f course. in adopting anothe r tractng if ttlt pilol
headlllg re"eals, e.g. advcrse stratifiealion, a crushed fault zone, or major under·
ground WAter flow . The informati on gained is much mo re useful for taking prt-
cautions against construction hazards 10 be encountered, and for mallnl minor
 "
d twiRt ions f ro lll (he cQ n l c mpl:Uc d l ine i n orde r 10 ,, 'V oid t h e m. 0 " t h e other hand.
p ilot h e;, di n gs a Wo r d t he m oSI re liable d a . a o n Ihe s t re n g th , s t ratification. wl ter.
bcarin gjoinlS. fissun:=s o r Ih e ToeD 10 be pcn euated a n d ai~'e lI m ely ...... min& ,,·htK
a .; h " " 8e in the co nt e mplat e d met h od o r s t r ucture is necc"" .. ry.
E.o:p/ora/ory "eadi"g~ a re t h e mOSI " ""'urate mea n s for d e term,nin, geolOl ical
c ond It io n s in t unnel lo" " a nd su p ply the mO!lt r eHable d ata On t h e fuDdI_nul
d uiS " prob lems s u ch uS roc k pro pe rt ies. h yd . .. .. Ii., a nd gas co n ditlOlU, IS .... 11
a s on .,>< pc:ela b le roc k pressures. R oc k p ress ure mea s urcnl e nl S ca n be ~rfonnC'd
m os t read ily in the headi ngs nnd thus ""'en the in acc uracy caused by the dilfc~nce
between the stre ngth o bserved o n la bo rato ry sa mpl es a nd within the mOllntain
ilSeir - which is often conside rable: - can be: elimi nated.
Aeeo rd tn ll to STINt the following rock properti es shou ld be of pMnic ular intrm! durin.
tIM:: geological inve$tigation :
I. The o rknt at lon of rock SUI !itic. tion (",hellw::r horizontal, sheet-Uke. modtntdy Inclln·
ed, steeply sloping, rc.'Served. ow"rfold . etc.) ;
2. The th ickness o f indi viduall.)-crs. the n: , ulari ty of KQ uellOC: of rock htycrS. or~nsn
in mountain types;
) . Mine ... loEica l compositions (detrunental components) ;
4. The cryst.1 st rucultl: of roch (unIformly llrained, porp hyric, etc.);
5. The bonds betwee n the ind Ivi dua l lP1lins (stronll, weak. dln:ct. indir«!I;
6. The h.rdness. workability (drill in,. bI.su n,. etc.) o f roch;
7. The str uctura l form of rocks (masJi~e. st rati fied. shaly, ctc.) ;
8. In ternal struct un: (whether 5Olid , or po ro us, wit h closed. or open voi(1),
II. Deformations ~u lfered dun na: the orosen process (clea vaa:cs. crushed _ ',ulu).
or other effeeu (,,-clOt he rin,. mylon It ization. kaolinization, cte.);
10. The probable bearin, and ten, ile stren .:th of the mou nt. ill (not roc k!) a t Vl rious tul1Dtl·
sect io n,;
11. The stability of th e mou ntain: the ch.racter an d magn itude of probable rod ~rt;
12. The bulk densities I nd dend ". ei~u of almponcn t rocks;
11. T he anticipl ted dUlll bilily of vanous rOCk types to be per'M:t llllcd. Ihe le!t(lb r:J mtrancr
Kc tions to be li ned with rega rd to the dan.:cr of frost elfeCls;
14. The dept h and composilion of co,'er above each poln l of the lu nncl lnd SCi\arltcly
for each rock o;onSl i t ~ nl :
IS. Tempera ture co ndi llons within the moun ta in ;
16. Hydra ulk conditions at the construction sile and its wider enyironnl(1lt. Sprinfl l nd
","ale~ouncs in tbe vici ni ty Shou ld be observed continuously for yean lWUAJ (rono
the prel iminary In51)«Iio n in o rder to obtain evitkncc: concern;n, both dru'-o/I'ltId
inflo ..... The water should be tested also for harmful conlititucnlJ,
11. The ~i bilJty of the OCI.'urnncc: of harmfu l p.x~ ;
18. 1110 ~ u scep ti bility of strucl uns to ta rt hqUOlkcs pnd an ilkial vibra tio nl;
Ill. Surfaoc lornutions;
20. Safely Is airut air ~ape in anticipa tIOn of oompres~ l ir operallon;
21 Hau rds 10 struet Uft'S a nd e>pco.; ial ly of entnmcc pon a ls by foren of Nature (f.1- slitks.
roclc fail" Ivalan-ches. mountai n·slidcs, slumpin.. elc.).

The fund amelltlll objecti ve of geologico I 5urveys, reconnaissatK'e, borings,

exploratory shafts a nd investigat ions is to obtai n as clear a picture II possible of
the geolOgical st ructure of the mo untain. or ri ver bed, as is required for stlttttn!
the mos t favpu nt ble location a nd construcl ion me thod for the (lInnel.
12

2.13. T\'PICAL GEOLOGI CAL FACTORS AN D THEIR EFt' Eel'

ON TUNNELLlI"G

21.31. The Situalion and Qrienillion of Layrrs 10 be Penelraled

The effect of mountain structure on tunnelling is quile obvious. Tunnel con-
struction is simplified, accelerated and made cheaper by the lIniformit y and
sou ndn ess of rock lind Ihe greater the variat ion and fractu ri za tion of la ye rs, the
more In'ohed. c.\pen sh·c and t UllC consum ing the LU nncJling method s w ill be.
Mmmrain!ormo/w/ls. dt'l"oir/ 4 sf,u.rifitXlIion 01'1.' mUl'h mar" /a'YJUrob/1! for tunn e l-
hng tha n mountains composed of several layers, o r sha les. or to:ranu1:.t r ma sses of
'-arying degrees of sol idificat ion.
T he ad verse effects of Siraliticu tion a nd shil li ng aTe Ihe more pro rl ou n ccd, th e
better diSlin~1 and lh~ th inner the indi vidua l layers are. The direction (1;trike) and
di p of the la}crs arc o f param(lunt import ance.
The l0C3tion of the layers in spa~-.: can be descnbed in terms of stri k e and d ip .
Slfikr may be defined as th~ direction of the horizonta l extensio n o f the la yer,
i.e. the direl:tion of thc hOTllQ rltal straight line which can be d rawn o n th e la yer.
The dip is the jnclina tion of the layers a nd i. pe rpe ndicu lar to the s trike. Th e
.t ...."ghl line of intersedion of the la yers
with the horizontal plane is the strik e.
For complete in format io n on t h e s pat ia l
~illon of the la)ers the a ngle of dip. Le .•
the angle o f IOclinatio n of ttle layer w it h
the hori10nlal must also be determine d ,
since a knowledge of the stri ke alone d ocs
not yield posi tive informa tion on the d i-
r«tion of th e dip, but th e stri ke is c orn ·
pletdy defined by the d ip ( Fi g. 2/ 4).
In stnlla that a rc simply tilted both dip
and Mn l c arc relat ivciy co n s tant over
FIG. 214. Schema!!c "'1>",,,,n '. I,,,n wide di stances. hut in folded beds vo ri n_
of strike and dip
tio ns from ooth the rcgion~l dip and reg·
iona l strike a rc n umerous.
In the selection of the location lind d epth of the tunnel axis its posi tion re lat ive
to the stratifICation should be thoro ugh ly ~t ud ied .

Tunntls f'lJMmg 6t rIght 1fJ~!es to slrtkll

F'G. 21'. Locat ion m ,unnel. ",Iar ive to the .trike
 TY'IC ~L G~OUX:;ICI.L UClOU 13

Where the tunnel axis is perpendicular to the strike of a steeply dippin g rock
Stratum (similar to a cross drift, Fig. 2/5a), the excavation of the tunnel is likely
to succeed under favourable rod pressure CQnditions. Howe\'er, where the tunnel
axis is parallel to the stnh
(Fig. 2j5b) higher rock pres·
sure.s may be CXp«Ie<i 10 OC' 8)
cur.
In gene ral, stccpl~ d ipPing
Si rata faCilitate the penetration
of lhe weatheri ng action of
atmospheric effects into the
interior of the mOlllllain. pro·
dllcinga loosecnlSl of Inc reas·
ed thickness. Olherwise SIec'P'
I)' dipping, or e'en H'n ieal
layers may be advantageous as
fa r as strength cond il ions are
concerned. When driving the
tunnel perpendicular to the
. tratitiealion (i.e. to I he 51 rikes)
eac h Individual Mratum mUSI
•
aCI as a girder ... ith a spa n
equal to the width of the cross·
sectIOn, and wilh a conSider.
able depth (Fig. 2,168). The
only di~dvan(age of such
~tr.!.Iificlltion is the generally
poor efiicieney of blasting
operations.
When, on the OIher hand.
the tunnel ll1i is is par.llle1 to
lhe st rikes and bedding pla nes
of the verncal stmta (Fig.
2/6b). bridge aelio n is limi ted
10 the nttnl until the .hear
"
strength (due 10 friction a nd
.:."ilc,iull 1.>t:1 ... ~ell "Jjhcen(
III yeTs) is fully mobitized. whi Ie

/
F,u. 2/6. Tunnel 1001"on ;n /'
.-.I.,;on (0 VUlOU. 0I .. 1,~C.l".>nl
74

'J

I \
I \
a-4m

" •

•
-

lne in heren t be ndi ng SII"Cllgth of the layer is nOI utilIZed unless an appropriate
5pa n is deve lo ped in the 1cngi tlldina l all is o f the tu nnel.
Horizon ta l stratifica ti o n. wi th rd atlvely Ihid: lo yers, is advantageo us fo r th e
dri ving of small drifts o r PlS$ages. since the th ick layer ~an safely o ve rbridge the
sma lt span by acting as II beam ( Fig. 2{7a).

FlO . 2; 8. Loc:.tion o f I\' .. nc l~ in

. , ndine _nd "UIC line form a t i"n s
 Wide underground ","VI lies, on ,he other han d, c anno t be <>vc:r b ridted by thIn
"
layers (cr. F ip 2/7b and 2/ 7<:.) especIa ll y if the laye rs are fissured (Fop 2{ld. c).
Under suc h conditions a point ed arc h -roo f ma y be advant .. geo .... (Fia. '1{7c).
Thi , t y pe of s lratificati o n is ""c" more d angerou s w h ere ."'" fi$Aurai $Inu dIp
ll l lI OOUI 5 10 IOdcgrccs, as in t hi , case t he r(>Orona), spall o lTon .he formofblocb
IU the hea din g ,s dr've " for wa rd (f';g. 2170:). The more Slee pl y the lIrala are ;n-
clined, the grea ter mUlual su pport w,1l develop bel"'"ec:n them .
Should the tunnel axis follo w Ihe Hl rike of h ori;w nlal o r only ~ ri &J>lly dippin,
stra ta it must be located a t a de pt h where solid ilnd impervious rocktare encoun·
tered over Ihe entire length aod II su fl1ciently thick cOlier of lliis stratum ihould be:
left 10 suppo rt the ove rl ying wa te rlogged and loose burden and to pm'en! any
breaking o ff into the tunnel.

FIG. 2i'J. V_ dalion of prenures in ,yncline Ilnd ~n ti~linc ronnat ion .. hen Ililnrnent is
normal to ~trike

The roldin g o f stra ta gives rise to pressure on th e co re and te nsion in the: cro\lt'n.
Anticline and syncli ne folds arc of special significance in tunnel driving.
Both terms denote a wave-li ke fo ld, but whereas a synclme is the troogh of
the wave, the crest is called the IIn ticiine. 1/ circumstances nn:es.ri/alt liltJlllWItls
follow the strib, 'hey should always be ItJcuted in tht ul1Iidint. since on paSSIng
through the t"rest of the fold they will then be subject to lower pl'CSSuru. In the
syncline. howt:,·er. t hey would be c.Kposed to o\'erpressure rrom both SIdes aDd In
addilion the accumulation of water there would increase the dan~r of inrushes,
in the anticline the water would te nd rat her to seep away from the tunnel (Fi!-
2/8),
For tunnels runni ng perpendicular to t he strike uniform pressure tonditions
will 1I1so be slightl y distu rbed - although over a rather co nsidem ble length -
both in syncl ines, and in anticlines. In anticlines the entrance sections of the tunnel
~III be subjeeted to higher pressures and t he ce ntroi l portions lO lower OIltS,
whe reas in tunnels in longitudinal synclines t he press ure co nditions will be m~
(Fig. 2/9a, b).
Not only the d ip a nd 5trike bu t also the sequcllCe of layers plays In imponant
role III tunne lling. U niform str.ttificati on WIll usua.Uy a ffo rd easy coDdJl1OIU both
fo r drivlIIg and for CO nstru ctlllg th e final t un n~1 secti on, whereas .!CnOUS ddJi·
culties are hlely to be encounte~ wh~re SlTala are highly variable. Instead of
a continuous type of lining a system composed of adjoining rings should be
adopted in this casco
 Tunne ls belOg e'<tremely '''lICCp"ble to eart hqullkc dan".gc. panieubr care
should be devotcd dur,ng geo logicnl in vestigation t o ascertllin th~t the wnl>el
~hou ld not be loeatcd in lin earthquakc zonc. According to obst1"vltionl made
in mming t he effect o f scism,c wavcs arc much len ~rccpt ibk ,n lolld roch
\han in loose. uncon.olida tcd layers.
In conc l .. ~ion t he purpOSC of geologiclll in""stigll'ion is e~scntilily \1) """,de
advanec inronn,u.on On prcwourcs likely 10 lIel on .he ,u,mcl, 00 cl)nditil)'" to
be c"'peeted during d riving, i.c. on rock preso;,,~. rock Slrenalh . ""c.'..
lI.,., prop-
cni~s, wa ter pressures, and volumes and temperature conduions In lbe Inlmor
of the mountain.

21 .32. COlldilioo "ltd SitlUlttiOl1 of S trllhl 10 be Pc rfoutf1l •

T he detenninalion of the condilion of rock~ alo ng the tunnel v.is IS OtlC of

the prim,n y tasks of geological investigation. Investigations should be ettended
to the possible physical, chemical or biologl(:"al aClion to which lhe roth may
h,l\e OC-ell exposed during Iheir geological history and which ma~ han mftuenctd
their strcngth 10 a certain e.lUent and III a certain location.
In order 10 explain the phenomena in \'ol~ed let us consid~r first the chemical
effects which may cause chnnges in the condition of the rock Tht pnnelpal agent
bringing about these changes is always wnter whose activity may be increased by'
d issolved chemical agents, gases and by teOlperat-ure condJtions. In ract, ..-attr
seeping into the rock i~ never chemically pu re although many of the rock consti·
tuents. e.g. feld spar, react e\'cn with chemically pure water. The main passages
of infiltration are naturally the fissures and faults through \to hidl ..-atel" can gain
access 10 the mineral constituents of rock. Incidentally, water may be $url"a(:e pit-
ci pillllion winer indUCing chemical went hering, or the rmal w:t ler emerging frum
gre:ller depths, which may produce changes referred to as hydrothermal effects.
Precipi tat ion wa ter infiltratlllg from thc surfa ce has II double effect, as ehClltically
u nstable rock componenls such as feldspar. are decomposed and the .. ater·soluble
components, together wllh the decomposition products are leaebtd away. As I
result of these processes the surfaet: of OIherwise sound rock s is compktely eJ!lel·
oped by a more or less weathered layer. resem hling the rust on Stet!. Tltetop!lOil
cOI'enng the external hl)ers may be regarded as Ihe end product of tile lI,eatherinl
process. The thickness of thc weathered zone depends on <:lunate Iii Ii greater
10 warm climates) nnd on the geological factors sha ping the eanh surface. The
measure of progre§.~ in \\-catnering is the quan ti ty o f components (CleO" Si0 to
AllO a• Fe20~) M>luble in low concentration acids.
In wnle r-soluble rocks, e.g. li mestone and do lom.te. initial fissures mI) dmlop
into rcgular passages a nd eventually into a nct~ o rk o f cohcTtnt ntercouncs
and cave systems (see hydrologica l exploration). Deposits consisting of reddish
clay and limestone de bris arc onen encountered in these cavities. Dolomite is
much less soluble in water than calcllc, which frequently may be dwo/l"Cd and
 "
lepchcd IIway. leavi n g be h In d o nl y !he do lom ite cry,.tal" fro m II " "",cd rock . T ......
c rySI" '''' d is i ntegrate on bl;"u n S ;nlo a man of sharp-graIned N-nd ,,"nodes rom·
pletely d evoid of cohesion .
TIw:! decay o f plastic a nd ,ne(amorph,,, ..."., k s dc p<:nds en l irely on lhelr on.,nal
<:on5111ue n U and mine r als. Som d,mes II IS only .he c<: .ncnung .".n, .. hoch Ii
wClll hcrcd. bU I eventually the minen.' cons l ilUenL'l may also d ecay. Rock compo-
n e n '. con uli nin g feldspar m"y a ller in lo day; qua r u.i , e is inso lu bk. "hlle marble
".ubj"'" 10 501u.io n o n ly. /l,/ .."""o,phlc rocks;n 'he sw9" if"" ...""",,,, CO"IJmu"
Ille group oj expa/lsh'f! rocks (cr. St."Clion 31 .4).
111 iglleous ruckJ it is again the conslil uen t feldspar. the chem ical wealbcrin~
of which may red uce these rocks 10 tluy. T he pre requisite fo r this alteration is
aga in nn abundunt access of water. Con~quc n t l y. vcins o f clay are likely 10 Q:tUT
main ly in the vicinity of fh,sures. III granite this is due primarily 10 h)'drotknnal
eneclS. A special weat hering process o f d iabase is the m lnsformalion ofns oIlllllt
~'ontent mto serpe nti ne ..... hose expansion exerts a disru ptll'c effect on lk rock.
The first sign of chemical weathering of rod. IS a dull (dead) and IOQUy tar-
nished su rface, accompanied by a heal'y response to striking. OIlCt subjected
to pressure such rocks d lsin teg r.tte rapid ly before any appreciable deform.tion
cun be obscr~ed . T he places of occurrence arc usually coincident \\'th lOOse of
mech a nical de lkiencies. i.e. fissures and faults. a nd a re usually close 10 the sur·
facc. In other words. the po rt al areas arc likely 10 be most affected. Th~ Ihlckneos
of t he y,eat hered outer Ja}'e r may range fro m H le w cen ti meters to 20-30 meters.
and is difficult to pred ict owing to the la rge num ber of incalcu lab le factors.
The plnce and ex tensio n of decomposit1On due to hydrothermal reactions an:
most di fficult \0 predict. Sometimes the sou nd. solid rock. e.g. gran ite, eTIC(Iuntertd
in the vici nity of the portals may show signs of hydro thermal decomposlllon \11th
increased m"'"lIrd penetratIOn.
Wea thering, nat ura l I),. has a greal influe nce on the kind and magru1UCk of rock
pressures and. thus. on the seleclion of the tu nnelli ng method as WfU.
II is respo nsible namely. that the inner atom ic bonds of rocks berome padWilly
decomposed and Ihus rocks a re transfo rmed in to soils, thei r crus hlll' atld tenSile
streng th being reduced to shea ring st rength defined by wate r content, s~r(act
adhesio n a nd inner fr ictio n o f the granular mass. This fu nd ll men lal quahtatll'c and
q ua ntilative change gra d uall y decreases their slrength resultIng proportionally
in the inc rease of roc k pressure.

21.33 . S lrC55. Strcltglh lind l)eformaltoa Propcrli('S of RO('ks

It must be well borne in mind tha t the rocks may not be reg:m kd .sllomogt-
neoU5. elastic materials. T hey are composed of blocks of greatly HI)'"! ma!IU-
Iude, onen tation and separated by joints, 13)"el1l, int rusions of a greatly ~al)inl
compositIOn and th ickness. T his is l'oei l reflected in the common englllftrin, clas.si·
ficalio n. which are basic.1l1y qualitlltive nnd depe nds on such descriptiludje!.:lil'ts
"as iniac, slrllu fi",d ma ssive, modera t e ly joinled. mode.lI.el)' blody .00 seamy,
~cry blocky an d sca m y, comple . ely crus hed . c ompel.,n. crus h ed and uneQl2SO!,-
d .. ted.
Under the combimot ion o f f<HCcoS, whic h may .,.is,
'0 .he rock mus ,hex in.
dividual blocks ",e dl , ,,I,,,,.,d. The displacement c;,n be ei ther" I'mple .Iippina or
, Ildin g. or i n the more ge nera l case the block is .o. a lcd u nder a ",,,,menl, tbejoinll
open and r" il",e occurs by slipping or by "rushing or a h ell,in a .11be <:omen 0(
the block . Par.ieu la. atlen,;on sho u ld alwhY' be 8IVen 10 the ..,lIu"" onrn'allon
of these planes, the joint and fmclure paltern which may be present and to the
11I ),o ul of the works being carried out.

FIG. 2/ 10. Typica' rock

deformation diagram II I
funct ion of t.me

The stress co nd itio ns in rocks arc basically different from tbose pn:vailing in
soils or in younger sediments. Whereas in soils vertical stresses predominate Ind
can be related dirC("tl y to the ..... eight of the ol/erlying la)'en. and lateral prtSSurtS
are lower in Rccordance ..... ith Po isson's ratio, in rocks the original prtSSurtrondi.
tio ns arc of a hydrostAtic chamcter brought abo ut by both hydraulic and tectonic
agents. Stratification, on the other hand, results in the developmenl of inclined
stresses. A s can be concluded further from the highly variable fissure paUm! 1M
rocks. the dil"e(;tion o f pressures is also hi ghl y variable during tile del·e!opment
o f folds . However, the rock move men ts still laking place up to tile prtS(nl day
ind icate a trend towards the gmdual corrtction of t'~i slin g irregulantics and the
CTe1Ltion of an ideal state o f eq uili briu m in which the shear is ofmo magninlde.
H ELM'S t heory (cf. Section 32.2). accord ing to whic h the press ure around any
point in the interior o f the rock is the Slime in all dirtctio ns lind of. magnitude
correspo nding 10 the we ight of the overburden, may be regarded as Jiving I dw
appro:c:imatio n to a~ tual conditions in rocks a l great depths. T ht del"eIopmtnl of
 "
su.;:h .. si mila r d i",.ibmion of . t resses is hardly co~c; ... able .. nl ess pu rely n>e<:hlni-
ca l pressures a n: co m bined wilh tnc r mal "free... o r _ben ot h e r "genu contribute
10 b ringi n g Ihc rock 10 II plas t ic;: ~IU I., (e . g . the ~eudo8o l id c h a rac ler cr.uch rock.
Il~ g nei .... , ",arl, sl ales . " t".). The usual d e pths in t unnelling nre 100 small for the
oox:u .,...,noc o f a s imil fH s U ess dl s lribUli o n and in eYl tably Ihe .... w ill be. djlJc~
bel "'cen the magni t ude of \,erl ;".. 1 and horizo n ... l 51resse\!. resul t ins i n shelor 1Iraset..
As in dica ted by s treu ob$e.",uio ns at dilTerent pla ces. Ihc la.gesl slrn"".~ not
vc rti ca l a n d O::II" n O' a l ways be re lated 10 t h e de pt h o f CO"",, Evide n ce: lXIinl' ""her
to the influence of mou ntain building (orogen) pr~su r('s. i.e. stresses dtptnd
on local leclonic conditions.
Dcformrl1ion properties or rocks cannot be inves ti gated, in general. acconii ns
to the si mplifyi ng ass umptio ns commonl y used for metals (d . FiB. 2jllC). Rock
deform31ions cannot be described by a si ngle parameter. The main reason for thl5
is their anisolro py: in addition, thei r deformations de pend on the mapUtudtllld
duration of the acting force (rheology). Their he terogeneity is responsible for their
strength properties a nd stresses being non-unifo rmly distributed. A typical stTtSS-
strain- time diagram of rocks is shown in Fig. 2/10. As will be seen pltilicity pIa)1
an important role in deforma tion and the elas tic phase is preceded by tbe compac-
tion phase characte rized by the progressive failure of minute internal particles and
bomb to resist the reduction of porosity and by the start of loss of water from
the pores (cr. Fig. 2/ 12). Full reve rsibility does not e)!.ist even in the ela§tic phase,
i.e. t he o ri ginal deformation cond it.ion is not restored after complete rtlease of
stress. (Perfect elasticity is e\'en impossible theore tically unless the load intTWC
is effected at zcro velocity, as o therwise part of the kinetic energy absorbed by
the molecules during deformation would be transformed into heat.)
Non-e[aslic deformation inCUR the transformation of rock by internal modi·
!ication of its struct ure o r shape by kneading, or crushing. Th.is a lso maybereven-
ih1c o r irreversible. Irreversible, i.e. permanen t deformation may agam be instan·
taneous (e.g. within I ho ur), o r slow. In the case of rocks the slowness of defor·
matio n plays an im portant role and ma y extend over mont hs or t\'rn )urs.
Finally, as a lready me ntioned. deformatio ns may be accompanicil by vol~mc:
changes, or less frequen tl y by external changes in shape only. Elastic deformation,
entail changtl in volume. whe reas plastic ones (the re latIve sliding of tbe plaTltS
of the crysta l grid, the rupture pla nes) us ually ()C(:ur at consta nt "olume. As setn
from Fig. 2/ 10 the significance of Ihe clastic ph:Ise of the stress strain cun'e of
toeh does not predominote, all phases bei ng of equal importance. The typical
stress- strain curves under re peated loading cycles are indicated in Fig. ltilA
which shows that the three mai n phases persist a nd even [he slope oftheelastic
phase remai M unc hunged. It can a lso be ~n. ho we\'er, that different deformation
coefficients (yoIJt.:o·s moduli} perta in to each of t he phases. T he 1"JllI( of thit
coefficient also depends with.in the compaction and plastic phases on tilt magnJ1udt
or the acting load. Also. the value of Poisson's rot tio (JI) characteristic of late11l1
deformation. varies acco rding 10 t he type of deformation. Its "allle is usually
small, e.g. for ha rd a nd solid rocks it is within the elastic phase 0'15. It rontlnlleS
•• ~ ..." '''''',UY s n",' ....

10 h,,,,, " moderate , -.. Iue in the com pacti on p h llse also but 'ncre ...... In the ReIth·
bou rhood of fa ilure 10 about G-JO. In the c.ue of d,,(ormlli,ons .. , constant ,·oIu .....
a value of II _ 0-$ will be Obl/llIled .
T he phase: of e la511C d efo rmation is fo llowed by t he phOSlie, or reIoIduaJ !lefor·
maUOn phase. Depending on the qUll hl )' of r oc k this phll~e ma y raul! ,n _ r•• I.. re
or plu u,e deformation. The d efo nu" 'ion pro<:ess may thus c!Uen6 o,'u penodi
of diff"renl Icnglh~ in rock. with d,ITefem p n, pcrt ies.

0) •. ~ , 0)

t'o
oI
d)
1'10. 21I1 A . T)pi(1l.1 rock Ikfurrlll.iQn
• FIG .
curH'S under repealeo.! IoIdi" •
2/ II B. T} plcil 5I/tUourI,n Clln't
t of r«b
l FIG. tile. Typic-al JUHHlfJl~ tunt
of 3 briltlt $tOIle'
strl/II _ 1I FIG. 2; 11 D. Typical ~f1ia CUnl
ihK/IIt flrrtll (r~p~~) of a rod_If

Slow deformation is a feat ure of rocks similar to Ihe creep of COllCltle and,
as ""III be seen. pla~'s an imponant ro le, e.g. in the develo pment of genuine moun-
tain pressures (cf. Section 3 1.3).
In the construc tion of underground ca vities with regllrd to the installalion of
su pport s, however. not only t hese \Isuol three stages, bUI five deformation stages
mllY be distin guis hed ( Fig. 2/ 11 B).
Stage I. Initial deformation (partl y irrc\-"e rsiblc) owing to the prestnceoropen
fissures. ('nicks Of po res.
S/Og~ /I. Zone of purely elaSlic (rc\-"crsible) deformatio ns.
Slog~ III. In addition 10 purely elastic deCormations 11\ Ihls Slage t!K1t is also
ViKo-plastic deformation due to cruds a nd dislocaltons in the mir1"ostroclult
(progressing fa ilure) leadin g at last to f:llillre in the nla(,fosmlC1ur (rncp).

... S(ltU~J:. C. H.: The role of microrr~clur;nll i n rock deformatIon. Ire(. II. I~t. COll/.
Rod .Huh. Iktlnlde 1970 t 323.
 Slage IV. M OTe or less well d efi n e d fai lllre s iage.
"
Stage V . T ypica l d e form a tio n process "ner f .. ilure.
Whe reas elastic processes will be performed in st a ge I- II I "isco_ pla ~li<: p~ses
are encountered in s iages III _ V . S ta se III re prese nt s the gradual tran.ilion
f ro m the e las t ic i".o t h e visco-p la stic d eform ation stage.
Special a Ue nti on "' US1 be paid 10 s la ge V w hen gradu al fracturi:tation and de_
compression takes pillce a round the ")[,,," "aled unde rg rou nd cavity. He", not
onl y th " big defo nn".ion s must be considered. bm mlcmprs "'".., b ~ mode 101M
(Jossible utilizatiOIl of the J tm cOI/.riderub/e re.riduul bearing capacily, mainly during
the mildly descending and time-dependent deterioration process, e~pres~ing the
declini ng self-s uppor t. (Considerable savi ng ma~' be obtai ned in the requirerl
amount of su pport if pro ps are installed in an early period of this sta~, '/I'hen a
considerable share of loading may be st ill ca rried by the yet not d~ompressed
and oat disturbed natu ra l T()(;k itself.)
Recent labomtory resea n;h d irected to the investigation of the failure process
ha ve culled the ul\ention to lhe usefulness of !'o/wlletric-slrailr nrflJSllremfRl5.
Failure is largely related 10 crac k in itiation a nd extension a nd it was found llo
that in laboratory testi ng an axial strcss vcrsus volumetric strain cur\'e is the most
sensitive indicator of ini tiation a nd subsequent growt h o f crm:ks. The tests showed
that rocks exhibit a marked increase in volume, when ~tressed neilT t heir maximum
load-bearing capacity. Th is is the phenomenon of difutallcy and may be anributed
to the development of cra cks. It was found t hat this critica l stress lcl'c1 is usually
about one half of the peak axial stress. Beyond that limit a small amount of add i-
tiona I energy is sufficiem to initiatc and to extend CTIlcks,
S"'WR ... , has made an attempt to establish a f/JrOff'lica{ corre/uri()ll bf'IHun
Ihe elapse of lime alit! Ihe clrO/lge of pressure cOIldiljOIJJ aroulJd a IUnntl. t .. The
pre:!sure acting on the tunnel lining ffi<ly increase with the progress of the decom-
pression process (cf. FIg, 3/7), i.e. WIth time on account of the timc-dcpendem prop·
erties of the med ium. Ado pting a superposition principle and applying creep-
functions both for stress-strain relationships and for the rad ial displacement of
the lining, and by introducing n failure criterion, the o ptimum time of lining
support was evaluated,
With the recent advent and cultivation of the science of Roc.k Mechanics alto-
gelher Oa dearer picture muy be gained from the structure and cngineering be·
haviour of rocks in gene ra1. This was ve ry clearly illustrated by Prof. Ev{)()t:I.\IO~
in his gcncral report before the Second InternAtional Conference OD ROtk Me·
chanics in Belgrade 1970.2 . 10

. .... Cllounl. S. L.: E~perimenlal d~!erminalion of voJum~ln<.; SLT"~jns In raik:tj roc., ,.,.
J. Rod: M~('h. Millill{rSrll.'nrl.' 1970 7 589- 603.
•·.. SltIWIlItI. S.: Stability of tunnel in vi~codasti,,-pl~Slic medi um . I'rur. II. 1"1, CIIII/,
Rwk Ml.'rh , 1k11V"~d" 1970 2 52!'
.". E VllQKIMOV. I'D.: Mechanica.l l'C)iSLan<;c of rock ma.sse,!; LO comJlrfil ion, !er.sion
aud :>hcariJlIj. Om. R,,(! 10 Th""p J. Pro,'. II. 1M, 0,,1/. Belgrade 1910.
"' He is accepling first H ';IM 'S con=pts . h at difference m"sl be maM beh'i~~n
.he physico-mechanical propert ies of i ndi v idual stones const;. u.;ng .h< rock and
t h e propcnies of nat ural rock_masses as" whok_ Th e Slreng.h propeni.,,,fj"di-
vi d ual 510nes arc governed by .h ei r mineralogica' composi tion , degree or cemen_
lalion. st ruc t ure ""d !";< lu re. void-rat io. moisture co n lcn., brinle " "" or plasticIty .
.,x1enl of wC3thering. etc. The typical stce""_~train cu r ve of a brittle stone is shown
in Fi g. 2/ 1IC.
On .he o ther hand. " real rock mass is a n;,tural hiscorieRI formation consi'ting
of Structura l.geological blocks of differenl dimensions with varying properties
(strength, permeability, etc.). Such structure of rock-masses may be called ··the
lonal pallem of rock blod:s". The load deformation !':urvc of rocks e~hibits
initial residual deformations and is resembling somewhat to that of plastic
metals (Fig. 2/ llD and cf. Fig. 2/ 12).
The nonholllogeneily and anisotropy of the suuclUre and propenies of rock
masses are defined by the conditions of geologi!':lll formation and their time·
history.
There may be three kinds of nonhomogeneity <lnd anisotropy:
Primary nonhomogeneilY and anisotropy develo ping during rock forma·
tion.
Secondary nonhomogeneity caused by tectonic processes.
Nonhomo~eneily due to denudation stress-release and weathering.

In a real rock-mass all t hree kinds of nonhomoge.neity a nd anisotropy may be

represen ted simullaneously complicating considerJ.bl), the stru!,:!ure and ph)'sico.
mechanica l properties of rocks.
While from laboratory tesls on small, sound rock-specimens compressive. ten·
sile and shear stren gths, triaxial com pression strength, abrasion resistance, mine-
rai composition and chemical properties may be derived, they do not gil'e data
,Ioout the behaviour of rock in situ or the cond itions in the rock, after it is dis-
turbed by construct ion operations.
The importa nce of these latter qua lities is well illusuated by the common engi.
neering classification of rocks, which arc basically qualitativcand depcndon such
desc ripti ve adjcetives as: intact, stratified, massive, mode ratcly jointed. moderately
blocky a nd seamy, very blocky and seamy, completely crushed, competent crushed
and un!':o nsolidated.
One of the most important and significant variations of tl)l.:k in situ from rod
specimens in the laOOrmor)' is the presence of jalllls in the rock-mus. These may
result from the geologica l history or the rock or from COnstruction work such as
blasting.
J oint patterns arc never mndom, they may be irregular or regular, joints may
be of smooth surfaces, whether plane or slickensided or they may be rough.
If the joints are rough they lIlay be simply a line of fr,lcture, that is being held in
intimate contact and com pletely interlocked with the adjoining bloch 01 lhey
may have opened or been sheared by tectonic action. In general any jointing pat-
le~n is not pen<i'lC, nt Over great distances. blll pen;ste,H joints are u"dul~lin,
"
liS a rule . JoinlS Illlty be al so lubrica ted by the a OCU"lUilll ion in lIN: joint
of debri, from rock movements, e .g. s h ears and ( .. "It.. deposilionl from
"".." u h.(,,,. waler or the e nd produc1.5 o f Ihe chemica l decomposi'ion or rock
minerals.
I, is obvious Ih :1I JOIn ted rock is n e Ithe r honlogen"ou, n Or isolCopil: .nd the
mass mny be only m ode nu"l y elnslk. In SOll. C ........ s il may be com pletely Mn·
da~lic and ""hibn all the propcrtie~ of .. phu!,,, or o f a viscous m " te r ia). Thcjoinl
system may ra nge from joints a t ..... ide intervals of man y feel \0 closdy spat'ed
joints o f a few inches. The materials which may be encountcnxl through drilling
- or prefe rably by e ... pJol'alion, drifts, can range from a lmost inlact rock [0
a material rese mbling \0 crushed aggregate. But even then they never ha\'e th(
random arr:lIIgemcnt of aggrega1es,
The zones of dislocation (fuu llS) and joints of d ifferent o rigin are uslllll)' filled
wi th loose ma teria l fonned of .... o rn-out rock of various grain eomposition -
ranging from la rge rock-debris up to fine.gntino.:d panicles of loam and c!iY I)pt.
A compleJ( o;ombmution of the "70nes of weakness" constitutes 11 mtain kind
of the frumework of weakness having an intricate form o f II "space-lattice"
individually charae.teriSlle for eaeh rock-mass. In view of a complicated block-
pattern of na tural rock-masses, they ma y be considered as a statistically homo-
ge neous medium only for rela ti vely large volumes, in which case Ih«ll't1ical
solutions of stresses lind strains o f cQlllimmm ml!chunic~' may be: applicable, yel
deformatiOn anisotropy of such a medium must be a llowed for.
The devdopmen t o f stat;stical mechanics of granular media may bt regarded
very promismg in the determination of stresses and strains in rock-masses (WiTh
due regard to their block pallem). Such a medium is assumably composed of
hard particles of different size and shape: Therefore t he theory of probabililY and
mathematical statistics may be applicable here.
Theoretical and model studies based on modern ma thematical methoos /lo1l't',cr
will be practically effecth'e only if based on physical models simulallng Willi
properlies of rock and if t he p:mlmcters of the re le\'ont relationships are dttcr·
mined correctly.
The performed tests indic-,He. that the Moh r-Coulomb theory (slraipll IlIIt
en\c1ope) agrees ....ith experimental data only in triaxial comprcssion.lnrompre!-
sion tension rai lu rt occurs when tensile stress is cxcttded being in eornspondance
with Suinl-Venant's t heory,
Deformation can be measured uccurately either on test specimens. or in ctIitics
excavated a t the site, but the \'alues omen'ed cannot be used for the calculation
of Stresses unlcss the modulus of elasticity is olso known. Therefore, the most
uccurate knowledge poSSible of thc modulus of elasticity of the rock is es.ICnlial
fo r estimating the fo rces acting on the tunnel and for dimensioning the
lining.
Recently. e~tensi\'e research has been carried out in this subject especially in
Franc.: where the value of £ has been determined from strains ob§m~ undtr

6'
..
load'ng lest .. pc.-fo rmM . n .. ilu usin a hydrauhc jacks. On the basIS 0{ lbe r.. ncb·
men.al rell .. ionsh;pS of ,,1"Sl ich), lheory ( H AM,,,"''').
On I he basis of Ihese ...,u of ""perimc I1 lal observation .. rock Iypu ha~. been
clussified by DELA RUIl a nd M ... RIOTTI '· · .. inlo I h e followin", main aroups.
(a) am' .J<JIM rodu which may be rCBH rded
J1a~,' a~ behav",. lpp.-o,imaldY
like ""ut;c maler".I •.
(1:» FiUI're(l. ",au}' rocks, suff" r ll'j! considerable deformatio n s (compac1ion
8 1 II rs . loJIding) but w h ich di$p lay II mor<: or le$S elastic behaviour ... bto l();jde<!
repeatedly. 1n this lane r cond ition their E-value is considerably hightc than uDder
the fir5 1 load.
(c) SO/I roch, the internal slrtJCIure of which is dest royed bc)ond a !;trlain
limit load. and wh ich afterwards suffer n residual deformat ion of inc/ruinl mal-
nitudc under each successive loading cycle.
TYPIcal st ress-strai n curvC$ nre shown for each type in Fig. 2/ 12. Thesecurm
indicate that the characteristic fealUre of ha rd and solid rocks (quanzitc, qlllrtz.
sandstone and solid shales) IS that their shape rema ins fai rlyconstant under rq:lrlttd
loading (it represent s. essentially, a linear functio n ,md thus E rcmains constant:
Fig. 2/ 12a). A further observation is thai the value or F.. is higher wbrn tile Io.ad
acts In;1 direct ion perpendicular to the stratification. than unde r loads parallel 10 II.
In the case of fissu red rock all appredabJe compactio n phase can al ....')) be
observed first. which is renected by the upward conca\e trend of the SuCCCS~vt
loading loo ps. This may also be interpreted as a sign or the closure oI'the fissures,
rather than of .he compaction or the rock mass. Beyond this phase tbe chord!
whll;h clln be dntwn in the hysten:sis loops of successive loading c)'clts do not
differ appreciably rrom one another. and the curves may be regar<kd ~nhaUy
as straight lines (Fig. 2f I2b). A further obsen.-ution made dunng repeated loadlOI
tests is that the rock docs not resume its o riginal loose condnion upon rtmolal
of the load. but ret a ins. to a (eTlain eXlenL, the lIIcrcased modulus of elasticit),
produced by the closure or fissures.
The derormations or sort rocks, Jrrespective of whcther they are caused b)
compactIOn or sudden railure, arc irrevcrsible. Thererore. Ihei r deformalioncurH'S
displa) a downward CllnCiwe trend (FIg. 2/ 12c).
Accordingly, D ElAR UI:: lind \i,o,RIOTTI suggest Ihe use in eomput311oni of. Jindc
\lIlue ror the modulus of clllslicity ror hard rocks, or ror fissured rocks where
laternl Yield clln be prevented, e.g. hy sui table grouting. In soft rocks. on tile
other hand, where derormations arc small up to a certain load limit but IlIC:rtalC
rapidly thereafter, differen t moduli of ehlsticity, corresponding 10 the a1cragt
slope of the tangents over these two phases should be a!.:!umed in accordance
with the magnitude of the acting load .
• " HA~I~ . M. P. : Determ in ation du module d'~la'licili dC'S rochl":' en plpce • .1"~.I. T.B.T. '.
19SO ~pl .
• -" D[lJIll~1I and MAIlIOTTI_ Quclqun rrobleme~ de rnkanique des sob IlU Potlll)t. A•.
I.T B.T.P. t9$O Sept.
 11 .hould be r",men,be'eo .h!il where IIle modulus of e'"slicily i. dete.m,oN
"
from in ~;IU IOllding 1<>515 Ihe " " lue obta i ned u"der ,he firsl . cs. load i. n01 ",,,"rae.
lc ri ~"e for the sound rock . a. 1he rock at I he su nace is neceS$Urily ti"UrN and
loose n ed 0 ....-; 0 8 to th e redi~lribulion of s.res5eS inev ila bl)' la ki ng pi .... dunnl
the exclt ...uio n o f Ihe cnvity, and SO it i. bound 10 surrer larae. dtf(",,,.uono.
In s u c h ",,,,,,. Ihe me"" value of the s.ra ino observed dunng the ti~l ...01 lUI
series o f lmld cyc les ~ hould prefen. bl y be lI~ .

'J
,
,
,, ",
t
•
• NJ J

j ~ •
,"•. ,
~ I I
,
,
FIG. 2j12. TypiCllL load.deformalion dillirams <of VQrious rock lYpd undcr rCI'U!N IoId,nl

It WIIS also found thut the modulus of elasliclI Y can be con5idera bly increased
by groullng the fissures and voids (BtM "' ''-'RD). Furthermore, Ihe modlllusoftiaSlIC'
ity measured perpendicular to the stratification (bedding planes) and to tilt
fissuration was always higher than that obtained in a direction p.1rdIl~1 to it.
The value of E can be determined experimentally, e.g. by a diametrical load
test in whIch a circull1r plate loadmg is pressed by a h),drtlulic j3Ct Ipin~ 1M
tunnel wall and the compression" of the rock i~ observed. For this C""ds(. ICC'Oroing
to 801J~~lNLSQ :

from which
(2.5)

where I' = the resultant of the uniformly d ist ributed load acting on the circular
pillte with diameter 0
}I _ POisso n's ratio.
••
If. on t h e othe r hllnd . u ni formly d istrIbu ted w"ter o r .ir pru$u~ of '''I~''';ty
P is ap pli ed in • ci rcula r tunnel and the c lonsalio n ,S of the d Ol ....!"r ;'!MaJure<!

pD
£ - ", (1 + /.) . (2.6)

( Wnh .. kno wledge of E: Ihi s laller method ca " a lso be used rO..~deltrmllial'on
of t h e rock p ressure pl.
The ,'slue oblllincd with a loading with a hydraulic ja(;i.: is .1"~)1 higher than
that obtained under a load which IS uni formly distnbuted a long the pmmner.

8)

+---1,,-----1
5
6
,
Flo. 2/ 13. CAQUOT'S cn'~ ror I"UIDIIS
8 C.l5t'S of ruplu"

The doses! agreement between the two "alues will al wa ys be obtained in solid
rOCks.
The failure of rocks lIlay be brondly c la~s ifit:d into three main groups whicb
are. in the order of frequency of occurrence :
(8) Tmnsformation and displacement due 10 mechanical sliding oocurs .. 1Im
t he stresses devel o ping o n the existing fi5su re planes exceed t he palSivc frictional
fon;es.
(b) Britt le fai lu res eom pri5e those result ing fro m the e:<hauslJon of internal
in te rmo lecular bonds. In t he case of such faitures the resid ual deformation i5
prac ti call y zero.
(e) Plastic fai hlfcs Include all types of failures ta king place 'Ailboutl loIumr
change and the ex haustIOn of in te rm o lecular co hesi\c bonds (110"', rncp, plastic
5lidings. elc .). which .. re all "ocompanied by" theo..ellclllly mfini."I)lla~ ekro.-
"
m,U,on .
[11 " ... etice the three failure types >1<: 1 in simul t a neo us l y. but ."dT ",ta,",'c 1m.
pO'u",= in ""y " ,ut icu l,,' Cuse is" fu n c l ion of the hete'OIl""";t)! of the ,od.
Urin]" r"ilures scI In w ithou t any "pprCCH. blc: resIdua l d eformation. pro",<iN lhal
the load i, "pplied sudde n ly , The strengt h under continuous loadin. may be 40 ":-~
10"''''' tha n thi s. si n ce i n this case the o;cpanuion of , n. ern,,1 compa n enlO owinl to
plas.ic deformation Le nd s 10 beco m e the pred omi" ""1 fac l or. Evenwally f~i1ur"
may be governed by the following th ree factors:
I. The: highest (dominant) stress (uniaxia l normal suess);
2. The difference between the maximum lt nd minimum pri nCIpal SlrffitS
(complex streu);
3. A certai n amount of potentia l energy of the defOrmation.
The first case is an exception in the case of rocks, occasionally occurring with
tcst specimens.
The second case is conceivable in isotropic rocks only, and can be described
by tbe C"OUOT envelope curve of the MOltR cirdcs representing t he 5mallest and
1:Irgest principal st resses (Fig. 2/ 13). The shape of these curves depend~ on tM
rtgadity of the particular maleria!. For instance, Ihe pure tensile stn:ngtb "I of
concrete is o nl)' about one-tenth of the p ure compression strength oJ;. As a con·
seq uence or th is Ihe e1emcnw ry surface AB comes to lie very c lose to the DpeX
or the cu n 'e a nd tile a ngle fl mcluded by the two s.jiding planes dc\eloping in
tension approachcs ISO. In me tals, o n the other hand. (ta and 0;
an: almost
e\.lual and the largest dlITerence between the princi pal stn:sses does not ~xcttd the
constant values correspo nding to the pure com pression st rength. Brittle and plas-
tic failures an: re presented in the d iag rams (a) a nd (b). respectively..... hilc (r) rtpR:'
senls the well· know n mechanical sliding process c h:lractcristicof granularmaterials.
The t hird case can be described by MII:Scs' l,ha raclcristic fai lul'C surface. (Irthe
th ree principal stresses all;! plo lted at Ihe origin or the coord inate system and thcir
resultant is traced, the charac teristic surface Will be their envelope. A CQO\enitnt
method or represcnwtion consists of projcc ting them on a plane p.1ssing through
equal intercepl.S o n the th ree axes).
These consideratio ns naturally a pply to uniform rocks only. which octUf l"try
rarely in Nature and even these arc necessarily anisotropic. The mechamsm of
fai lu re ean t hus be best a pproached on t he basis of the third case, i.~. of the
rupture surface de\'eloping in Ihe muss which is assumed 10 be fissurtd. SUlet
the rocks mny be regarded as n heap o f finely textured crystalline graIns Mid
together by some kind of s urfa~e tension, the gra ins arc either ~rushed by the
uni:lxial pressure (com bined WIth luteml eJlpanslOn). when the surface stress Ii
superior to the inner 5trength bet ......een the 8r:1ins or they ma y be separated In
groups if the su rface force is inferior \0 their IImer strength . If lateral e~pansion
is prevented, the surface Slress cannot become effective and the entire load must
be carried by the fine Internal textu re of the grains. Should this no longer .fford
"t here q uired resista n ce 10 t h e in c reasi ng load. t he c r ystal surfarcs w,ll be d;.·
placed on eac h ot h er a nd t h e rock will be brought jll.o a p ht s t ic ,tal •. In thi.
con d i.i on " fu rth er Sl rcS$ in crea se w ill b rmg about no vo lu me change but only

w~,.. I ew.b,"_
.... '''p,'~ .. ~ .. b
l :. ~ <o~d;';""
I .. d.~
I .".n..
' I • .,..,.
h
(~ I "'m')
"';lhU (~.'c .. ' )

Darholiru

Granite, granodior;' 2'50-2'75 ()- J- 2 1200-2800 <0-70

Gabbro 2'92-3'05 Z-5 1500-2000 50-80

EXlfusiu:

R iolite 1'45 2'()() .4-4 800--1600 50-90 100-220 40-110

Fonolitc 2'54- 2'66 0'S- I '2 1500 3400 60-- 11 0 l lG-2JO 40-120
Dsc,t 2-50-2'75 0-3 j 800 1600 30- 80 90-'" " 100
Andesit e 2' 30-2-75 0'2- 8 400-3200 50-J 10 J 30 250 SOlltl
Z'75 - HIO 0'2- 1'5 800-4200 60- 120 140-260 10-1"
DiDOOS 2'1)(1-)' 10
0'3-0'7 1 1200-2500 60-130 1:lO-l60 ""00
V()lcan ic luff 1·30_2 ·20 8- 33 50- 600 S- 4S 30-" I""

Sanlbtone 2' 10 2"50 1 8 rOO 1200 "60 40 160 10 60

Coarse grftincd
IUnCSIOne 2-60- H3 O'I - O'S 500- 2000 40- 70
Coarr.e grained
IJm~lone 1-55-2 'JO 2_1Ii "'-600 10-35 2l-1/l Il-Jl
F~sh-waler
limeslone I-55 2'50 ]-5- 6 400_2000 IS-SO 3() \10 10 SO
O..,lom;le 2-20-2'70 0'2--4 1SO-- 1200 25_60 4(}..16O 2S 7(1
Clay-!;haic: NS-2·n 0-2 0'4 200-300 ,
MNal1l",."hic

Murble 2'65- 2-75 0- 1-0-5 500-1800 j()-80 86-110 JS-80

Gncin 2'60-2-78 1-5 800-2SOO 40- 70 86-200 30-10

R'_,~. SH MotO"VI. C ."" P... P. F. (19$9): "'"uGAI f~ld"", (EDlln«<in. _1"11'1. PI' In IOIId LtG-
OIT 11: F. : o.-,~y n~J £,v1.... I",,_ MeCa .... HIli_ Ne .... 'I'",~ _
 •
dcfo rma.ions of .h"pe will .ake: p h. ce. E n ergy " u"n s mi.lcd in the fo r m of .M~r·
Lng ti lr<:""5eS and .he dcforma ti o n w o rk ,5 con su med by t he ch anges In 1hI~ (d.
Secu o n 3 1. ]' ge nuine TTlounu,in p n:~ .. u...,~).

--. .......... .-
TUL' liI lI

"
~
.............
; . ............'.
,,-
-~
...... ,,_....
_. .._...
~-.
'''~
.._-
"'-
'< ....,~m' ) (k'''',"'J
Q ....-
I'" I I.) (l«01/b C) (oil... , ..)

.5- 7 300--100 n:wi'~

110- 160
I " 10'_ 10" I,,&h l)'
Rc si~li"c
1I G-240 7- 8 600-1000
" 10' 10'

200
- 5- 10 1'8- 31) 10'- 10 "
"" Il0
loW )00
S- IO
<-7 ""
100 250 ,-, 1'2- 2'5 10'_ 10'
Resisti ve
Resislj~c

120 160
130- 190
' . 10
, 10
SO- 180
120-3$0
,,-," ,-2· 2-4
j"I-2'S
10". 10'
10' 10'
Resi5Ii'l:
Genera lly reslIH'~

I~ I~
I ,...""
140 2\10 "
<-.
200-1000
300- 900 "
H
1-1 - 2'S
1-0. 2'8 lCY":IO'
I-ligh ly
Resis" ...",
~""'t

I 5- 10 ~'O 10"-10' Variable

30- 12<1 • 14 I S(l-170

• Il 1-1 - 1"6 10' to" Generall y ~11\!

70- 120 IS 40 500-800 5- 10 1"-2"8 10'· 10" Rc~isli"c

o-S 1-6 10"- 10" Vanable

(}7_1'9
,
II- IS "I' " I'
I~ 10'
RC'Sisti\'c
~""lt
6G-110
I
2'0- 35 lOO-3OO
" 1'3-2"
0 '6- 1' 1
GClKnlll y
R tsiSl i~c

80 130 10-37 .">900 ,... 10' Va riablo

5- 10 2~ 600 $- 11
,,,
Da," of majo r importllncc 011 so me of .he p hysical s t rength and deformation
c harac teris t ics for the more freque nt roc k ty pes are g iven helow"-" (Table 2/111 ).
The se should n",ur.. Uy be reg arded merel y as rough "ppro"imale information
va lu es. In gene ral . the modu lus of "',, st;e i • .,. decre"ses with in c rea,ing porosity.
particle size and water c onlen! . (The aboye figures apply only 10 lilt da •• ie por·
'i o n o f Ihe d e form ation ') . The efree. o f m oistu re va ries in extent from rock 10
roc k and is much rna ..., pronou nced . e.g. in the c a SC of clays lind clayey .hal••
thlln in s ands .one. A ccord i ng 10 S 'n ", • • he mod"lus of elllstici.)' is reduced by mica
formation and k ~IOri niti 7..ation , whereas it is incn:ased by curbonk acid minerals
and lime con ten\. It should be evident thaI deflections also increase appreciably
with the water contcn t. According to STOCKE this increase may be from lS tl}
l6-fo ld in clayey slates. a nd from 1·5 to 5-fold in sandy shales.

21.34. li ydroio iticill S un'ey

The hydrological survey is carried out simultaneous ly with the geological

exploration to which its im partance is no t to be subord inated since water is a
governing focto r in tunnel loads as well as in construction possibilities and con·
ditions.
The effect of water o n tunnels reveals itself in three respects:
a) Stalic and dynamic pressu re head (loading actio n).
b) Physical : d issolving and che mical: mOdifying ·a ction.
c) Decom posing and attacking ael ion (ha rmfu l against lining masonry).
It ma y be stated in general that seeping und moving water exens always more
harmfu l acti on, thun standin g o r banked up back-waler.
Wh ic h quantities and wha t kind o f water WIll enler the tunnel du ring construc-
ti on depends primarily on the charactcr an d distribution of ..... aler-con\·eying
passages (cf. Secti on 4.6.9) The length and depth below the terrain surfaCt of the
cavi ti es, precipi ta ti on a nd local geological conditions a re also imponan1.
The passages may extend a long surfaces, as e.g. exfiltrations a ppearing in fissures
and joints, where one d imension of the conveying cross-s~tio n is negligibly small
in com parison with the other. They may again be tubel ike, ra ngin g in sil.t from
cavities of several metres in diameter down to tiny seepage ways calle\! "thread-
like" wate,r passages.
F urthermo re, subterra nean local wate r masses may be discriminaled filling
up II cert ain vo lume (wate r le nses, pockets and d islocation zones). Finally, ground-
WOller and especially tha t of intercillilted aqu ifers should he distin guished.
For it sou nd judgeme nt of hydrogeological condi tio ns, the cognition of ""ater-
storing rocks in the geological forillations just as that of the geological structure

•. " STi'lcJUl, HlMNANN and Ut>I_Urt: GebiriSdruck un~ !'lalle n,lalik, Zriml!r. fiir lkr,.
h"u,," II. S(lli"n' ... ~sr" t9)4, I!B6.
 TYP'CA L ClEO LOCH CA L F ACTO R S
"
of the whole area are in d ispe n sable. 1\ permeab le layer. w h en e . g . Iyin, in QnUdi""
forma t ion wi ll be"r no o r very lill ie wa ter. o n Ihe ol h er hand. will be ab le 10 store
ve r y cons id er" ble q ua n. ities of wa l er w h en lying in a ..inclin", for ma"on. AI"l.be
different deg.-ce of r oc k we8lhcn n g. v"ry ing wi lh the respectiv" a reaS i, mHucncing
water bearing qu~ l ; l ie9. i ust "9 t he lectonic pas l is or impoTlance. because more
WOl ler must be e"peeled in Ihe d isturbed o r di s localion zones .
M o re wa le r will pe rco late as a r " l" in longitud inal ly di~ l "rbed Lone<. lilan ,n
Imnsver""ly disturbed ones a nd in wide dis t urbed a n d detri", r zoncs ,h. rat. "f
nOW is bigger on the sides. than in thc
middle. In addition the crumbled rock
particles become gradually saturated and
softened thus being lurned into il more
or less muddy condition. T his may lead
eventually to catastrophic inrushes of
wa ter and mud a t such given sites.
In volcanic rocks lind in all rocks of the
Paleozoicuffi (An::haicum) the movement
of water is rest rk ted 10 joi nls, bedd ing-
pla nes and fissu res. Conseq ue ntly the
discharge of percolating wa ter is depend-
ing 011 t he degree of fissu ra tion (n umber
and width of fissures) on the amoun t of
precipitation and o n the extension of the FlO. 2/14 . . Curtain-like waler infilual;"n
catchment ~Irea a nd t he ou tcrop of pt:r- rrom • joint
mea ble layers. Freq uenl allernation of
pervious and impervious layers will resul t in Ilumerous spri ng levels.
Rock of the J ura and Chalk eras are poor. those of Tertia ry origi~ on Ihe
contrary a re rich in water. Tertiary basalts may be e.g. very porous btc:tU5e or
shrinkage, elens a nd fissu res produced duri ng their cooling period. II is the >arne
case wit h soils, whe n underlai n by impervious clay-layers. On the contrary,
bauxitic weathering t: r usts or a lso loess-loam may strongly reduce the percolation
of precipitation.
Pleistocene·tluvioglaeial JUSt as tluvia tile sediments constiTUte the \JeSI peT'lious
layers.
G round-water capacity of ulluvilll (Holocene) layers is very ditferent and depends
o n the geologica l slruclure of the cll ichment area and on the petrographic nature
of rocks.
Solid rocks made wa tertight by the density of their te;(ture are alw8)"1 inler·
woven with fissures. seams and cleavages in which wate r is moving in curtain·like
films. In igneous rocks the wate r film moves in fine cracks ( Fig, 2/14) bUI highly
extended, distributed to coumless fi lms whereas in sedimenta ry rocks Ihe dispersed
w,lte r has a tendency to unite in definite ducts by scou ring the rock. Once the
fissures are wide enough and comm un ic-.lte wi th each olher through II great number
of passages. the movemenl will be di rected by the pressure head. With t~ decrease:
91 PRELL\u).I~RY STUDllS

of the quantity ofwaler (end of thaw or dry season) the mo>emen! will be a gravity
How. The longer the period of migration through the rock, and the smaller the
resi&tance of the ia!teT against the dissolving action. the grealer the progress from
water-films towards the formation of tubular ducts. This difference can be observed
on the ground·surface as well, since water issues from igneous rocks at numerous
points, but the discharge at individual !Xlin!S is small. On the other hand, in
mountains built up from morc soluble sedimentary rocks then: are fewer springs,
but with an ample discharse, although subject to wide seasonal fluctuations in_
cluding complel..:l)' dry periods.
A go!'erning principle of Ih" u/iynnlllnl: 'H,ler/QfJ.qed (1',,<1$ und Spol .•" .,hcm!d be
pa.fs;h!y ur:oh/ed hy uny underground-..orily .

FIG. 2/15. Po;sible tu nnel dovot;""' ",1'li"e 10 ,...tcc_Ievd.

Groundwater and the water of Intercalated aquifers, where Ihe voids of the
rock are saturated with a coherent mass of water extending over the e ntire thick -
ness of \h", layer. or at least over a considerable part of it is the most dangerous
in tunneHing. If possible, th", lUnnel bhould nOI be Ioc-.. t~d under the phreatic
groundwa ter table. Howevcr, where construction in such a layer is unavoidab le
(e.g. tunnels of underground railways), special tunnelling methods and techniques
mu~t be rc:sorted 10 (shield driving, dewatering by compressed air). If the tunnel
can be located above the groundwater table then onJy drainage of periodica lly
pereolMing meteoric water need be provided for (Fig. 2/t5-I). tn tunne ls under
the groundwater table rain_like dripping from lhe roof and entrance of water
through liSburc:s of side walls can be expected (Fig. 2/1 5 2). The volume of water
entering the tunnel in ouch l"asc:s depend~ exclusively on its hei ght , relative to
tbe grOllndw~ter table, and d~'\:rca.scs with (his hydraulic head. Location 3 in
Fig. 2/ 15 is the least favourable .
5pe\:ial rererc:nce must be made 10 hrst ic (cavern) waters. resulting from per-
colating prc~'ipilatiun, and stored in the continuous duct-like passage cavity system
eroded in the rock by the waler itselr. These represen( a serious source of danger
 UI'ICAL GEOUKlICAl FACTOIlS 93

in tunnelling. In the vicinity of the ground-surface the water percolates in numerous

fine fissu res into the interior of the rock and widens these fissu res in the process.
The hair cracks develop into la rger channels, decreasing, however, in nlI mber
accordingly (Fig. 2/163.). Such a oominuolIS passage system will nOI de\elop except
in water-soluble rocks. For this reason caverns are common in dolomite or li me-

---
!:!m iCtrlilC ~
c:J - '
arJ 1~l!e"""
Fl(;. 211f , K.""ic water·llo .... net

stone mountains only. T wo typ" of karstic (ca vern) systems, namely perc hed
(mounds) amI ..... ~; n -l;ke onn can be d; ..in!ui.h~d (I"igs 2/16b. c). W at..r fm m Lh e
in terior or perched ca"ern formalionJ seep\> OUI to the surface and tile wa ter is
stored only for the period of percolation. On the other hand , in deep karsttc basins
meteoric wllter percola ting from the surface is ~tor~-d In the formation BS in an
underground resenoir (Fig. 2! 1t-c).
When the drif1 pterces ~ uch an Jnderground resenoir conlalOtng large vo l umes
of wa ter in the com municating passage syslcm of Ihe ~~ rstic basin. Ihls wall~r
...nll burst imo Ill<: lu nnel under a high h)'d rmtalK: head and a t h,~h velocily.
"
'IUbIIS,o.II.Y STUDIES

Water inrushes exceeding several hundred m'/min have been experienced (Mont
d'Or lunnel, Great Apennine tunnel, Tann3 [unnd, elc.). According to experience
gained in mining practice, karstic water is not stored, as a rule, in the interior
of the mountain at depths Il'ealer than 100 to 200 m, so thaI the likelihood of
danger from it decreases with depth . Blasting
operations lltlow the karslic groundwater table
should be underta"en ..... ith great care in ord e r 10
ant icipate the in rush of karslic wa le r thro ugh
~ ...... blast i ng-fissu re~.
Waler moving in large r cavities may c arry Silnd .
debris and even p je~es of wood as ""ell ns s us pend-
"" .. --'- ed J maner, pS do surface st reams (Fig. 2/ 17) .
..~.~.~••"......'''''' The "olume of inll ow also depends o n I he: dip of
; "''''. .'''"
Wi lOla..... •a, . the la yers, as "'ell a~ on Ihe posiCIon or the head-
ing rdatlve to tke elevat ion of water masses sto r-
ed in Ike pUS3ge system. High ini tial inflow vo -
lumes have been found to decrease mpidly in re-
lation with the empt yin g of the und e rground re -
sen·ocr. Gcolu!\ical basins and dep ressions (sy n-
clines)are more likely 10 be tilled with s uch water,
which i~ A rllr!h~ r reliSO n why tunnell Il h ou ld n ot
be 1<Kated in syncli nes. As each drift pene trate s •
the interior of the mountain it genera ll y draws
off tile water from there and also dr.lins the sur_
rou ndi ngs to a cerlain extent. It hu also been elt-
perienced that water constant ly enteri n g throu g h
the face may be drawn ahead of it hy driving H
pitot hendi ng whic h resullS in a cerlain dewatering
no. ZJ17. Natural ~ndt: rJ.round of the space in front of the facc.
~~ ..,olr liPped by Mont d'O, The inH ow in to the heading may also increase
tunnt] with lime if mountain pressure also in c rea ses as
a consequence of the excavation of the c avit y
in\'ol\,ing a d isplacemen t Orthe surround ing rock mas!ieS lowa«b the lin ing. As
a result, the rock masses become lOO!iCned a nd imerna! fissures art: opened, so
incurring a n incrt:ase of the inflow. Similarly the inflow may increase wi lh the
progress of time in fine-g rained loose soils or limestone and dolom ite masses as a
consequence uf th" u~vcJo prnent of cavities due to con tinucd SOlut ion, leac hin g
and weathering.
The diS("harge of inte rnal springs la pped in the interior of limestone mountai lIS
ge nerally a ppean; tu foUow a decreasing trend .... ith cODsidera ble varia bilit y. They
may hccome entirt:l y dry in periods of frO!it o r elltendcd dra ugh lS a nd ma y reach
peaks al times of thaw or in ....el seasons. i.c. they behave like su rface s tream s.
T un nels retain thei r drn ining and de""atering function after their co mplelion .
Fo r the intcfCl:ption and removal of attracted .... ater an extensive and co s tl y sySlclll
 "
o f dra ins a nd d ... .:', ,, is b u il l in !he complc loci l unne l . h rou g h wh ich """,er is COII-
li n uo u s ly r e m o ...,d , and t he "' nne ll in i n g " " arefull y ;"5ul" " ,d . W a le r iJ p"tmulfd
10 e nl" r the tun nel i n ord e r to r ed u ce Ihe h y drau lic pre""u ",_ aClin g on thetun ... I,
\ 0 re licve t h e l unn e l lining a nd 10 inc rea se its du .... bilit y . R ecentl y_ objection,
h ave been r aised agai n 51 t h is genera ll y u <:ceple d p rll Cli"", . Thc..e nrc b.ned on tile
a u urnpu o n t h a i a s lo n g liS l h e ", is a con tin uo ... " mOveme nt l o .... nb , ... d""""ae
s)'S ul m . tine ""Tl ielc, w ill be d in<:JI """,. rench od a nd sco u red f rom . he rock. ,.hoch
is Ihu 5 con s Uln.l y lOO5"" c d ar o und the li n in g an d ~o is prcyc n'c d fro m anain in!
a fin al sta te o r equilibriu m. I n additi o n, wh ere the water COnlain5 a ctive ,hemicals
liS well, II dest ructive aClion upon lhe li ning itselr IS intensified by the conliDOOUS
renewal o f detrimenta l agents. No progrtssh e da mage occurs, ho we ~ er. onct the
harm ful substa nces in slill water are ne ut rOlli zed . The maintenance (If a steady
wa te r-tabk is advocated fo r th is reason and the employmen t of colla r-like imper.
vio us buttJesses e:o:tending far into the rock is suggested as a means of at~inlng
such condiTio ns. These reTain WIiTer at II higher level and fl o w is d ivertC\! from the
vici nity o f the tu n nl!! lining. Suc h buttresses may be rea lized in somt CIIitS by
grouting.
Others recommend the construction o f intake sha ft s thro ugh which \\'Iler
is rein troduced at some points into the lissured interi or o f the mountain and
fl ow towards the limng is divened. The me thod of wa ter re int rod uct ion ~nnDOt
be re ga rd ed as enti rely correct o wing to the actio n o f the da mmed wat~ in softtn-
ing rocks due to the great increase III press ure. In fa ct, the problem of drainage
mus t be sol \'ed ind ivid ua ll y in eve ry particular case. aner d ue con~i d e l1l1iOfl of all
locnl circumstances (cf. Section 72.21).
The determ ina tio n of the detri me ntal su bstances contained in the "lIt~ IS of
paramo unt importa nce. The d amage d one is us ua ll y t he greater t he higher the
concentrat ion of t he solutio n a nd the highe r the temperat ure of the nter !hIM
springs!), a nd the large r the volume gaining access to the tunnel lini ng. It is for
this reason tlla! groundwa ter is much more da nge ro us when movinglhan w~en
still.
The a!! gressi ~ e action of acids is in ge neral the mo re pronounced , the higher
the pro porTion of cementing agents - free or weakly bound lime - in the natural
rock. Based on these experien ces the use o f cement.s with a high ca lcium content
is to be avo ided in d angero us zo nes a nd those contain ing linle lime (bIast·furnace
slag ceme nt , a luminoliS cemen t, trass. ctc.) sho uld be used instead. T he disadl1ln·
tages of ho neycombed, porous concentrate ure well known, si nce an inmastd
surface is u poscd to t he attack o f aggressive water and the leachi ng oftlie fm:
hme content of conc rete by soft waters is facilitated. or the na tural rocks, dolomitc
a nd rocks conta ining lime a s a bi nding a ge nt a re most suscepti ble TO tile aurtSsil'c
action of acids.
Sulphuric acid, which is present in water or igina ting fro m peaty a round from
rocks :md soils containing gypsum and su lphide orcs, is gener,llly knl)wn to be
highl y a!!s ressive, but simila r da mage may ()I.:cur in clays containing p)'ritt:S upon
contact with a tmospheric mois ture.
 Ca r bonic acid occurnllB in "ar,Ous mineral walers. pealy lind moorllnd ..... Ier
mil)' leach lhe: ce menl of conCrele lind d i,.,.ol"e lime'lloncs and dokNrutes. CSIaIlIll
and magnesium arc ..., m o"ed in Ihe fo rm of double " .. rbon.c lI eld ..It" CsrbonIC
acid IS usuaUy II weak acid and ilS paaressi"e pClion becomes COI\SP'I'1I01l1 only
"fler a eoni'derable period. As """e"led by recenl researc h . clclnmenlal Kloon
Can be lIt1ribu,ed 10 f ree carbon d ioxide alo .. e, but ils aClual qUlOnlily an be mes·
sured only 0 .. Ihe sile. Of Ihe .... 11 •.• odiu m s ulphate (No"sO.) """"111'$ in _· .... 1....
in ce rlai n mi neral w ;" e r s and III some n arc salt deposits. Calcium iulphalc 0«111'$
frequen1ly bol h as gypsum and anhydrite (CaSO~). It is highly sUfCSlil-e and
necessitates special care and precaution. Magnesium sulpha te. or Epsom sail
( MgSO~) is even more detrimental than gy psum. since magnesium is a \ll'ea~~r
base t ha n caJci urn.
Sodium chloride (NaCt) ca n be fo und in sea-WIIter and in II vnl numbrr of
rocks representing sea-water sedimenls. Solulions of sodium chlorick Irt not 100
dangerous, in contmst lo the contaminations of MgCl l and M gSOlattOmpan)-ln~
II. which an: always presenl in marine sediments.
sorl waters, i.e. those comnining lillie d issolved salt are also highly l-anable;
they occu r in igneous rocks, pelll areas and glacial cree ks (s/lO'Ir-mcll Wller).
In the same mou ntain region Ihe softness of the water increases 'IIilh the ooldness
o f the clima te. The smaller the salt conte nt of such wnters. the more readily 'II·ill
Ihey dissolve so lts, e.g. the lillle salls of mortar. This type of aggrcssil'ilY is no\
especially da ngerous except in nowing grou ndwa te r where saturale(\ masses are
continuously re placed by unsaturnlcd o nes. Aggrcssivity is increased by the tarOOn
dioxide content and is characteri1ed by the pH valuc whIch should be taken toto
consideration whereve r it is lower Ihan 6·S.
In many instances tunneJ1mg affects surfitce watercourses. Springs may btcome
~ dry. lakes may disappear and creels IllD) vanish as a eonsequenctoflunneldnt-
ing. the reaSons for which should be self-e.... dent. It may be menlioned Oftl), IhallS
U consequence of Ihe sleep gmdients and big flow \'clocilics of such mounl31n-
creeks (torrents) they will not hale watertighl sedimenls. covering the bed of tbr
I',tllercour>e as a safeguard against leal age. The de termination of 1M number aDd
Yield of existing springs a nd watercourses Iherefore constilu les an imponanllisk
of th~ preliminary site suney.

21.35. Gllses and Rock TellllX'rlIIlrCS

Another important part of the preliminary explomtion work is tbr tlplonihOtl.

eSlimatlon and swdy of gas outbursts. gas eldihmtions and roct temperatures.
Gas and Temperature a re significant for the safety and health ofll>'orklOOl. bUI
their Innuence on lhe technical feasibility of lunnelltng is Iells pronounced Ihhough
the neccss<lry pree3ulions, the select ion of .... orking and transponallon equipmenl
a re factors certatnly i.freeti ng the technology adopted.
 2 1.35 I. Gu.'~s oCCO/~ri"i/ /n 1U",,~Ifi"l/. The OCcurren.,., of gaocs IS governed f~ ...
d"",enlally by t he geo log ica l s lru Cture of t h e mountain. Detr;n,en lal ga>e< may
be expected p ro m a ril y in igneo .. s rocks and cSl'C'dully in fiss ure d . weathtTW for·
""!.l ions o f ... .;:h " " 0 ,igIl1 .
CQ.rbon dioxi<k (CO,) is the mon im port ant o f t he de tdmenu.1 p"'" ",hid. IS
Ioke ly to be e n coun t ered in igneous rocks in the proxim ity of coa l layen and Ot"',
o rpnic de p<>5its a nd ,n fault :tones. It is u s u ally the product o f the slo w drllyed
ox id",i on of coal. ca r OOn atl7.auo n p rocesses. or o f the decay of organic compo-
unds. Owing to this its prob.1ble penctralio n inlo underground cavities can orten
be predicted. Sometimes it rises from the mo hen magma core of the Eanb along
fissures and fnulls. Carbon dioxide nlso OCCUrli in the form of post-volcanic ex·
hahllion. It IS precipitated in the form of secondary acids but is ne\oe r dtcompM-
ed. The gas IS colourlC$s, odou rl e~. slightly sour, 1·53 times he:lvle r than air and
therefore accum ulates at the bollom of the d rifts. The detrimental eff((t 10 the
huma n organism results fro lll the lack of oxygen associa ted with its occurrence.
COl is hurmless as lo ng :JS oxygen is present in :, proportion higher tban 20'"
but II COl content of even 4-6 %causes difficulties in brcathing, 10 20 % rtSuhs In
a 1055 of consciousness, 'A hile 20-25 % may cause lethal poisoning (see I.1bk on
p. 811). It5 biological effect is renected by agitated lung action 3S the C01k'.·d in
tht blood increases and breathing becomC$ deeper. It is aggressive to the cont"rtle
of the lining, bUI its corrosl~e actio n is panic ulnrly dangerous to steel5!ruC1urc"S.
Corbon monoxide (CO) is hghler than air (0.97) and is much more 10Ii, than
ca rbon dioxide. The gas IS tastelC$S, colourless and odouriess and its prtSenct is
impossible 1(1 detect in lime 10 pre\'ent casualties ..... ithout the use of dtlicalt
IIIstrumenl£. It occurs in the vicini ty of coal fie lds, as a consequence ofmethane
or coal dust explosions and also in the e.~haus t s of intern:J1 combustion cnp""
and in explosion g:Jses. The gas is somewhat unslnble and turns to carbon dioIlde.
It readil y combines wi t h the red blood cells to form carboxy hllemoglobin wnich
is sufficientl y stable to pre\l!nt those cells from performing their normal fUOCIiOfi
of fo rm ing oxyhacmoglobi n ....·hieh is essential to hfe. Poisoning can be dtt((ted
at 25% blOQd saturation. Above Ihls hm it agitated hean poundlllS. headache,
dil.zincss, general weakness occur. while loss of consciousness occurs at 50\.
Above 75 %satura tio n, rescue lli temptS are unsuccessful. Since saturation dependJ
on the retention period as \\ell, even a small CO conccntr.Hion muy bel:ome dan·
gerous with prolonged exposure (cf. Section 46.5] and Fig. 4/49).
MDr.fh 9D.1, or mf.'f/lDne (CH,) is a tasteless, odourless. combusti bk!iS- ,I~
hghter tha n air (weighi ng only 0·558 ([ mes as much). It occurs pnncipaJl)' in the
vlcinilY of coal a nd oil fields, but it may also result from the decay of Olpn"
SlIhstances. It may also be fuu nd in Ihe \'icinity of sa lt de pOSIts and bituminous
layers. In some ex plo ration boreholcs of the B ud"pe~t underground rail . . . ay lhe
metha ne gas encountered resulted from t he decay of large quanti ties of fish
rem:Jins eoclosed in dee p layers of clay in geological tinles. while tnt melhane
tnnOWs responSible for large fires in the Great Apennine tunnel is.sued from
shale strala. Methane may be ta pped from 5Jmlla r inclusions in do lomite and lime·
slone rock •. \\there e""",pe 10 the " t nlo~ph<:re i. p revented by ... n 'mp" ...·'Ou. lOp
cover (clay), the gas may mig .."e laterally \ 0 g rea t d i ~"",C'elI through fiMures in
Ud jacent r ocks.
Mct h nrH.'. especially in :5·.5- 1 )'5'7. p roport io n s forms a hiS h ly explosi"" mi.<tul'C'
w i t h air (pi! gus). but i. nO ' to~ie otherwIse . The use of open Ita ...... or bum,.,
lamps .n an a t mosphere con.am inated by meth"ne is d angeroo, . C~nl""oM
even a $ lo w ai 2~':; an: Inf1"mmable and "m y ,ni ,'ale an e.>.pl o •• on in.be pra;cnce
of co;,1 dust .
Afler the fire catastrophe cAused by a gas ex plosion in the Greal Aptnnine
tunnel, safelY precautions were taken. the ma in ite ms of which may bt summarized
as follows : ~· '4
I. The use of batter)·powered electric lam ps:
2. The installation of gas-indicator lam ps in nil drifts :
3. The usc of remote conlrolJed electric de tonators:
4. Pcrmanell l supervision of a ll worki ng activities by gas expens:
5. T he usc of com pressed nir locomOlives for the ll"'dnsportution of dtbris and
conslruction ma terial;
6. The inSlaliation of h,gh·pressure wa ter mains for fire e"linguishioS:
7. Air-e"'TlIcling vemilation at all pomts of accumulation tespeaaIlY"the
roof) and Ihe provisio n of am ple artifiCial ventilaTion in general:
8. Strici proh ibition of smoking and of the use of open name lumps in tht tnlirt
tunnel.
I/ydrogell .1ulpltid~ ( HrS) is 1·7 tim~ as heavy as air. smells hke ronen egs.
has a sweetish tasle and is highl y to"H:. [t .';upporis eombuSlion and In a quanlity
of 6 % in air il is ex plosive. The gas enters d rirls and cavities th rouglt fiuurtt and
unde rground streams which have come inlo conT;ICI wit h decaying organic suI!-
stances o r volca nic fumes. It is esscllliatty The disi ntegration product of organic
subsTa nces con taining sulphur, o r sulpha Tes. and sulphides (deta)'ing lII'ood).
which is readily a bsorbed by wale r. For Ihis reason wa ter inrushes art frequently
accompanied by the inHow of hyd rogen sulphide. It occurs in blastins SI)1hes
and may fi ll Ihe cavities Rnd fissures or salt·bed formations. Hydrogeo sulpllilk:
is dange rous on accoun l of its toxic efrecls. rat her than on account of fire hmrd.
As a slrong blood poison in small q uantities il causes dizziness and sickness:
il a llacks the eyes and causes the slighlest ",ounds to suppur.tte. In a coocentralion
of 0·05% it causes sickness, al 0·1 % unconsciousness and 1$ lel ~I., hi&hcr
le\'els (cr. Tlt ble ghen below). II is highly corrosive to concrete linings.
Stllpllllr diQxidr (SO.J is a colourless, pungent, asphyxiating gas .... hich d,ssoh'es
readi ly in wate r a nd combines wit h it to form su lphu ric acid. T his gas also occurs
in volcanic fumes and is ve ry det ri mental 10 conctete linings.
I/}·drogell (HI) is IS limes lighTe r than ai r and is no t detrimental to bealth.
but because of its int1ammabihlY il5 presence a lways ,".,.olves the hazard of uplo-

"'" III Direu;s; ma IloI Olna Firenu. AIIIIQ/i rI"; IAco r; Pub"''' 19)4 LXX ll 17.
 ................ 0.01.0<. ..... . UCTOU

S,On and fire. Ii develop~ read . ly on SH U deposi,:.. o r in ,heir vic.ni'y. bII';1 may
be a n adulteralion in meth"...,. ca r bon dioxide and nilrogeneQu$ IPstS al ..dl.
N;lrog~n (N) is. a non-Io.~ic EllS. sloghtly ligh,er than air and i, OlOt inflammable.
I, ",,, y beco m e du n gerous. by di splaci n g OJCYKen from 'he upper p;.rl of headin".
thus causing 8ufToclLtio n . N.trogen o<:curs In yo ung e r upli "e roch. or., 'h~
deeay product o f o r s:."ic s u bsn.nces of Ooral origin. but il h"s been ~""ounler<1l
in co,,1 lay" ....... nd cau l bearing rocks. in 11~ .. ure. of rock_sai l depOs,ui and sometimes
m,xed wi lh met h ane an d h y d rogen.
Nitrous gust's (NO. ""01 ) IJre the by.products of ex plosion fumes 100 m~y be
very dangerous 10 blow-out blasts, since they are e\en more detrimenl.1 to heahh
than carbon mono~ide. They have a sha rp odour and arc pulmon~ry ,roUnlS
e\'en in minule quantities.
IVtIler l'(Jpour (t-I !O) is in itselr ent irely harmless. but may adver5(ly affect tile
progress of work. In nn 1I1mosphcre SllI uratcd ..... ith vapour the working abililY
of the human org;ln i~m is greatly reduced. the corrosion of mellli rnachil\eS and
too ls, as well as the decay of timber su ppons is considerably increased. Sma: lilt
\'apour content or the atmosphere in underground (;"d Vl tics is naturally raised
by the moisture in the interior o f lhe mountain, one of t he baSIC aims ohtfltilation
should be the reduction or this vapou r content (cf. Section 46.5).
T he mo re frequent g:lses encountered cause Icthal poisoning in the percentage
concentratio ns given below:

AspiTlltion ror
Short ClIlX'SlIl'e
:ro to 30 mm
00,

10
20 2S
:ro
.,
0<)5 ..,
.2
...., ."
SO ,

,
1<0 .. 1<0,

""
21.152. Rock fl'lIIperorurl'.f be t'xpf.'clt"tl in '''~ '-/lur/or oj Q moulI/am. Temper-
UJ
[l tures on the surface of t he Earth's crust ure subject 10 wide va ria tions and are
governed primaril y by I.'x ternal conditions. such as season, geographical location.
climate, etc. While sand and rock soils alike are heated 10 high temperatures by
the sun in summer, thei r surface in winter will be colder Ihan the ai r. Temperature
nuctuations may e:<ceed 50 C. These surface nuclUalions, howe~er, ~ less
and lC$s perceplible in the tem perature o f rock with increasi ng depth below ttlt
surface a nd are no longer effecti ve btlow II depth of 20 25 metres. Iklo\\' lhi~
crust affected by external innucnces there is R consistent increase In rock temper-
ature with de pth. The rate of increase is not uniform and is governrd by several
ractors. It is measured by the geot henmll step del1 ncd as the vertical distance OI"Cr
whic h there is !I tempera tu re increase or I C. The inverse or t his is tlltgtOllttrmaJ
graJielll, expressing the lempcratu re increase fo r e'·ery I m de pth. The reotliern'Ut1
step de pends on se~eraJ factors, the principal one being the malenal oldie moun·
lam Itself, i.e. the thermal conductivity of the rock. The higher the rondoctil'ity,
thc highcr is the value or the geot hermul step. Data on the thermal ronducti\'ity
o f the more rrequent rocks a re com pi led in Table 2/ 11 1. ( For refcrc nces:tbe tlltrmaJ

"
'00

"onduChY;')" of witter EI' IS Cis 5·0, thaI of rock $u l \ j~ 4 1-45 "lid (hal of .ir
0 ·205 ken! m -' h - ' for "~'''ry I °C dIfference In tempe"''''"'),
AccordIngly. thermal conduc"o ", in air .s 2S to 30 ,; me$ lowe, ,han .n .."let
and 1010 20 !tmcs lo wer ,han in mosl rock, . Ac.ual va lut'S may dr,-... e ron .. d·
e.-ably from these laboratory resulu o""nlli \0 'he effe<:ts of ll55ures, ca'"IIICS al><!
the wK.er content of the rocks .
The " "I,,e of Ih ", ~lh"rm" l ste p .5 10,,"". '" loose. f"a>!" n and dr~ .g.,k, and
may Ix: rcduccd by c hem.eal proce5sc5 Ih'" "'fly .ake place: . n the .«t. Tile Ilep
is reduced and consequently rock lemperature is increased by gases trapped in
the rock ,l.u
Temperatures a TC fUrlher frequently increased by mineTIII 011. cool and rspecially
by ore deposits. i.e. they reduce the vaJue of lhe geothermal SICp. Ttmpenuures
Increase simifarly liS a result of fissuration caused by rock. pressures. or or lhe
increase in pormity. The influence of porosity can. naturally. be HIm! bact 10
the presenl:e and mo~cmem of air 111 the '·oids.
An influence still greater Ihan that of air on th ermal conducti . . it) IS tilt infiltra·
tion of metcoric waleI', which, apart from the Ilpprollimalcly 25 times higher ther·
mal conductivity of water, resulls in Ihe clIpulsion of ai r from the loids and the
I'o-etlmg of rock. surfaces. These factors expl uin why Ihe value of lhe geothermal
step in cavernous 11I11e510n<: mountains is appreciably higher Ihan In fissurtd
erupti ve T(x:ks. Water moving slowly in the fine system of jOints in erUplll't rocks
is a milch less effecti\'e cooling agent Ihun when flowing at higher vci()(it) in wide
gOllges In sedimentary rocks.

o •

FKl. 21111. (,,) Varialion of i,,(lItlerm diSlanLti III , ... lIe), and in ti<Jae fomulioat:
(b) L"ampa ted Wl l h lheoretica l slnusaida\ cur'"C~

The \'ulue of the geothermal step is considerably affccted by the topognphy of

the terrai n. Under otherwise identical eondllions the gcothermaillep is hip,er
under hills than under valleys (Fig. 2/ 18). Accordingly. the lines connectmg
points of the ~ll me temperature (8eoiso l herrn~) will be more widely spaced under
hills than under \alle),s .
.. ,. Durinl lhe C(ln$lroclion of lhe Gn:al Apcnmne tu nnel under a eoyer dcptb ol_
hundn:d mel res. temperature suddenl) increa;;cd In clay-s llak from 21 'c 10 4S C.1Id ru:tfI-
t,on_lIy 10 63 C as a cOlIKquencc of p~ inrush (4000 "IiI CU, contenn
 TV "l eA L UlOI_OO' C .. L ....... ,""_.
'"
F i na ll y, (he ..... Iue o r (h c gcolhcrmal slep ;s a lTecl ed 10 .. cons.delllble eol",,1
by Ih e suau ticatio n a nd d, p o f Ih e rock layen liS ...."'11. 1-1",.11 , n rocks lSeondl,lCtod
beU"' T in" d' Tec li on p"ralle l 10 t h e ir ~lTll t ifiC"-tion bc <l d ,,'~' or shc h"n8th.on pt,_
pcndicu\IIr 10 it. F o r t h is reason Ih" geo .he r ma l sle p is h.gh cr in ,t""ply iDChllCd.
or vcrtica ll Y SlTat ifl" d roc k la yen ,han m "Iman hor' 7.on lll lly bedded O!lel. ThIS
d ilT"rence is cspeci a lly g rea l In roc k s conta inina h igh proportions of mica ..·M ....
it muy b<: cvc n 2·5.fold . D c n se s t ratificat,on _ '_c," dose: suttession ar,h,n la)·ers.
tends to mm im iLC Ih" VHI"", of Ih" 8"O lh nm al ste p owing 10 Ihe . n sulatlng clfrcl
of layer mterfaces.
Ma:dmurn tem perat ures in the !Unnel depend, fi na ll y, on its length, I5Il1·m be-
de mo nstrated by the fo llowing theoretical consideratIo ns and by the tabulated
val ues.
Maxi mum tem pera!Ures and the value of t he geotherma l step as obStf\"N in
the majo r Alpme tu nnels have been compiled in Table 2/ 1V,

,m) I ,........ ,.....

ln~" ...

I~;;~ ~t """U'"
L<n,'/o
1'1 ..... of I.n....t
' .... _1 or ..·... r
"r .unnel "'.
'm' C(n
I (1 i')

,... '"
(m C)

2 (/'10)
R .elu:n
(450)
2J-S (74)
" 2 1 (S)
Dry "ndsl~ lUIdcr
4S d.p, ",<.MIIt
Simplon 19 72<) ~ US SS-4 (132) J1 IJo(} Grol hermic ~CfI
u nder f1IlF ~J" "'-
und",r ,,11ey :!9 110
Taucm
I"" 1 567 23-9 (7S)
" Gran,le_llltilS,
loca ll y IIIICI sdUu
IS'S (U) 38-6 GneLU _lIb illicit
Arlbo:ril
Lti"~'hbcrll
102S0
14 60S '"
1 673 )4 (9S) \2S- 49)
'" Grani te ,,,,nail: 1111<
4l
GOllhard 14998 1 7S2 40 4 (87)
" 300-400 Gcothcrru "tfI
4S resp. 29 m
(S9)
A lbul D .SI!M6
"" "
(912) ( II 25)
(H- 77)
"
U8-S~) (230)
100 A lbula ",nile

M on l Ccnj~ 12236 I 610 29' S (IS) SII'4 7 S a ndilOIl<: ~ilh »-80

d ip and lilTltStll«
"'lIh 20-)(1 d,p
no 17-9 (64) Unde r . CO'o·tJ clrpth
" "'
Kara .... anken 7976
)"
'" lHI (S9) ur370mI1-9C.
'err St«p ill1.ifi.
calion
Sur~m

(CaO("asus) ) 990 510 26-S (69)

Apo: n nin", IS XlO 2000 63-8 (14')
'"'
I, Can be clearly seen that under the innuenoo of a v,,, iely of combinations
of factors the lempen. ! ure within . he tunnel and the value of Ihe geothermal
st .. p (G) may vary be,,,,,ee,, very wid e lim it s (the laller from 27 10 144 ml). In
gene ral the geathe rm". Mep G Im.y be ta ken at around 30-40 m } C. In Hu ngary.
in v iew of th e geologically younger cov<: r ing layers a va lu e fron, 12 10 2S miT
m ay be assumed . S-r"" has give n t h e following v al ues for Ih e 10"8 European lun·
nels:

1
D< p.h 0.0' ..... "'.1 ......
'r""""l
'm' '"' (m l c) (hrFl

Simplon 700)
51. GoUhard
2<00
I12S 5748
6503
8H '"
Mont Cenis ' 56) nil!
''''
'"
'"
The tempe rm urc likely to be e ncountered in the interio r of the mountain is
gove rned, accord ing 10 A NDREAE, by the following f<lc tors:

1. The position of .he geoisothcrms under Ihe mountain ranges (geothermal

step):
2. The soil temperature on the surface over the tunnel:
3. The t hermal condul:tivity of the rock and hydrological conditions:
4. The e levation of the tunnel.

The annual mean temperature of the ground su rface (/0) can be deriled from
the annual mean temperature o f the air (I,) as:

1<,
lu "" /, +k = 1'0 - X +k. (2.7)

where "0 - the annual mea n ai r tempe rature at a known location

hi - The height diffe rence between t he pomt under consideration and the
one wiTh Ihe kn own mean tempera ture I, ~
X _ Ihe height difference causing a J oe drop in (lir temperature
(150- 220 Ill).

For the temperat ure within the tunnel 10 be built at de pth II we may write

h- c
T = f,+k + (2.8)
G
where G the geo thermal step
I, _ the annual mean air tempe ra ture
c = the thickness of the cover affected by the eXTernal temperatun:
Ir = t he tot:l.l over burden over the tunnel
 k _ II co r recti on raclo r ""p"",s; n 8 the ddT" , ,,nc,", between the
pcr"lure and ' e r ..,in tem perature. g ive n by S rND "" in th e follo.1n!
.It , ,'", .
... buillted f o rm :

n ",,.,;on .bo..e .... le,'el

(Ill)
Faclor k (C)
o
O. .
,." ,~

, .J
,,.,,
,·7 ,.J
,m

"
The temperature of the termin surface is also affected by its slope, topsoil
cover and vegetation.
I n a nUll tlcma licll1 anaiyW1 or the proble m A NOII:E"Eflf oonduded t hai " lKn oonlidmDl
a '-en i",.' section alo n& the tunnel ub In or"'er lu <OU.n>;nc it • ....,0..l i"810 lbe Jaw ofooolIftJ.
"jlh the prImary aim or oJc'crm; nina the mnuena: of su rflco.: formation. lite ' ,,'o-dimfllSlOllll
helIl distribu tion In Ihis 5«:lion In a 51eady ,tOle ca n be described accordinG 10 Foo~nK by
the: rollo"ln& diffen:nt i,,1 eql.ll i ion:
iJ"
+,........_0.
"
As drmunstra tcd b)- T IIO,Iot .. , one of t he solUlions of Ih,s equation .:&n be wri utfl j. lilt
""
form
11= C. ln(A+ , I A1 - 1)+ C' , (2.10)

A _ up b '"' + [1 - (2eO:lO '"b -I:~"T I:~P b2.,)· '"'J" (2.11)

If thl: su rfafl: is buu ntkd by a ~I:ular "'-."1: form. The <;unoes repmoe,lt ,uve fOllllf. The
~riod of the fun<;t ion is I _,.,b (Fil. 2(18b). "'hlle C, lind C. a~ con~l.nI5. W.,~ Ir\lO.IBIII
li re spaced . , )' _ "h;,. "" hile the wal'e crests are . , )' - l" + 'I.)h,.,.
"rom Ihc:sc equations "'e obtain for point! under a "'.. "e c~~t;

"
)" "" 2 . A _ 2ex p ,,+I , '"'
(i = 2C, ln re~p: + \ lu p ~~+ lJ + Cr,
the SImple rehlt ion.hip. from ",-hK"h the tem~nuu~ ~I '''Y de,,' h .• under the paok o(lhi
""II"e crest Cl n be: calcula ted. oIKe the valu~ of the oon\,anlS C, and C,. as ",'ell IS tbtoollft
of the courd ina te $)~tem and the position of the }' a~i! are determined. Al tile same poont
the \"Ilue uf Ihe gwl hcrmal I radient I~

' (exp h, + \Irt~" T2., + I )

..." - ,
~~p b
2C,
-- -. (2.13)
up -; (e~p; + \/~~p ~ + I) +
'.1. AI<I>MLU, C". D,e TemlXmturprOinosc 1m Tunaclbau. ~rll"". 8 :16 19S3 41-42.
,.,
which apVe_ehe, .. ;.h Inc,.. . .;". dep.h to ,,'" ""'''' ... u m le, b. C ..... ~ .. <,,"ly .•1I<
, hc<"" r. 'he ".Iuo or .he ",,<"he , ... _' ~'''P d"""" .."", under ........ ,·c c...,.. ... "h ;no.n"ft. <IrpIh
"'va><
.. nOil ,he mln,m"," bi le, ..."alned.
Un""'. ,.......0 "OUl h ~ .he v.\...., co"c;.pond,nll . ... ,. _ b -. "

.- '. c
, In ( ·'b
""P + \' c~" ") +b - \ c, . (1.1'1

and the gcotllernud ,rldient is

exp II
X( c~p .II, + \ Ic~p 2,
b - I
)

"
--~
dx
2C,
b
{l.IS}

i.e. it do:crca$es w,th in<n:asinll depth x .a nd lend s to the minimum 2C ,,'b. The II"Otbmnallkp.
on the o ther hand , <:onl1n ..".\ !O increase: llnltl the maximum ,'alue bl2C, is '1I~. Thus, or
--
!C, - --
II dx
[db ] ~ ..
-. (2.16)

"III reflresc n! the normal geotherma l ,'adi(nt Ql ,~al depths. ~ this , ... hl( is kllOOll"ft ror
I specIfic I)'PC; or rock., the m3pilUdc of the constant C, un be: compu ted ..
,b
e t ..,!" (2.1 7)

For the dc:H~rmmalion of the posi lion o r Ihc J' uis. the depoh x under .. a\~ cmI,!JIoIJd
Ix expre5>C'd from Eq . 2. 14 ~r>d Ihe deplh.<! under waye l' OUllls from Eq. 2.1 2. Thumphulde
of the 6 isotherm 1i~ is thus oi:tla iMtl as the tliFerena: D .. '~I ... ,.
Consequently
.., ' -- -C, +ul" f- '-C,)
-
D:obln ".,:'~C I !C I (2.18)
e~p ~ CI ~ up (. £1 ~ C,:)
2C, 2C,
.. hence

C,ln -
.., (l19)

'"
II fotlow~ Ihal OTKI: Ihe ampillude of a /1 I",,,berm ha, be"n r"und . • h" C, Mmllnt Clft
~Lso Ix dc lCTlllIned. No more Ihan the aeotherma l vudicn lS and p:OIhcl1l'llll ~ Illbe 11IIInt!
lIdill and e"in and untler the ""otesl oVnburden nectl Ix com pu ted. Inl enncdllt~ iIotflmn
pomlS can be pLol lO;:d by interpolation. If IIII' l enlClll 5«lIon u( weh ~ "~I~ dots DOl dc'>1I(C
100 much from a regulnr sinusoidal "'a"~ li~. the theoretica l shape of 11loI11OIhc!'m Cln be
cakulated from t he e"prnsion:
{J C. D ~ C, (j - C.
up 4 _ _ + 1+ 2 ClIp 2 -_. c~p +1
r_" ILn C,
c. --- -
C, 1 C,

,I f} ~
8 e~p2 -C, •
2
-I,
-
2 up ----2
£1 -
C,
C

(lM)
 In oP"" or "," .impli l'ylna ,.,.. .. mpt ion. m.d." th. ; " f .., ....,i .. " ~"I>pl;..,d by 1M.....1)'1.,..
",e,hod """"",mI nK ,h., ; nnuen ee or '""a l" r""".tim", on ."" '-.1"" o r ."" '''",m.1 JRd;"'.
and .1>00 ..,..' .........1 >leI> ;~ ""' Y ~.I uab"" .
II.n. im .... " .". role i". p'.ye<! In ,1>00 .bove CQ"""lo .... by .he "''''''''an l C , •• h" rna"';'''
or " -".eh depend. on " , , ," , 'he normal (~tandD.dl •• ad;enl .pec ltk ro r. he 'OC ~ . '" b ..,,, .. lly
on 11>00 ' ..... mal ""ond"".;.i.y o r t h e roek ma ..,rial .
COIICCm i nK Ihe ma .."""d" or " it "'as r ou nd by K lINoG.O"' ·'<JI.a a .. d T ......... that .he 1011_
of I~ t)-pe o f rod: is muc:h less prollouncfil lilon ils slnl1iHc. ,io n and c.pccl.L1~ 'he in<lin.';on
of ,he layers, u is clearly ",vcalcd b) Table 2!V.

£ffUI (If Dip 0 .. Grolltnm,c GrfJdJt"l T .. .ulV

,.....",.,
" ,"" or .<><t
1 " I IIDli-.1

.."
<C, <C, co
O!)C:iS5, prOlogine
Granite. limestones
Cryslll ll ine J;Chisl
()-027--O{J28
0-(121 0-()28
o-027- ()-028
O-oH
(H)34 0-036
.......
(H)J4 &OJ6

0-037-01)41
~

F,lIlle$ 0-027-0'028 . .31 0-032-&033

W~n in wei cOlldilion, ',,-lut:Oi may
be sub)CC1 10 I futl~r ",d uction of 8 '~ p" S' ,

T he above method is also illustrated by A NO RI:.. F. by a nume rical examplc.1.Il

When plo ttin g the thermal conducti vity ... alues for different dircctions n:ferred
10 a giveIl point in the rock, u rotllt io nal ellipSOId is. obtai ned, t he minor UIS
of whic.h w ill be perpendicular 10 the stratification.
The elTcct o f moisture is ve ry conSIdera ble and te mperat ure values npprttiably
lower than th e oomputed ones are an ind ication of the pro}(lmity of water.
The estimatio n of probable temperatures in the tunnel are impo rl;]'lIt beclIuS(
of Ihc deteri o rat ion of working conditio ns at tcmperatures abo'·e 24 28 ·C.
Condit io ns can be im proved first of all by increased ventilation, secondl y by water
sprayi ng, and sometimes even by the introdu ction of refrige rat ed air. The QUlput
and power demand o f cooling an d ,cnti lali ng equipmcnt to be provided "'ill.
t hus, depend on lu nnel te mperatures and. therefore, its determination IS n:quirtd
in ad vance. Occasionally c'en a different alignment muSt be ielected for tbe lunnel
",here p reli mina ry estimations reveal e~cessively high temperillu res o\cr tile orig.
inally sel«:ted rOlltc.

1.1 4. GEOLOG t CAL t'WO FIt..E A LONG T H E TUNNEL AXIS

All resuhs o f preliminary geological su n 'Cy and e:< plo rati o n should be u"iled
in the gcological profile.
The main items to be ind icated here arc thc locat ion and deplh of boreholes,
e:<ploralion shafts, drifh, etc. lo gcther wi th all mforma tion o n the Tock obltiDed
ot herwise .
•n .-\ NI>I<Uf, C.: Die Tempt:fatu rproanos.e 1m Tunnelbau. S~It ... 8:fl/. 1 9~3 4/-41.
106 n.EUMI\AlY STVDI[S

Beside the bore log in the tunnel axis and Ihe location or tile tunnel, the geolog-
ical profile should display all rock types, their condition (fissured, weathered, elc.),
detailed information on stratific31ioll, fold ing and fault zonts and, where possible,
even strength propenies. Hydrological conditions (groundwater table, intercalated
aquifers, artesian water Ic\el, Ctc.) must also be shown, together wilh wa ler gouges,
springs and water-bearing layers. A very important supplementary featu re of the
geological profile is the cun'c of the estimated internal tem peratures (cf. Figs
2120 ODd 212J).

,
FIG. 2/19. Typical JeQI.,.,,,,,1 profile of a sub....ay

Geological profil~ or subaqueous and urb~n tunnel! .... ould be in.complete

withou t the indication or the bol1om or g.rollnd·surfa~~. of the ex te nt of level
"IIC11l8t101'l5, of the riH'r bed mate rial. its physical propenies, especially its impe r-
meability. In additioflto these the weight. foundation condi tions of major buildings
on t~e surface, elel/ations of poSSible access roadw 3Ys, the location of public
utillllCS. elel/ations of I/arious groundwa ter stages together with the pertinent
heads should nlso be entered (d. Figs 2/19 and 2/26).
The objccl of tile sun'cy prct:eding actual \l.lIlnel construction is, esscn t ially.
to furnish prel imi nary information on all drt:umstances affecting the site, loca·
tion, oonstrucli on and dimensions of the tunnel. in particular the quality and
posi tion of the layer to be penetrated, on rock a nd .... atcr pressures and on water.
gas and temperatu re condi tions within the mountain.
 <;EOtOGICAl ~~ Oflll 107

.: • ,'lIfl !itr!3:~"t
~ .lrllJM _, ..til",,!
p

,,, 4 J' 6 78.9t(J.98 7(f~4.J R I

FIG. 2/20. Geotos,icll p",foIc of ,he Simpton tunnel

2 I U 'm
Fill. 2/21. Ge<>loJlcal prolll.: of 1M St. Gol1M.rd lunMI

Willi a dct;u lcd Imowledge of tile g.!ological pancrn the correct method of
construction can be selected and lhe II,Innel lining. dmmage. insulation. etc. can
be dl'Signed economically and ""nll adequate safety.
Tunnelling usuall~' l?resents no pMlic ular dilileulties in eruptive and pnleotypal
hard rocks. Although the cou of u.cavallon is us ually higher. no temporary
su pports are necessary and the possibilit y o( a full face method ensu res rapid
'".
IIdvance ""d economical work. Thin linings WIll pro' ide ampl< ",fely .gainsl
t he small rock pressures.
In soft r o<:k~ ( li mesto n e, dolomite. Tertiary rocks) excavation j. clleaper. but
the ins.;.lIalion of tempo ra ry supports ,s slower. more e"p<:n~ive and I~,. ... re.
In fi ssured rocks large_sca le !irnberlng. so lid hnings "nd COSily drainage are
usually required.
The greatest difficulties are likely 10 arise in allu\'ial rocks in the vicinity of
the surface and 81 moderate depths. These rocks are usually completely saturated
with water. Especi:Llly adver.>e conditions may be encou ntered in young soft
clay, sa nd ilnJ (ine sa nd soils. especially if they Me walerlogged. These types of
soil are likely to be penetrated du ri ng the construction of underground railway
lind su baqueous tunne/s. and s~ial const ruction methods (shield dril'ing) hm
to be developed to O\'ercome the d ifficult ies.
C ritica l seo;tio n s in tunnel construction mn)' be those o round ponals, i.e. adin
and e .•d ls which in the case or a slmlilicmion running p antlle l 10 lhe slope may
be s ubjected to loads (due 10 creep-pressure) e:<ceeding the geologi,al pressure
(cr. Fi£. 2/ 32).
In the light or the roregoing considerations lei us stu d ), the geological profile
or some or the better known tunnels at home and abroad.

The IColotPcal profiles of the Simplon and SI. Gouhard tunnels are sM"'n in Figll/20
~ nd 2i21. and both ha~ been oomp lcted from actually observed temperalure dltl. As Cin
be se<:n. the rocks to be penetrated consisted mainly of iKneous. paleotypal nxki in tbe ~K
of the SI . GOl1hard tunnd , .... hik ~iss. limestone and shale layers pred(tfJ1inlt«i Qvtr the:
len,lh of the Simplon tunnel . In Ihe ~'aSC of the St. Ootthard tunncl the I~)~II 'ill not foldl:d ,
are mmlly ~ertica l and the tunnel uis runs perpendicula r to the mike, The rocl l.jerS
ovcrthe SI mplon tunnel are cXlen~i~ely folded, I h= dip is h illh ly vllriable, &omtlimes I()IH'OlOch.
inK the horizontal. yel the tunnel ru ns generally in B direction perpendicultr to lhe link
There art' differences in the ,reates[ depth of overburden also, Ihis being inS m in the talt
of tbe:. 51. Ootthard tunnel and 213S m o''er tt.e Simplon tunnel. It wilt be ptrctj,'td tlilt
considerable differences e~ist between Ihe "eoloEical profi les of these two d«p Alpine tunnels
in spite of t heir simi lar char~cter. These differeocfs were refleo.ted by the conditiQnHllI;oonler·
ed in IIctualtunnel ling work. First of all the obsel'Ycd differences in tcmpcratulli "elll oonlp;ro.
ous. While Ihis was 3(1.8 "C in the 51. Oot[h~rd tu nnet. in the Simpl"n tonnel it rexhed
3j'2 C. This difference can not be ~plained b~ Ihe difference of 380 m bc1~'etn overburdc:n
depths, partlcularl~ becllU~ Ihe occurrence of 1he peak telllperlllUre in the St. Gouhuu tunDeI
did not coincide .... i.h the ."."ion under the 8r".le" c<>ver. An e,scntial dilf.... ncc I. 1<> be
delected, hOW1:'"er. in t he dominant dtrect ion of stra1Jficalton. Whert'as I he II)'ers OI'rT the SI.
G..,tlh.rd tunnel are vutical and consist of granite hllvlnK an I1vera~e hell cond!ICti.ity
ooefiicient .. = 1'81, the layers ove r the Simplon tunnel are in'lined mOl-liy PlITlllcl to the
slope of the terra in ~nd consist of Jurassic limeslone. Eneiss and shale with btl! OOI1uoctiviry
eoefficient$ of 1'1 2, 2'20 and 0'9, respceli~e1y. The other ~i"n ifiean t difTerena: _as in the lOX);
pressure encountered, inwrIT that nO genuine t'lOuntain pressure "''as to he roped "ilh It
all in the CII5e of [he Gonhard tunllel becaU5e of the hilh mcn~th of rocks pffiora ltd.ITUe
rock pressures li.e. genuine mountain pre:r..~ ures ) of high intens.ily had 10 he OI'el'OOmt, at
a distarn:e of 4 km from the adt l l1nd OI'cr Ihe ce~lrlll seetinn in the J urassil: limtllooe or the
Simplon tunnel. however. In asreement "'lIh the theory lhllt under deep o''emurden liYers
limestone suffers plastiC deformation and behavH like a plastic rock (cf. Sections It.11 and
31.13).
 GEOlOGtC.o.L paOfILE 109

Fia. 2122 ~ho",'s lhe gcolOli~1 IlroHle of IIIe recenlly buill Monl Blant hishway tunnel.
The r()(;k ptllelrmd wn.iSled chicH), of Ilrotogine (a Iransitory species bel",e.;n granile and
gneiss) and of Cf)'Slalline shales. Serious dlfficullies '-.eft encountered in the 5el.:tions where
lhe IlfOIOJine WIS modified. i.e. ",here it \lilt in a q ushed Slale 01l.1nl [0 lhe IClion of previous
e~ctssi"e rwl01i~lllre5SUrt (miloni lizahOn\. Genuine mountain IlresSUrt had 10 be o\'ercome
here (sec Stelion 1 1)) and denJ(ly spaced roof· OOlltnl and a considerable inner s upporting
s~'Slem had 10 be applid as • prule<:li\'e measurt.

_.- j"H'l~ li/f'fl(r ""uI3" );,,~'I!i

. ~rrI
_ f}ln!!JtN I'lri ~~ttrlt.." Wtl' k#! l;; ,'OIj
_ _ _'NIl u",# -.I "" IIII 6IJJ..#
"'1II> .'mtt Ikf'ltr

-t-~

,
S/'C . "'t<rw, ~
s/rliJ i:i
FIG. 2:22 , Gcoloakal profile of the Mont Blanc '~ht<:ular l"nllC'l

A nullwr ImCtUllnll rClOI u~ of Ihe fi~u~ i. the rep~Stntation or i>otherms I1h",,," ~, I ?61
Jan ,). The tempt"n"re values "'''''lIy n>euunod are fa r ~lo"" 'ho", OblalnN by prior cltlcula-
'IOn (lifter Prof, 8110'-"'). Th,~ lI<'arl~ 100·. ditrcrel'!OC may be ...·ell IIKfibed 10 the I n:mcndous
"",>linlt .lfect or , he coo'ennJ &!aciel'$.
The aeolollical profiles of U~ Gr.at Apcnnine mnd Tanna" " c"nnels are repro.luccrl in
Fill' 2.'lJA and 2jlJB. Tho.: roIHpari..:>n of ,he 1100 t"nMl s ""nh nch olher and IOlih ,h<: f''''eao-
;n, c~.mpln is h' atol)' ill""lralo"'. F>I'$( of Ill. m 'crburden dC[>Ih. or th~ ,""0 1Unncl~ rll"ae
(<om 0100 co 600 m (IJOO-ZOOO ft) onl). ro Ihal CemponllU"'" ""kulaled on the b>o,,;~ or the
lI"uttwrmll s1ep should ha,', been .pp""""~b!y 10"".' than Ih.,.., actually observed ;n che
Alpint tunllC'ls. Yet temperalureS as hiJh ., 60 C ""cre .ncountered in lhe Great Ap.cnnine
(unnd, ",here" the h,gn.:" ,emptruurc ub",,,'c d In Chc Tann. 1"'11Iel ...'as nol more Lhnn

.... cr, Repon or the Cun>l fuction of ,he Tlnnl Tunnel, P'(X', W",iJ £"". Congr. ToJ..}o
1929,
110

28 C. although temperalUrcs lip 10 59 C W(re estimated. This laner estimation look into
Kl:ount the porous \'olcanic tuft' o\'erbunkn material, the e'pcctlble gas and hOI spring
inbrcaks and posl\'okanic action (SOlr.IUa, fumarola), In the Apc:nnine tunne l the discrep-
.ncies 11l: due \0 inlensi\( melha~ inlilcllllion through the EOttJJC clay shale (2'3-3'0 km
(rom the northern aditIo

FIG. 2i2]A. Geololl,cal prolilc of ,he Grea, "P<'0ftHl., lUnne l

--

1"10. 212) 8 . Geololic~1 pf(Im" "r lhe Tanna T unnel 0"1>"")

11". r.i"d the te mper-I1I1'" oon .. dc .. bly. whereas lhe IJUI quantity Of ....... Ier r ushina
inlO , he Tanna lunnel exerted II oon,;dc:.. blc lind UM~P«ted cootina elT...., •. T rue rock pres_
sures ""'re en.:ounteft'd in both tunnels. In lhe Apc:nni~ IlInnel this w .." expcrtcrK:cd in the
clay ,h.le m'mlioned bd"o ...... h"n: lhe Iklll.n me1hod a nd lhe 1.. """oi,II, 1 li m ber.Trame
IUPl'Oned dnfl$ had 10 be abo.ndonc:d i .. 'a'"O\Ir of Ihe Aus\r;an method and or circu lar drifts
'n>ed "~' h hardwood bloch (d. Fill- 2/23",). I.. ,he Ta ..... tunnel Itnui nc mOu m .. in prc:sSUTeS
_ppfO>Ich,nK 20 k,,"'m' "~n: """.,ured ,.. lhe solf. , a •• day ,.hkh II .. proo u e t or .. n des'le and
andes'te ,ul'l' ....,""hered by h}d,ot herm_' IChon. This day"· ... encountere d in f .. "I, 7.0nes .. nd
under lhe a<'1,On 0( ""te, no"...J hk<: .. Huid nuts. into the lunnel. In Ihe regio n which di5_
pl.~ed 'iKnt of \;oJent voleanie ...1;on tilt rock was den~ly ;n'e .... o."e n w it h f .. ,,115. wh o se
"'id'h c""ffded ., m in many pl.""s. Orivinllhrou,h twO similarly "itlc r .. ull ~ (i n dic .. lcd ;n
lhe fiKure) look 8-9 month. 10 accompli.h . AlIeml'l' ....-ere made '0 dr .. ;n Ihe in nowi n g la rge
 III

quantiues of waler with the help of an au.\iliary drift system (d. Section 72.333). In the loose
crushed r()l;k section extremely greal dilli!:ul!ies had (0 be OHrtOme before the tunnel could
be completed a1 last by the uSC: of shield dri~ing, compressed-atr dewatenng and cement 8roul-
inl. The Tanna Basio itself, as shown on the gcological profile. is the result of a dep ression
caused by t«tonic action . . hieh was acrompanicd by the development of a dose succession
0( a scries 0( faulls.. Alana ml ny of the closely spaced faulls ,...,ter burst into the tunnel and
the inrush 01 wast quantities of watcr(Q.... = } 4 m" sec) caused stl-eraJ falal mass accidents.
CORSldcr1lbie iolla.... was enwuntcml during the (onSlruction of the: Apenninc tunnel 100.
(Q ... = 0-33 m'isec). As rc~calcd by the' comp:lri~n ollhc p:oIogical plOfilcs of the 1\\ 0
tunnels, tbe: peDttrluion of young sedimen1ary and igneous rocks or rock fragmen ts may
Invol"e ""iouo dillkulliC1 e,..,n in Ihe ca'IC "r s",all~r oV1:,bu,den dqllh>. The preliminary
eJCplor31ion "r gcolollical condilions may p,m'e impossible for lon~ lunnel •. ,ince e~ pl oralory
bo~holcs lind "har.. cannOI be space<! c1"",I)' <:nou,h 10 Dbla in a ""mpl~l~ piclure of Ihe
pOSlibk ""rial ion •• Sc"~n borchDI~J were d,illed for 1M Apcnnlll<: lunnel. and II close nel work
of borchob "",-, hlabli~Md In the Tann. Rasin, bUl lhQc filled,,, furni'h alilhe informalion
reqUIm;! f.,.. lhe rcliabl~ predlClion of prolo~""'1 cond,llons.. 1.Io,<:ho'" arc F ... ra lly 0 0 5u II" ble
for lhi~ pu.".,...,. and e_,ploralM)" ...... f" arc 100 .~pcnsiV1: and II"", co"",,,,,,;n, so I hal I hey" rc
...... Iy ........ rlcd 10. ( For uampk, Ihe drivinIJ of .. 100 m Il.lO fl l <Itt" .haf1la~e!- 10 ye .. r!)

T ht: IIc'Olo,ical profile of anolh.r lun",,1 kno"n also for lhe difficul"~~ encouOlered
du'ill~ Ih~irc"n'lruClion is ~hown in Fia. 2j 24 . Th e 'carbon' seclion of lhe almoSI 8 kill Ion I
Kar""'~nlc" lunnel on 1111: Villach_Tri."e Ii ... ii famoul for Ih •• ~lTaordin~rily h i"h . aenui nc·
mOllnl",n p,«<ul""-' e~pcri(ncc:d lhe~. Ahhou,h the o,'erburdcn "' •• no. rna", Ch un 6~O m.
Inl<nse )'>Il:!o>U"," p""hcd Ihe ,,,."y uhlar SlO ... muonr)' linIn.. al",<><1 I m lowards .he
a.us and lhe c~li(>n of limber headinas " -IS t\'du«d by Ia.""". ," 'I""",una. bol1om up-
lI<,v.1 "nd roof wn.Kkntt 10 liuch an UI.DI IIl.u il n<CcUII.led wnOlan' rcoon~lrocli on and
rcinforttmcnl . Cond"ion< 0:00101 nol be impro'"Cd by lhe in ... II,,;on of dOilble )00 mm SIft'1
_I,on fra ...... pplied ~I the bollom head in,. Ibco.e be"" defo,med '" badly'~ li",ber framn.
COnd,';on. bc<: ..... w,,,,,, " 'hen lhe top he.din, " ' I ) driven and lhe: 4 '" . hio;k nalurlll deck
krt bet,.-«n lhe ..... 0 hc~,!inll-' IUIf.f.d a hea,'. I I Ihe bollDm of lhe ~ro .. n he .. dina. while
il ~ul!h"d" do"'n"'~rd m"""mcm.1 lhe roof of Ih. bollom he.do ns a •• ~nnSCquCllce of Ihe
<normo"s .ide P"'"""«' r.~u l1 ina In .. compl<l. dislo";on of Ihe .... o .... ""clion~. Th ese hl lth
pfOllum o.cu"cd principally in o«:lion. dri~n Ihrou,h coaJ-ohaJc 11)'cr1i inlerwoven by
cl.)'<'y ......1. and ,1.lc I.yort ",mcl;nICS in con,binallDn ","h qu.rlz .... nd,lone and Quurlz
conJlomo:ra'c •. T he .halc<o .ho ... ed a I.rnlen<:y 10 frlCl ur~, ...·bile lhe q ... rt~ rocks wc-re as
Nrd .. al .... n.. dlfficuillc> " 'ill be fully apprC<:laled ,f;1 .. fuhzcd . Iull li",bc-r IUpporiS
.mOllnllnl 10 2S .~ or Ihe .... o, .. >CCtion volu .... "e.... ,eqUIm;! for con"",,"li na one- linc-ar
melre of ,he lunnel. n.. diffocull",_........ ob,'iou..ty due 101M pla .. ic ddOr",a li o n of I hc
lo ... ~' ren"h """I .nd cI.y $h"lc I'yers which "'CfC .'I'"bl. of con';"'rabl. pl, .. ic deformal ion
and in ,,'h .. h,h. d •• do" .... n' of 'iw; ,"'''So,.li.f 'ook pl ... < ,er)' slo"ly .nd "'~. accom "anied
by lu~ de(ormallon (cr. ..,nu,,,,, mou"tai" pres.u,c).
112 PRELl.\U\I~RY Sn ;DU:S

The geological profile in Fig. 2/25 is that of the Semmering tunne1. Nt This tunnel is one
of the t}pical e~amplc;; of pass tunne ls, I'htre the o~erburden is minima! and its deplh vari es
from 40 10 100 m only. This nalurally results from the allempts to minimize the length of
the tunnel. This advantage is, however, offset by the weathering effect of me teori c waters.
fr051, and other atmospberic and biologica l actions which is more prono unced in the thin
overburden la)·ers. Con>equenll y, a greater loss in st TCngth was produced and water found
more ready access to the tu nnel. MoreOI·cr, in the location selec led. the rocks were in a highly
folded, faulted and fractured condit ion interl'ove n I'itb numerous clayey laye rs and at the
interfaces, layer boundaries and faults the SilU31ion was aggravated b)' the inti It rat ion of wa leT.
M a di,tance of a few hundred metres towards Ihe mountain side sound SIron" limestone
would pruhabl) h a ,"~ been e ncount.r~ d. at the pr;ce of Ihe tunnel being lon&er.

{Mrk_ 1'"'11 ~"ll' wd~

rz::iI filii .. NOli rli~ -;c~,.fJ
= ("01,,,,.11 !flirl .. ""lh
'~II .dul.

. -.
~JJ{" / • . , /

FIG. 2!25. GeologIca l profile of the Scmmcrinll' tunnel

The mountai n ... ns. consi,u ofTna"ic and Ju,"ssic ""limen" wh",h were su bject to violent
te.t"n'" lIetl(," ;n the ,·idnity of the lUnn.!. T he ",<k. can be clu,ificd broadl Y into t ..... o
~mu p<, the first nf which (n compri~. Gre}" q"~rI ~ite, and ,rey phyllil ic clay s hales. The
more or le,,~ <na r",ly g""ined qu. rtz;l", an: of a block_like .t r",,'ure. and ..... ere s ubject both
at the ~urf.oc and at Grea ter depth ' to consioo,.bl. l""lUnic force, ... lIkh is reflected by the
'''''''11
f"ldinS and fraC1UrinS. The res idual pre,"",", in Ihe'" ",,,b
"ere e"tremely high a 5
wu indicKI e<.l by the ,pa ll inS off and di'imegration "r Ihe individual layers into incoherent
.hinale . Thi. pr~ "'·as r. inforced by seepage "'ater. The lI'r~at"'1 overburd en depth ;5
100 rn cu mp"", d of d~l·k ph}liitic clay .hale, of not mOre tnan 10 m thickness and of 40 m
of pure qu .. "~ III}·."'.
The ,",c"nd ,rnup ( II I compri",. brown. closet}· jointed dolomite, of low strength, and
reddi.h bmwn phyllil i. cl ay sh~le •. the latter ah., na ti n, clO<.ely "ith the d o lom; ,e. Almo51
",hite my lunit ie clay ,hales occurred in the ,·ici nit y "f the <outhe rn port,,1. T his other kind
of ovcrhurdm has likew;", a muimum thickn., .. of 100 m. w;lhin which Ihe tOlal thickness
of the brnwn dolomite amounts at most 10 20 m. Ihe phyll ili< ~by ,hale 10 t~ m. th e lighl
""Inured dolomite 10 2S tn . and Ihe quartzite to 20 m. U, ually, howe,·er. Ihese rocl< types are
thoroughly miud .
.... HA 1' I<U. R .: Der n.ue Semmt:rinalunoel. £isorfb4Iur".hnis.M /{und..{"hull 1952 H. 12.
 mOLOGICAL PI!OfIL! III

Plastic How or the rocks could be ohscn'cd along almost the enlire lenglh or the tunnel
~aryinG between I hilher aDd a lower rate, depc:ndinll on wMther 1M till)' shales, or lhc
dolomites and quaTlzilC:S "'cre prtdominam. From these Ho",· phenomena it could be con-
cluded thltlhe rock ",ucitMr orilinally in a limil ~ate ofpllStil; equilibrium, or was broughl
into sucb a condition 1$ a consequence or Jtrc:ss concentration productd by Ihe excavation
01 the arti6cia1 holt. Whichc\cr 1M cause 1hc pressuru experienced were genuine mountain
pressures witlt intensilies ranging from 10 to 2S km/I;m' corrtSpondiog to overburden depths
between 40 and 100 m.

ID ""'.... C "".
C - . . _',.-..oJ a ,.., ,.,-U_6
a "",

JW/o." •

~ .......·t _ _
--
.....
1 10. 2/26. Geolopc.t prt)/;t""
Clf variou. mb.aqueau. lu"""b

o..inl to the timiltd con'Iru<:lion lime Jpccified for lhe compltlion of lhc lUnne' (27
monlhli) it ..... impobiblc 10 ..·ail for lhe prov~'''"e dev.lopmcnl of lI.nuine moun ... in
prcs~u", a nd for the .... ildinll up of lilt n.tural prottC",·e (Trompeter) rone.
A ~~n."U""'t.ncc coI.pccial inlerest wu Ihe conSi<k,abte he.>·c oIlhe bonom rcsullinll frum
lhe p:nui"" mounlain prc'lSure. lhe ma,niludc of wh~h 'lIai""d •• much as 2 m in 'UITlC
pl_o. The m.'nl.n ......" of lhe bonom drifl ciuiW'd iW'rlou. dif'fii.:ul1H;:s durina Ihc cnli,c con-

8 ~~. 11M .. " of Ton .... "n~

'" P"LUMI N .. ..... STLDln

",oe';on period a n d ,~~ 'nond ,.. " . """,<1 for ,hi. Tea>On all ove, 'he hillh press.", 2O""" .. I.b
, inll' ",ade of I'~ III lonll beech block s {cr. Grca. Apcn nj "c ''''' ''''' and S= ,on 'VlOl.
T~ e"tent o f bo',,)rn t.., .. ~e I""...,a ~ d ", j ,h ,he ~i LC of 'he ~ ; o n """"vated «f. S«:< I"" J.4
a nd Fia. J I S1).
The above oboe,,"a';oll' ....eTc rnH dc dudn"" ,he ,,,,,on'''''''''on or ' h" ,,,,,, .. I in ,II< , ... "
,9S0 to 19S2. a n d dU""1I . he co".",,",Ioon of , he n O..... ""II'e " "k
. u n nel !>2 m ""."" ,he
,no u " ta ' n .i d e. G co lolJlcal co nd i' io"", h""" h",dl), dilfc<Cd from Ih ose of , he o<;~ .. ' d"" ....
ItaCk (unnel con~lrucl~d between 1838 and 1852.

Even more serio us diftkullies ffiily be encountered when lunnelli~g l~rough

re<."C nl geological deposits, particularly under ri'ver beds.

G eo logical pr<lfll~ of FioJi: fp mou~ subaqueous lu"ncl~ Qrc sho ....·" in Fig. 2126. As ITKnlion-
ed pre~io"sly in co nnec tion .... ith the locat ion survey, in Ihis ca>e the cOl)sidc~tio)nloflosl
h~ighl a nd of wDt~rtightnel>S D ssum~ d~dsi,~ i m portanc~ sinc~ th~ lunnel section mw Ulualll
be dcsllned to WIths tand th~ full ~OSllltic and hydrOl ta tic l'Tessures. The ~Xtent of permeabil_
ity of lhe lay~rs o\'~ rI Yln g t he eXlrados of lhe lunnel IS. Ihus. one of Ihe 10\'~mini radon
especially .... hen: shield drivinlcombinC"d withoom prnsed ·air dewatcrin~ musl brmon~to.
Fa~'o urable conditions were ensured In this resp<:et by the plastic day surroondinl tllt:
Anl .... c rp tunnel, and the red Tria,~ i c sandstone Ihrou gh .... hich the Mensey tu nntl ~l! dri~n.
The O LIgocene K isccll day in" hich t he K ~po'~t~~"""gy~r I unncl v.. as buill for tllt: Budlpc:lt
wMh:rworks wa~ a lso ~umciel)tl}' imper vious. The fine loose sand o .. ~r the Elbe tunnel In
Hambu rg, the ~i 1ty peal w il in ROllcrda m and the gravelly moraine debris penell1lt inAinlo
Ihe rock obMe the Queen'~ M idtn"n IUnnei p ro~ed to be highly ineflk~n1. For Ihilrtal<}n
the method of sin kins inlo place frolll above "'as preferred 10 shi eld drmng In K Oll~rd.im .•
whI le II d ay bla nke\ selll was sprea d o''er Ihe 1I"er bed a l the Queen's MId town lunnel , Thil.
howe''er, ....·as Insufficient to preve nt the inrush of ..-ater ·from above: which otCurmi ~
durin~ const ruction. This also happened. but ,.mh a Illu,h Jo:reater intensity. In 11M: IbmooTI
tun nel where lhe interna l o"crpn"ssure of Ihe comp~S\:d air used for d"wal~rin! I~ uea'l·
lio n, e.o;cco;ded Ihe it) dro$lat ie head and bursl throu(>it lhe air-pen'ious and \\'IICT'peo ioos
o,-erb urden . Aft er lhe escape of air, ""ater and s.an d from the ri"er bed filled t!lc lhitld ,ham·
~r. A single ....-ater·bearinjJ pa:l;$ll.g<: in the otherw i.., imPl'rmeab le cover is s ufl\ciem to ca"~
a Similar disD$ter. Whe re under&round condi tion s a r~ di fficult or dubious t~ procedure
follow ed at the Haarle m Kiver Syphon on the Croton aqueduct may se~ e as a rnodfl (FiE.
2127). As ....-ill be pcrcel\'ed. an expcrillKntal drift "'as driven al II de pt h of 36 !TM:tTtS and II
pressure a nd secpalC condillons ""ere fo und to deteriorate exploratory bon:holn ~~re drivtn
from il. All thtse ~i~ n ~ Indk ated the proximity o f a f~ uh fill~d with weatho:r~d al1\J cru>hed
rock . The explorat ory d rifl was tben abandoned and the sypho n t un l"ll;l "~ $ C(lflSlructtd It
90 III depl It , ",here wund rock layen; "cre encountered. Complete information \lIllllt: !WI~'
cou ld thus be obta ine<.l here 100, by meanS of ~n nplor"ll tory drift onl y. For Ih,\"a)(ln t~
'''hi 'H bili l)' uf pill" 'H"I ",' plv".I.,, ), hCIld'Ill:!s d,.,,",, lI ) ra,. H~ I"".iblc in "~"'rtC. of tI ..
enlargement to full sectio n cannot be oyeremphlS i~d (d". Section 62. 11 ).

Geological proliles of some o ther remarkable lunnels a re shown in Figs 2/28

to 2/30.
Among Ihem in Fig. 2/ 28 the geological profile of Ihe 3309 III (I I o}o fI) long
Galtieo-tunnci is re prese nted (buill between 1902 and 1903) alld may be r:gardcd
from ma ny respeets as a represen tative example dis playing the impona llCt: ofthc
reliab ility o f preliminary geological exploration.
According to t he geological ex plorat ion the mountai n range to be penetraled
o ught to consist of slightly waterlogged glacia l d eposits.
 (;EOI.OCttCAI. P1IOfILE II '

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Unfortu natel y th is foreca s t d id not prove true a long a 930 m lon g ex il section
10 Arona , w hlO.e vcry flne s and la yers were encountered with some g rayel and large
boulder conte nt a nd - a s a eo """quen"e of large aCceSS of waler - in a running
c ond ition . The excavation of this section w as origimtlly provided by the Belgian"
met h od. which was "Iso dul y s laned wilh ..... hen - qui te su rpri s in gly - ... aler
fou nd its acce~s
to t he ca vity accompanied soo n hy the entrance of silt >oo n Ol'er·
flooding the whole section. Th e difficulties cou ld be overcome only by dri~ing OU1 a
separate drainage drift. running parallel with the IlInnel-axis. Difficulties were
considerably increased when passing beyond shaft N6. III where a sudden 5urfsC(·
subsidence of about 400 m 3 volume too k place marked by a defin ite outcrop
acco mp.ln ied by an inrush o f wa te r increased to 600 m2/ ho ur 140 lit/sec = 40
gall/ sec. The greatest dilliculties had to be o~ercome ~Iill in the adit·section at
Arol1a, with an o~crburden depth not surpassing 30 m (100 ft). Although some
interjacent sections could be co nslr uClcd by th e Italian (i nvert arch) method under
com pressed ai r, at last it became n«essary to rcmO"e the su rface layers from the
lOp 10 a depth of about 15- 20 metres (50- 70 ft) and 10 sink down ,I series of pre.
cast tunnel 5~ ti ons as shafts from that le\'eI, o ne beside the other. The actual
section could be completed then above the working ch:llnbers under the prote\:·
lion of and within the precast side-walls (cf. FIg. 2(28).
Figure 2J29A is showing the gcological profile o f the recentl y constructed
6596 m long Bernha rd in and F ig. 2/29B that of the 5828 m long 5t. Bernhard'
ve hic ular tunnels in Switzerland . .
Figure 2/30 is prese nti ng the geologic,11 profile o f an urban ve hicular tunnel
constr ucted in younger tertiary laye rs viz. that under the Casl/c-Hill in Budapest.
It becamc later renowned by the defective insulation of its mason ry being exposed
to the direct actio n of Ihc percolalion of precipitation waters, which required
later the co nstruction of an ex tensive drninage system (cr. Fig. 7/ D).
In the absence o f da ta provided by an accurate geologica l profile not tlen plan·
nin g wo rk ca n be 5tart ed on prope r Jines, beC'.tuse of th e uncertaint ), in selecting
the location, th e method and dimensions of drainagc. and lin ing of the tunnel,
and there is a great dea l of uncertainty as to the most economic construction
method . The geological pro file is also indispensa ble fo r the eco nomical and corftCt
performance of ma in te na nce and of occasio nal repair operations.
Natur.tlly, in the design and pla nning siage this geological profile cannot be
li mited to a single vertica l section taken along a given line, but in order to find
oplimunl conditions it sho uld be e.\tended to the surroundings of the probable
alignment. Thus. for instance. in thc case of underground railway tunnels it is
usuall y specified to locate the explomtory boreholes alterna tely 10 the right and
10 th e left of the con tem plated tunnel axis, at dist.1nce5 fro m 50 to 100 m, rather
than in the axis itself. Where the explo ra to ry data displa y dist urlx-d gtological
conditions, it is ad\'isa ble 10 comple te it by geological cross-sections. Unfonu·
natcly. owing to the ga ps and deficiencies of geological ex ploration. the accurate
gcological pattern will be disclosed. especially in geologicall y disturbed regions
in the course of the actual l unnelling ..... o rk only (cf, the Tann.1 tunnel).
 GEOWGICAl P~OfIU 11 7

~1 "5'r
[Wllfi

,
F,o. 2,'29A . ONioak11 profile or the Ikrnhardule.. hilhway tunnel

FIG. 1/29 8 . OcolopcaJ profile 0( 'he St . 8crnhard .. tUDIICI

Fill. 2/30. Oeololieal seellon of tile ""hicular 'unncl undu ,he Castle Hill in Il udllpcst
118 F",nQlS II'rLt:E"Cl1'.(; lH[ LOCAYIOS-

2.2 FACTORS l ~nUE~C1NG THE LOCATION OF HIE TUNNEL

2.21. SELECTIO~ OF HIE LINE

The selection of the general alignment is governed primarily by the traffic.

or transportation interests necerosit3ting the construction of the tunnel and is,
thus. a function of the purpose which the road or railwa), line is intended to serve.
The exact location, ho\\"e~er, is controlled by the panicular geological and hydro-
lo@iclli condiliOIl$ pre~ailing in the ~u rrounding<;. The tracing of the route proper
shou ld be .ubject 10 the same principles a~ on the surface. th e train or other
vchlde 10 be camed through the tunnel bein¥ lhe same. The only difference is,
perh aps, Ihal in lunnel~ the adherem:e 10 a straight [me is c"e n morc de s irable .

, ,, ,
I '!!
,
I
I

I I
I~

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,,l- " ,.. . 2;31. Alian""enl

I
i "!
Ao.'
11 ! !a ~
mo<,I,/i"",ion ""heme of the
UH'OChbcrM tunnel

Th~ reasons for Ihls are not only those of ~hortcnlng. econo my in traction. or
better visibility, but also Ihe simplification of cOnSITI.lClion and su r veyi n g, as well
as the sett ing out. and finall~ beller vent ilation. The tunnel a.~I~ itself is (r"queml),
straight bUI tile adll se<:lloll.a re III a ulngentowing 10 the necessity to connect
to the open Ime. I- or inslance, al the sout hern adll 10 the L~lschherg tunnel the
line climbs for a cOMidel1lble distance on the steep roc\,; hang, bordering th e
narrow valley of the R iv~r Rho,": and penetrates abru ptl y ",ilb a 90 curve into
the mountain. A straight tunnel R:o;is ,",'as originally planned but, liS 10 be seen
in Fig. 2/31. this IH.d 10 he ahandoned during con.true!;on when the Kander
Crc:ck which flowed about 100 m (330 fl) above Ihe tunnel found ac<:css into the
headmg through a gravel seam and filled Ihe whole SC'Clion with sa nd y ~ ilt for
a lengl h of about I SOO m. II was therefore found neu"SS:try to by-pnS$ this hazard -
o us section in the mllnner indicated.
Similar solUlil)M are adopted more freq uell1 ly for suooquCQus ve hi cular t unnels
huilt in t~ city area of largo: porlS. OWing to the great depth!:! Ih c accc!>S ramps
would have their CAliS al the surface far from the waterside w here Ihey would
disturb the most \'II IUllble urban areas of the ~·lly lind where they wou ld fail to
 '"
conne<:t the related embankment sections. For this reason the tunnel is co nstructed
in the shortest possible straight line under the river, usually with a rectangular
crossing, while the ramps are CUl'\ed and ba\e their eXits to Ihe surface parallel
to the ri~er banks.
Cun'es may sometimes be inevitable in long tunnels. too, in order to avoid
adverse geological format ions. water-bearing strata, fault lones, etc. Mioor offspur
and hang tunnels may also be cu rved, in an auempl 10 follow terrain contou rs.
Spiral tunnels built to permit the n«"essary gradient are, naturally, always
cur-"cd.

FIn, 2/32. FOl\:es aClOng up<>n ~ (unnel pon_] (cr •• p_p""m,re!)

According 10 Soviet spttilication~ the mimnlum radius or curv-.IlUrc for cu rved

tunnds is 250 m (830 rt) on m:un till. railway tunn<:ls. !lIld 200 m (660 fI) on
bra nch lines.
In the choice of the tunnel a ~i s the careful sele<:tion of the ndit nnd ex it loc ation s
i5 importanl, II hRS occurred morc than once thin an incorra:tly selec ted portal
hils broken do .... n shonly after the commencement of e~f;avation and has had 10
be abandoned for another Slie. Conditions are cspl:Clally unfa"ourable where
"<cathered. loose. fractured la)crs slope IO,,-,uds the ponal. If these a re perforaled
by ~n approach CUlling befo re 11 $uniclently resislant tunnel portal s tru ClUre is
bUilt. the en tire ~Iopc may be mobilizcd and sliding can no longer be: nrrested.
The correct selection of the tunnel adit proper. i.e. the length of the approa c h
cutting is also of great significance. For economic reasons ilJi depth 5ho u ld n Ol
exC«d 20-25 m (6S-S3 fl). yet at lhe same time lhe adit section shou ld 1l0t. be:
51100 in a sliding la)<cr. According to STI~r highl) resistant structures ",ust be
designed in ullCefiain layers and Ihe copi ng of the portal shou ld reach a few
decimetrcs abo~e the fractured layers cO'itring the slope ( Fi g. 2/32).
120

Tunnels should, in general, not be conSlrucled in undermined regions (e.g.

ulililY and underground railway tunnels in mining dislTicls!). because or the
unpredictable magnitude or the settlements and forets to which the tunnel may
be subjected.

1'10. 1/33. Comp""""n of adminc<l (urva!urllS or U" old and ne ...· underground
.. il".. ay linti in 8udapts!

The alignment of urban underground rJilway and ~ubaqucous vc hi culor tunnels

depends on traffie and town-planning considerations. The necessity for co· ordi ·
naling the location of the statiuns and their entrances with the stree t network and
with the lown picture, an d thus adjusting the line to town-planning will make the
U!ie of curved section ineviulble. The problems arising from the selection of an
appropriate tunnel line are especially difficult in the case of sub-pavement under-
ground railways. which are bound to follow the st~1 network. so that occ;:a-
sionally 'ery sharp bends must be resoned to. Th is limitation is more tolerable
where the raJlway i$ loca ted at a greater depth, where the cun'e resistances can
be reduced and higher speeds caD be assured. ThiS IS well exemplified by Fig. 2 / 33_
showing details of the old Budapest underground and a connecting sec tion of the
new line. The sharp bends IlCCC'5sitated b)' adherence to existiog st ree ts arc c lcarly
shown.
<...U rvolUre and speed data for !;Orne of the more famous underground rnilways
are compiled in Table l ! VI.
 ..,ue no",
'"
O~ T "~ LI N .

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•- ;; ~
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Il2

The line o f utl l'l )' Iunnel s 10' u Tb ,," "reaS '" "dJu~tcd to the need. at publIC
uhh"e5 li nd n Ullnly to t he e .. istin l!. rou d 1H.'I",o rk and hou sma a ..... nacmcn.,.
Wat er stl ppl y tunnels con ne"t t he site o f the 50 tl rCe wit h [he cent re of consumption
lind their a h gnme nt is ch o se " IIceo rd,n aly, wtlh due eon~ide r"lion for ton""",·
I,o n .. Old ""fe lY requi re ment s. The5e are largely Ihe "",me a~ t ho ... go,..,m,nlthc
",'eet ,o" of the It "e fo r e o",mu niCII1;on lun nc:h. For Increased willertlght~
re gions showing a Tendeney to movement and fault zones should be avoidetl"'llh
cI'en grealer care. Wule r conveying or navigatIOn tunntls should not be b!llh
III re gions e:tposed 10 e..1TThq u:lkes.

2,22. SE LE CTION Of.' nm LONGITUIUNAL EI.f: \' ATION AM) GRAOIE....,.S

The cho~ of Ihe vert ic,, 1 location li nd prv lile o r nulwi:lY I Ullnel~ is in ~n·
era l gove rned by Ihe destin3t1o n of the traffic rOule, i,e. by the uspel;1S of rstab-
lishing nnd mai ntaining traffic o peratio ns. The mo re specific choiet bclll'ttn
potenlial alternAtives. howe\'er, w,1I be gOI'erned by traction a nd COft~truction
requ iremen ts,
The elevation, i e. altitude or de pth at which the tunnel is loca ted is equally
significant for both co nst ruction and tractio n. the layer III .... hlch the tunncl ...itl
be dri ven a nd its posiuon relati ve 10 1he ground water table, and also grade and
lost height cond itions being de pendent on tlus decision, While fo r tunnels in
mo untains the aspects of traction a nd operation, arid so met i m~ the position of
ground Willer (cf. Fig, 2/ 14) mny be dt"Cisive factors in the selection of elevation
- construc tion methods being hardly affected by slight changes in alti tOOt In the
usuall y unifo rm, solid rock - t he depth of underv.'lIter tunnels is controlkd pn·
madly by geological conditioJls. II is, naturally, pr~ rera b re to locate mountain
tunnels in II rock fo rm:uion of adequa te strength a nd th ickness. if POSSible abo\'e
the ground wa ter table (cf. Fig.. 2/ 14). This rcqu irt'me nt c:m, ho .... e\<er, u~uall)
be met in an economica l manner e~c n If lnlction a nd operation remain the prtmary
conside rations because deeper I)'ing strata perform as a rule II higher strength
being less SUbjected to wca thenng and the Ion in height .... ill be also rtductd.
No unsurmountahle difficult ies an: likely 10 arise e\'en whe re these laller consid·
eratlons call for a mort' expensl~1': and more m~olved method of cOllllruction
entaIling the nec~sity of dewatcring :lnd of provid ing stronger support, for the
loose SOIl musses.
For SlIbaqllf!OI/J IIm,~/J, on the other hand, the ~erti eal position is dciermlDN
primarily by constructional aspects, i.e. by geology; grade, tractIOn and operation
must be subordina ted nnd adjus ted lIccordingly, Accurate inforllliition mUSt
be o btaIned first of a ll o n the bed conlOurs on the ele\':lIion and succesSion oI50il
layers and panicularl y on the depth It) a nd thiekness (.1 t ) of the ImpmlOU$
layer (co\er).
The tunnel must be located in the imperVIOus laye r unde r an adequately thicl
OOl'er, .... hose thickness should be sufficient to preve nt the inrush of 'filter and
 UJ

e ..."n,ual1y 'he """ape o f com pr"....,d a ir $0 "n~uring a "'id" mar!!," of ..fely in

th'" construction o f 'h" tunnel (Fig. 2134).
Conside rabl e r"Slric\'on~ irnpo!IC d by t he p~ '"oJin8 8eology "I the SI!ccan be
..... oided by constructing the tunn,,1 from "bo,·", i ." by 5ink'"g prefabr 'cutC<llUnnd
scction~ ,nlo place:. This 's one of 'h" r"a""'n~ fo r 'he .ro w in g po p u la r ity or thi'
mcthod (C r . Section 6 .4).
The typical protile of such tunnels resembles tha t of n tro ugh, as the ~ent ral
horizo ntal seetion is l1anked h) Inclined ones wl tll the steepest permissible grade
The venical posit io n or lI,bllll II/ule,grollnd ,allway I/Illnels is also golerMd
by geology nnd aspt<:ts o r construction. but aside rrom trac tion a nd operation,

/
/ /
F IG . 2oJ4. Vertica l 11'II' n' l:m
of $ubaqllCQu) tunnel s

Considerauons Or acceSSi bility. the avoidance or in terference with muniClp;ll

utilitieS, as .....ell as the safety or slIrrace StrUC!l1 res assume equal imponanct.
EJevllted stations may be responsible ro r special profile a rmngemcnt5 (set Fig.
2/37).
The ver tical position or t;a rmJ and navigation tunnets is determined mainly by
the elevation or the wa terwa ys to be connected. or by the elel'ation of tke natural
wliter suppl) to them, although geological t;o ndilions are also or sigmflall~ both
ror construction lind watertightnes.~ . The slo pe in the tun nel itselr must be limIted
10 a ~ery smllll value.
Uli/lfy IUnlte'S t;an be located most read ily. in general. [0 coni ply with FlI~J
and constructIonal requiremenb. Operating rdtflctions .....111 assume SIgnificance
III the e lse or water supply t unnels, although the reqUIred watertightncsJ calls
fo r a t;areful oonsidemtion or geology as \\ell.
As rar as tractio n i~ concerned , Ihe ruling grade permissible in tunnels is ~ppre·
clably smaller thlln in the open uir, owing to t he reduced adhesio n and incr\'astd
air reSiSla nf:e III tunoels.
The fi rst red uc tio n factor is the deuense in the tractil'e force d ue to tM rtduced
adhesion<Oeftkicnt in tun nels.
Under ral'oura ble conditions. in summcr, o n a hillSIde exposed 10 IIIt.wn tilt
:Idhesion-coeffieienl ror steam tmction I'aries from/ = 0· 17- 0· 18, and may drop
under adverse conditions. e.g. in a deep cut. o r in a moist almosphere at .altitudes
around 1000 m aOOI·e sea lel'el, to / = O·I4-()'15. The atmosphere in tunntls is
".
usually 5;. !untled with moisture. owing 10 the vapou~ which p""""ip.tolfl r'llm
warm ,,,. in summer, and \0 a r ound wa l er infillrBlion. Moisn,re thus precIpitated
on the .nils or on t he pav"n'tnl Causes" s iSnofic ""1 reduc tion o f the adhesion·
"oeffi"ien l be. ween w h eels lind rouls. Th e degree of adhCSlon i, uffecled by ........ 1
o ther factou a~ ",.,n. such "" the "I"vauon of the I"flnel "bove sea le"~1. the l"\1·
a,ion of the tunnd pOrl" ls, wInd and sunshine c onditio n s. the "rOS.......:llonaJ
dimensions of the tunnel. ventI latIon and drau ght, etC'.
ThiS reduced I, \'olue was found experimentally to be O·II...().12 for Slam
traction.
Consequentl y the traction force of the locOlllotive will drop from the open·air
value
V-IOOOjQ..
,.
V, = 1000 j;Q • .
where QQ = the adhesive weight of the locomotive.

The ruling grade is naturall y also affCl;: ted thereby. since in the case of constant
motion the: tracth'e force must equal the: sum of resistances. o r. on an optn bne

100 JQ. :::: Q(j.I + r... ) , (2.21)

whe:re: Q "" the we i8ht of the train

}I _ its specific resIstance:
l'", _ the ru ling grade per mIle:.

The .... eight Q of the: train 10 be handled n:malOs the: same: in the tunrltl. neIther
does the: value of p change:, so that the ruli ng grade r", must decrease to 11 in order
that the: reduced tractive: force V 1 should no t lead 10 de<.'Clcrlttion, since

(2.22)

by div ision o f one: equation by the o ther we obta in

whe:nce

(WI

Assuming the convent ionnl value o f 3- 3'5 k!lton for }I (slow, heavy freight
tr:lins with v _ 30 to 55 km/ h nre decisive in thi~ respect). the vll lue of II can be
computed in terms of t ... Various f'l valuc:$ pertaining 10 corresponding I .. 1'a11lCS
arc: presented in the following table whic h also Indicates the reduction inl·olnd.
As will be pc:rceh'Cd the reduction is appreciable and depends. naturally,!HI the
absolute value of the: rulin g grade as '>Io'ell.
 ConditIOns a.e d.ff"",,,, 10 a ceMain extenl ,n ,h.. ~a.oe o f electric tr.."Uon ""~
'"
th e value of adhesion. i.e. the c<>efficienl of fr,cuon is in it self consi dern bly h,~~r
than In the case or 51<",,,, , rllclion . and where the nile o f .edue"on., ulso d i ff~~n\.
I n the case of elecl"'" I'acll one, rna)' be
1111<.. " Iii 20_2:5°/ .. ,. whe . ens It Clln not exceed
I SUI.. in the case of SIC"'" I r,,~·tion.
Besides the reduction in the traction ( ' ..1
force (he increase in lIIr resis tance IS also a
fllctor necessitating a reduc tion in the ., ,.,
ruling grade. Denoting this share of the
reduction by .df'..... e oblain the previous ,."" 10·2
".
n ·s
.
<1
).,
equati on in the follOWing completed form :
"
30 21'2 B·B

e. ~~ #o. -[.ie + /, (I - ~)J- (2_24)

The magnitude of air resistance is known to dcp::nd o n the relali\'c \'c:lociucs

of wind and tmin (i.c. it is greater up\\. iod than dO ....llwind) as well :15 on 1M Kia·
ti~'c cross-section aTC;IS of tunnel and train. Thc magnitude of the resiSHHltt and
the factors i n~ ol\'ed ha~e been obtained expcnmentally by measuremcnt5 in
wind-tunnels and existing tunnels, Obscr-.'ulions 111 the Simplon tunnel 1La\'t
already pointed to the fac t 'hm re;;islance is especially large in single track tunnels
which are comparatively narrolV, The train proceeds in a relutivel)' re ~tricttll
space and is pr««led by a compression W3se and followed by a depression \I<lI'e,
The first experiment:tl measurement on the increase of air resistance was catriN
out in the Simpion tunnel .... hich consists of ' .... 0 Single tmcle tunnels spiced at
12 m and proVided .... ilh artificial vcntilation, Air resistance was measumlli~1
on the open line. then in the tunnel in the dl rcction of the ai r stre:lm and sub-
sequently against the rorced draught. The train proceeded at din'erent speeds,
The resulls or these measurements are compiled in the fo llowing tlt ble:

Trai,.,
Air
'·~Ior;ity.

n:.i~ance.
" ("mihl
open l,11oC:, I"
SO .,. , 70

,.
(k,,""'l ,.J
Air resistance In tunnel in 1M
dlr«lion of drauahl. .... (k" Ion) ,., ,., '0
AI' ~~i~lance 10 lunnel
d,aulOhl, .... (kCilun)
a~ainSI lh~
,., ,., 12(1

As is shown the a ir resistance de rna)' assume values considerably in m:ts~

o f the specific train-resislance II. and may amount 10 a considembfe poruoo of
Ihe lotar tTact ion resistancc.
126 F,o.CTORS Il'rU:l 'lCI~G THE LOCATION

Recent air resistance measurements have been performed in the tunnels of the
London Underground Railway .~~ The parameters included the velocity of the
train, the ralio between the tunnel cross-section, the front area of the t rain, a nd
the internal surface roughness. The results are represented graph ically in Fig.
2/35. As can be seen from Fig. 2/35a, the measured resista nce increased in a

, C
!
, / ';'W)J.'It 1!lfI~ ""'fda} ~SISI.ffl;
. / . ,1,iMM WI'/'.Ja
" \
in tll'1l1tl
~ ' ~ R~jf.1fI~ Iii the rJ{!i'.1 -
'l \ _ '-..;-~ &01rm/how 1
lu.'mel "!<~
dl/lllltfer ""
Mkm/I/{Wr
82 fin //'lJtlr
lIN"fl twtmg roiling

,- J ~I ~~ ~I
51t;c!r
, F IG. 2/ JS. Results of ajr
n ~ 45 -
~ 54 6J ",>i.lance (ests carried out
7.1
r~ N'l'J be!WUII ~"'~;, ~1Id /I",ntl cro$J_~c(I(!" r;,rm~ in (he London U nder¥Tound

practicall y linear ratio with the spcoo bUllhc gradient of the stra ight line 'Va s a
func tion of the wnnel diam eter. Beyond a certain limit thi~ in flue nce a p pea red
LO decrease appreciably. In Fig. 2j35h more ex act information is give n o n the limit
and extent uf the influence exerted by the ratio of cross-section areas (free a rea

'·"' TURM. ~. J. : f'iC,,"CSl trcnd, in t hc de,jlln of underground rai lways. J . Ills t . C;n .
Eng. t959 t.
be"',ecn I ..... ", and tunne l) and by the rO U8hn",.~ of t he In'ernal ~urrace On .,.
'"
reSistance . The d ,fferenc"" between the C:f"O$5-~"On """,, of Ihe Itonnel lind .he
rro ... arcu or Ihe Imin (i ,c_ .he rrc:e :ore.. .d F) are indIcated here on the absco""
;.nd the magnitude of the resiStance: On the ordlll81e axis. Values lXoai""I,10
dIfferent 5pccd~ are <:onnec,ed by correspondIng """"'CS. As ind'Clued b) lhe
lu n d or .hesc: " uneS. the errec. of ehe free cross-section area beco ... e~ nC8h"blc
as soon as lhe value of LI F rcaches 4 5 m!, i.e. ;tooul 40°_;, o f lhe IOlal cross-
section area. The influence or the ribbed tube lining becomes entirely negligible
al lhe 5.1me hm it, but it was fou nd to he a ltogether appreciably smaller than that
or the previous flIClo!'li.
Curve r~sisl:.nC'Cs in tunnels arc Ihe same as those o n the o pe n line.
The rt:duc,ion of grade due 10 the increased resistance should be slarlCil al
a distance co rresponding to o ne half of lhe t rain length before the adit, ratherlhin
at the pooRI It-.elf
Grade co nd iti ons within Ihe lunnel a rc IIltluenced to a cenain e)!:lent a lso by
considemtions of dra inage ..... hich must be ensured in eve r)' tunnel. The mmimum
slo pe requ ired for this reason is J!l!".,butY'! oo is preferable. Tunnels are usu.Jlly
made 10 slope 10 1",0 directions outward from a cel1 tral ape.~ in the moun13ln.
If the tunnel is not at the highest ele\'lLTion of the line and is on a gradient. or is
nOi tOO long, a unidirecTional slope rna)' be used. Outward slopes lo ..... ards the
porlals hll\'e the ad\'lI ntage of re:ldy dl'llin(lgc away from the driving fllees a l tlolh
ends. In th e case of a un id irec ti ona l slope. o n the ot her hand, the wUler mUSI
be removed artificially from the heading started from the· upper end. The \Io alcr
from subaqueous tunnels should be drained to collecting sumps consl rucled undcr
the adil o r venti la tion shans at the banks (cf. Fig. 2/26). whence il must be remOI"td
by conti nuous pumping. Dminage by &1:I\'i t)' c;m be effected only in tu nnels
elevated abo ... e Ihe ground-surface.
In deslgnmg the longitudinal profile of urban underground mil\\'a)'S spca31
problems ha ... e 10 be co nsidered. Firsl of all the absolute \'alue o f the ruling !111k
may be grealer Ihan in surface tunnels. si nce underground lunnels arc carefully
scaled. drained and ventila ted. Constant nlOVeme"t of air al relal i\cly high \'eloc·
ity is induced further by The rapid sequence of trainS In lhe comparatively narrow
eross·sections, so that no reduclion in ad h e~io n due 10 va pour prccipiuI!100 is
likely 1(1 occ ur. This is m:<;ompuni ..:-U by Ille lI1itililly highe r IIdhesio n \alue of
electric Ir:lcllon. Narrow cross-sections. on the other han d, Involvl: Ihe danger
of greatly Increased a ir resistance (sec above) wllh consequent ad~crsc effects
on the fuling grade.
The stations of dcep underground raiJwll)S are usually higher Ihan the sland·
ard line. The mnin purpose of Ihl: ell:\'lIlion is to bring the platform le \'c l ciO§Cf
to the surface ,Ind 10 redu!;c the tlmc of at"t.~ss 10 and from it . i e. 10 nUOImllt
Ihe loss in height. ThiS, howe\'er, is insig nificant where escalators or lifis afe u~.
An lidd itional a nd more signi fica nt adva ntage of this arrangement IS the poW.
bilit)' of the insertiOn of a steep braking Slope before and an even stl'Cpcr staning
slope a fl er the slation b 'el (Fig. 2/36). The t .....ofold bt::ndils so obtai ned art
'"
f~ CTOI\S I :-: FL U E~CING THE LOCATION

. '-1--- -- .. - .. ------ .. WJow.,, - OWOj_." - --

J SlJL'Of
".
, utI h'M
Ril,ji wfJ!
• !t"I/()f'

f. i ... "'!'''~. ,,
,~.....,., • .r-"
---..I~ .......

,
-' ..1L
'- .:I••
8mJr1.7? S/{J{!fl
=
J, .1, - '" ~ .'m'I
L - J~I'on k~pt.?
~ - Tum Im{//h
Fla. 2/3 6. Elevated Jocalion scheme of underground rail way silltion s

a reduction of t ime loss ca used at the stop and at the star! hy more rapi d decel-
eration, and ac~leT:ltion. and the considerable saving in bm kin g and starl ing
energy consumption (permitting the use of smaller mOlors). The elevation of Sla-
lions may be acco mplished by a hump, or a saw-looth type profile a rra nge m e n t
(Fig. 2/37). The saw-toNh lype may be used advantageously whe re th e stations
aTC close ly spaced, or where the line descends from the surface. E lsewhe re the
hump type is commonl y u~ed .

-
-,90m''-;------'>
Aculm~'~~
!,~~

St.1liOl/

-
__$Om...j
F,<>. 2/3 7 . Accelera ting an d
~/~rJll/1; sill:;!
brakinll s lope a rr an llernent~
S3wlaoll! prolilt before a nd .. f'cr s, a,ion ~

The benefits of a raised stalion arrangement can, however, be obtai n ed on ly

where they are all elevated appro!< imatcly by Ihe same measu re , and where th e
slope of the ground surface and , thus IhAI of the line keep ing s pace wit h it is
insignificant. Wilh usual train speeds (55 10 65 km/h) Ihe statio n s a rc u s ua ll y
dcvnlcd by no _ 3·0 --4·0 mClres. affordina 3·0 ).) % Sla r ung and 1·6--HI ~.
bn. ki n g S ..... dicnI9 ,n slarling s lopes 100-130 m lon8. and br.. kins s lopes 150--200 m
lo n g. Acco rdinji 10 calculation , ca r ricd oul in connect ion wi t h .he design of 1M
lludapest U n de r ground t h e 'a"in8 in e n e rgy o~er a horizonta l line is 20 % and
2 'y' when Ullin. 2 % and 3 % sllarllng gradient O"e r 14' m and 125 m len,th •.
A braldn. arad,ent of 2'0 · .. l"C\Iu'" in II 2O ~ MOvinS i n bntkins energy. o.., n,
10 differences in sUllion ekvauons and upgmdes over the inlcrmediate line SCCllOns
usually (K.'Curring in practice. the savlllg in energy which can be oblilined does nol
exceed 10% to t S%. It should be noted that the elevated 5ta tion armngemc:nt is
likely to involve difficu lties in drainagc. The current opt imum gmdlentS for bl'llkin&
and starting slopes and Ihe lengths or the latter rela tive 10 the length of tl\( SIB'
tions and intermediate line sections are shown III Figs 2/36 and 2/37.
Slopes are dlSad .. amageous if it is n~s.ary to StOp a uain between stalions.
where it must SlaTi on an upgmde after the line has been clenred. This ca\t IS
more likely to oc:cur in the case or the 5.a\\.-tOOth type or arrangement.
In the case of steam Ir.u.: tion counter-slopes shou ld be avoided owing to the
danger or stl1gnant smoke accu mulation .

2.n . U£TEKM INA'nON OF T HE CROSS-SECTIO N

Tbe selection of the tun nel cross·seclion is influem;ed by:

1. The clear.mces and gabarit specified in view of the ,"chicles moving l nll
goods transported in the tunnel;
2. The type. strength. water content and pres~un.'5 of soil:
3. The method or driving;
4. The material and strength of the tunnel lining as well as the intcrnalloads
acting on it:
5. The necessity or accommodating a single. or II double tract in the tun!l(l.
For !;Crtain traffic and transportation purposes, together with soil t:ondillOns
and construction mc thods. the most advan tageous and commonly used tunnel
cross-seelion already developed nre shown in Figs 2/38 to 2/47.
(iI) Fur railway tunnels the horseshoe croU"!MX'tiQn is commonly used ,,·bich
is mOTe pointed for single track and fla tter for double track tunnels. Sometimes
the inlemal ra!;C or the side walls is \ertical. In Ihe case or subaqueous raillllllY
tunnels - dnven by thc shield method - circular cross·sections ha~e also betn
used on rare occasions (Fig. 2(38).
(b) Underground railway tunnc:ls or the sub·pavement type usually hal'e I
Hat-arched cross"section. For deep hnes two separate tu~ of circular cross-
section are usually constructed (hg. 2/39).
(c) Horseshoe cross·sections are adopted similarly for water<onvcying IUnoos
unde r gra\'ilational flow conditions. Howe\er, the higher the inlernal prmurt
110 FACTORS I NFLUE~C 1 NO TIi E LOCATION

[I(e(m:
triCbon

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';rl.'f.m! 1I1/,'61:'!

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F I<) , l/ 39. Typical K<:lion~ or . ubw.y '~nl>l!15

 III

~:~,fIJ/'CtQ
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",~II ",t/! r
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Cor.tr£'~ blct:l!l

W~,~.::O ~
~~k';';
,,!/.,,"~ !!t>rk
0
In these tunnels the nean:r the cirClJlar crO~S-Jection is approached (Fig. 2/40).
Sewage lurlne1s arc u~ualJ)' circular o r ova l in ~ross-scc(ion with an inverted "
flume .
(d) The typical tross-se(;tioJ1 for navigat ion tunnel§ consists of a trough-
,haped invert CO\'Crro wi lh a flal barrel vaul l ( Fig. 2/41).
(c:) Util ity and pedest rian tunnels may be tonstructcd wi th rectnrlgula r or
circular cross-sections. depending on "'hether they are localed close 10 the surface
{subpa\cment). or at !!fCilter d~plh or under
1\ watercourse ( Fig~ 2/42 and 2/43).
(f) The wide,t varie ty of cross-sectio ns has
been adopted for road tunnels. Flal hQ~shoc
&oeC1ions are common for highway IU nneb ,
.... hl le more poinloo ones are used in cily
1l1't'1lS (Fig. 2}44; and cr. FiB. 7/ 13 Budlt·
pc$l. Castle Hill). Subaqucous rood tunnels
( Fill, 2}45), on Ihe Ol her hand. a re usually
CIrcu lar in cross-section - when driven by
the shield method (Antwerp. New Yor k. Lon·
don, etc.), but flat rectangular erossscctions
are usual1)' adopted when they all: composed
of sunk pll:fabricatcd rClnforced-conCll:le r"
caissons (Rotterdam, AmSlerdam Ikas Is- F,(;. 2,'.1. T~picaJ _ tions of
Ilind. clc.). nay;""ion lu nMlI

'"
III rACTOH I"'FLUli'oCl'iG THE lOCATIO"

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 OfTUMINATION Of 111£ CROS5-SECTION III

.......
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FIG. 2/<W. Typical <CeHo." of '~IIiclllar I lInnd~

22 .3 1. TuoDl'I O ea,.nct'

Tile fim sle p in lhe design of a tunnel is Ihe dcttrminalion of the cr(}Ss·section
requi red by Ihe communication. i.e. the ncccs5llTy cleurance.
The clearance of railway tu nnels should be dc§igned in accordance .... ilh lhe
specifications of the Centr,d Eu ropean Ra il"'llY Association so thaI il should be
at least 30 to 40 cm large r than the clearance rcqlllTed fo r the open line. The pu r·
pose of this preCllution is to provide addi tional safely against constructional
inaccuracies and deformat ions of the section due to rock pressure, rock displace·
ment or wa ter inrush. Consideraltons justif),inga la rger cr~ion a~ improved
13' fACTORS rSflL'EliCISG THE LOCATION

ventilation and smaller air resistance, the former being made imperative by the
ne~ssily of remo\'ing the slack and exhaust gases of locomorj'"es and interna l
combustion engines. For this reason the tunnel cross-se<:lion is made about 50-60
em larger than the clcaranet: on the open line (Fig. 2/46).

Flc . 21 4~. Typical sectioM of . uha(IUCOU. tunnel,

 D£TEIIMIl>ATIOS or TIlE CIIos,wECOO'l III

Accommodation must be provided not only for the vehicles using the tunnel but
also for thc pi pe lines Ilnd cab les of various services main ly fo r lunnel and track
mQintenance (wa te r pipelines. "cntilat ion duclS. compressed ai r pipes, supp ly
cabl~ for lighting. power, safety cquipment, etc.), which must be arranged in the

~
I

FlO. 2/.6. Required d •• nonce

ror .. il ....." . unoct~
mOSt practicable manner. T hiS aspect assumes panicula r significance for urban
undergrou nd rai lway tunnels.
Cross-se<:lional dimensions should be selected with po tential clcttrification in
nund and the overhead clearance
should be Increascd Accordingly.
In road tunnels Ihi, dimension is
usually even larger becau!Se of thc in-
creased IO."<icityof exhaust fumes to Ihe
passengers o f mOlor '-ehicl~. Th is ca lls
for Improved Yenlila tion. The dl'(Cum-
stance tha t the laleral mOl'elUent o f
road vchicles is grealer th"n that of ,
track·bound ones, should also be taken r
into conside ra tion (add itional :.afcty
measure beyond clearan~e of about I FlO. 2/47. Clunlntt p,=riplion
for mol"' ...." tunnels
m). It shou ld be remembered finally
that road vehicles arc sllII in II stage of
de'elo pmenl and their d imensions, and consequent ly clearance rcquiremenu.
arc likely to increase in time. Cross-sectional dimenSIOns specilied for tunnels
on Ihe Gennan Autobahns arc shown in Fig. 2/47.
".
An 'mport.. ,,1 faclor in designing the ".05$-5«';on of "" 'Iplion lUnncls IS ,be
rati o o f th e wetted ar"" (F) 10 the su bn'e r gc d c ross-5C<: I;onallrea(!Jo(,ho '"$loci
,ince th ere is" rapid incre ...... in low ong resistance below I 1'lllio m .. f7l- 2·$
10 ] -0. This demands "dcqu'He depth in Ih .. fi rsl pla" c . o...;nl to tho ''''''''abk
lateral mo ... ement of l owed ........... 15. a hU., .,,1 play of a. 1c: .. 51 1'$ m ohould be Pf'O,id-
cd for on bolh sides.
T he beSt possible u,ili Ztllion of space "an be .. chi ........ 1ft n:cun."l.o. croM-
seclio n ". w hile eireu lnr CInes are leasl rn "ourabl " f rom 'hi, rtS"",,,. It " ,nlemu",
.0 nO le Ihal c onditi ons n re reversed in I hl s res ""c . in wR,Cf..,onveyinllun ... lt.
In I h" ca..e of wllle" co n,-eyi ng \"""c IS th e s ize of the cIOH-KClion i.,,,.'c.ne<!
b y their dis<:harge "apueity. Thu s the ",ngnitude of t he cros,_section i •• If.."ed
by the permissible now ve locity as well. In free-surf;,,;c COnduII5 tllm ill (\«rt.l1ot
in the diS(;harge capac ity as soon as th e seclion become! filled. For this reason
a clearance o f about 0'5- 1·0 m is usually provided bct~n the t1l)\\'n and the
water le \'el in the secti o n, which is usua ll y of the horseshoe I)pe.
Water in pressure lunnels. on the ot her hand, is convcyed in the cntirt eros&-
seclion, which in this case is not ho rseshoe·shaped but cir<:ular \0 resist the high
internal pressures most eff~tively.

12.32. hdluencc of GeologiCliI En.'lronment on Sh.~ or CfO§~lioI

A facl or of considnable innuencc on the sha pe o f the croo-s«tion is the type

o f geological environment in which the !Unnel is 10 be con)/llICld, The magnitude
o f external loads, i.e. of the rock pressure:, depe nds on tile inbmnt stTtnlth of
the rock malerul, the quality of ..hich
is responsi ble also (or tbe ratio bt[~ecn
ve rti cal lind hmral pressures acting on
the tunnel. In lOGS(, soft Ind wtak
Zlb·'),. rock malenals larjl( rock prmu!tS Ind
a rcralh'cl y cOlI)idmlbk: btltrJJ Ibru)!
may be e.\pemd, The ~ruter tile rt-
lalive magmtu!k of tile lateral thrust
the more ndvan ,~gcous a cir<:ular aoss-
section will be found to be, In solid
rocks showi ng 110 tcncknc) to 'A'c3ther-
,' ing, tun nel sections CltJIOItr:d Inth In
FlU, 2, 48, Thwrc:l iall ~hllpe or tunnd arched roof 1liiy .smt wnlMHlt mort
seclion Hcc,.,.din" 10 R.nkm~'s fa uo to a ny li ning, A thin layer of lunite
nlay offe r ud~~atc prottction against
..... cB lhering. I n the choi« of the idtal
Shape or Ihe tu nnel sc~tiun. in add iti on to structu ral coasiderationJ, can" prtS-
sure theory may serve as a guide. Adopti ng R ANIOt-:(', ratio for the ronSllnl
ratio of ~erlical and horizonta l pressu res a n elliptical shipe may be adl"l$((! for
 on
which the ratio ofth., major li nd minor 8"e5 c an be "" prcs,..,d as 4Fj~. 2/43)
20 : 2 b _ I ; UUl '(4 5 4 ~ <1>/ 2).
For ,nslance in .he c;,se of ." n oy soils (wll h 4> _ 30' ).
lu;2b _ I :0'577 _ 1_6.
I.C. the h e'ah l o f the seclion s h oul d be 1·6 lin. es its wl d.h w hich is approlimalcly
In con(ornUl y wi th the rcq uircme nl s of TIIII", .. ), c learances. In ' he .....,.,..,r ... ,uu,cJ
<;l " ys. on t h e olher hand (whe re <II _ 0). 2" : 2 b _ un ity and lh~ adv,r.able
section bccome.s c in:ular. The p ~5 U,.., distrIbution is hydr<:t!<uui< '" c,,"r.lCler
with Il ve rage pressu re s . elnted 10 Ihe cenlre bei n g un,fo r m in c~c., d.rc<:tion. In
rocks this mlio may be taken on Ih~ ba ~i$ o f confined com pn:nion al appro...
mately equal 10
I'
I - /1 --- m-
whe~ p _ POISSO!'-'S rati o for the particular rmk
In - I /ll.
As demonslr'3tcd by FESI\EJl.:· n an elli ptica l cross-section proponionrd accord-
ing to this ratio has 1m ad vll nlagc over ci n;ular o nes, In thm the conWlmbly
la rge tensile stresses in the crown are reduced. but lit the same limelar!lf comprtS·
sive stresses ma y be involved the re. Ue investigates. therefo re. the tranSitional
shape (d. Section 3 1.1 11). ..... here the st reS~5 de\'eloping in the crO'A'n lit of zero
magnitude. The shape of this seCllon ..... IIS found to be ellipt ical 'tiith the major
3xis stand ing verticall y li nd wlIh an a.\ls ra tio h .., __
2 . (II s~ould be notffl
a III - 2
that this relat ions hip is valid only for III';' 2.)
Somewhat later Ihe effect of the sha pe of the 5«lio n on Stresses ns Inl'C§ligartd
by Tt.. ;u.(;1 1I and R'CUAJtTt.:u who studied the normal stresses In lhe crown and
sprinaings of circula r and elliptical secllons under ide ntical load s. 0\1 I~ shown in
Fig. 2/49b. the suess in the crown changes fro m 0·25 P. (com pressioo) 10 - (}SOp,
(tens1On) while the aXIS ratio of the ellipse c ha nges from 1/ 2 10 1 This chan!" IS
accompanied by an inc rease in the com pressive stress from 1·75 p, 10 OSp:
a t Ihe springings. The coefficient of lalerdl pressure was assumed in thiS asr IS
), = p" ~ 0·25. The effect of Ihe coefficient o f lateral pre5sures(l) on t~e normal
p,
(Ia n ~e nlial) stresses (1. and a, arising lit the cro wn and springiniS. rtSpectile!y,
is clearl y illustrated by Fig. 2/493. It should be noted t hat the comptt5S1l'c SlrtSitS
in the crown increase considerably with the hueml pressure (WI1~ incrta51D!';~

'.f! FlNNUI. R .! Umcl'$u..-hunl/tn zur Lrkcnnln i~ 1I~5 Ol:bhll-'llrud;Q.

G'.rkoIi/19JI6t1
.-•• TU.l.A(; HI , K . and R\CH"U. L : Slrf:SStS in roo;k . bom Q.\·jl ies, GlOm_.,.., 19S2
JJ- 7S.
Il. U CTORS [~FLUENC[t\G THE LOCATION

whereas the normal stresses at the springings decrease at a much slower rate.
Stresses due to bending an:;, of course, negleded in this comparison, a lthough they
are of a sign opposite to that of the normal stresst,.'S and may ~ especially in the
case oflargc dimensions - dominate the stress paucrn.
, • , ;,
1111.1111 • ,, ,
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+-,
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-,
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----+-'
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F,u . 2; 49, (" lnftuc ncc of !!t<:lion shaP<' and of side press ure t odlkiffil on roof- and
(b) on sid~ pr=U~ 1

T he conclUSion to be derived from the foregoing considerations is that the

shape of the cross-section shou ld always be sciected in accordance with the relative
magnitude of vertical and hori7.ontalload" Where the verticallollds are relative ly
larger, an ellipse with a verti,al major axis is preferable, while for relatively large r
horizontal prer.sures one with a horiwntal major axis will prove more suitable.
Tbe resulting ~tress distribut ion is also aifcdcd by the dc¥ree of restraint, inasmuch
as normal stresses "'ill dominate where deformations arc restricted , while the
influence of ocnding s\rc~~s will predominate where deformations can develop
freely. For this rcason,under certain cir<:umstam:es.an elliptical se<:tion may be
preferable to a circular one even where pressures act in the dire(;lion of thc mino r
a"i~. sim:e in this case the superimposed compressive stresr.es will oc decisi,'c for
the section. On the basis of such considerations, F. M OIIR~'''' suggested Ihat in
the case of restrained deformation il is more reasonable to use an ellipse with
the major axis perpendicular 10 the dirc.;tion of pressure r.;lther than parallel to
it, provided that only a uniaxial (vertical) mountain pressure is likely to develop
In the rock .
In practice a shape composed of drck segments is used instead of an ellipse
(cr. Fig. 2/46). When plotting this line Ihe uppcr l'Orner points of the clearance
. _" MOIIR, F. : Gebir~..J rud und Au.bau. Gllick",,! 195217 l/!.
 DLTEMNINATION or TIlE ClOSS-SEelll)" 1)9

are fixed first, the size of the seclion being determined by them. The specified
!mfcty of 30 to 40 CIII is ndded a nd Ihen u .ireular segmenl is drnwn through Ihe
poi nl5 Ihus oblai ned. The sides a re formed by circle s.:gmeols of larger radiuli
wh ich joio Ihe crown arc h ta ngentia ll y. The
im"tn ili again a ci rcle segment with its centre
lying on the vertical axis. There is no need to
join Ihis scgme nl I.ngenliall)' inlO the Sides;
they may intersecl each Olher. The internal sur-
face of the lining is defined by thesC' cun·cs a nd
its thickness sho uld be token to keep the resul-
ta nt of pressun,:s aeting on Ihe exteroal surface I
and de3d we ight within its inn er third ; other_
wise a lining eapable of resisti ng tensile stresses II
must be uscd. Vertical loads (roof loads) are
l-arried hy an arch. In order 10 resiSI Jateml
Ihrust, horseshoe Sttlions mU St be strutted by
a n invert areh a t the bottom and it is ad vi -
~ble to increase Ihe dimensions of the side walls
as ,",ell.
Inclined loads and unbalanced thrUSlsmaycatl
for asymmetrical Stttions. Such w nd i, io ns may
beencountered in tunnels locattu al a small depth •
under a sloping lermin, i.e. prima ri ly in adil I'l l.). 2.'.50. A,ymmelrical lunMI
sectIons or in hang tunnels. Similar situa tions
may arise in tunnels driven in mountai n sides
parallel 10lhe strike of steeply dIpping layers
",here the po~sibi h l y of slides is not ueluded, or in the VlCIllII) of fault s and
in sh de zo nes. Under such conditions Ihe slruclurJI axis of the Brch $houJd
be parallel 10 the direcll on of load, provided Ih is direction and load inlens ilY
can bo; reh ab)· iliclltlfied. The 5.CCIIOn in such instances is fully endosed (....i th
a n inl'ert arch). Asymmelrical seclions a rc ,Iways more expensive than symmetrical
01lCl;. owing 10 the unulihzcd area in excess of Ihe necessary cleara nce, and to lhe
inc;rea!;Cd th ic l;ness of lin ing (Fig. 2/5IJ). The slmpe of Ihe se<:lion i~ inlluc necd
further by th e melhod of constructi on Ihe choice of which is, in turn, governed
by Ihe pre'·ai llng rocl; or $Oll wndilions.

22.33. InOuellet' or ConslruclJon Method on Sbape nr C~sedion

The influence of tm: construction melhod on Ihe !>hllpe of the cross-section is

rellccled by the following facts:
J. Corll"enliOl1al mining method. are suitable for d ril'ing horsechoc and flal
arched sections. and, less l'Conomically. for ci rcula r se<:lions;
2. The shield melhod is resl ricted almost clId usi'el>· to eireultIT K'CIions ;
 J. T h e cais~on 0" ol her sinki ng m ethod is economic,,' ro, """an,,,'.' and
circula r 5eClio n s ", i k e:
4. T h e free-fnce me. hod c an be u sed fo r croliS-scclions 01 any ~rcd """pc.
The method of cons' n ,lction mus, . on t he other h a nd. ~ rno.cn '0 ...-corda"""
.... 'th the p reva'" n g soi' COndllions bUI m ay be in fl u en<."ed. '0 """" t~ltnl. by.bt
" " .. ilability of <,quip",enl. machi n e ry "lid mllte r ials.
The cO lls id e",ble inlluc n e<, of Ihe CO IIS, ,"c ,i on ",,,,, h"" nil '~,hopc or ,""
c r ou'5CC.ion is cieady ill us. ru led by .h<, w ide "ari.,.y of er~.ion deli,n, roo
Ihe s t "lions o f underground ra, lway lunnels (cf. Seel.on 61.45 and F,p 6260
10 6/ 280).

21 .34. InrllM.'nce of T un""l lining on Shllpe or Cl'OSH«1ion

The ma te ri al of the tunne l lining must a lso be taken Into consideration .. lItn
chOOSing the cross--seclion. sillce materials capable of resis tin&rompressi\eurtSSeS
only (stone and brick masonry. and co ncrete) are limited 10 struclurtS composed
of arches a nd of robust buttressed walis, i.e. 10 t hose called upon 10 carry purtly
compressive stres.~s. o r tensile stresses not exceeding t he teMiIt slftngth of the
morta r used. Exam ples for these are horseshoe, circular ud elliptical KeIlOns.
(the majo r 8):is of lhe b.Sl may be venical. o r horizontal). Materials capable of
resisltng tensile a nd bending stresses a like (reinforced concn:te. 51«1.00, tempo-
ra rily. timber) cun be used fo r li nin g sections of ally desired shape. designed in
Ihe most economicll l manne r and perm itting lhe ful les t plSSibk uuhlation of
spl.ce. (Rectangular sections with 8 fia L or arched roof, thin !heU·like hnmp.. ett.)

12 .35. S iI:e of th e T unnel Cross-secti Oll

T his is affected by the decision 10 build a single doublt-tntk tunnel, or twO

separate single-tT'dck IUnnels on lines where lwO tracks mU\l lit Jccommodatcd
owinl to traffic d ensity. In The case of road tunne ls, Ihecount(fp,lo" oflhll problfm
is lhe choice bet\\'Cen II multi-Iune an d two single, or doub le·lant tunnels.
Of fundame nla l significo.mce in this respecl is whclher traftc density iSllready
Jarge enough to justify lhe construction of a double'lT'dck lI~nel , or "btrlltr tilt
enlargeme nt to accommodate the second track will become rrttWry In the near
or more dist a nt ruture only. W he re the need fo r II double·t rack tunnel Ii Imminent.
lhe prob lem is to decide whcl he r a horseshoe, rectnngular. or ci1\'ular ~tion
should be used under the prevai ling soil cond. tio ns considtring tbe po$sible
methods of construction. A double-tmck IUnnei will :l11I"J)'$ offer ad\.. nta~
ovcr two single. trac k tun nels where conditions permit the U5C of horstshoe, flat
arch or rectangular 5eClions, and will usually be a dopted for surface t u~nels.
in solid rocks. nnd for underaround ra ilwlIYs loca ted :I t mfllernle depth llnder
the terrain and. Iinlll1y. for subaq ueous lunnels sunk imr.l((jiately below the
n~er bed.
 '"
W here . on the other ha nd. la rao: latern l pressu re s mll k e the USC of circul ..
cro".. ~t'on5 ,mpe.a" "e. the eo o , lru"'lio n o f '''''0 scpa .... " sin plrack tunnel,
WI ll be mo .... «ono m, e,,1. L ar~ rock pressures ma y necc:o. i' a(c , I>< _"uetion
of two separau, tunnel s wit h small er CrQII5.se c lio n,d d i n'ensio " $ ',,'c"
",be", "
h orscshoe section is used . R eference is m ltd c to ' he cons tru c t ion cf 1M Simplon
.. nd Tan"a Il.n nels. where ,he areal depth of c o "c r a nd .. nr.. ... ou .... >Oil condi·
, io n s res ulted In pressures "h.eh proh Ibi ted the eco n o mlca] ",.bUhO" 0( •
". ngle la rger C'oss·sectIOn.
The relati ,·,,- mag", ,"des of c ross_sec:. lo nal a ....... ~ uf I ' u r~"h ", .ad c"cul~ •
• ailwa y lunn e l ~ accommociaoin. a si n gle: alld " doubl e !rack . Tes peCli~IY.I",clearly
,lI ustrated by the follOWI ng eomp;,.ison :

Numl>er
Sh. pe "r ',"ck. ...... (m'j
I ••
• ,~.

, I
"I
Horseshoe: Jj~~O

."',.,.,.
1\0 iRtCTl
Il orscshoc
Il or$C:Shoc
Horseshoc
Ci rcu lar
2

,
,
2
75-8$

0>-'00
'00
"
' 00
4 l'~
.
"h
With inlen
,
Circular
El1i pl' ~. 1
,
2 68'0
S2-8
' 00
77'S

As wi ll be perceived, the cross-secti o na l area of two 's ingle-lrac~ mnnels of

ho rseshoe seclion is larger than Ih;Jt of o ne dou ble-nod: tunnel ofLhc same wpc.
wh ile the situatio n is reve rsed III the case o f cirula r sections. Consequtntly. [M
co nstruct io n of two si ngle-t rack tun nels with horseshoe c ross-Stetion may be
mo rc expensive. wh11e fo r ci rcula r cross-sections il may be more eronomical to
to nSlruCI 1" 0 sepamtc smgk-track tunnels.
Tunnelling costs depend, however. no t only o n the cross-sccliollllirta, but at§(!
on t he length of the perimeter. whIc h ma y be regarded as II mcasultoflhe \'olume
of lining. The pe rimeter le ng. hi of single- tm ck tunnels IIrc about ('jo'()othmls t!lose
of double-t rack tunnels, irrespect h'e of whether they are of horSC:Ihoc or cirtUla r
t ross-sectio n. This would point to the ad VIsabilit y of co nst ruttin81 double·tra(l
lunnel in both cases. It should be remembe red , however, tha tthelinin,thkbess
of horseshoe set:tions. usually ad o pted in solid roc k. hurdl y danges Yl1th the
span, II thi ckness usually being ltdopted for safet y on the baSIS of pa5t etpcnentt.
so Ihllt the perimeter length may well be regarded wilh minot corrtClions IS
representatl~e of the ,"olume of lining. The lining thidmcss of ciTt'u1ar S«tions
tomm only adopted in loose 50 ils where large la teral pressu res are lIkei) to occur
depends. o n the other hand. 10 n great ex tent o n the diameter u!itd. When uSing
cast iron tubing elemen ts. the lining vo lume of the single-trad tonnells onl)'
35% 10 40 "" of th at requ ired fo r the double· lr.lck tunnel altho uPllhc ptnmtlCt
rat io of t htl tl<-O tunnels is 0-66.
141 r"nOl5 ISfLUENCI'oIG THf lOCUIO:-

It would thus appear that the economical solution in rolid rock is a double-
/rock tunnel with Imr$('slw(' rro.H_.II'Clion, wMle in loose. soft soils tWO single-track
/lInnl!ls (If !"!rcU/1If rr()U-ffCliOrl ",ill be prp/frubip. Standard crO.s-s....:lions o f
single and double trhcl; railway tunn~ls specified on Soviet railways arc show n
in Fig. 2/51.
A considerable adl'antage of double-Track lunncls is Ihe improved \"en lilatio n
and the possibillly of e.lIensi~e repair and maintenance work .... llhOul closing Ih e
tunnel 10 lrallic.

FIG. 2:". Clearance for

.. ngle.track and double·track
tunnels (Sovlel Sptclftca1ion)

•
T .... o singJc·tr.l.ck lunnels must be loxaled al a suitable distance from each othe r
to eliminate suptl"$po$inon of Ihe pressure tOnesdt:"eloping around them. The
spacing depend!. Ihll$, on I~ depth of COI'er, lhe width of the tunnel. and on th e
stn:ngth of Ihe surrounding rock or soil (cf. superposition between rock pressures).
The tunllCl axes should be spaced not closer than 25- 30 m. (For ,he Budapest
Underground Rail ..... ay 'his spacing is 2)·5 m.) Particular care should be taken
III ca.es when: the second tun nel is constructed Ht H later datc, since the first tun nel
may thcn occome ~ubj~ted to additiona l load~: the shift of lOAds may result in
n rearrangement of the stress paltern brought already to an equilihrium and th is
may lead 10 the de"elopmenl of cracks, wa ler inrush ~nd eH'n 10 the brea k of th e
e...isting lining. T his i~ exemplified by ,he construction of the second Simplo n
tunnel, where ,he tunnel axes are spaced at no more than 17 m a' II deplh of 2200
m. T he TCIIrrangemenl of the pressure paltern due 10 Ihe construction of , h e
second tunnel resulled here in dcformations of the first which a,tamed ovcr some
sections a magnilude of almost half n meter. During the enlargement of th e
London Underground Ihe tubings of several exis,ing tunnels at !>iccHdilly Sta,io n
broke when the new crossing tunnels ..... ere constructed.
Where, in amieipalion of fu'ure traftlc requirements, the construction of a
double·,mcl: lunnei is decided upon, conSIdera tion should be &i'en '0 the por.si-
bili ly of a tWO-5lage de,clopmcnl, i.e. 10 Ihnt of cOnstruc,ing n Sinllle·lrack tunnel
firs' And enla rgiug it to al'COmmoda le a s«ond ,rack only when th is is actually
jus,ified by the incn:H5ed traffic dcnsity. In stable soils or rocks a ,wo·stage devel-
 DElHM1SATKlS OF HtE CIIOSHECT10S 143

opment of this kind IS well feasible and may offer economic adl'antages, as
demonstrated by the example of the section along Lake Baykal of the Trans·
Siberian Rai!...·~y (Fig. 2/52).
In design ing the tunnel nQSS-~ct lon. allowance shou ld be made for super·
elevation in curves. as well a$ for the accomm odation of drainage a nd "cnlllation
facilities. These will be dealt with in greater detail later;n the appropri ate chapters.
It should only be noted here that in the interest of improved venti la tion thl:
en[ ra~ :.ection5 of road tunnels arc constructed wi th a higher cr(lss-section than

'""

•. theccntr-.ll pan. The profile of the tllnnel will thus resemb1c a funnel ensuring •
continuous draft in the tunnel even lI>"IIhout anilkial "el1l Ilation (cr. Scl'tion 46.52).
En larged portal SCo>tions also rc<;ult in improved lighting conditions (cr. Section
46.61).
Common iuterna l dimensions of rail.,.,ay tunnels arc sho.,.,n in Table 21Vt l
bUI Similar information ('"llli be obtained from Tablc:s 1/1 and 2fl as "'1011 .

TAOLfi 2.'\1 11

n',.,

....
C ....
\·',~'h 1m)

j'aly
FraDao
....
8-()....8·20 5"80 6-00
Gcnnu y
Austria
I •.,.
g·ZO - g· 5()- S'70
•.
6·20
",

haty
J ,..,
Aus,ri,
SWillerland (Rickcnlu"""l)
".
,.",
144 UCTOl.~ IHlUENCINO THE LOCAno~

REFER ENCES - BIBl..lOGRAPHY

ALP")<, I. a nd TU'SHRE. 11.. (I ~(6): Tile e .... ri)l balan,.., in fau ll!. 01111. Int. !<Vil. of &jsmology
3 53- 69
1l'''''H.. L. (1~48); 7im""lflrolog/~. l"fI"'/e"r{Jrolofll~. Sprineer, Vienna II 3U7
Il'ROU, R . (19"): Unu'IJ","'lb"~""1t ,,"d ihr~ £1~<Qlzgr~":~". W . ErnSI, lIulin
Ilve" . W. T.: Grcal Ion,in""rina Achievemenl$
CL~"VLl. A. II. (1958); G""IOj:kal Fano" in Tun".,1 Con'lruction. P,.u:. ASC£ 84 1648
GOOD .... ". R . E., TAYLOR, R. L. and IlltEKH, T. L: A mod.1 for Ihe mN'hanic! of jointed
'<xk. P.o"_ ASCI! ~'M Di". I %8 Ma y
JAEGER, J. C. and Coot:. N. G . (1969): /,,,,<lament"" 0/ Hock Mult",,/rs. M.,h""n Co LId.,
London
KO"AR!, K_ . '1'110., A. and HASLER, E. (1970): Die )'rMung dc. mech.ni'ICMn Eigenschaflen
von Gesleinen im drelach.ill"n Spannunpru'tand. Milr. d~. Inslir",. liir SI"'JJ~"~. V,,"',-
/Qg~"ou Olt liu 1:.1'11 Ziirlch, No. 22, No,'.
KMYN'''", D. P. and JUDD, W. R. (1957.: I'rl~(lplu ~I &g;"~,,ing GMlog),. McGraw H ill,
New Vorl
lM;(;H. R. F. (1%2): Engln,,'{ng G~ologJ'. M"-Grow Uill . New Yo,k
l._~uy SCH"'~U~. n and CL .... ~.]!.,A . 8.{1958.: G ... ,phy.ioal In>cstisa,ion, fo, ,he l chiljh
Tunnel. PrO<". ASCE 84 1650
M"'~D.L. G . and W"OM'_. 1-1. ( 1968-69): Vubhro·Tun""lbau. I _1I W. Ern't. R<:rl in_ M iln_
chen.
Muu. A. (1963): Rec.n' Work in Rock Mechanic,; , GHlurn"iqup 1963 J~nc
M OLL._ . L. (1963): n,. FP/..h"lJ. Ferd . Enk. V~rla~. Stutlprt
M OLL>'N. L.. FA' N'WIn". C. a nd S'"",. J. (He,au,seber) ( 1963): F~lsmtrlumik u. IlIIImi ..",...
gMlogir. /(ork M Nh,,"ir. and Engi", ,,i,,!} r.,()I~gJ'. I i i Srrinp:r. Vienna
MOSUN"' . E . and P.... . . F. ( 1959): Mii',akifollita" (Enginccrin~ Gc"" 'OllY). Mjj..,.aki Kiadt>.
Ruda(><"
NUJMA"'''. R. (1964): (;,%gi, fii. B""I"IJ'ni~",~. W , t=:rn st. Ik:rlin
PHSH.k. R. (1963): Dc, Ik:mh~ rdin_St",Ocntunncl. Soh...ir. Bau;mung I I 37645
P,,,cuJi,,!),' of th~ Fi,,, I"'. C<"'f..r~nu "" Rod ,'W~chanirs. Li,bon. 1966 I- Ill
P",cudi,,!),' of th~ S,{"O~d Int. C"'if~"nN' on Rod M~<naniu. Beillrade, 1970 I- II I
P,,,,vcding. of ,h~ Fint Inl . C",,,,"~, on tu~"i<,,/ P",h1~ms in the COflSl,uclion of T'In"':/s.
Torino 1969, publi,hed 1971
R.~v ... A , B. (l9~8): Goolo¥ical Facto,. in Tunnol ConstruClion. /'rue. A SCE 84 1649
RF.YNOl.OS, H. (1961) : Rod Muhullic•. C. Loc\;w"ud &. Son LId. london
Rad Muna~i <. on E"IJi~n-i"ll P,oc"u. J. Wiley &. s,,,,,.
london 1968
SCHRE'fR, F. (1960): V~rle~un¥ Iiffcntlichcr V"r""h"",~1I" in Unterpnaster ode' Ticftaae?
Slra.fUn u, Ti,jbu" I
STAGG. K. G. and Z'EN""W' C:;e, O. C. (1968): Rod Mechanic. in Enlineerina Pract ice.
J. Wiley &. Sun>, LOlldon
STl"', J. (1950): Tu""~I"""IIfiJl,,lIi~. Sprinller, Vienna
T ... WDRE, J. (1967): 1.<. mit-unique d" ",d,es. Dunod. Pari'
WENZEL, K. ( 1959): Au. der Projektierung fiir die Kraftwerk,i'UpP< Hinterrhc!n . D ie
Be"iu"nuuK ela .. ischc:r EiiC:nschaften von an .. ehende." Fel. d~rch Ullrasch311.$ondie-
rung. S,· h~·..i:. BaJalg. 30
 C it ... PTF.R J

ANALYSIS OF LOADS ON TUNNELS ANI)

UN DERGRO UND STRUCT URES

The most imponant potential loads acting on underground structures are earth
pressures, i.e. rock pressure and water pressure. Moving (live) lORds due to \'ehicle
traffic on the $urf;K"e can be safely neglected, unless the IUnnel is of the cut and
cover type, i.e. the dcpth of O\erborden is ,'ery small. Neither the loads resultinl
from "ehicles moving jn the tunnel. nor from the material cotweyoo therein.
e.g. water. are usunlly tuken into consideration unless, the tunnel is close to the:
su rface, or in loose 5011 of ~'ery low bearing capacity. E:\eeptions to this a re
water pressure tunnels.

3. 1. CAUSES AN D TYI'£S OF ROCK PRt:,sSUIU:

Rocl..s in nature. especially deep I}ing ones. are affected by the weight of the
o\'erl)'Jng strata and by their o",n weight. Stresses de\elo p in the rocl.. mass
because of these fuctors. In general e\'ery st ress produces a sirain and displaces
individual rock panicles. But 10 be displaced,lI rock particle needs [0 ha ve space
llvuila ble fo r movement. While the rock is confined. thus preventing its mol ion .
• the st resses will be accumullited o r stored in the rock and may reach very high
values. far in excess of thei r yield point. ( II has been pro~ed by K ;'R \I;'~ that
apparenlly rigid mnTenuls. such as solid rock and concrete may be stressed beyond
their plastic.limit in Ihis confined condition.) As soon as it rod piHticlc. acted
upo n by sucn a SIOr(lI, rnill Ul:lI or latent st re~~. i) .,ermined to move, n dis place-
ment (K:CUTS which may taK( the form eIther of ' plastic flow' or ' rock bursts'
(popping) dependi ng upon the deformation characteristics of the roc k-material.
The displacement rna)' be of an elustlc nature, shol.lld the elastic limit of the ro<:k
material not be exceeded by tile residual stresses.
Thus, when(\'e r artificial e;l\'itics are excavated 10 the rocks fo rming the external
crust of the earth. the "eight of the overlying rock layers witt IIt1. as a uniformly
distnb uted load on the deeper strata and consequently on Ihe roof of the ca Vil)
ellcavatcd. The resisting forces - as passive forces (shear strength - arc scllrctl),
mobiliZed prior to the excuvation or the ca vity. si nce the: defortllatlon of the loadtd
rock mass is largely prevented by the adjacent rocks. 8 yexcava ting the ea \'it).
o pportunity is gh'en for deformauon towards liS Interior. In order to main tain
tbe cavlly, the intruSion of the rock masses must be: pre~ented b} >uppon ing ,Jlrl>\:'
..,
tu.-cs 3nd .he load acting thereon is. referred 10 as rock pressur<:. Thi s. 'erminQlogy
Illso indicates 1ha. the magoi\ude of prc-ssurc i .. greatly alf=IOO by the magnitude
o f the deformation produced.
The determination of th: magnitude or rock pressure is one of the most intricate
problems in engineering science. This com plexity is due not only to the inherent
difficulty of predicting the stress co nd itions (p rimary stresse;;) prevailing in the
interior of the non-unifonn rock mass. but <llso 10 the fa!:l that, in addition
10 the strengt h properties of the rock. the magnitude of seco nda ry p rc,surci
developing after excavation around the cavity is governed by a variety of factors,
such as the size of the cavity, the met hod of its excavation, rigidity of it support and
the length of the period during whi<:h the cavity is left unsupported.
A special feature o f rock, pressu re~, whi~h is to be noted is that it is depending
not only on the quality of rock-material and on the magnitude of stresses and
strains around the cavity. but also on the amount of time elapsing after the out·
break of the underground cavity. Just in the same way the potential presence of
o rogen "primary " srresseJ ~ depending on the previous tectoni<: history - must
not be overlooked and neglected.
Within any particu lar ro~k the pressures to which it was t:xposed during its
history arc besl indicated by the pattern of folds. joints and fissures, but it would
be CAlI'cnH:ly difficult tu d~lnlllill~ huw far 11K)\; pressures are >(illlat!:n\. Tln:re i o,
in addition. a significant diffe rence between the internal 5treSl; condition of roch
and soils. Soils ~ particularly gravel and sand - were deposited un in terru ptwl~'
and uniformly a nd this regular sedimentation and stratification was but TJrely
disturbed by external forces. (The probability of external disturbance incrt"Jse§
with the age of the forma tio n.) In soil mechanics only vertical slTesses due 10 the
weight of the overlying layers. and horizontal messes resulting from lateral defor·
mation - determined with the help of Poisson's number ~ are taken into consider·
ation. According to T ALOIIIUi this approach ca nn ot be ~ceepted in rock mech~ni~s.
At first ~ similnr differentilltion of internal Stresses according to the onentllion
or laye rs would be unimaginahle there. Yet t:\"en III thIS case groundwater condi-
tions. settlement and plastic properties ought to be considered as these aJlttnd
to bnng aoollt an equaJlztl.llon between yeTtLcal and honzontal stresses. In rock
similar effects need not be considered. I n sedimentary limestones or in rocks cT)'s,
tallized from the molten sta te, for example. there are frequent indic.1lions from
whkh the existence of an initial hydrostatic, rather tha n an oriented ~tress distri·
butlOn may he concluded. The enormous l·hanges produced by tectonic e/fc(ls
act in the same stress fie ld. Tectonic effects act in a sense oppoiite to gravitational
ones. The rock joims and fissures a re scldom vcrtical and bear signs of the numer·
ous changes which they have undergone in the course of time as a result of
various e"Iemal effects even within the SlIme block of rock.
In soils, es pecially in clays, it may frequently be observed th at lateml presoures
do not develop in accordance with latt:ral deformations but undergo a gradual
transition fro m this initial stage to hydrostatic Stress conditions. T his proctSS is
stimu lated and aided by repeated seismic moveme·nls which contribute om a

Sdoolty: T~~ ... " of Tunn<lTu,¥

 ,.,
length)' period to the equalizulion or 5\r;lt lficalion. fissuration and the effects of
ot her irregularities.
III the h)dro5latic Slale. hOl"'I;!\cr, the principal stresses an: of equal magnitude
lind perpendicular to each other. i.c. shear st resses are l ero. This assum ption
WlU "mde b) H£lM. ascarly as 1818 for stress conditions prevailing al grea t depths.
Tuonellmg. practice was unable to furnish eVEn general support for this theory
because of the wide \'ariety of factors involved.
There is a further ditTerence between rocks and soils, especially granula r soils.
in their 51 Tess sm. l" I;urves : those of the former being dependent on lh ....'C variables
(eL Fig. 2/10), I.C. load and deformation Bnd also tilT'c.
Accordmg to TERZAGHI secondary rock pressun:, in general. should be under-
stood as the weight of a rock mass of a certain height above the tunnel. ~'hich.
whcn lefl unsu pported would gmdwllly drop out of the roof, lind the o nly con·
sequence of installing no propping would be that this rock mllSS would faJl in to
the cavity, Sm:cessive displact:nlents would result in the gradual de~clopmcn t of
an irregular natural arch abo\'e the cavity without ne(:essarily in\'olving the
complete collapse of Ihe tunnel itselr. Earth pre~sure, on the olhN hand. would
de note the pressure exerted by cohesion less. or plastic masses on the t unnel
supports, without a ny pressure reher ..... hich would - in Ihe absence of su pports -
sooner o r Inter com pleTely 1111 the crlYlIy leading to its complete disappearance,
The mllgnit ude of earth pressure is, in general. independent of the mength
and inSTllllation time of the supporting Structure and it is o nl y its distribution
whIch IS affected by the deformation of the lalter. The magnitudc of rock pressures.
on the other hand. is influenced decisively by the strength and time of install .. uon
of props. This is because the defoTmlltion follolOoing the excavation of the cayi ty
in rock masses surrounding the hlOnel is of a plastic nature and extends o\'er
:1 period of lime. This penod required for the final deform:ll ions and, thus fo r
the pressu ~ 10 de~elop. gencrally increases with the plasticity of the rock and
~ Ilh Ihe depth and dimensions of its c ross-section. The masnitude of defonnatlons
and consequently that of Slresses can, tllerefore. be limited by sufficiently strong
propping installed at the proper time. II should be remembered, however. thai
the intensity of plastic press ur~s shows II tendency to decrense with increasing
deformations. Furthennore the loads a re carried both by the tunncJ lining and
the surrounding rock and e~e r y attempt should be made to utili..:c this co-oper-
ation.
AccordlllS \0 one of the authorities on tunnelling. Professor RiIlIA. "The true
ar t in tunnelling lies in the anlieipallon of the dc\clopmen t of large rock pressures,
whicll is far more eifet:tive than 10 find the means of resisting roct. pressures which
ha\e already de\eloped. This contrJ.SI is Similar to that C1{isting bellO.een menial
work and physie.. llabour." This remark: holds, however, mamly for rock. where-
as in SOils wllh plastic derormation qualities, Ihe actll'lg pressure will be rJ.th·
er reduced by the yield of supports.
The reasons for the development of secondary rock pressures can be classified
nccord ing to RAlICLWtCZ in the following three main categories:

00·
..
,
I. LOOSC"ning or the rock mass
2a. The weight of the overl)'ing rod. masses
2b. TcclOnic forces
J. Volume ClIpallsion of the To!;:k mass, swelling due to phYSica l or chemical
action.

These reasons lead in general 10 Ihe development of the following three types
of rock pressure :

I. Loosening pn:s.~urc
2. Genuine mount31n pressure
3. Swelling pressure.

The conditions under which these develop, Ihe probability o f their occurrcnct
and thei r magnitude diffe r grea tly from one another and require the adoption
of different construction methods. The possibilil)' of thclr simultaneous action i~
ne\'cnhc1ess. by no means excluded. The combined aClion of genUine mountain
pressure and s .....elling pressure parlicularly must be taken into account and II I~
dlmcult to discriminate between them.
The type of rock pressure encountered Will depend mainly on the qualit y of
rock and on the depth of the tunnel. As regards prob<lble nx:\(: pressu re condi tions
three basic groups are dist inguished by RAIICL""rcz :

(a) solid rocks

(b) pseudo-solid, soft and ",eathered rocks
tc) loose rocks (soils).

J. tl. STRESS CO~ DlTIONS AMOUN t) THE CAV tT" CALLED

FORTH 8\' TilE OUTHIlEAKt'"G PROCESS

Pn:\·ious to an e,hausti~e lref:ltmCni of the various kinds of rock· pressures OM

has to get <lcqualnted with the modification of stress I;ondltions around the C8\;t).
The rcspecti\e bask theoretkal invcstigatlOns <Ire rela ting the geosta!il; sireS'S
I;ondit;on around a circular hole perforated in a perfectly elastic (Ind isotropIc
mll1erinl. Previous to the outbreak of the hole, this condition was charJ.t:lenled
by a unifonnly distributed parallel flow of the pressure line (Fig. 3./a). The con·
tinuity of these lines will be disturbed no", by the I;av;ty. and the Slrcsses transmitted
uninterruptedly o\er the cavity must be transnlllled now n~essari l )' through the
laterally lying untouched rock masses. Simply speaking. the pressure lines perform.
ing originally a regul:tr vertical fl ow ""ill be forced side",a)'s b) the removal of the
material of the cavity. produdng stress concentrations.resp. su perpositions In the
laterally I)'ing masses - mai nl y in the spring-linc (Fig. 3/ 1).
 STR~~S COl'OITIO'S "'~OUl'O TilE CA\'ITY 149

,I

FIG_ 311. Palterll of the compre5sion flow I:cforc (aj and after
(b) Ih~ ~~~"valion of n circlIla, hole

31.11. Stress Condition ill It Homogcm-"ous Elaslic Half-spac...

Th~ m""~I1'" nf Ih .. stress tn('re<1~ <1S well "5 the mt to and distribu tion of tflll_
gential and radial stresses depend greal ly on the ratio of \'ertical and horiWlltaJ
(orogen) stresses prevailing in the rock-mass.
A genera \ solution fo r the analytical determ inalion of stresses develo ping aro und
a cin:;ular cavity in elastic media was given by MINDLlN. ~·' Owing to the uncertai n
magnitude of hori70ntal presstJres. three fundam enta l cases are discussed:

J. The hydrosta tic stress condition. where

P. _ p._ ,h. (3. I )
II . Hori.wntn! pressures sulTil:iently largc to confine lateral deformation and
increasing linearly with the deplh, where

P~ = Po ,,-'"- '-c-I' (3.2)

II I. The case of no lateral pressure. i..... where p* = O.

The results deri\'ed are theore tically correct. bu: th e solutions are highly in -
vol\'ed: the hipolar co-ordinate system of Jeffe ry is used and the results are ex-
pressed in terms of transcendent functions.
For the lirst case an approximate solution is sh'en' by KERISrJ.• accordillg to
whom the tangential stresses can he: com Jlu led frO"TI the relatio nship

a, - 1h[I+;:], (3.3a)

0-1 MI!O;DLlN, R. n .: Slres~ Di slribuliun nruulld a T UIl""I, Pr()~. Am. SM. Ci~. E"". 1939
Apr. 619~41.
""
the radinl stresses being given as

G. -1/, (I- ;:J. (3.3b)

where h = the depth of cover

u = the radius of the circle
r _ the distance of the point under !;onsideration.
The distribution of secondary stresses alollB the horizontal diameter based on
these expn:sslOns is shown in Fig. 3/ 2. AI the perimeter the tan gent ial stress will
increase 10 the double of its original value, while the radial stress will be lero.

!iI~oreb('.J1 fY'dI5/,.,bllti(1!1 ~rJt~sst.J

tI(tf'r !/It nCllv4tJO!1 0/" rtlrulJr fluJe
h

r
II
'-

Flo. 112. Theorelka' redi$lnbuuon of Str~ around. circular hok attord ,na 10 KtRI$lL

Proceeding away from the perimeter the tangential stress will grnduaily de<:re.l~
whereas the radIal stress Will increase towards unit)'. i.e. to the originlll strm
condition. As will be secn. bc)ond the value r/o > 4 the stre u increment induool
is less than 6 % . so that the extent of the: di sturbed stress zone may safely be tak~n
IlS twice: the width of the cavity. In the exact theory derived by Mt ~D LlN the
innuence of depth is also co n~idered. I.C. the deeper the location o f the cavity.
the smaller Will be the stress peak. but t he larger will be the extension of I~
disturbed Stress zone.
As a matter of fael the horizontally acting lateral stresses (Pt) 'A·ill be mOSlly
inferior to the vertical stresses, (P. lind thus the roillO ;. = pJ p, ) will range betwctn
o and I. The elf~t of this varialion lIlay be observed a lso in the fo llowing basic
differential equation. In the ideali7.....'<.1 case of an elastic homogeneous and isotTOpt(
rock-mass the computatton llIay be effecled aHer Ihe streM theo ry of a thick-wallm
tube wllh the ,usumption Ihal the external TIIdius is equal 10 infinit y. This theory
of FOI'''!.. based on the clastic stresses nnd strains will re~ult for Ihe ll-'o-dimensional
cnse in the following differential equlltions (when II = displacement al the i nrl("T.
 ST" ' ~ CONI>ITI O""5 AROUI<., TH~ CAVITY
'"
1/ t- du - d isplacemen t at the external perimeter of tile annular shell with the
thickness of dr) "d~u til,
r '-/ 4 +r· - / - - II = O.
l" (r

This homogcncous-llIlcar dlfTerentl<l1 equation of the Euler-type may be solved

by the hcip of an ap pro priate Air)"'s function giving the radial (0",) ilnd ta ngential
(0",) stresses by the following equations ( KI RSCH).

;md
0",= ~' [(1 +;.)( 1 - ;:J+ (l -;.)[ 1 +

", = p"l .[J + 70') - (I - I.),(! I

2 (I + I.)

and in addition also the shear s l r~sscs (til)

tIt = - p,,[I
'"2 '(
- J.) I - 3 0'
r~ 0')
+ 2 r~ ~in 20 1
..... ith the 'l nnolations:
P. _ ,/,,' h (geost;Jlical) vertical pressure,
Pk - 1. . p,. = ). ' "a . "
= horizontal press ure,
'/. = specific densi ty of overlying rock-mass.
It -= overburden depth ,
Q - radi us of circula r cavi ty,
9 _ central ;J ngle.

T he maximum and minimum values of the ta ngen tial stresses acting al the perim-
eter of the cavity - depending on the functions cos 20 a nd sin 20 - will appear
at the c rown resp. bottom settion as
with 0 - 0; ", ..in - - p,(1 - 3).)
and at the spring line
with .9 = _90D ; IT, .... = p.(3 - ;.). (3.4b)

In Fig. 3/3.4 the stresses are shown , whe n PI' was set equal to Pi' I.e.
, ".,
- . - I,
whereas in the Fig. 3/38 the same stresses ure presented at the crown, resp. at the
spring hne when ). _ 0·25. 1\ i~ cle'lTly mnnifested how much the t.a ngentiill stresses
havc incrcased a t the spring line as a consequence o f the relative decrease of
lateral pressu res. In contrast 10 that. stresses at the crown were decreased not only
in their nbsolute value. but in t he close \'icin ily o f thc crown compression stresses
s..... itched over to tension stresses. This may be clearly concluded upon from eq.
(J.4b) bec.lUse fo r l -vHlues inferior to 1/3 the negative sign will be still pre\'oiling.
As a~ tuall y 10 most nxks smaller values of l thun 1/3 mlly be attributed to (i.e.
I'oisson's number 111<4), ge nera ll y te nsile stresses and ewcks may be cllpected
al this inner fibre of the crown section.
152 CoIoCSES A~D TYI'Ui Of lOCK PRWI,IIE

On Ihe cont rary, compression stresses will prevail at the springing with any
precarious }.·value (cf. Fig. 2/49). Should the factor of latera l pressure = ). be
defin ed by the condit ion, that lateral ex pansion is flllly prevented (see case II. p.
1491l nd Eq. (3.2)) then it may be 'M ine n on Ih~ basis of Hooke's law

., - ,
,
1 • ~'-." U·· ."
.'/'= ' !~~~" ,
/' ;,( ,
_ ' "UJ
.. 1 J • ..
'-.-/y
no. J/3A. Dis lril:ml,on of 1 ~" KCn1iil l FIG.3/3 B. Distribu l ion of lan];c nti al a n d
and of rad ial preuu res in case of eq ua l "r r~ d i a l prenul'C$ in cue of sm all
laleral prCMU"'" arou nd i ci rcular lateral prt>,ure \~ _ 0'25)
ca"ly (l _ \J

e,- £I [
P.- -
P.+p,)
m
= 0 '0' .. - - p,
P. m - I
(3.5)

With Ihis assumption and by the hel p of the stress-fu llction of FOPPL:
A. _ /I III .. P III - 2 (, 1 - a!)
"- 4 {r~-2a-t n')- . 2 cos20. (3.6)
III-I 4 /111 r
From the fo regoing exposi tion the stresses can he obta ined di reclly fro m the
~trc~ function ¢:

hi ,: - ll-
11. =
I
,1 .
if¢
eel + , . c, - P
2 m-
m- 2(
m

"4u' 30")
+
l
+ p
2
. -
III _
1 - -- +
!
cos 20,
r! " I
ifrjJ
(1, - """9,T=T
I
'. - -m «(1,
II

+ 0',)_
m
m- I

m
p
-=
" + a'

'8 .
"p
m
- 2 m
p

m-2 2D'
m - I
I
. m- 2 [ I + )")
( cos2e,
,
I ().7)

"
. - 'I - ' ' a,,) - - ' m-
jJ"i)82 m
'l [- 1 - 2.i'.• + -3o'J'sm20.
p
r,j
 nl.w COSDITIOM AItOU'iD TH£ CAVIn- ' 53

By plotting the principal stresses around a cylindrical cavity on the basis cf

the known relationship betWttn principal stresses

11 .... -
(J,
--
+2 (I t
. ± 2I J 4r~
,c·, +
,-=-
(0",
.
(1,)-,
m,"
the diagram shown in Fig. 3/4 is oblnined, It is to be seen tha t the rock fa ils
10 resist at the bounda ry the tensitc stress 0·25 f! e\'cn at nlOdcrate depths. C on-
sequently, the above relationships have significance only in rocks of high tensile

FIG. 314. Si ren i,obars arou nd a elf"ular hole in clastic rud

u a funct ion of the rock pressure p

strength. Owing. however, to the various tectonic movements to which mountain-

forming rocks have been s u b~led. the; r tensile strength has been grea tl y reduced.
for which reason the abovc fo rm ulae lire unsuiublc for pmctical use.
J 1.1 11. Inflt.l~nu of 'h~ shOfW of Ih~ corily . In addition. F~NFR has investig.1ted
what shape nfthe cavil Y would be Illost ap pro pnalc \0 redtlce Ihese tcnsile stresses
'5< CAUSUi A"D TYPU OF ROCK PRWUR E

at the crown and concluded that it would be a standing eilipse, the major aXIs U
of which is \ertical and is related to the horizontal axis b

, 1/1 - b
-~ ~
" •
-a 0'
3 II! - ,

In this case the tange ntial norma l stress will be

mp
0, a
m

which wou ld completely prevent sliding e~en of the fractured layers. This re latio n-
ship wou ld lead IIpin 10 a shear resista n~ high enough 10 anticipate the fo rmal ion
of (I protecti ve £o ne. Since this zone can actually be observed in praCli~'e, this is

F IG. ljS. t .... ban or horizonlal

.nd of ,'ertie. 1 slressa; around
In ell iptical hote

agai n a cond itio n wh ich can be regarded as a theoretical hmit only. II is reasoned
hereafter tha t ir large ten sile stresses occu r in the crown of circular cons-sections
and la rge com pressive st re sses in Ihal of a stand ing ellip~c with an axis rat io
 '"
- '- - , there is bound 10 be a shape for y,hich Ihe slress in the I;rQwn \Oo'ill be zero.
m - I
2
This shape is developed as It vertica l ellipse ha ving an u'(is ratio bln -
III - 2
(cf. Section 22.31 ). The isornlrs of maxi mum and minimum stresses around II tunnel
shaped accordingly a nd for III : S are shown in Fig. 3/5.
In th is theoretical a pproach the effect of dead weight was ncgleded by FEt;"NER.
An eH:n more scriou~ deviation from reality is inherent In his foregoing expositions
by the assum pt ion o f It unifo rm roc k 1I131crial ..... hich follows 1-looKE'S law, The
rela tionshi ps dert\'cd on the m iStS of the elastici ty Iheory are, ne\·crtheless. 5uil-
a ble for the theoretical verification of the dC\'cloprnent of the stress-free body
around the cavit), lind thai Ihe pressures should be c.uried en t irely by the rock:
a round the cavity. T his o~((l oaded rangc is shown Iheo l\:ticaJly to be lun ited in
elltent from rour to fi~e limes the major hatr allis Q. in spite of the high stress
peaks in the ,rown and at the ~prinsings.

The inftu~n"" of the ~ hD~ of Ihe ~a~ity "'IS inw§tillRtcd on the tNI~i~ of (""~ ~IQst;wy
IIr~o,y by T l kl ...(l m and R tcUA k r" .... ho deall nOI "'il~ the actual dClcrmiuation of Ihe rnaa:ni.
tude of rock prc:s,ure!I bUI , lakinS 11M:: magm lude of . "rlocal I P.) and hOrt:LOnlallln:i~Urc!; a~
I"Cn. in'l:sl illlred rhe effecl of lheir rlllO. and lhe shape: of lhe ca"i ly upon the distot1ion
rcsultinll from pressures around il. The allPro~ch follo"-cd in ClIlculau" lI 11M:: 51r.:S!oCS IS Ul
supcrirnposoc II'e val\1C5 obt.ined for rhe uni."i.1 Slate ofstn:n produced by the ,cllicaL Lo ad
on lOOK obt aIned (ur lhe binial Silne o( Stress produced b) 11M:: oonzonl.] pres.un:. HOI'"i·
~oml' pn:s!;ures a ruund I c.,·uy " , 11 nUl "".elop unLeu Iht ho,ilomal dd"urmltion due to
11M:: ven..:alload is prevemed. OIl!erwiSl! lhe only horizonta l p re~~un:s 10 be taken InlO l('I;ounl
,,'ould be rho$e of I rC$Jdual (orolll'nic) nature.
FOI'" 11M:: basic dc:lermin'hon of stresses around a circular CIIvily Ihe already IMnlioncd
n:1:uionship of KraSCH is apl'licd:

a'-2 , ( .' I
1 -r'+ 'r,+ - .'
2
J.'
"
- •
r
• ) Cln29.

,2 (I + ,../I' ! _ /I ( ,
2
+ Ju' )
" <.Vli 2f1 , (J .b)

.,. - - ,I
2 J.'
1-" + '"')
,.. . sin2!1.

where ", and 8 an: pola r coord,nalt$. and for Ille ye rt,cal ui, :. 8 ... 0
p _ P•• 11M:: unirormly dlSlribuled ,"CrlicaL rock pn:ssurc
Q _ 11M:: .-.dlUS of Ihe cavily
P. = l.p is Ih~ uniformLy di stribut ed 1I01"l10nl1l1 rock pre"u~
0, li nd «, _ 1i1c radial .nd lanscnlla l normal Slrt'i:\CS
' " "" the , hellT actlnll in 11M:: ,. - 8 plane IFi,. 36A).

... TUl'JlGIIl. K. a nd Rn.." ... ~ T. L : Slres>C$ In rocks about ca'·llteS. G~olulo"f<l~ 19S1
j1_ 7~.
15'

\Vilh a lateral pressure of Intensily p~ :i.p. lhe stresses are 10 be calculated in a co"ordinalc
S}'lem transrormed by (9 :;;; .~ l2

fI, ""
pI
2
lU'
T'
- 4";
r'
I '"
COS.CI.

p'
u;' =
2 ~) + (l.lIh)

T;~ '" "2

),' ,"'I . ",
+ r' sin .D'.

"
T,"=", ~ual ion. apply 1<) the S1re~,.,s dc,'clop;n, aro und a circ ular hnlc In a pi"!,, , I n Ihe
caSl: of. \hn:c:·d;mensional tunnel Ihe ~lres5 aCl ina: n tile dil'tttion 0( the lonllitudinal a~I"
" , II boo, ,n u ~..,;ord&ncr .... ,111 11(0);['5 faw. 0, _ 1'1<1.+ fI~).

a;

--
• -----
----
----- . -
- 4 J. 'P.
--C7" '------t-.-'::::
•
- ..;o'-.ll'~

--
--- ---
- FlO. },6A. Annolalions used

i pt i !!
IIIIII I IIII I
for the complI,a,ion of ~lrcncs around a
circul ar hole (TF~~"OIU-R , cHA K r)

FIG. 3,6B. Coordmale system u.<.ed in

the ~om p ulalion of Sl rHSCS arou nd an
elliptical hole (Tu.:"c ,,,-Rn: " AKT)
li ori/Utual and verlical SIrc:sses Can be ohlall'ed by Ihe kno"o"n SIren transform a tion co r-
relalions
".-0, 2
0, _ o.
- ---2 (0)20 - T~~i n 26.

". - ,
+ fI, o~ _ 0,
- - 2 - (0.;26+ r~si n26. (l.9)

"~ - ",
y .. - - Z--si n 2~ +
 T~ «Iual ion~ for SITHK!I around a n clli pl i~al ('3Vl1y arc much mul'\: m'ol,-ed. St ~s
a round an ellipt ica l hole in a plD te WCI'\: d"termin~ by N~lJnn by in lrod ucinl! Ihe dhp lic:al
co-ordl na tcs ., a nd JJ in l he: follo"', n& furm:

(a) For an eUip!lC ",ilh the major a ~ ls nori1.onlal (parallel 10 lhe.lt dir«lion)
x _ cosh ,. sin /I.
% ... sInh <r COS {J {Ha. J 6 R).
(b) For a n cl1ip~ ",·lIh Ihe major Dxis ,·crli~ B I (par allel 10 Ihe ;;: dm:.. lion)

~1Ie:s

.
e Dit (i). The equation rela ted to the of the C3"1)":

,- , ) +
sinh "u
a nd the m3,Jor. and minor ... o:s arc

x ,.o"" ,, - cosh ~.. j "••• "" b '"" sinh " •.

T he !01n:sscs arc:

'II ".'" 2fI + "O"~J [ II' . cO)h h + I - 2 &--:0 _ C (I - .. - .. ) I+

sin h 2~
+ lb'

fl,_ p[l>mh2~1
8 I!' _5mh2 .. (l-cosZfJ)-C.. -··{I+tos2ll)-A+2 8t·"(~0'\2/1) + J
.,. .'.'h'2fI I
(-~osh2~1-1+21/~-"+C (I_t-") + 1 0 . 101

+:_IC05 cosh h -
2,'1 (- C .. -·- + 2& --:0) + cosh h - c .. - n Jl
r. _ ={2S;21J 1_21.mh h - 4 & -" + 2e..-•.) + Si~.2,8_l5'nh 2~ (I + cosh2~ -
- 28.. -'· - C (I -~ ")1- ~mh2~ - c.. -,· - A+ c0$2iihmh 2:r - c.. -"'+
+ 20t-··)1}·
"here A :: - I-coshh"

B_ I r"+
,, .....,
Z
c_ 1+ .....
lhe faClor of d'SIOri ion: II == si nh' .. + cosh' /I.
AI any polnl of Ille cl1ipllcal cavily " _ ,,~and hence [',J-... '" ,.,
P ISl nh 2,. - I-
- ..... - ..05 2il 1 at Ihe 1'1"0"'·0. "here iJ _ 0, ". __ 1'. "hll~ 01 lhr )prio,inp (x a;o:is~

,,·here p - :"1/2. ". - I' [1 + 2 : I.

 ""
CfI$t' (ii). The cqualion rdaled 10 Ihe edges of Ihe CIl,>i l y:

(-cosh, '" )' + (sinh, '. )' :=:1.

and the major and minQ r ucs an:

: .. ~. = b = cosh 7 . and x, •• =- a _ sinh 1•.

The SIn:nes are Eiv"n as

11 .. '" : {[ 5i~,2iI _ 4 c:: 2.8 11' _ cosh h + 28f-" + C (l + ... -"')J+

+ si nh 22
211 '
[2.'1 + 1. smh 21 _ 2e.. -l _ + cos 2{l (_ 1. sinh 2~ - 28, -" - 2C"-")11
, ! Sinhh [ . + cos 2j/) +
0'''''8 h' - A -sin h 21 (J - cos 2/1 ) + Cr~(1

+ 2Bc-=' COS2fJl+ ~~lCO~h2' ( l -cos2/1)+C.. -'· ll + <"052/J)+ (l,II)

p { 5in2p[
,~ _
8 h' sinh2Y {- I + co~h21 - C ( J +r - :') - 2B~ -:' J+

+A + Sinh 21 (I - co, 2tJ) - 0,-"( 1 +cos 2/J) - 20.. - 0 ' cos 2i/] -

- -25m2,~
h' l.2~lnhh+2 (C+2 B).!- -::' 11 ,
whc~A =l -
, ,
, t'", ,
J _ _ __ _~'"
R __

C=r"-l

, he diSlonion faclor is Ir':=: si nh' a + sin' {l.

AI Ihe crown whcre fI = o. ", = -p, while al Ihe sp rinlinKS whc:~ (J = :>;2, c,=p(i +
"')
+T'
The stress value~ around va rious cavities. compu tcd according to the abo\'c
equlltions with an assumcd value o f I: _ _ /1
_ 0·25, lire ploned in Fig. 3/7.
I - /1
The venical stresses aD and llie lioriw nlal stresses a-. are shown separately in the
ligure, reduced by t he original vt: r tical rock pressure p, and ploned against the
 ST~US co~OrnO"$ A~OUND TIn C AVITY ,so
relati\e distance from the cavity. this laller being related 10 the half axes Q and b.
It is interesting to note from a comparison of the diagrams that the Stresses above
the crown do not altain the valut: of the uniformly distributed rock pressure p
acting on the cavity. Proceeding upward the value of (1, . approaches that of p
asymptotically. while 11. remains smaller tha n O· 5 P lind decreases with increasing
height. The shape of the cavity, i.t:. whether the cross-section is a circle o r an

"

I
,,;o~
.,
"-
.

---
FIG. l/7. Variation of .-ertieal
and horizontal tanacntial
streS!oC5 as a function of shape
--
ellipse with the major axis lying vertically or horizontally. docs not appear to
affect the stresses at the crown significant ly. The stresses around lhe springings.
on Ihe other hand. depend much more on the shape of the section. The \ertical
stress". in the case of a circular cross-section amounts to 3 p: it tS shghtly less
for a vertical ellipse, and considerably bigger for a hOrizontal one, and decreases
asymptotically towards the initial value p . The rate of decrease is moderate for
circles and vertical ellipses. lind is rapid for horizontal ettiptical cross·sectio ns.
The horizontal stress (1h is also much smaller here lind app roximates 0·5 p in
circular cross·sections and 0·25 p in elliptical ones. A peak value of 0·8 p appears
only in the immediate vicinity of the horizontal ellipse, but the region affected
thereby is very narrow.
Thus it is demonstrated that cross-sections or slanding vertical elliptical sha~
are the most advantageous also as far as the stress distribution in the \icinity of
the cavity is concerned (cf. Section 22.31).

Siresses around ~phcriCiI ta~ilid and h.vinllhe shape: of.n ellipsoid of revolulion
~hO!oC
",ert compared sUbsequently by T[~T.AGHI and RICHAU ,,"llh those around l .. o-dimension.1
taVilie$ with circular and elliptical crOSS·SC:(:lIons.
 , ~

The SII"CSSCS pro(h.ce-<i around II spherical CII ... i~ y b}' III<:: u niform ly d,s.r.bu 'td . mK'1I11wd
" .1':, 8fXQrdonl! 10 ~[I:II£It:

". ___IS8
[ R;'
+ 3( 1 - ~}Cl
f('
5In 6-
'
. 128
X'
-+-+
A 2(.. - t)C
"
R' R I '

r~ _ [_ ,,+ 24fl
R' + h-X' 41Cj sin6oos0. r,.._ O, f,._O. (J.I!)

",here R, f Hnd </> dcnorillit Ihe polar co-o rd lna les

~ ... 2( 1 -I') .

B= -
,
4+ h

c~ Sp
4+ h

The 5tres§H ~ ft. thus. no 10Rilcr unalfeclcd by Poi:lSOll 's ratio .. nd, for insran(c. the IUit'''"
,ial 5IrH.YS"~ OIl th e sp.in.i n!!s A Hnd at .he crown C vary 11$ functions o f I' in the follo~lnl
manrxr:
I' "" 0 Of>{; - _ 0-2 14p
"" ()o 2 = - O·j()()
_ 2'<l4S "" - 0'682
... 2-167 _ -1- 16 1

The vamnion ,s c 5pecl:1I 1~ pronoun~~ I I . he ero .. n.

The l i'lrorcllcaliklt'rminatjon of sl R:!lliC5 . ,ound a n ellipsoid or ,nohman WitS SOh'N II)
Emo. .... us'·. The Slressc:s ar~ .;ain obla inCd b) superimpOSlna . he uo':u:131 '-.:rl~1 )/~
fw:ld on the bluial 1I0ri-':onl.l St ress field in .he follo,," ;n, ~Mra l form:

R,_ R.. + "f:"flM·R".

",I\cre HoI - . 1Ie SH I!:SS in th e undiSt urbc-d ,",ondtuon pK\'~ ilinll prior 10 lhe ~c.\"auDli of
the ea~ n y
fl~ H~ _ the addnion al stn ss c:l.I,lSl:d by ,h.., ~Caya l ;on.

Here Hu denotes the stnss uselr a nd ". the OOn)lanb dependlnll nn dlllmtter nlations.nd
sah5f"YlOl l hc bounduy cond ilions.
Any drla,le:;! de)CriptlOn of tnc IhL"Of")' in"oh"Cd "'01,1.111. exceed the scope or thi, wor~ and
",ren:no:c i5. the",fon. made to lhe li .. ,""u""· '.
T[a ZAClKl and k ICHAal compiled the ~!!SI
eOC"'1'Cicn l~ <I p in a ,ab<J I:a ,ed forn, for ,-a"ous dllIrtleler rallOS and I' ,-.l ui:S •

.... Eow~llm : SII'CSS ~nllC'e " ' rati on Around spheroId al inclusions alld a~I'iH. J . AH.
"'frh. 19S1 Ma n::h.
" " ·ra7AGIU. K. Dnd KICItAal . L. : Strts:les in rOl: ks about c.\"l tll:S. Ow/trhn/lll«' I~'l
'7-7J.
 ST .. U111 COSOITI0"1 .....OUSO THt CA\IlV
'"
AMumin, apin 11M: , .. lue 0-25 ror 11M: laleral prepu", nllio i.. il is 10 be: !.een rrom Fig.
3/8 IMoI lhe Slresses around a spherical ca\ity are. in ,eneral. ~mal1u than tttosc around
a lunMI wil h a circula r cl'QSJ.secl ion. T h i~ should be: o:!p«,.Uy conspicuous Illhe springings.
where the pea k vert;,,:al SlreSS is I·S P . which comparn favourably '''Ih t hc va lue or 2·S p
dc~clopi n, in Ihc case: or I circul ar cross-section. T he verlical slresses abo,·. Ihc ~rown. on
Ihe Other hand. will be sl i&htly hilhcr in Ihe case: or Ihe spherical ~avi ly . T he difference in
/lorizonlll SIInS is sliahl, bolh al lhe spri nai n,s and lhe crown.

" ,, ,,·x r

" ,,, ,,
- _ Om.:ilr CJV1~!I
~ 1"5
r~·
- - - - SpfJr!"ICI' CJV1J!I
• , ,,, ,
,
""..,.J I , . ,
, ,, ,
" r

,,, ,,,,
,," ~
~
,,
, ,, ' ',I'l,
,
FlO. 3/8, Vertiul (a.) and
horizonlal (a,) lanICnlial
'I ~ around <";«'ular and
V'
"l. I.
" P.

spherical cavities , .;'.ii

The differences round" ""n comparina sl resses .round ellipl~al lunntls and spheroidal
cavi t ies are laraely similar. The difference NI"'Hn Ihe lan,en l ial SH l'UCS arisin. aro und
Ihl't'e.dimcnsional cavili" and linnr IUnneiS increase:s in &eM ral U the ratio or Ihe principal
un dee re."!•• i.e. Ihe ~pherical sh ape is approached Ind as Ihe lalerall'resSure coefficie nl
). hecom<'l <mallcr.

The conl;lusion (0 be reac hed by (he abo"e consideralions is (hat not o nl y are
rock pressures smaller "hen acting on confi ncd cavities (cf. Seclion 32.213), but
the strcss distribu tion a round them is a lso Ilio rc favourable.

The dist ribution or circumferential JlfCSSeS arOUlld a hOrsc5hoe·shaped Col ~,ty iJ ,lluSI raled
in Fil. 3/9A a fter the results obtaind by Z... NGA II and f>HtLl~S by Ihc u~ of pholoelaslic
methods. Dra ..... lng (a) represents the di ~trib u tion &rourd t he perimeter or the " avi ly. wh ile
drawinl (b) ~ho ..'s t he "ariation or stress wi l h di5tanc~ rrom the cavity alonlthe Hne F-F.
'lII'in for _ lateral pr~sur~ cocffkient i. = 0'25. The peak circumferential StTeSS I.ain remains •
• pparently. below the .,.Jut Jp and e~tend! not furl her tban three timet. l he ",dlh. It is of
internt 10 note thc S'te$$ peak al lhe lower corner of the secl ion .. h~h can be: traced back.
10 lhe abrupt chan&e in direction 1\ this point (stress c,:,nccnlration).

Siress conditions around a recta ngular hole we re computed by SAVIN. Isooors

or principal st resses arc shown in Fig. 3/98.
162 CAUSts "'''0 TYPES OF ~OCK I'R[SSU~H

JO
~
~'" i'- I
HJ
0
T I
•

JtrlU su!r
zit'
b'/t)'tbPz
.b , Flo. J{9A. SIres. di;l"bution around a
honeshoc S«lion (aftu Z"'N<l"'~ a,,<1
PH IUI'$)
J

1 t
I
N

Tension

•
'--~"., . ••
....
-- .- .",,"---CompnsliPfl
iJfJf

I I
FlO. 3f9 B. Isobars of principal Icn!lion $t,..,~~. W'(Jl"1tj a r«un&ular hole after SAVIN
 STRESS CO"DITIO'lS AROUND THO CAVITY 163

31. 112. illjful'nce of oIlier factors (s trat ification, lining, cover depth). Recent
model experiments of G. So~NTAG3.l have put some light upon the inflllence
of stratification upon stress distribu tion around tun nels. As ind ica ted in Fig.
3/10 pressures will be eOl1sidera hly increased III 11e spri ng line on the perime ter
of Ihe cavity and ils maximum va lue will grow wi lh the number of layers up 10
leo la)'crs and will not be influe nced
by la teral pressures. L
Stress conditions will be unfavour- 1_'_
ably In fl uenced also a l the e rown-
~ection. The overlyi ng layers will defkct
un de r the Joadingjus t as a stri p- bundle.
~-.Vp

--
In thiS way tension-stresses will be
prod uced at the bollom· tibcrs of each
strip in the bundle. T he tension - ,w ne
at the e ro",n - dangerous already in a
homoge neous mMerial - will not only
nOI be limited loca ll y, but alternating
wi th bending co mpl"QSJon ordiml tes
will extend more to the vicinity. The
tnllxinll.lm tensi le stress will amount up FIG. lilO. Infh ... ~ of stratifieuioD On the
- in the case of 4 layers - \0 1·2 P. di stri bulion 01" tan&~ntial stresses around a
and will increa~e in thecasc of 10 layers ""ular (1Ivit)
(a practica l maximum) to 1·73 P•.
The erred of the rigidity uflining on the distribution of pressures around a ci rc u -
lnr ca~ i ty was investigated in an elastic mcdium b)' SZlI.. v)ic;n

H" con<:]l,Idcs. in p: ... raJ, that ~trCSS distribution "iii be: rendu~d much more favourable
... "h a quite lIexibl~ !,nlnll, and ,,·m be made III" t~ uniform b)' • lining of Imdium rillidity.
T~nsion .t r~"'s at the CTO" nand bouum will d isa ppc~r and 'h~ dl,turM;JlCC of the o ri lli nal
Slress field will be rfilllCCd to lero at a lateral distance ellual to lhe diameter of the cavi ty.
The eomtroct,on of the linln& will COunteract ""fonna t,ons, bill prior 10 li s innalla l ion
deformatIons ",II be already initia led which may 'A on n a eonscqlltnce of ddC-Cli"e embed.
dinl\:. 1u allow for this action a fUCIOr ~ is introduced cxpr",,~inllthe ri,idlty of cncus.:ment.
, '" I ""prcu an absolU1~ly ",III embedd inl ..... I,.n~. ~ '" 0 expresiCS (nee ""formalion.
The eonllruc:tion ot the linin& ",ill ;nerea"" I1Id,.l st~S $(I exert",. a be"",liciar inOuenee
upon roo;k ,nen,tll. wllcreas t he dominant tanllC'ntial Slms<:s will <Iccrea§c ~ven witll u s m all
"Hlue ot 2. In addition. Ihe dh;trihulinn of StreSKS will be remlered more uni form as ~ i'lc reases
producinll a ncarl)' umfornl d,stn huli on .... Ilen ~ _ o·s. With the: inc..,a", of ~, slresses o n
the lOP will Inc rCll~ as a,.inst Ih-osc at the furthe:r hOrIZontal dian"'tcr.
1t.e d"trihution of pressure will becOIm mOre unif"rm abo WIth the d ista n~ from t he
cavI ty ( ria;. l / l tA).

La So":-'AG, G Spannun.soptische und theoret;sch. Untersuchungen det Bcansp r uchunll

&e5Chlchteter GebiraskllrJXr in ""r Umll"bunl> CinCr SU"eckc. Fot"S~lIu1lll.bn/d" du /Andes
No,drllnn-W~~lfillr", hrrauSarl"ben du"h das Kuitusmim,'erium, I"r. "'1.
Wesldeutschcr
Vcrla" KOln t%O.

n'
164 C,t,USES "SO TYPU or 11.00:: l'll tsWU

In this figure the above tendency is rcprestntcd for various a-values (0-], 0·5.
0'9) and in various dista nces (r = 4, 5. 6) fro:n the cavity.
The above considerations hold only for elastic, homogeneous and isotropic
rock mat erial and thu s arc not so much a ppropriate! for the determination of
actual stresses around the exca vated cavitin as 10 offer a picture on the potential
influence of va rious p;l.rllmclcrs playing II ro le in th is ite m.

• · IN • ·M

1"10. l / I IA. Variation of .. ~~ure di slri ll ulion around a circul ar cavity as II fu nctio n o r t he
ri"duy of embedment 2 and of lhe di51ancc r

,
'""'T' .... ""

1 '.
"'- +'
•
L
• ,
• -~
/'

"
r. _ .;
- • •
• ,
1 , , L • -,-
•
p

, ,
FlU , 3/ 11 B. SIren dist ri bution and propap.llon in '8riou~ depth s
 ..,
AI last it c.ln nOI be o\c rlooked tha t the r~" kaf positioll of the tunnel (i.t. the
o"crburde n depth) will also ha~e II CC'Tla in influence upo n the d istri butio n of
stresses. In this respect the t ypical :<.I ress-dislnbution a nd e~te n s i on fi gures in
e1a~ l ic an d plastic e nvironment are represented afte r T( R/..AGIU in Fig. J / Il B in
great resp. in shallow depth.
TEIlZAGI II is assumi ng, that the lateral pressure coelfku=nt ;. "" I and hyd rostatic
stress conditions were p reva iling in the soil muss before the outbreak ((1. - Y . :).
Because of the e.\ cOl va tion of the tunnel the mdlal stresses will be reduced from
the ir initial va lue to 0 in every point of lhe penmeter of the hole. In ad d1ti o n, the
st ress-cond ition in t he rock-m,ISS may be regarded as t he difference between initia l
stress and the stress called forth in the respeclhe point of the tunnel-wall by the
radial pressure '/ .•. Suc h a pressu~ may be produced by lilting the tunnel with a
liquid of 'J relall\'c densllY.
Wit h thiS supposIt ion TrRzACIII Rrri\'cs lit t he known relatio ns

")
+ ,,
ood
(I, _ (I; - 0': = I . '/ (I - ---.
")
,. .
These inner pressuru a pplied in this wily li re shown in the left side of the \'ertical
uis of Fig.. 3/ 118 and o n the right ha nd-Side. in contrast to t.ha t. the d istribu tion
of tangc nl ial stresses atong the tun nel-lining is re presenled. It may be seen, that
the influence of de pth is mall1festing itsclf in the non-unifo rm dIstribution of the
peripherial stresses in smaller de pthS.
All the fo regoing rela tions are lIalid only in II n elastIC, isotro pic nnd ho mogeneous
rod: mass and Ihus are nOI so muc h ap plicable for the actuu l determina tion o f
Stresses aCllng a round actunlly excavated cavities. as for offering a possibility to
judge the extent and way of the effect of the enumerated fllctors.
h may be mentioned that on the basis of the elasti\': stress condition another
theoT)' o f roc:k· pressure delermlllatlO ll has been developed by J . SC Il ~II [(1, which
however IS not applied in praclice because of ils numerous a pprox.imat ive assum p·
tlo ns and rather inlloh'ed t heore tical implications. A useful resul t of Ihis theoT)'
hO'ol1!\er is that the (':'(Iension rud ius (R) of Ihe distu rbed elastic zone may be
determined In funct ion o f the following parameters :

/ l 1/l(m _ 1)£
R _ n'/( , ~ .
f.I '=-..-
\ ., · H(m+ I)(m 2)
(3. 1J)

with u radIUS of the circular cavit)" m Poisson's number. £ Young modulus• .,

specific density of rock, H overburden de pth. T hiS expr('ssion indica tes thai the
extension radius is direc tl y pro portional to the radius of the cavity and unde r
square rool to the modulus of ('1<lstit'lly and to a compound of Poisson's nu rn-
her. On the other h.. nd, it is indirectl y proportional to the overburden weight,
indicating a moderate influence of these laller items, i.e. that (If the primary
stress conditions.
Also the elastic deforma tions are determined as
• •
w -
f .d dr = -£I J,or I
(p,. - 11,,) - 7,;(PA 1
- 11,,) (Ir.

whcnce the deflec tion 3t the c ro wn

Pc . u 2111~- 3m +
(3. [411)
E m(m I)
a nd the horiw ntHI displnccment of the springing

Pr . a III~ - 4111 +
u~ - (3. 14b)
E m(m - I)

The advcnt of digi tal computcrs coupled wi th the r~pid develo ptnent of
rock mechanics has offered new aspects also for a more accurate design of
tunnel linings, Many influencing facto rs whiCh had been negleeted owing to
mat hematica l diffic ulties may now be ta ken into account, consequentl y, tht
exactitude of our design calculations increased. Among such important items the
discontinu ity of the surrounding gro und or the sepnrntion of wnes of elastic and
of plastic behaviour may be mentioned.
In tile fo llowing the basic principles of two recenll y devclo pt.-d methods will be
presented.

3 1.11 3. ", " ite efcmelll m e/hotl. Th is dimensioning method is extensively used
already in the calculation of va rious engineering structu res (fmmes. slnbs, shells.
etc.) and finds increasi ng applicali on in va rious problems of engineering nnd nxk
medmnics too. Anothcr great ad vantage of this melhod is. beyond Ihe abOl'e
mentio ned possibil ity. that the no n-linear characte ristics of the materials, as e.g.
inhomogeneity and nnisotropy rna)' bealso considcred, that it may be applied fo r the
computation of any type a nd shape of any structure.
T his me thod was applied by K OVAR l u for the determinntion or stresses around
n cavity in an elastic continu um. He has considered a pt:rfo ratt:d disc as a bas;,
Sl ructure IOllded in its p[anc admi tting the considcr.uion (>f a cooperation between
lunnel lin ing a nd the surrounding rock. The lcft half of Fig. 3/ 12A is showing
such 3 disc supported on its sides a nd chargcd by a given load. Let us consider
t he disc to be composed or triangu lar elemen ts of finite dimensions (see right half

... KOVA RI. K .: Ein Ikjl ra& :/:Um Bcmusunilliproblem "on UnlcrtaGebauten. Scb'. 0 11/1.
t~69 17_
 STRESS CODITIONS ", ROUND THE C... VITY 167

of the figure) being connected to each other only by hinged nodes placed at the
corners of the elements. This fictive slicing of the continuum is transforming it
into a well defined discontinuum subjected to known charges and supported by
hinges at known locations.

f,r

"
<,'

H<l. V12A . The ""rrorated disc FIG. J{12B. Tbe local coordinate
as con tinuum and di sconlinuum system

It will be assumed, that the displacement of each element may be characterized

by the followi ng linear relations (Fig. 3/128)

u(x,y) '" U; + C, · x + CI 'Y) (3. 15a)

I(X,1) = v, + C 3 · x + C, · y
All nodes are num bered, each node (i) being the origin ofa local coordinate system
(x,Y) parallel 10 the principal coordinates (x,y). The constants C" C 1, . .. will be
expressed in function of the displacements ( lti' t',) by introducing the coordinates
of the comers of the elemetary triangles (ai' bi , ..•) into equation (3.15a). For
example we gel for C 1

(3.ISb)

The specific deformations a nd distortions (f... , t, Y~y) of the clements may bt:
gai ned from the known equations

,~ --
""
a x '
.

from the basic equations (3.ISa) it may be dcriv~'1i that

(3. I Sc)
Considerin!! e... £y a nd Y... y components of the "eclOr [e1 and "j' 1'1 ' ur c" UA' Ilj
components of the vector Ir1, the relation between the disto rtion of the elements
a nd the displacement of the nodes may be written in the follo wing sim plified form:

(3. I 5<1)

The matrix [CJ of eq. (3.1 5e) may be gained on the basis of eq. (J.15b) and
from the similar expressions fo r C;, C 3 and C. and thus

Ok - {IJhJ - bk - {Ik hk "1 - hJ

Hooke's law In the two dimensional case

{c:r} = [C){.ei (3.15e)

will give us the relat ion between the stresses (c:r.... crY' r.) and the displacemenu
e:o:pressed by the quadra tic ma trl.'(
- I' I' 0
E I' - I' 0
[C] ~ (3. 15f)
(I + JI)·( I - 2/1) I - 2/1
0 0
1
with £ Young's modu lus and II Poisson's ratio.
Introducing now the e)[ pressions given by the ~quations (3.15<1) and (l iSe)
th~ st ress condi tion appears as a direct function of the matrix of node displace·
ments {r}
(J.15~

The assumed law of displacements (1 15a) is granting the contin uity between the
elements: thus the compatibility condit io ns along th~ sides are complied with.
On the other hand, as in eq . (3. 15g) the m<l trices [e] <lnd IAl do not contain but
const<lnt parameters it is not to be feared that stress concentrat ions would a ppem
around the corner points. On the contrary, in the sense of eq. (3.15g),a homo-
geneous stress condi tio n must prevail within each element.
As a mat ler of f(lct the finite element method. is but a n a ppro ~imate calculation
method, insofar it is sat isfying the compatibility conditions of the displacements
on ly, whereas the continuity of stresses is not fully satisfied. Ne\'ertheless, the e)[·
lIclitude of the resu lts may be improved at will with Ihe incrC'asc of the number
of elements within the zone considered.
Figure 3/ 12C indicates the Stress condition of one single element with stress-
components of a n assumed positiv sign (l nd the triangular eleme nt as part of a
fict ive quadrangle. The nodal forces {S } may be determined from the requi re ment
 5TRlSS COSDlno..:S AROUl'< D THE CA\UV 16'

that they must be statically equivalent to the stress.."S (3. ISg). The members of
the malri>:. [B] connecting the nodal forces wilh the stresses may be directly fou nd
from Fig. 3}12D

•
'.'
-,
__-
_ )l-'--
",'
'.

FloG. J. nc. Sims p...,tu~s F,G . 3, 12D. l:'1ui\alem forces actin, al the nodes

r-b, - b. 0 at-oJ '

0 Uk - OJ b, - ."k
- D,
Ie} - , b.
0
0
- D. b.
- b, 0 D,
0 D, - b, J

The ex pression
{S} - 1811a} (3. I Sh)

will give us dirt(:tty the required relation between nodal forces {S } snd the dis-
placement of nodes {r}

{S} - 181 Ie} IAI {,}· (J. I Si)

oro

After mUl tiplying t he malnces ill (),15i) we gCI a symmetrical quadratic matnx

[kl _ [81 [CJ [AI (3. 1Sj)

which may be denoted as rigidit), matrix, whk"h could hll"c been obtained also
from general energetic.. 1 considerations. withou t usi ng matrix {B). The first 1"iO
members of its lirst row may illustrate this as follows:

with the abbreviation

E
(I +JI)-(1-21l) '

Two eq uill bnum co nd iti ons may be written for each nodal point "j" for the
force components quilt similarly to the ::!nailli!;'.!1 treatment of a two-dimensi·
onal tfU SS.

•
- LS/$ +R", = O; (3 .1SkI
o

The forces R lIlay be either eXlcmal forces of given magnitude or provisionally

unknown reaction forces on bearing points. The summation of the nodal force
is to be effected for all clements q being in contact with node i. Considering that
the nod:d forces S, may be expressed by the displaccments {r} through the matri~
of rigidl lY It I with eq. (3.15i) and (J. 15j) we shall obtain a system of lineon equa·
tions in the fo rm of a series of equi librium co nditions (3. 15k). The number or
equations is the double o f node points. Components of the dis placement vector
{r } may be regarded unknown as wcll as those of the force vector [R J.
From the point of vle~ of suppall a node can be reg:lrded :

/.I) 3dml1ting free displacement in any direction.

b) admitting displacement in one dirt:(:tion only,
c) admltling no displacement but being held fixed in position.

In the case u) the two dispJtlcemcnt components "/ and r,. III the case b) one d is-
placement component and one force component. and in the ca.se c) two fom
components must be taken for unknown. The linear cqu;lIion system cun be
presented with the sy mbols:

{R) _ [KI I'} (3.151)

 '"
The ma trix [KJ is called in Ihe literature as matrix of J}'J lcm rigidity and is com-
posed of elementary rigidity matrices Ik).
The reduction of the disc problem [0 the solution of a system of Imear equ.:ltio ns
constitutes in fact a n a pplica tio n of the ma trix theory in statics (3 ) especiall)'
suitable for t he utilization of electronic com puter.; of higher ca pacity. In this way
a compu te r program can be conceived for all mathematic-oI' com putations for
the clear and systematic presentatio n of the results.
Should all displacements be dete rmined afte r (3.151) we may get thc stn::sses
;Ic:cord ing to (3.15g) fro m t hem and t hus t he principal stresses may be also ob-
tained.

3 1.1 14. Tile busic compi/ratiol/ prinr/ples in elastic- ideol plastic malerial.
KovARI has worked out an iterative solution a lso fo r these materials. the SII'CSS-
sirdi n cur . . e of which may be characlerilcd by an inclined (eJastil:) and by a hori·
mntal (plas tic) straight line. ( Fig. 3/ 12E). T he yield-condi tion is b.1Sed o n the
Coulo mb - Mo hr criterion and it is to be presumed in the calculation me thod,
that Ihis cOndition does not contain the third (medium u:J princi pal stress ( Fig.
3/ 12F). After a shon prek nlation of the pri nciples of plasticity theory and of the
yield conditions for principal stresscs and strains he is giving a solutjon fo r the
stress conditions of a perforated disc based on an itera tio n method where the
displaceme nts of II point are plolted 115 a result of t he deforma tion of th ree rods
of a hypt:rstaticalt Tuss. The conve rgency of the ite rdtion method is the ~reate r the
more ngld the elements are still in elastic condition. It is essential that the elllslo-
plastic condition should be obtained by continuous and by prog ressive approach

3j t2E. neforom.tion diall"'m ,, I' ,

FI(1.
of an clastic and ideat plul ic
lIlateri81
ie
, ---- "
,

FIG. J/ I2F. YoeLd C(lndoilOn in 1111:: , • ,

(". r) plane
172

•
STRUS COl'<O' TIOl'<5 "ROlJ,,1) Tilt C .. VITI'

"•o
,
.~
<

••

•
•
>
,•

o
"
,N

from the elastic stme. WIth the p ~nted method the influence of primary (orogtn)
stress condi tions and tha t of the lining may be also laken into account. He is
also presenting :I rational netwo rk as a base of calculatio n fo r 8 hang-tunnel.
AI his' he is conclud ing thai, in5pite of the great possibilities offered by the finite
element method and by the computers, we a rc Slill far from the SIItisfaclory di-
mensioning of tunnels. The reason is our defcctive knowledge o n the behaviour
and struclUral perfo rmance of the rock-material and mainl)' Ihe mteraction of
stresses and slmins bet .... ccn the surrounding rock and the lining in function of
lime (cC Section 43.392).
One has to d Iscriminate between lUonels constructed by t he cut and CO\"tf
method Of lying in It relatively sh3 110w depth where time-effccts have but a sl'gtlt
interference and bel .....een deep-lying IUnnels where fissura tion cracks, inhomo-
genei ty. slatir;al behaviour and flexibi lity or lining exert influence the more that
the factor time is also indetermina te. Could the stress rela:<ution of the rock be
correla led to the hardening and §ctting lime of the concrete limng. Ihen a corre-
sponding reducliOiI in 10llding cou ld also be tosdmnled.
In this connection the great importance of rock m((hanics should be pointed
ou t. I'romis-ing effons h:lve been made in this scientific field wi th 11 view to gil"t
us better u!lderslanding of the plt~sical behnl'iour of rock as an in Situ construc-
tion matenal.

31.12. The EITtoct of PlaSlic Pm-nomcoll upon S tress Disl.rihvtion

From the foregoing it may be concluded Ihat the ma~lmum stresses - produC«j
by the exC-olvation of Ihe cavity - will be round al the crown and bottom and at
Ihe springings. It cou ld be also stilted that the gO~'erning ta ngential stresses could
be sensibly reduced by choosmg a more appro primc and marc fal'ourabJe Crt"KS-
sectional sha pe (e.g. stillld ing ellipse or pointed arch) of the same width. The
~·a r i ati o n of the values is rather reSlri~led however to the crown. and ranges at
the springings within broader limits (cf. Fig. 3/7). It is 10 be borne In mind anyway
thnt st ress-concent ratio ns lind supc rpo~l\ions must be considered always :11 these
latter SpoIS.
This is JUS t Ihe reason, why the symptoms of yield reyeal themselves - beSide
the tens ion-cracks a t the crown - always atlhcse spots. The hea\'y concentration
and uneven distribu tion of com pression trajectories will lead here to shearing-
Sl resseS responsible for ru pture. EspecllIlly detrimenta l action must be attribute([
here to points of singularity along the section-perimcter. E.g. stresses Will develop
at the bollom corner-points of horseshoe sections - as Indicated by model 6-
ptrime nts of ZANOAR and PHILIPS (cf. Pig. 3/9A) or at all corners of rectangular
sections - as indicated theorc tically by SAVI "l (d. Fig. ]/98 ). This simultaneously
proves t he economy a nd superiority of circular profiles to recta ngular ones.
Figures 3/ IJa to 3/ 13g are sho ..... ing the ruu lts of photodastic experimeots
carried out by L. KAPO._Yl and re presenti ng stress-dis tnbution and concentmtio[)
 I7S

conditions around variously shaped cross-sections, through the pattern of iso-

clyne and isochromale lines under the effect of uniform \-crlical and horizo n tal
loading. Ie is clea rl y indicaled how much the symmetrical pattern arou nd a eir-
cula r hole i§ distoncd under the same loading around rectangu lar and elliptica l
holes.

-+
FlO. 3114,\. Str~!l!I transrormuion in FIG 3114 8 . SI~SS transformallDn
con""luence of plastic deformation. be<:auK of rupture ph~nomena al
a' the ri m of the C4lvily .111: rim uf the ca'; t)'

, , sensu. fer liJ"IIIIf"'tl

-

,
,,
'. III " -c '
'I. , --------. it"~ 1Mt
.,
~ f~b~(/
rod
Slrns _Ill tlf_ IIv lIUI'
,,' !wUllti ~

:.
, , -,, -'~.. ,r-.;t::y. ___ __ - I
.'
.' ,
:_~~_l._

p,
,,, WY--.c;
I T

,, ,~1(":1 J ~
f IG . l / 14C. SHe.'IS modilkation
,,,
,, '< " x/~
....f.....l~"t .f kJDU"~(/ f>1
around a circular ca'it)'
due 10 l(J(JSCnlnl
"
The increasing ~tress superposition and conccntr~tion will bring about - d e-
pendIng on the overburden de pt h (gc:ostatical pn:ssJre) and on the strength of the
rock material - such an increase of tangentIal stresses, which will surpilss the
rock's strength prope nies and will call forth rupture and plastic-flow phenomena
at the springings. T hese in IUrn will gradually extend towards the inside or the rock-
mass and lead to the building up of a so-a.lled "plu-slic-=one". Because the rock
IS not capa ble any more to resist ta ngential stresses in this destroyed condi tion,
these will ha\e to shift themselves mon: lind more towards the undisturbed inner
n:l!lions of the rock-mass - transformi ng mon: and mon: the stress distribution
176 CAlSf.S "'0 TYP[s OF 11( <'1.: PlWUI.E

picture. Should the SIn:SS transplacemcm be produced by plastic-deformations,

the stress picture wou ld be shaped - al an in termediate stage _ as in Fig. 3/ 14A.
Shou ld it be on the contrary the conseq ucnce- of ru pture phenomena, the n il cou ld
be reflected abou t as in Figs 3/ 148 and 3/ 14C.

3 1.121 . K "STN£'II'5 Iheory. Concern ing lhe e~tc nt of the plastic zone developing
aro und a circular section and the imponunt role of late ral pressures. a theo ry has
been expounded by KASTN£R,l,; wh ich. us ing the annotations of Fig. 3/ 1S, will be
reproduced helow.

j ~ - rh
- -- 0 ii -Ath, ). -,

1 ..
- [ W;IC lc.1e
C'rr, O"tl'
. ..
','

FIG. 311S. AnnOIlI;0111 of KASTNEIt', theory

ConSIder"" the ~l~ l~ of ••""" de~c1ollln. in ltle \'kini!y of • "rcular C'II"i!y, lhe radial
JlrC$~$ 0, &1 the boundary will be !.Un tn d"nini~h 10 ,em for la ck of any inl ernal su ppOrt .
At t he S81m lime In.:: lanaential ~t ~$Ses (I, anume peak values. whkh are on e.cess of the
stre "gth Qf t h" rock, l"ad lO,to a plbtk Itren-conditlon, The d«per the tanlcn ti al s tresse§
propap.te in"ard into th" rod (h,," magnitude "ill d""rcase in pmp'-'rtion to tho: ino:rellse
of crOSs-K<;lional aru alf«ted unt Il at II ~crtain diYan"" il WIll fall below Ihccl uSlic limit.
txyond whIch t~ rock will remain in I~ clasti, llren condIt ion. On Ihe ot ~r lland, the magnI_
tude <)f ""d.:l! S(rc,>cs "ill increa'IC ",jthin the plastic lone towards the Interior or the rock.
SlO~ the plrtkks or t ile plastk malenal , belU,lIcted upnn by the tan~nljal st ren IS a normal
force and under tile inftuenec of friclion. ",IIbe more and Ill()n cap.ablc of res.stlng radial
s~an"1 ~ lres>es. Thi. ~ariation of Slrcues Is '/'ell iIIuslrated by II nUl11(rieal example by
K .... TNU (FI,. } 161. I" lhe ca.,., .. Ile" Ihe ",ternal slress is increased b) openln, II cavity 10
t"kc ill ori,IOII val..., p. Ihis \'Il luc KcordlO,lo the cllsticit) theory ~maIM, bel"", the uncon_
lined compression ,trength of the r«k 0'.,; lhe distributioo of TlIdlal 0, and ta nlential (I,
stresses an: shn"n ,n thC' lilure by the duhed Itoe . TIIis case i, compared wilh that in which
2p > 0 .. (full lioe).
The boundary of lhc plutk zone de\'clopin. Iro.nd the circular cav llY wa _ delermlOed
hy 1( ~'TNr. on Ihe b~SlS of the rolLo"inl considcTaI on:
• •• K.uTNUl. H.: Ober den echlC'n Oelm8<druck Ixim Hau Iletlie..,nder Tunnel. 6sfl!rr.
&"u/IJrll,. 1949 10- 11.
 STRESS CONDITIONS AROU~D TilE CAVITV J77

The rock material was assumed to be an ideally plaslic maleri!l having a stress-strain
curve similar 10 lhal in Fig. 3/17A. By adopting MOliR'S theory of failure and .... ilh reference
to Fig. 3/178 th~ lim,t com"t ,on for plastic ddormalion 03n be e"pre,sed 3S

l +s i n~ 2 ,~.
tJ,. - IJ,, ~,=C,C;',C.' - , C=',i.;''"4> = 0.
(3. t6..)

On introducing Airy's stress funct ion it h deri~ed further th~ (

u" _ "..-ll ' )"-'- ,].

}., - I a

0" _
;.,0", I ];·,(-;-r -' - l], (3.16b)

T = 0,
where
l.=
+ .in 4>
si n 1> '

u _ the radiu~ of the cireular cavity.

In tile lbove expressions only those strength properties of the rock: ma,erial arc jrn:luded
and those: arc unaffectcd by rock pr«sure for which 3 h)'drruilatlC distribu t iol) (p, = P. = ,,)
i~ a,,"med.

3:1'(55 ike I'US! m

stYld rock

:t I - PI"Ji,,: l(1r~
{l.ul:c lOflf

FlO. 3/ 16. Development of radial and tangential SU'CS§<:,

around a circular ca"ity in ela'tic and in pl~stic rock (KAST""_)
 178 CAUSf.$ AND n ·pu Of Jl.OCK P~ESSU ~ E

FlO. 3!17A. S""",·strain doagram or an ideal pl as tie mllterilll

o

1
-'--- -
c
, - c. C'Uf,;·~if'
f 0 \
- - I -,a"
._
1 :-1
1
I r- 1
6:1'
L. -i
t1.~ .Co'''
2
t\p
•
FtG. 3/178. Relation between normal and !iheannS .t r~ss~ II the plas, i, limit condition

In comrltst, the ~Tl$tk stresses tn a diK of infinite knll:th ~rrorat~d by ~ cIrcular opening.
are:'·'

o,,=P ( 1+ r';) - ;00'.

Co (3.17)

T, _ O .

':"' TtMOSHENKO : TII""ry Q/ E/(mid,y. Me Ora", lilli, Ne\Oo Yorl: l?S l 79.
Ot~UIA""'1 : F1iklrt1/lrQg~·"lcr. Spnnecf. Vienn£ I?S6 1011.
 , ~

AI the boundary of the plastic and elast.c ranlfCS, "hc~, "" r •• the aoo'c StrCS5CS U)UO'OI:
Ihe follo ....;nll t.rnple fUTm :

0" "" 0,.

0" = 2p fT, .
r, _ O.

On Ihe boundar), of Ihe pl 35!ic ~nd dasllc ~onC!l the annular SlresKll calculated by tbe
plastIC inti clullc theories must be -=qual. Froll> Ih,s I:Ompatibility condition the radiu! "
of the bou ndary drc1e ;S Obtai ned as

' -"I
•
~
;,. +1
".. + PO. - I)] ... '_,
0., 13. 18)

The extent of the pilistic lone calculated on Ih,s m.n~r 1$. ho'"'c,c •• t ot) )0111110 accoUllt
for the .rt:~1 maSKS of ",alerial found to intrude in practice into tunnels, ",hcnCVCT ICnuinc
mountain p~UUre5 are encountered. It thould be Il'n~mbcred, ho .... c~·er. lhat Ihe ulcnsioo
of the plaSlic .aop: depends \0 a considcrQbk dCllfCe ()II Ihe ~1;O of 'cniol to latcral P""ssu~
ill. By starlin, from Ihe condition of full plasticity. II> "hich

i"
' .... - ..I (o, - o,)'+ ?' = [ " ) ' -ft' 4( )'.W

a th.eor)' ..... as denved b)' K"UNUI for this case al $O, but lhe stre~SC!i",. o,and T were ealculated
from lile th.eor), of dutici t)', In the abtne uplb>iOfl ;./1 denotcs the IlCOstat;';' pressure Il!Id
It is the rRl io of its unconfined compte"ivc )I rcnglh , i.e. It .. o,.,i;·", Til<: formul .. derhtd
on Ihis ba§;s for a n)' direction <¥ is

eM,.,
2,,+ 2ws2v I +}.I
- -- h'+h' -(1+")'
- T'
I l 4{1 - h ') I _ A 4{1 - )l'J
(l ,19)

The boundaries of lhe plutic .anwe obtllintd ""hen using this rdativn_h ip are $ho.. n for
differen l It valves and for II>e la teral pr~llrc r:1tios .t _ o. ;, '"" ()OS and ;. = 10() in I II-
3,1 18Aa. I n tho;c dra,',-,ngS Ihe shaded Ilf"~ indicate the tOnes where It < HI. i,e. v.herc d..
IItQStalic p~urc ucuds Ihe unconlirocd comprcni'c Mrcnalh of II>e rock . Ilcy..,nd the limit
;, = ()O5 the plastic nlnves will be SI.'en 10 be confined to a defined area. but al relau,dy ~maJI
laleral prcs§uns they rnay elHend to illfinilY. starting from Ihe sprlna, np lit 4~ . Adoptin8
MOlu'~ failure Iheory instead of lhe abo,l.' rundamenta l cqUAtion for 7__ the boundallCS
sho.. n In Fia. ) f l8Ab V.l.'1ll obtairocd "I!h .:0 = 30 _ c = 2S klllcm". /I ... JOO m. y _l'S
lon ~m', for various lateral prc~5ure ralios J. in II liven cas<:. As may be seen, a confined plastic
mne reslrj(;ted to c relalively th in annular area IS cha racteriSlie uMn c t ltrnal prC$'ju~ d&
tribution;$ unirorm (A = 1'0), whlk for ;'=0" the plMlic ~onc is still rda ti~ely narrowlnd
~10Kd and i5 limllcd by a curve rclurnlnil .rQund thc sprinllnllS. With. fu rther de<:m!O.'
of the l , .. Iue<; the utcn.>ion of I~ plaS1ic zones incrc.~ rapidly, chicHy In Ihe dm~clioD
of Ihc 4S diaavrntlJ . .... t aralia 1_ 0'1 41. the pla~tic lOne e~te",h 10 infini1y.
When a forced intrUSion or utema l SOIl mauc~ ~ tApcrienc.::d in , p, le of unirorm ulenW
PI'(:§!iUre dlstnbution, II may be accounted rur on ly h~ tlx. presence of dilataliOn pn:s~ures
 A-O A-I(}

pI
,-; -1:..

FlO. )f18A. Varialion of SIres. isoban around a ci n:u lar hole :15 a funcl ion of lhe: laleral
earth pressure coclf~ienl

J. . 0, IJI4/. N, oJ-J, 0"1, nd /0

m '1 ·/·-,41, 6IJ, +J MlI'dlO
I

p-'

FI G. 3I1SB. SIres. iJObars aro und a circular hole ploned on (he b3~I S
of MOIt R·S ruplure condition
 III

",hic:h i$ qUite common in cla y$ and cll)c)' ma rls due 10 an incre&'Il' In t hcir water COnlCM
upOn l~ d rclcase.~t

As is dearly demonsl r,l.t ed by Ihe theoretical evidence presented above. t hc

plastic zone In pscudosohd plastic rock will de',elop around the tunne l in a less
and less favo urable manner. as Ihc relati~e magmtude of 1"1: la teral pressure
decreAses and a corresponding increllse of genuine mountain pressure is incurred,
which reveals itselr by the int ruding eart h masses mainly at the springings. The
developnlen t of Ihe p ro tective zone a round the tu nnel is a lso disturbed by the
large plas ti c 7.onl:, since the ring of necessarily increased ta ngential stll$se!; I!
cit her intc rrupled or shifted lo\\-ards Ihe Ullenor of t he mou nlIlin 10 such an extent
as \(' render il indfeetl\e. as fa r as a~hmg acti o n m er the \unne l llnd load release
are concerned.

31.122. Fr"'~Ek' r ,heo,y. The extension o f plastic zones a nd iu IIlnoent"ing

parameters were also m~estlg<lled hy FtJo.. ... lk - although in a d ifferent way.

The mnillilude or rock p1C~urc, ur/ff/fJ Oil 0 rtr/fco/lIIo!1 is inlesliaalcd tlrsllnd Is found
10 ~ un iformly dl strib uled II a tili,'cn Ilcpth around tile drcular perimc:lcr. II is ISlumcll Ihal
ro.k ca n f,o:-o:ly 1m rude i mo the i merior of I he s hafl I hroullh opening!. Sin~e Iht dbplace menl l
are directed r:ldlally in ....ard and a~ mean"hlle no relalive di,placement bet""Cen indIvidu al
pa rt iciu ea n take place. lhe shear Slress is 1ero and the radial diuction , n "'ell ai the tunlCnti~
d,re<:lio a perpendicular therelo. will connit ute Ihe dlrccl;ons of principal s tresses. The dinclilXl
of ~lidinll :Iou rfl<;et cln th us be detenTIi ned from the oond' ll on tha t these muSI intCrx>.:t tlx
I"oncipal d ireclion, &t a conSlant an~. If II is la ken in lO consideration Ihal Ihe rad ial ~I r_
(1, d« rusc as a rc§ult o f radial di$pla~'Cmcn l . "hile Ihe shaft is beinl sunk. and the circ um.
fercntial St ~s 0, increase as I ra; ult of beinl prcs"",d tOFt her • il will be readIly ap!'rcciatcd
thaI no equilibrium can take !,llcc bcl",cen t hc pri ncipalsl rCSSC5 u.and a" unless 0, lIS$ uma
maxImum ''ell ue ..... hich occurs ",·hen

fir - (K 1)oj!' (J.20)

Con'icr!Cly, lhe ~ Hlue of fl. ~'elnnOl be smaller Ihan thDt determined 1100''''. o lher", j!lf; the
mot eria l "",,uld no"" in lo Ihe t:a'i; ly. The prublcm. o~ the IIbOl'e rela ti"ns hi p is c5ta blis he~.
Is 10 dctermine the ~alue ()( "A' In de,"cl o!' tnllthc diffncnllal equat ion it may be nOled Ih. l
o"ln& 10 uia l 5ymmetry, the St n:s!oeS bce" rnt: indcpendcnl of f) SO thatlhis may be nCll0:-0:tcd
In the ca lculations. Thus,

On sub!titutinll lhcse .... Iues inlo Eq. (3.20) ..... e obtain the dIfferential eQua llon

I) ,'.
, _ 0 ,

t~ ~Iution of whICh is
, "
c
K
"•
.., TI:M;O:AO Itt. PIlOCTQM a nd W"n t: RUl'k Tunlldllng "·/111 SI<'..I S"pporu. The ComnlCrcial
Sltcarln, and Slam!,in, Co. Yo unw,(Own . Ohio 1946.
 182 CAUSl:S AN I) TYPES OF ROCK PRESSURE

For eval u.tin, the COnSt a nt C, Ie! u< consider the bourdary con d ilion ., the .hurt wa ll , i.e.
for' _ 0: 0., ~ 0,.. lind lhu s c ", 0".0-'-'. Sub$lilulms this val...., we obtain

0._0..., (QJ' .-. ; o,= iK _ ll o,.. --;;

(,).-., (J .2 Ia)

,
If K _ I + tn, + , ! + I'D' a nd the speci fic friction 1', = Ian 4>. then for ~ .. 20, at
II I - 6-J6, we ha\~ K _ } and
0, _
,
.:.0•• -
, ,

"
i,e, the ft,..,s~. increa$e proportionally 10 the di.(poce fru ,,' tl.e ~ haf! of radius II.
Si~ the rocks ." ,counlered in practice may .~ fcly ~ I~,umed 10 posses an imcrn.1 fri ction
of .ulu5I. _ 20 . 1hl: rock is bound 10 reach a stalf: of eq ui lib rium .roo nd ""' ;lieS o f any
arbit,."ry lhape. The slle,.~ ari';", a, the: boun dary of , ..., pJlI~lic rc"on are oblamcd from
, .... ~"nl1i 'i"n lha l beyond t his bound.!')' 1"" fundalTlenlal relationships o f elaslici ly theory
rella," their valid, ty, T M sum of the t"o pr;"",pal st resses mU!t beconSI.nt, i.e, Q, + (I, _ 2p,
which. ",hen com bined "ith the relalion.hip of plastici ty uT _ fJ,,(K - I). yields
U. + oJ, K _ I) _ 2p; or I'tsptt!I"ely,p _ u. _ 2p/K. l>t:"o. in~ the dislance of tM bound-
ary of the plas.ic zOne by b and lak in" Ell . (3. 19a) lO ' ;) conside ralion , Ihe condi"on "I Ihis
bounda ry may be ",rillen u
2, -
7 0 •• r')'-'
-;; ,

wno:nce b ""n be calcu l.... ed (.f. [II . ) . ] I).

It can be seen thai b "aries ;nversely wilh u .., Ihe Lauer beina lhe radial stre~~ at the pcr",,_
eter of lhe shaft . TM 1T\.a1P';I ..... C of .his stress is, in ' ~m. ~o"erned ~nt,all) by the radial
support of the cavil). u . by the 'I renllh of limberinl. Consequently, the .trOnae r the su p-
port S i"sla llecl , . he smaller Ihe e.xtcn $ion of tile pl~SI 'C rc,ion will be.
Beyond the plastic re,ion the rock maleria l IS a~in In an elastic st ress condit ion and Ihe
st fC$S cln be calcu lated . here from . he follo"'in, relationships :
,.
~ 7 1I o,_p [1+ "
( 2 "d (J. 2 I b )
" 1-

To ilhlSLrate the method, I he rock pn:$Surcs actin, cn 'he ...·a l1 of a circu lar shift at h ""'
_ ](0) on oJcpth in a wi l bavin, I bu lk densil} of;.o _ 2' 4 ton./m" have been calculated by
FE"WEa fo r 0 . . = I , The F01ta. ic Pn:SSUll: , A= 2400 ton lm' = 240 k,.'cm'. T he numerical
results obtai""d al"<' shuwn in the table below and in fill- J/21. Whe,eas tho: effcc i of soil
qualo.y II',) 1~ ,lIu.. rau:d in Fi,. 3i ll ,

u_, La .. ,.t
.'
Co<!IIoI<ft' ~ I"r.;tlan R. ho

"
a:_~
8 o ~IHI •• ~ ......
pin"" ....8 a
,
........ ur.
(l . lcm"j
p

Q'7S (36' 52 I
o-S773 (lO )
& 353S4 ( 19 1,}' )
,
J
2
J
,
2'' ' 'T
6')2460
8&00
80
60
120
 STMtss C()"<[)nIO~5 AROUND n.a CA"ITY
'"
.... s can be seen. tho: diSlan<:c of the bound..y of lhe plastic reaion increased as a function
of til<: (~fficitn t (anKlt) of friclion from 2'884S a to 801) a. ... hilt the anale d«reased from
37 10 19·5' . Thi s (onsiderable range is (vidcnce Ihal a very lona lime is required for the
dC\lelopment of cakulalcd SlresS" and deformal;ons in clay, clayey silt and cla)~y .and soil~.

FlO. 3/ 19. Propaplion of !an~nliaJ and radial ~ressn around

a lIole as a funclion of KlilqUilily 1'1

The: nluc of 0 . . can IK'·cr be predicted in practice,sincea! low friction values tllis depends
on the quantity of material removed from the ca"ily 10 ... hich ;1 " inversely prOpGnionai (d.
aenuinc moun .a;n pre.. ure). In .he case of lIiah coeflk:ienls of fricl ion. on III<: olher lIand.
the new Siress equilibrium docs nOI take 10n&IO dcvelop; Ihe pressure on III<: sh afl will be
very low and independent of the deplh of o~erburden.
A plnlic lone of &Ra, e:ICtcnsion also invol.·cs det"orma!ion$ of considerable maanilUde
{the spccifil: volume chanae can be Cllprnscd n e _ (0, + a, + a, ) mmE
- ' and V,'" V. t,
where V. denotes the tOlal volume within the piasl ic reJlion which is manifcsled by I he qu antily
of malerial (V,) cnlerin, lhe cavily and to be removed therefrom. l'rt'5Sure intensities have
been found to dc:ell:asc rapidly ... ith tho: u.ca..,led volume, and. as can be seen from the dia·
&rim for the above numerica l example (FI'. 3/20). lhe Il:moval of ' - 10'. of lhe mau:rial
rt'$ult, in a CC(iuclion of pressurn 10 1/ 1'- 1/20 of lheir Oliainal valuc.
A Similar approach is adopted hereafter in detennin ,na the pressures acting on a horizonlal
t unocl, bul now .1>1: difference in load ina due 10 ""If,"·ciahl ;s also taken int o consideration.
18' C~CSt:.ll '\"0 lY~ES or ~ OC K PIlW IiIlE

#J .,
/<;/&m'

~ ~

51!
" "
I
"" 41)

••to JI! I-
m I' "m
0 o 17 20 .1) ~ $ 6Q l! «1 ~b 00 /I) !JJ 1J 4IJ :Ill 40 V «J
E.rl~IWCII t'IfiN4 "p~lJc 'OM (Ill) t&I"mtlr,c IfICI'tJj# (r)
FIG. J{20. Vlnilion of preS~lIr(5 acting up;>n the lin;", a~ a fU'1C1;on
(a) of Ihe extension of Ihe plu lie lone;
(bl of Ih" quantily of intruded roil ma n

Tile ~t~1 function in the clul K: zone will now bo: of 11M: form <I' "" A. C~ II 6, where r ::
t he A. fa cIo", ",p~1 para~lcn dependi", on boundl!)' <;onditions.
Asoumi,,; a pprop .. a'e 5)"n1l"" lry C<JI1d,hons for Ihe ,,!a!Ol ie ~O"" .he fo lio·• ..;". sim ple dif.
ferentia' equalion can be 'Hillen:
(3.22)

t:xprC!isinl now Ihe Slres~ valuc~ hy a SIrf;.S fllncl ion ftl, and ",ilh () _ 0 we obtain

S ... bSlillilina lhcsc: "",111" inlo (q. 3.22 we obtain

". - (3.23)

K- 1
, )IT = 0

ami from lh;s afler double inlclTalion

rJ)' = C r« +
K
I)¢lcrmininllhc intelration comtan t C. apin al r _ u, from 11M: condItion o~ _ 0". and
uprnsing lhe )1",slI:S accordina 10 Eq. 3.23, .... ~ ha"e

0. _1
_ «<I>'
___
rcr2
;" r '"'0 . . }'
"KJo
" (')'"
r_')· ~' _ +
K-
- }'r
J
,"d

lI,_ ~=
"$' (K _ I) " .. ('J'"
u -(K - I) K ' '. J (')',.
U + (J. 24)

+( K - I) ,'r
K-J
 STU,.!.S co"'oln oss .....OUSD nlE c ..... rn ' ,os
In v;c,w of I~ Ihree.d il'I'lensiona l stlftS condItion Eq. },2Ia is mod,fied to the fonn

o- (0 0 - 2~:" ) r: J" -. + ,,,of'·C'-,< .

.... hence WIth I', _ 0'}S3S4 as the lo .... eSt ~ah,e .... ., hne

",he", th" ~Ill" of lhe «,«,nd ,~C'" in h.ae~et~ <krrends on Ihe ~alue of 0; for 0 "" 0 Ihe UPlKf,
for 0 _ "I~ lownsi,n being applicable.
AI the ooumh.ry o f the plaSlic ~one
Ihe $um of lhe 1"·0 principalslrc$5CS mliSI
apin or ~uallo lhe sum of the IWO oria'
ina] (initial) prmcipal Slresses, .... here-
'rom as an utrel'I'le \lIloe ror, = " 2
b1t,~jICI7 ;-'

u~o- OJ' I~+ ~" J .

;/JS!IC lMel

- In
-" "",,
in o t her words, Ihe cond itio " fo r any
]105Sible ~quilibrium is that Qu, !ihould
altam this ~al ue al l.,asl.
In the ae~ .. l "ISC

(3.2S)

and now the ola51ic rell:ion nlends 10

Ihe hcilhl '" _
K- 2
,
h. and (or K _ 4.

mT ,';'
J,,<!4nff'

T his immcdialdy $ Ugg<'SIS l he consid-

era tion of the plast ic "'Iio" as a vertical
""''''
elll~ wi l h the ca\ity al ils lo .. er (ocus,
"litin fo r I depth" = 1000 m. a cavl ly FlU. 3/21. Ex tension of plullc wnes as
.. "h a radius" _ } m. a bulk den~ilY (unction of the rt;idily or
supportS around a
;.- _ 2·5 I m'. and friction 1'1 = ()o)SH4, ciKula r lunnel Iyin; al a depth Qr 1000 m
and for Internal support wil h st",n8Ih, ( F.;:.;su)
u.. _ 4·21' kl/cm', 4-' kl/cm', 6 kll/em',
10 kl/em' Ind 30 kl,.'cm' rC"Spttl ively, Ihe ellipSC"S represent ing the plaslic ""ions a nd Ihe
sums of corresponding principal 5ttesscs. are shown in F ia_ 3/ 21, Tbc ~..",,;iderable rntricti ni
effcc:t o f su pport strength upon the ule nsion of tt.e plastic zOlle is clearly ill ustrated,
The caK of stra t ified roc k, was also InveSli,Dted by F U<SEtl , and he found tllal a relatively
Ih in I:lay la)·er may ,onsidcra bl y modif~ slress I:ondilions an d wi ll lead to a sillnificanl exlen·
sian o ( Ihe loosenin " Core bol h u p"'ll rds and do ....·..,.·ards.
186 CAUSES ,4.NI) n 'pu OF ROCK PRESSURE

In conclusioll. he hu staled that an elliptical Slress·free ZOIle is dc~eloped in elastic r(X:ks

whi~h does 1)01 depend on the overburden depth but only on the .... idlll b of the cav ity and
l'o;550n', number. It can be described by the equation

The 5t~5eS ",Ii be equal 10 zerO at the ero"'n and spr;n&ings of the "11i~ and ... ill attain
puks at their diagona ls,

J. HOR VATH has recently a pplied a new conce pt in the uetermi nation of rock
pressu re s. He is of the opini on that seco nd ary pressu re, uCling 011 the lining of th e
cavity will develop only when the supcrimpoi>cd prt:ssures will exceed the st ren g th
of the surroundmg material or the produced deformations will exceed the clastic
lim it of thaI. These excessive de fo rmll tio ns must be prevC'lI1ed j ust by the artifidal
SUpPOfl (i.e. by tbe lining, oflbc cavity. The prtSsUn:' acting on th is lining may he
regarded as the result of th~ deformu tions produced by the Strc:ssc:s in excess of
the elastic-limit.
The limit condition mlly be I:orreillted to the wor ki ng capacity. I.e. the di.Horrlo"
po/elltial o f the surroun d ing rod which IlHlst be interrelated with the defo rma ti o n
wo rk done (distortion work) due to geost3tic pressures prevailing before the ex-
cavation of thc cavit)·.
The d istortion potential of the rock may be determined in the labora tory and
the deformation work can be calculated according 10 the theory of elastic ity.
On th is basis he is coneluding thatlhe rock-pressure acting on a circula r cavily
should be eq uu l to the rc\·c:rse of the derived inner axial-symmctrical supportin g
pressurc
a,
p _ H·P - --
Jl
and for a rola tions-symmetrical cylindrical shart
a,
. /l .y- -
J3
wi th II Poisson'S ra tio, /l . P geostutic pressu re and (1,. yield stress of the surro und-
ing roc k.
It is somewhat distu rbing from the above formulae that the rock-prcS5un:
should be independent from the dimensions of the circular cavity and inn uenced
mainly by thc gcostllt!c: overburden pressure and by the yield-strength of rock.
In conel u ion HORV,h u is giving also a fornu la for the determimuion of the
required will thickness of the circular concrete lunnel nng as

!. _ Q.
I , ;.
\II - -- -fl, II:-Pb+
--
- I

0,9 Of.
 lOO5£,,'''G I'R ESSUR o 18'

with a inner radius of the circular c3\'ity. (fF, yield strength of waH material
(<.:oncrete), jl, Poisson's ratio of concrete.
H ORVATI( S theo ry was derived and also ap proved by mining engi neeri ng ex-
perience.
It seems that the suggested principle of the equalit) of deforma tion energy a mJ
deformation-capacit)' is very promi~i ng and the theory should be extended to t he
domaine of plastICity, as the defo rma tion of all rocks is of visco>plastic character
and the consideratio n of ge<>5taTie pressures. on the one hand, and that of t he
yield-strength, on the other hand, should icud to so mewhat excessive suf<.: IY.

J. n. I.OOSENtNG I' RESSU RE

It \\oltS pointed out in Ihe prcdous section that allhe crown of the cavity mostly
(i.c. wht never;, S 1/3 and m > 4) the development of tcnsio n stresses m ust be
considered. T hese will soon lead to progressive cracking li nd fractu ring of t he

Upbruki nl prOCC'~~ or
FlU . 3, 22.
""edlc above roor <;pv,ty

overl yi ng rock masses. Should the cavity-roof left unsupported, a ",edge-s haped
mass will grad ualJy dro p out from the overlying roc k mass inlO the .;:avity. unt il
equilibrium correspond ing to the .;:hangcs in stress conditions is rc-esm bl is hed .
First the rock mass I wi ll dro p out from the {'tntre (Fig. 3/22) and the move me n t
will extend sidewards a nd upwa rds in the sha pe of a poin ted a rch unt il the ha lf
arches become capable of supporting each other at a {'trtllin inclination a ngle tl.
II.

T he angle IX is in d irect ratio 10 the coheSIOn of the panicular soiL The height oftM
arch is approxi mately
b b
11..... _ ~ . I
2: tan 7/2 2 Sin cP
(cr. the theories ofTFR ZAGllIllnd PItOI"ODiAKONOV : Sections 32.2 14 and 32..;1:24).
1\ may ~ concluded fro m this 111M Ihe mllgnitude o f pressure is pro paTtionallo
the arCH of Ihe wedge. i c. II Increases as the square of the spun of the cavity.
A phenomenon frequently obsencd III cohesionless soils is the development of
such chimnc)'-like na tural upbrcaks If the installatIOn of supports IS delayed.
The roof of natural ca~cs also displays a similar shape. The weight of the loosenro,
poppmg wedge is Ihu5 re~ponsrb le for the loosening pressure .....·hich acts on till:
tunnel.
On the o lher hand. the magnitude of the stress-relieved 70nc developing in
plastic rocks depends not only on the " idlh of the cavity but also o n the depth,
o n the coefficient of frict ion. on the bulk densi ty and on the pressure supporting
Ihe l unnel lining.
Rt;:~cntll1~eSligations !;ond uded Ih ul t he extent of the plastic-zone is depe ndi ng
on whether the stre!>S concentr"tion is bringing about plastic-flow around the
cavilyor it is affected mainly by "'c:Hhering or b)' the loosening actio n of the
explosi\es used., ·la
The rud ius of the plastic zo ne by I KW .... and T .......... K .... lIIay be expre~sed as

R= a

I ( ')
nl :, ~ ; - (1,

q.. -
(J-sm ~)
(1,
]'-"".
. :,," .

The e.x pression 1x:tl'<ccn brackets is denoted b) ;. and Ihen 1",0 ca<e5 may be
d lscriminntcd:
IJ) If l > I II certa in zone around the tunnel gels imo a plastic Slale lind tne
pressures ilcl ing on the supporting system will gradually increase.
b) If ;' < I the rock w ill be ge nerall y self-su pporting. Pressures Acting evcn-
tuall y on the supponing system are d ue 10 e!{Cessive blasting, wClllhering ac tions
or to the irregularity of the tunnel section.
In case 0 ) i.c. when ). > I
,-... )
RJ ...
I
R - n _ ;. - tt • •- - I · 0.

II may be ass umed, that pressure o n the suppons will be excrted along this R,
range a nd in magnitude

•·.. I ... LIl... , N .• T ... N.......... T. and HI(;UCIII, I .: Th e looseninl uf che ro.;;k aroun d 1M:
t\lnne l .nd its effect on the $leel support. QUDrl. R~p . RTRf 1966 7 4 .
 '"
In case b) i.e, when .{ <

-V"'"' ,.
R~ = u.C. 2·7,,··'" - /

and the magn itude o f the respective pressure:

p~=R~ ' 1·

In the above equation the following annotations a rc used:

a = excavated radius of tunnel,
II -= depth o f IImne! belo..... the ground su race,
"/ _ unit wei g ht of su rroundin g rock,
0, _ tenSile strength of surroundi ng rock,
m = Po isson's number.
rP - angle of internal frictio n.
k = sin tjJ
q~ .., CO nlae! pressu re from tunnel-wall (practic.1I1y ranging fro m 0-5 to 2·0
kg/cm 2),
safely factor ranging from 1· 1 to '·2.
maximum possible veloci ty o f clastic wa ve of rock (6 k m/~),
velocity of clastic wave in the rock.
constant depending on the size and cross-sectional area (S) of tunnel SC(.
lion ranging between ,. , to 0-011 S.
In th is second case b) the si n tP (friction) values and the 11, tensile-strengt h
values muSt be reduced in proport ion of the quadratic ratio of seismic wave
propagation velocities. i.e.

a nd

L'f = elastic velc)(:ity of rock,

["". I'
(1; _ rf, 2

l'~ = clastic velocity of rock sam ple.

According to practical observa tions in Ja pan, the calculated values are in good
agreemen t with the actua l measu rements.
For t he rad ius of the plastic range developing around a cyli nd ric.1l tunne l, the
follow in~ fo rmula was deri yed by .R [NDULle· 11

(3.26)

' .11 kE Nl)U LlC, L. : Spllnllun g.~WS1~nd in der Umgebung cinc~ HQh lrau,nc), JIIu~ur,,·i,"
KIwII 1914 168.
,,.
whe re

C)' .
£-.
In add ition, the langcllliaJ and radial Slres.~es at the boundary of the plastic range
are gIVen as

(1, = ('colan <P[1

(127)
fI, = C colan t/J II
loosining pn.--ssu re can, thus, be uaced bac k primarily to the stren gth and
deformatio n pro perties of rock and of the Silt and shape of the cavity, then
secondl y 10 the deficiencies or exca ... ation and sa:ondly to those of temporal)'
underpmning, its magnitude depending consequenti) o n the can: cllcrci5td
during co nst ructio n. Excessive blasting an d careless o~e rbreak m ay, ror cllamp/(.
resull in considerable pressures, even ..... here Ihe solid rock would otherwise
requ ire no su pport at all . Blastin g operoltions should therefore not be carried
OUI in Ihe viciml Y of the boundaries of the excavation. unless una"oidllble. and
less nClive explosives should be employed fo r such ..... o rk . The perimeter should
be e~cavated to its final dimcnsions preferably by hand tools. or pneumatic
hammers. The inSin Ua tion of t he tempornr y supports olTers another opport unity
fo r the development of loosenin g pressure. The heigh t of the loosened zo ne in·
creases wi th time ;Ind the longer the SCl;lio n is left unsupponed, the g~ter the span
10 be overbridged will de\·elo p. T he load·bearing eap<lcily of the roc k a ro und I
cavity decreases, o r the umount of overbreak increases as the sq ua re of thiS
span (Fig. 3/23).
It may be generully S131ed. that the dimensioning of lunnel sections must be
cff~ted either ag;lI nsl the ove rburden weight (geostatlC pressure) o r agamst lhis
loosenings pressure (i.c. the weight of the loosened lone. called a lso protecti\'t or
T rompeter's zone).
Loosening is promoled also by add Itio nal discontinui ties in Ihe re·establish.
ment o f the required uninterru pted suppon , e.g. t here is lllwilYs a gap kft bctllttD
the lagging and the e~ca\'ated face (o\'erbreak),u: Cu ... uies remam behind tilt
forepoling splles dri ve n (especially when bre"kmg OUI the c ro wn segment ollin!
to the re peated I:hange in the direction of the spiles. cr.
Fig. 6f35 ). The upper row
of 'lI~u~ing seltles toget her with the I:ap b<:anl.3S the packipg wedges lire rcplaced
by blocking (ef. Fig. 6/35). The bearing surfaccs of tnc side posts arc pincMd
and e\cn Ihc sill beams may be pressed into the soil. T hese inaccuracies may
Imolvc a crown sctt lemen t of 10 - 20 em, but in eXCU\'lltmg the top heading or
~" M I] LUR . L. : IX. Mehrausbn.ch in Tunndn und Sloltcn, Gl'O'(lfI"~'" Bu .. wn.... 1959
24 J - <l.
 LOOSE~ISG pussun 191

the full face, the settlement of the crown may attain as much as 50-100 em.
The necessity for erecting the supports rapidly and accurately 10 minimize the
e~tension of 100000ning, affeclS the selection of the construction method. This type
of plnsure may be reduced effccll\'ely by the shield method, and by the cross-bar
mining methods, if interstitia! dimensions liTe smaller and the rigidity of supportS
is higher than in the longitudinal beam methods and which are, consequentl y,
su perior to the lauer. Continuous construction methods are similarly superior
10 ring~section methods (ef. Section 62.2).

&ck/ill

Sllpp~rlW .. I
to nttt
O~er"rtl!k If unJIIPfJOrted 5tetlon ~!Jre"k IfUfJJIIPplJrud .section
16 rt,.,
v.orA 15 ItJ",
F ..;. J/23. Im:rca..-.e of o\"erbrcak :as a fum:!ion or the Io:nllh of un , uIJpOncd SCCllnn (after
Tf.lI.z",u,u)

When excavation is carned oul without proper care, at shallow depth and in
loose rock. the leos<:oW Tllnge may ex tend to the surface and appeliT there in
the form of open ruplure lines. The looseni ng pressure in this case equlIls the fuJI
geostatic load.
The height of the loosening zone will be determined otherwise by the ri se of
t he natural loau-transmitting arch developing in the rock. or by Ihe posit ion of
an overlying resistant rock layer capable of clIrrylng Ihe de~eloPlJlg rock pressure.
Stress conditions produced by loosening Will the more dosely resemble press\lre
cornlitions in silos, the less cohesive the soil i ~. Similar effects will act unq uestion-
ably in cohesin' soils as well, e:tcept that both processes, i.e. the inc rease of press ure
Itnd the new state of equilibriunl, will be e~tahlisted after a longer peri od than in
gnmu lar soils, and the lower the minimum pressure, the high~T the cohesion
will be.
"2 CAUSES ... SO TYPU Of IlOCIr:; I'kt»UkE

The largest extent of loosening. expressed as a percentage of volume is, acco rding
to Sm.. 1 (cr. $e!.:tion 32.321. K OMME.RUL'S theory):

T .. ".;,ory P"m> ","11

Sand, fine 1Ir3"cI 10--20 1- 2

...,
Slillhlly cohcsi~e lo am 2
Loam, coarse gravel 25- 50
shate, sllale marl 25 - 30 4-<
Marl. clayay Io:ravcl. weathered sandstone 2S-30 ....
3- 10
'·Iard day 30-50
W~alhered rock 30-50 8-"
Solid rock with shon fis5urn 35- 50 8 _ IS
Diabase grl"'cI 1.5/30 mm
Solid .()Ct . grea11)' lissured "
40- 55 1.5 2'

II sltould be noted that t unnel linings must be dimensioned in most insla nM

to resist either geostatic or looseni ng pressu re.
In a broader se nse a ny p ressure due to Ihe weight of Ihc roc k mass wi thi n the
boundaries of lhe pro tecti\'e zone (Trompeter wne, stress-free body) may also
be referred to as loosening pressure. T his roc k lIIass is largely fissured a nd broken
by t he redistribu tion of suesses in the inte rior of the roc k mass - fo llowing tbe
uC3vation o f the cavity - a nd has los t its load-bearing ca p.u:ity.
Solid rOl:ks lTansfer t he load acting on them by beam ac tio n to the sound
supports, whi le in loose rocks and soils load t ransfer to the undist urbed la teral
parts is bou nd to rely o n friction d eveloping d unng mass dis placement. Deforma·
tion occ urs in both cases. but whl::reas in rocks this is necessarily limited, in prin.
dp le, to Ihe deneclio n of Ihc bea m. in soils it must be o f a magnitude sufficient
to mobi lize a frictiona l force along Ihe slid ing surface capable of trdnsmilling the
add itio na l load ing. T he load-t ransferring format ions develo p inB in vertically and
horizontally stratified rocks o\'er unsu pported cavities are show n in F ig. 3124,
while the same is show n for soi ls in Fig. 3125. At fi rst. the load exceeds the be nding
resistance of beams formed by t he indivIdual laye rs and determined by the width
of the open cavity (the span) a nd by the th ickness of the load- tm nsmilling layers.
Consequently. those layers next to the cavity fail a nd break down. Deflectio ns and
bending stresses decrease. however. wit h the height above the cavity, as the span5
become sma ller due to the cant ilever action of t he fai led Ia.yers (corbel a rch).
Beyond a. ee rtuin limit (which is most ly at O,Sh III solid rocks and B + In in
loose sa nds) the stresses develo ping over the diminish illg spans no longer exceed
the bendi ng resista.nce of tlte rock or tlte compressive and shearing strength of the
soi l, respect ively. The thinner the la)crs. the lowe r the resistance of the rock and
 193

')

,,-I,..u".,.,...."
InHto.-. If"",,,·

-'"
I
v--" \
~
I.
I II
.
L-• .J

FIG. )/ 24. fut ension of ultimate ovcrb""ak ir no support i. inslalkd willi (u) hori zon tal
51.a liH".";,,,,; (b) "~'I;~"( ~L,,, , jr..:.atool1 (artcr T.llz"o ..,)

I
I
I
I

8••

L
OImtllNl ~rrMp~­
- -1 rNrt,'I r fC,r'UM
;
• I

FrG, l /2S. An;hinl above ca~ilY (ancr TlRz/t. ..au)

 o r'
'" C"USLS "'oil> TY PES II.OC); I'IUSSUIU::

the more pointed and lhe higher Ihe arch will be. The caving zone is overlaid by
one of decreasing deformations within which Ihe slrains gradually become elastic.
A cenain lime is. however. required to elapse before this phenomenon develops
full y and the length of this period increases with Ihe plasticit)' of the rock. It
hus already been mentioned lhal the progress of the loosening process before rup-
ture ca n be limited by installing a rt ificiaJ su pporc s and the development of lhe pro-
tective zone can be spt:cded up. Consequently, Ihe shorler the period for whic~
the roof is left unsupported. the smaller the zone atTected by loosening and th us
the smaller Ihe load on Ille lining will be.
With duc co nsideration to the time dependency orthe upbreaking - loosening
process, primary importunce must be attributed 10 quick underpinning in tunnel
co nslTuction, because all rocks overbridging t he oulbroken cavities dispose of a
cerlain bridge aCliolJ period (stand-up lime), denoting thc amount of time_ until
which the natural strength of the rock is capable to transmit the overbu rden
weight upon the side walls without harmful deformation or destruction over a
certain span. This bridge-act ion pe r iod is depending beside the time demand of t~
previously described (desintegration. upbreaking) process also on a creep-like
permanent (progressing) deformation of the re spective roc k milterial. Compression
and bending lest~ of PHII.IPS carried out with test-specimens of carboni tic rocK1
have shown that their final deformation value was not obtained im mediately on
loading . but in two stages. The first pan was displayed immediately under load-
ing, whereas additional deformation was measured until a certain elapse of time
during which loading has been kept constaO!. The actual va lue and ratio of these:
deformations is vaT)'i ng for each r()(;k. but still mnging within similar limits of
magnitude.
The physica l and structural explanation of th is rheo logical behaviour may b(
explained by the rela tion between deformation energy and bearing capacity of
structural materials. When a stress ~ is produced in any st ructu ral member,
bringing about a n elastic specific strain t, then th e elastic energy piled up in t~
member will be t1 . t /2 ... no whiell will go b.1ck to O. when lhe stress is relieved,
su pposing lhat no residual derorma tion is left. Owing to the vi§co-plastic behaviour
of rocks deformation may take place. however. at constant Stress increasing £ and
thus the sto red energy to 11. Should Ihis 11 va lue exceed the critical bea ring energy
n<.- of the rock material with time. the n it will fail, although no load-i ncrease has
been effected. The period oj Ihls strain increase is QClllally the bridge·aNiol1 periOO.
The bearin g energy, ho ..... ever, is not only !I runetion or e, but also of the stress (f and
tllis In tu rn is a runction of the rree span, and thus the bridge-action p~riod may be
well Hlcreased under the samt: conditions and at the same spot by the reduction
of (he free span (e.g. by the insertion of temporary suppons). That is why LAur·
FU'S tabulated and diagrammatically given observational bridge-action-period
values a rc given in the functiOn or the two parameters (Fig. 3/26 and Table 3/1).
In Fig. 3/ 26 the straight lines A, 8. C, D. E. F, G are representing Ilis arbitrary rock
cla~sification boundaries, whereas brid ge action period and free span ;Ire gi\'en
in a douhle loga rithmic sca le.
 LOOSENING ~1l£MUIlE
'"

",tI, (JIN")" !Dr <elk

FIG. ) '26. Stability of r(><"k·maw:s in function 0( the bridge
act ion period ufan unsupportcd cavity

Typfc(Jf t"Xampfu alld boO/mID,,...fill,, (Jf rock-str..ngrh (ff fUlle/IOII of

p~r(od (t) of an Ulfsuppo,ud dri/l of ,It.. frr, Spoil (/)
,Ir.. ".idg .. flNion TABU 1/ 1

RocL . , ...
C"....hn .. od ,.., ...
bel ...... " .... id ...." ....
""".,., ~ (,... ~.n
...~_ l><>~o~.'l' 1._
£q .... io ... of ,lie

A 50 lid 20 years--4.0 m (13 til I (in h) and f (in m)

B poPpinll 6 mon t hs-4.0 In ( 13 fl) ,./,.• _ 1.0·10'
C vcry poppinll I "·eck ~).O m (10 tI) ,·f··'.2.S·,0'
D fraCl ured j hours-l.j m (5 fI) /./' ' . 6.3·10'
£ vcry fraclll~d )I) minUIr:s-·(.I.ti m I} ft) ,.". _ 1.6· 10"
F prcss;ve 2 minUles-O.4 m (1-4') '·f'''.4.0·10-'
G "cry prcssi.·e 100 seconds-O.U m (0-6") ,·I'.f.I.O· IO-·

Before proceeding 10 a more detailed discussion of genuine moun tai n pressures

let us investigate mo re closely the process of development of rock pressures in
general as it has been investiga ted a nd described by B RANDAU, Wn:sMANN and
WU.I .MANN. and demonstrated experimentally by LEOS a nd Wt LLH(lM . This pro-
cess defines how prima ry pressures are convert ed in the vicinilYof th e cavity - as a
consequence of its excavation - to secondary pressures.
An undisturbed ho ri zon tal surface element in the interior of the undistu rbed
soil or rock mass is acted upon by t he weight of the overlyi ng soil , o r rock column,
constnuting the vertical force referred to as 1!costatic pressure. i.e.;

(3.28)
'" CAU31J AND TYl'lS Of l OCI( PII.ESSUR£

The dist urbance of the original state of equilibrium produced by the ellcavation
of the cavity will clItend (as shown) not onl y 10 tl:t zone above the roof but also to
the rock masses und er the ~a yity and al both sides of it. Acc;o rding 10 WII. I.M ANN
tho: process can be vi suaJj ~d as in Fig. 3/27. FOllo .... ing the c)(c,wa lio n of the
cavity o f width h, the load bp is transferred to the adjacent intact rock walls in
which the Stress is increased thereby 10 P I' The stress increm en t p' dec reases
graduall y to ~ero in the undistu rbed range (2). The peak ordinate PI. i.e. the
magnitude of the stress increase p', as well as the extent of the range di st urbed
depend on the qua lity of rock and o n the depth at which the tun nel is located.
From practical experience gained in plastic T(Xk the st ress a ppea rs to increase by
50% and the width of the disturbed range may be up to three times Ihe wid th
o f the tunnel. In rigid rock:, o n the other hand. Ihe stress may increase to tw ice
the o ri gi na l value (Mindlin's the ory of elasticity). bu t the ex ten t of the disturbance
is limited to abo ll t anothe r width of the cavity itself.

Orlglf1JI JJnll
Ulslrlbillion II' I II
Stress dlJlf'l/Julton
4lter oul!)fNk of
theh""

zOlle

Stress dlJtobutlon
4/'Ler lif'>'(!iopmenl of
Me protectwe zone

FIG. 3/27. or Itresscs around [he hole .,cord inl

)t ~,ji>lr,bution
10 W[Lu.lA":-"S pllIe.,eal obser.ations

The rock. in turn, in ilS partly ullCOllfined state is incapable of resistin g th e

inncased stresses an d will graduall y fail in the cou rse of th e process o utlin ed in
Fig. 3j28, as its load-bearing abilit)' is gradu all ~ exceeded in the immedia te vicin-
lIy o f the CIIyity leading to a co nseq uen t redistribu tion of stresses with atranc;ition
from state 2 into state 3,a5 shown in Fig. 3/ 27 In this redistribution process the
rock is either crushed o r sulTers plastic deforma tion, and Ihe process is, t h us, the
developmeOl of the previously mentioned loogening process, i.e. that of an inert
stress-free body.
 LOOSE/''; I'>O PR ESSURE 197

T his process is illustrated in Fig. 3/28. The weight of rock above the cavity acts
as a load on iu roof (I) deHecting the roof btam. The rock masses follow this
mon~me nt and become cracked and loosc:ned by bending(II.) Owing to bridging
action, the side walls receive additional reaction forces as su pports of the over-
Devtlopmtf14 of IYJCk'prtsSVN
___ IIDCl
=---
~~ ~$nII"9
1/.
I.
JtrtJJ rJiSInWJIOII
I l lt:t _tnt of
()Ijtbruk

,~'
I, , •
-

FIG. }{28 . IXv~lopm~nt or st n: ss-n:lje~d Wne uwinllto the deformation

prO<.~sso:~occurnnll around the cavity

bridging beam, o r arch. If the rcsultllnt load uc:eeds the unconfined com p ressive
strength of ttlc rock wall. its edge will crush and pop out, a nd the thruslline shifts
fUTlhC' r inward un til the magni tude oflhe increased stress decreases to the strength
of the rock, the stress-condition of whic h chan ges towards the interi or from an
unconfined to a confined onC' (lila lind b). As II further result of this redistributio n,
the ve rlieal overload at the bottom level of thC' cavity induces lateral pressures in
'9& co, usa "'1'0 TVP ES or l OC K PRLSSURE

the rock under the cavity as well. This lateral prmure, in turn, gives rise 10 ve rtical
pressures acting upward towards the unsuppor:ed fl oo r of the cavity. Thus, the
rock fonni ng th e invert will be ~ubjected to a n upward·directed bending, producing
phenomena similar to those takin g place at the roof, but on a reduced sca le. This
bending c.rushes and loosen~ the rock of the invert (IV). In this ma nn er a con-
tinuous fis sured an d crushed mne is gradually developed aroun d the excavated
ca\'ity. The rock in th is 7.0ne is incapable of resisting stresses, and no longer
partici pates in the transmission of loads. It forms the so-called .~Iress-free body,
but its weight acts as an inert mass on the stru~turc su ppo rting thl! excuvated
cavit y. Under this load the supporting strw:ure suffers further deformation
towa rd s the cavity whi ch, in tu rn. leads to fu rther loosening, !lnd so to the fully
con tinuous fo rma tio n of the stress-fret: bod y. The new state of eqilibri um is
gradually reached in t his way (V).

no. 3/29. Development st ages of flG. >/30, Onl~r or succe5>io n of fractures

stress-relieved zones around a lunnet ob.erved in LEON'S compressio n teS1S
seclion broke n OUI in success ive S1eps around a hote in a perfora1ed marble d isc

The development of .'; tress-free zones around a IUnnel f>eClio n excavated in

sc\'eral stages is shown in Fig. 3/29. The shape of these m nes depends, naturally,
not only on the shape and dimensions of the cavity b ut also o n geological co n-
ditions. The time facto r whieh plays a decisiv~ part in the developmen t of the
protective zones must by no means be neglected. T he defo rma tion of rocks has
been shown to be a process eJllending over a certain period of time (cf. Fig. 2/ 10).
 '"
A cerlain lapse of lime is therefore required for the dC\'clopment of the: protecti\'c
zone which is a f uneHon o f the nollure of the rock (elastic or planic). of the ma!lll'
tude and depth of the cavity, and the rigidity a nd installation ti me of supporb.
Cases are known where the lining was completed before this development ter-
minated. A very frequent cause of failure of IUllncl linings is , in facl, t he dcla)'ed
dl:\'clopmenl of the protective lone, or the too early conslnu.:tion of the rigid
lining. The: development o f the prottttive lOne is of fundamental importance in
tu nnelling. Without such zones the construction o f tunnels in sc\'cral thousand
metres depth would ha ve been Impossible.
The above phenomena we re demons-Inlted uperimentally by Leon, who List!!
perforated marble blocks for his experiments. Crotcks due to flexurotltension I\'trc
obscr~"Cd to de\·elop first at the roof and at the Hoor a long the boundaries oftbe
eavity when placed under com pression (hg. 3/30). which led at first to a strcs5
rel ief a t the side-wa lls. As the loud was i!!creased eltternal roof cracks opened (J),
starti ng at about 45 degree inchnatioll and convergi ng al the centre. while at tbe
same lime the first tension cracks (I)and (2) closed slightly. The appearance of
such cracks (3) could not be obscf"\'ed at all in the blocks perforated with circular
holes. These crJcks are therefo re obvious indications of the facl that the shape
of Ihe cavity attem pts to adjust itself to Ihe StrCSS Oow. Popping of the side ""alb
occurred as the load was still further Increased (4). The side walls themsehts
suffered elot5llC deformation lind where their yield in any other direction \\"11
p~ l·entcd. they move<i towards the cal'ity, Partial failure o f the cross-sectIOn "'as
followed by the redistribution of stresses everywhere. As. after popping of the
side walls, the com pressl~e stresscs shift towards the slil l sound parI of the cross-
stetion, only compressive st resses will prevail abo\'e and below the ca\'it~· ana:
the roof and inlert arc cracked. The cracked zones become complUsed lind bulge
similarly !O\'\'ords the cavity_OWing to this bulging e!Teet temporary roof pressult5
may considtrably exceed the value corresponding to the weight of the stress-free
bod) de\'eloped. The pressures aCl ually de~elopin8 tH e, howeve r, nol only ~enical
but horizontal as well. the laller in the form of a pass,,-e resistance preventing
the deformations due to laleral cltpansion and corresponding to Poisson's ratio,
rllther thun III Ihe fo rm of n direct for<'1:. The laterul pressures. in turn, pre~ent
the development o r tensile (flicks in the roor a nd the floor and this is why te nsion
eTllcks arc seldom observable in practice in these places.

j ,l). GENU I.l\~ l\. OUNTAIN r itES-SURE

Genume nlountain pressure me;lns - according to a slmplc determination of

JAECKLIN - Stresses surpas~mg rOCk-strength in the \icmily of tunnel-section and
rc~cals itself (lccordingly In po ppings and spallin~ off, starting from the sprinl
lines o r in slow, crceplike inward directed displu<.1:lIlents eventually connected
wilh bottom or roof upheavals. It must be noted th:lI c.'(c!lvlltion leads nOI only
to an increase of tanscntial st resses, but it mcans a lso II reduction of sheanng
 C lIl1Sts 1I,...f) TVI'r.5 01' IlOCK PIl '!<iI\J II ~

strengt h, too (viz. the confined compressIOn snength will be changed to unilaterally
unconfined compression strength).
Genuine moun tain pressure essentially may be considered equal to a tectonic
process, where a nat ural stress-relieving and propagating process is dealt with
directed from the overstressed peak towards further lying zones of the rock. The
decrease o f the peak values takes place as in FIB. 3/ 14A and 3/ 14 8 and may be
considered as self-relief of the rock by involving the neighbou ring zones in the
load-bearing aeth'ity. The Stress distribution pattern is showing an increase from
o :It the perimeter to a maximum fo nned at the boundary of elastic and plastic
zones, the distance of which is giVen by eq. 3/ 16. In this respect the process is
similar 10 the one represented in Fig.. 3/28. Should the process lead to ru pt ure and
frac tu riz;, tion. it would perform a loosening process. Sho\Jld it have but a longer
dura tion and the rock wo uld dis play a plastic behaviour, we ha ve to consider the
presence of genuine mountain pressure during the whole deformation process.
until the "st ress free" Trompeter's :zone is developed.
The process ma y he kept however within restricted limits, by quick installation
of solid circular temporllry lini ng supports which would stabilize the plastic zone
in the rock mass. As the consequent stre!iS rea rra ngement brings about an in·
crease of arching action, also lateml pTe!Jsures will be enhanced and coefficient
.t a pproaches I.
The simple correlation of the requ ired arch thid:ness : if was deri ved by KIIST'>lf:l
also on the basis of this latter supposition :

d=a[;. I _ 2(/1 -
,_ I) • (1,;:, ]
(3.29)

\: l, 1'_

wllh (1,.¢ and JJJ the compressio n strength of rod. respecti vely the prisma tic
compression strength of the arc h c()nCrele and II the required safety-factor (II -
_ 1.5-2.0 103.0). It is obvious th:tt this equation contains onl y strength chllnlc,
teristies of the rock and of the lini ng material, Ihc dcpth of cover no t being repre,
sented. This is a consequence of the requi rement that the rock IS to be supported
by the untal lcd arch in the close "icinity of the cavity nnd \0 such a degree onl).
that it should nOt be brought to rupture. In:l mll thematica l·mechllnicallanguage
this means a stress relief of the plllSIIC zones al the o\'erstrcssed perimeter of the
outbrc<I!c. How the stresses will propagate towa rds the \Jnstressed mner rock·zones,
should not be considered. This means 100 tha t this computed arch thiek.ness mUit
not be changed ..... ith the increase of o\'erburden-depth - prOVided. that strength
properlles remain unc hanged. (A conclusion simi lar to the elTect of l oo~n i nl
pressure!)
Recent invcstigations concluded thil t through the IIpplieation of concrete in the
arch of smaller modulus of defo rmation or of bigger creeping clI pacity the com·
pression stress in the arch will be m::ttcrially reduced and the surrounding rock
will hll ve to carry more load . This statemen t is directing our attention to the po--
 GH.UI<;[ .... OUNT ... IN PlUSURE 2.r
tential advantages of Ii yield ing elastic embedment arround the tu nnel walls ~
(T his was studied by F. MOHR - see Fig. 3/31.)
Let us now resume the discussion of genuine mounlain preSiure. This phenom-
enon wi ll appear when the secondary stresscs dcveloping around the excava ted
ca vity, exceed ing the prima ry stresS\:s prevaili ng in the undisturbed condition , ex'"
eeed the strength of the rock mate riai not only in the roof but in the sid e walls.

£ , , I

" " ComfJl"ISMfI cf fotIl.lII

., -
I
-

'" i I 1 I

- I
~"~ ~"""&4""O -
I
'~I-
" t- -I
PotI qf'1lJ dtfot"tn.7t1On
1
,. I
:L'
, .:
t

"
I
1
""
1

"" .w

FlO. 313 1. De...,..,a.<e of PlnlUres I i . funct, on of 'ininl

deformation . ~pre~ntinR tMe preS' UTe reduc inll dl"et't of
compressible beddinll (aller FE),I<;[ .)

as ~'e ll , i.e. they altain an o rder of magnitude Ifing at the limit of plasticity. Th is
oondition ma y be produl-ed, howe~er, not only by Ihe fact of the ubsolute proxim-
ity of the e~cavation proper (i.e. by the stress supc:rposttion inyolved) but may
be encounlered anywhere, where the roek has been originally in a so-called
laUIlI-plaS/le state. This denotes the condition where the plastic-now of Ihe rock
has been prevented by its confined state, i.e. its plastic deformation ,,'as prevented
by the surro und ing masses. II is known frolll KJ.R\lJ.N'S Cltpe:riments, ,ho( wuler
compound ( 'riaxi(ll) cumprl$sinn ( f.e. undt'r perfe~1 pret'e/r/ion oj Inual exp(lII~
s;un) tl'en Ilk! mosl rigid ollll solid rOCK malaials (including cOllere/e) may be
broughl in/a a plas//(' stale. Conscquclllly, ,,'helher any rock maleria l at uny
dep th may be brou!!ht into such a stre ss cond ition is in practice merely a function
oflhe magnitude of the appl ied pressure (depth of Ihe overburden), of the eomprcs4
sion strength and plastic or pseudo-plastic nature of the material and of the degree
of the prevention of lateral expansion (side-pressure coefficient, laleral rigidity.
elc.).
 This condition cannot be manifested, however, until plastic deformolion
lakes place, i.e. umil Ihe laleral su pport (confinernent).either as a consequence or
its insulTicient supporting capacity or of liS enllre removal (excavation of II cavity)
IS eliminated. When deuling witt. genuine mountain pressures il is not forcc:s
bUi movements which have 10 be considered: movements brought about by break-
ing out a cavity a nd extending ovcr definite surroundln!!:. Forces will ~omr
0PPMent on ly when allcmpts arc made to preve nt these nlovcrncnts. Th~ formation
of a protective zone or stress-free zone will come to realu.ation he re th rough the
gnldual ex tension of thc movemenlS of the adjacent zones and through the gradual
decrease in its intensity.
Gelliline mountain pres:mre is. thus. eSknl/a/fy some rel'etation of geoslori(
(o/€,rblllldell) pressure, Ihe magnitude of which depends largely on ilS geological
structu re und on its tectonic disturbance.
Genume mountain pressure is. thus, a sort of primary pressure. The transfor·
mation process itself is iniuated. accordIng to KAST"U,~' u essentially al thaI
moment when the secondary t.lOgentlal pressures acting on the side walls alliIn
about double the primary value as a result of the stress redlslribullon described.
and exceed the ul1(;onfined comprcssi\e strength of the rock. Thus, the side wall
fails and breilks in or. a t leas!, the rock is brought wilhin a certain zone inl(l a
plastic stllle III which lIS rcsistance is exhHusted.
Genuine mountain pressure with its inherent magnitude is thus of a temporal)
thar.lt lcr only and .",iJl manifest itself in a form depending on the rock group
classification g,,-en by RA8c rwICz quotcd in Ihe introductIOn.
Evidence is supplied in ~oltd rod by popping at the 5idc walls, or e,'en spal·
ling on the roof Hnd floor and exceptionally by some scaling observable al the
ground ~urface. Thus. it is ac tua lly responSIble, in gcneral. for Ihe development
of an oval self-supporting cavi ty corresponding 10 the redistributed pressure
p:utern, i.e. for the crushing of the rock lying beyond the: eXl-avaled cavily and
consequently II initiates the de~elopme nt of the protective lOne m-.:ntioned abo,'c
In pseudosolid roc ks Ihe development of the protectl\e zono is a much slo,,'cr
process and j~ charm,;tcrized by their plastic inlrusion into the excavated c:ll ity
instead of successive fl'"ll.l·luring arou nd it. This plastic enc roachment. III tu m,
IS made po~ible by the plastic propertIes of the rock. The rock in this disturbed
zone of stre!!.S-rclief is at a plastic hmlt rather than III u crushed sta te. In tbe
de,elopmcnt of the protecti ve zo ne the pseudosolid rock becomes loosened as_
result of the stress reduction ensuing lit the boundary of the cavity. nnd or tit(
subsequen t plasti!.; deformation. The decrease in stress intensity computed artcr
Fr"NrR a~ II functIon of the deformation 15 shown by M OHR.:l.1I In sinlilareases.
when there IS no lime 10 wait for Ihe rull deH:lopmenl of pl!lstic derormatlons the

•. '. K ... ~ l l'Itll. H.: Obcr den «hlen GebirlSdHlCk beim li:Iu Ilcnic~lldcr Tunnel, (h,m.
Buu:";H("hr. t 9-1\1 W _ II .
.... MOH~, F. : Krafl und Vcrfurmunl tn der GcbirasmccMnikul1Icrtagc, I'M/rilll, dtr
B<1Iwru"dlfliJut/{} 19S6 . ...... I:mSl, K,jln 19S7.
 usc of 8 compressible bedding behind the rigid lini ni; in this particular case
boiler ash - is suggested by MOHR. Th i~ la)'er would absorb most of the deforma-
lions by its own consolidation and would, thus. rtlie\"e t he lining of the eorrespotK!·
ing part of the load. It should be noted that the higher the stresses and the sofTer
the rock, i.e. the more pronounced its plastic properties arc. the farther aW"~y
from the cavit)' the peak stress will shift and the wider will be the extension of the
stress d i~tu rbllncc (cr. Fig. 3/27). The pilistic deformation inili:lted wIll e:mt
a d irec t pressure, genuine mountain pressure. on the supporting structu re. The
magnitude of th Is pressure will increase III proportion to the attempts to exclude
the rock material from the cllvity, i.e. the more tighlly spaced rigid linings will be
applied. Since deforma tions last until the protective lOllC IS fully de\eloped, aDd
In sucII rocks this may be delayed for se\'enll months. early supports ma), also
email adverse consequences. Genuine mountain pressure accompanying deforma-
tion mny altuin - depending on the depth of overburden - an order of magni-
tude of severa l thousand Ions per square mctre and there is no temporary suppon
s)-stem capa ble of resisti ng such a pressu re. In such cases the immcditlle installa-
tIOn of the supportS may prove ha rmful and if the permanent lining must be
constructed before the full deformation can develop, an unfilled gap should he
left between the e.1(trados of the lining nnd the rock. or Ihis g.1P should be filled
with Il compressible material such as slag.
The poore r the strength of rock the smaller the CO\'er depth required to prod~
genume mo untain pressures. For e:o.ample. in marl lind cla)-shale genuine moun-
tai n pressure mny be encounte red at a geostltlic pressu~ of 200 t ons/ m~: in hglllte.
under an overburdl:n de pth or 30-40 Jll it is at a Beostatic pressure of 60-80
tons lm', This is frequently accompanied by swelling pressures (cf. Scction 31 .4).
The olily remedy against the occurrence of pressures of this type is Ihe contin ued
remo\'ul of the II1truding mnterial durmg construction. The material tends to
int rud e into the cnvity from both SIdes. and from the roof and bottom alth,
so t hat it is mlll11feSled both in roof sett lement and also in bottom upheal'al.
In itiated mo\ements are usually slow and not necessarily instunlaneous. but
~enern lty cannot be forestalled.
Where:lS in counter.l.cling loosening pressure the most effective construction
mel hod is for the cavity to be e:o.c:watcd as fast and wilh as little sctllement as
pOSSIble followed by support al Ihe earliest possible momen t wi th a rigid and
permanent structure, in the C3SC of genuine mounlain pressure the type of JOel
must be first ascertamed. The me thods requ ired for supponing the excavated
cavity agains t genume mountain pressure WIll be eotirely different in solid rocb
Ihlll1 in pseudosofid ones. The occu rrence of genuine mount!!in pressu re in solid
rod; 15 altogether exceptional lind Te"eals itselr in popping WhICh, howe ...er un·
pleasant during construction, does not affect the finnl ~tabl lll Y of the tunnel.
Linmgs of modera te thickness cast wit h relati"e rapidity lightly against the roeL
wall have been found to ensure the required solidi ty. A ri gid lining should be
required everywhere. but especially Ilt the roof. In pseudosoJid rocks, on the other
hund, (such as day. da!'ey shale. phillite shale. crushed and modified gneiss. etc.)
"" CAUSt.5 AND TYPES OF ROC); P~tsS U RE

the ea rly construction of the lining has ~n found 10 lead to fai lure, whenever
the plastic slate of stress has developed. Temporary supports especially must no~
be designed to resis t genuine mountain pressures. No practical means a rc avait
able 10 resist these tremendous pressures and therefore the developmcnt Of
the RfQte;:;;.i"YC zonl;: must be awaited. This is a question of time and space. 't-
is essential to provide for easily re placea ble temporary supports. The pressure

d, .'t

11J'~I'
"'fbr",.ll~n
E
Ctl Ti""'f'~*nl
OV Ifrformi l'()fl
'---",
" ' ,
PI.,t"
rJtf'grm.j,~n
"/Ir"",d T •
iI9 fhtllDh
FIG. 3/32. Schematic pallcrn of FlO. 1/33. Process of convergency of
rock.-deformalion un~uppor(ed cavities in an clastic mass

of the material intruding forcibly along the unlagged sides, can be compensated'
for most effectively by continuous yielding. This can be effected in three dilferent
ways:
I. by prolonged maintenance, repeated replacement and renewal of the tem-
porary timbering until the defo rmation process is completed ;
2. by the use of yielding supports;
3. by leaving a space between the extrados of the lining and the rock (cf.
Fig. 3/31).

In the Jast case the possibility of grouting should be provided for. T he Structural
advantages of grouti ng are illustrated in Fig. 3/91.
T he effect of yielding supports was illustrated in mining engineering through
visco-clasto-pJastic models ( Fig. 3/32) by DE REEPER. 3 . U In his experiments the
elasto-plastic as well as the time-dependent deformation behaviour of the rock
was considered as stressed by the excavation of the cavity. T he experimental
results in Fig. 3/33 indicate how the convergency of the unsupported cavity and

. ... D~ RP.~rEM,
Jr. F.: Der Zusammenhang zwisc~cn GebirBsdruck. und Konvergenz in
I~ohlr~umcn umer Tage. Br,. Ii/Jr, dos 4. LMdrrlrrffrn dfS Int. BfirflJ fi, Geblrgsmechanlk
19 7, Akademie-Verlag, Ikrlill 1963.
 SWU.UNG ' .. I-SSUU

thc cxpansion of the plastic zone increase with decrcasing rock-strength accom·
panied by the decrease of the radiall y directed pressu res acting on the perimeter.
On the other hand, an elastic inner support decrcm:ics also the convcrgency (K ~!J
and the expansion of the plas tic zonc (!? ... : Jgiving rise to lin Increase of mdial
pressu res (p,) being in full conformit), with Fcnner's statements (cf. Fig. 3/21).
Still con~ergcncy. as well as the ex pansion of the plastic zone, are approaching I
ti me-depcndem final value. which will be obtained al a fa irly equal level as a
function of the rock's bridge ac tion penod(T) and under given conditions inde·
pendentl y from the way of support (cf. Fig. )/ ))).
G~nllb,e mmlntain pr~S5Ilr¥J arc to be understood according to KAsT"''D. (Statik
des Tunnel· und Stol lenbaut:s) as plu~'lic (Ie/ormations. which will reL'('U/ Ihemse!r'ts
OJ prCJ.fUrCl' onl), lII'hen any allcmpl is made to prel'em the flow o/lht!Se Je/ormatiOlU,
The plas tificd rock masses will get into a limit state of equili brium by the appear·
ance of these dcfo rmation movements. Should these plastic processes attain first
a rela ti\'ely smaller ex tent. then the inner lying adjacent zones stressed below tMiT
bearing cUpilcilY only. will be gradually mobili$c:d into cooperation: the prOttSS
leadi ng finally to the fo rmation of a stress-free (loosened) Trompeter zone,
As it was alread y poinled o ut ,rock-burMf ma y be rega rded as a special mani·
fes tallon of genuine mountaIn pressure, These takc place as a rule always at the
spring. line. ve ry rarely at the roof and ne~'er at the bottom. They split awa y witb a
noise f rom the rock-wall (cf. Fig. 3/2!!. III). They lire to be encountered in the
construction of an y deep-lying tunnel according 10 Imhof - mostly in massy not
fissured rocks, The sudden cooli ng of the walls of the excavated ca"ity might
cont ribu te eventually also to this performance, (Cases nre kno..... n...... here the phe.
nomenon was produced by a sudden spray of cold ..... lIler.)

3. 14. SWELLING t'Kt:.SSUlU':

Under ccrlai n conditions s.....elli llgprcssure is encountered in clays, indecomposed

clayey rocks. or in rocks intermi ngled ..... ith clay strata . Thl: explanation olTered
for this phenomenon by TCRZAGIII is that with non-uniform stress relief. these rocts
start to swell in II manner similar to clay. Water is drawn away from adjacent parts
which huve Ii higher load intensi ty (pore water migralion). whereby s....elling is
intensified, strength is reduced and eompressibil1ty is incrense:l, As a resu h of
e~cavati o n , s..... elling pressure may be experienced prnnarily at all inner surfact5,
e~peci;llly at the wo rking face, which are left unsupported (Ind arc. to n certain
e.( tem. relieved of the load as "'ell as the Ooor and to a lesser extcnt the sides.
After openi ng the cavity pore l'oo'8ter will migratc from the more loaded in!ltT
p.1rts towards the released zones (Iround the cavity, The Increase of water coment
lit these inner faces is accounted for by this pore·water migration rather than by
the e' tl11ction of "'8ter vapour frOlll the intrudillg fresh air,
 CAUSES AND lY~[S D .· " OCo( P M[5SU " E

Swelling pressu res are of (m unpredictable magn itude and ma y be e1>tremely

la rge. Thei r period of de velo pment may vary from a few weeks to seve ral mont hs.
Initia ll y, i.e. immediately after excavation. this pressu re is insignificant. then il
inc rea ~ a t a higher rate a nd in the final stages the increase is again slowed down.
In shallow tunnels this pressure may be considerably higher than the geological
(overburden) pressure and in prel()aded clays it may altain intensities as high as
10-20 kgfcm~. Deform ations produced result in 01 reduced lo.... d intensity on the
su pports. The method of protection developed from experience consIsts of impos.
ing no reSlriction on swel ling until this has attained a certain lim it, and of eo n ~truCI·
ing t he permanen l solid li ning at a later date. It could be stated in addition that
the de velo pment 01 the loosening core discussed in the preceding paragra ph is
not hinde red by swelling pressure.
The ex terna l mOlni festmions of s welling pressure diffe r so little from those of
genuine mountain pressure Ihat it is ve ry difficult to sepanate them according 10
the inconvenience. defo rmation and damage caused. This is rendered all the more
difticult bet:ause swelling rocks usually ha ve a low modulus of elasticity and a re.
thus. C3 pable of exe,ning geRlline mountnin pressure e\'en at moderate overburden
depths. Considerable Imeral and roof pressu res encountered under shallo ..... cover
in the entra nce sections of the tunnel in relatively stahle roc k indicate that the
pressure is due to swel ling. E~act ide nlifil:ation IS possible on I he basis of physical
soil investiga tio ns only. The danger of swelling exists. in general. in all types of
clays, in clayey roc ks. clayey shales. slates and ma rls. Several ma rls display an
increased tendency to swelling upon repeated wetting and drying. Pore ..... ater
squeezed OUt by blasting, subsidence, sliding or by genuine mo untain pressun:
may also lead to saturation and to swelling pressu res.
The mOSI fa miliar among the swell ing pressures caused by chemical action is
that I"ollo ..... ing the tran ~formatiO n of ::Inhydrile (CaSOJ inlo gypsum (CaSO~ +
+ 2H 10 - CaSO , . 2 H ~O) . Besides unwelcome pressure Ihis transfo rmation is
accompanied by the develo pmem of aggressh·e agents which have a deleterious
effcct on the lining. The d~omposition of iron sulphide ( FeSJ also results in
on increase in vol ume, although in this cllse the aggressive action is uSLlally the
more dangero us facto r. Volume and pressure int:reases are furt her involved in
Ihe transformation of o livine-bea ring rocks into serpeutine under the action of
water and atmospheric efT~lS, as ..... ell as in the transformatio n of rocks containing
iron oxide into iron hydroxide. The expansion (u pheaval, scaling) of sha les and
phyllite rocks accompanied by corrosion, especially if they are rich in mica, iron
sulphide and other scale-shaped mine rals, also gives rise 10 a certain s.....elling
pressure.
II should be noted th,lI the gradua l development of the protective zone cun be
observed in the case of s ..... elling pressure as well.
 LOC"L TVPES ,,:-0 F"CTO~ S 207

3. IS. l.OCAL T\'PES AND FAcrORS M"F'ECTIl\'G THE MAGNIT\.:OE

OF ROC" PR ....SSURE

31.51. Rock strength lind the resjdual (orogen) Slrr~l!s introduced into the rock
muss in the course of its gcological history are tile most irnportant fa ctors in th e:
reduction of the magnitude of rock pressures. Stratification. water content a nd per-
colation effects are similarly important. The effect of stmtification has already
been deal! \\-ith in connection with preliminary geological studies (cr. Section 21 .3).
It should be added here that in the (.1;151: of tu nnels following the strike of steeply
inclined layers. the vertical component of the ....-eight of the: inclined strata may
be larger than the geological pressure related to the tunnel axis, If/sin a > "
(Fig. 3/34). In steep hillsides tunnels may be subjected to creep pressures as well
(cf. Section ]1.5). regardless of their di rection. Cr~p is understood here as the
slow downwa rd motion of rock and soil mllsses on steep slopes.

FrG. l /14. Rod: prc.. ure

iocreHlnl effe<.:1 of
, - --' - -'-
Otllward ,,,dined
stra(ilkalion (K .. ltClWIC7)

Iksidcs creattng direcl additIOnal pressure and reducing the internal shea r
strength of panicles, water muy pre,ent the de,elopment of favourable internul
prestressing and wedging. The dfoct or topography has been illustrated in Fig. 2/9
and il was shown Ihat no uniform pressure dis:ribution can be expected above
tunnels under ridges even whcn driven perpenclicular to the strike.~·ll Spt:dul
allention should be devoted in this respect to the tunnel portals which may cu rry
Increased loads where the lu)'ers follow an arch·like (amieline) pattcrn (c f. Figs
2/9 and 2/32). The previously mentioned crc:ep pressures (slow sltding or the ha ngs)
may also act on the porlals. Owing. funhermorc. to the smaller o~'erburden depth.
the dcvc:Jopmcnl or the protective zone is less complete and extcnds over a longe r

a.,. E)(l'<f.~. 1'. M.: Ober <kn Druck ~on Sandkuac\n. Slr:/I"gJ~" ,fk. W(ss. Wielf. Abl. 2a
III 7-8.
 CAUSH AND rYPU 01' "OCt: PIU:.SSU"~

period of time than at greater depths. Consequently. in pseudosolid rocks the full
J;eostatic pressure may aet o n the portals, while further in, Ihis mlly be replm
by loosening pressure.
As already mentioned, during the discu~sion or rock pressuI"Cs. the eventual
pressure o n the cavity will be affec ted by the sha pe, width and height of tilt
cavity, as well as by lhe method of cllcllvation and inslallation time of supports.
"ThiS innuence is due not o nly to differences in the position o r the struclurnl uis
which so~ern the load panern. but also to the interdependence belween Inc
intensi ty and distribution pattern of pressures and Ihe shape or Ihe lunnel.

31.52. lIol'erin& or Sliding PrtSSUre

AI aClive unquiet slopes exposed to sliding such sedimentary formal ions may
t urn up, which may exert an inclilled o r \'ertical pressure (primnn ly on the spring.
ings) of extraordinary magnitude and influenced nOI only by gravity proper. bUI
lliso by special other circumstances, such as specially inclined and welled dips and
n special sequence with varying thickness of strala, elc. Sliding pressure will be
superimposed on o\'erbu rden pressure and on stecp and high mountain slopes may
obtuin exceplio nall y high values, by far supe,rio r to geostlllic pressure.
A t t he loealion of the tunnels. siles exposed potentially to s liding pressures must
be possibly avoided. especially where Ihis would incur nonuniform loads on the
springings or where the tunnel-axis fUns perpendicularly 10 the direction of such
pressures. It is clear Ihlll mostly tunnels perrorating steep mountain-slopes and
ru nning either parallel or at smaller angles with the strike and mos tly tunne! "dlIS
are exposed to sliding pressures (cr. Figs. 3/34 and 2(32).

31.53. Tectoolc (OrO/.:cn) rressur~

It is no t uncommon - mostly with younger mountain rolds and ranges - that

overburden pressure is associated - as ..... ell when intaci as when perforated - by
residulil pressure produL-ed by sollie recent mountain building and sunuet fo rming
actIvity (bending. folding. sinking. upheaval. etc.). To what an eXlent lalent strzssn
may be len aner these earth-erusl rno\emenl5 is not yet known. It is known. howel"tr.
Ihal these may reach I'ery consideroble vlllues and - accordmg 10 the tectonic
deformations - may be uCling in llny possihle direction. There are some suges-
tions to sct them equal to the actuul nx:k-strcngth found in these folding or rupluTt
formations.
TectOniC pressures must be coruidercd only exceptionlllly. when the geological
prehiSlory of the environment would account for it. Tuble formal ions may be
excluded liS wclllls ancient mllsscs of solid volcH nic rocks und the rece nt granular
deposits or the Pleistocene and Holocene Era. A mong th~ latler. in the cohesh'c
deposits ge nuine mountllin pressure must be regularly considcred.
 3.2. DETERMINATION 0 .." VERTICA L ROCK PRESSU RES.
ROCK I'RESSURE TU[ORIES

Having discussed rock.pressurc phenomena we have to deal with Ihe dete rmi-
nation of actual loads govcrning the dimensioning of the linings of tunnel and
drift sections_ At first it must be clearcd what kind of rock pressure ought to be
considered for a given geologic.11 profile and with known physical and strenglh
charotcteristics of the penetrated strata . [ t muy be concluded from the foregoing
considerations thut only a very app roximate estimate of loads ca n be expected.
Prediction of the magnitude of genuine mountain pressure is the least reliabk.
and its occurren<:e is basically a geological problem. The same applies to s .....ellinl
pressure, although in this latter case the role of soil mechanics also becomes im-
parlullt . The determination of creep pressures is IIlso largely a geological problem,
in spite of the landslide and slope stabili ty nspects in~ olved.
The magnitude of secondary rock pressure which will actually act upon tilt
tunnel lining after thc de\'elopment of the protectivc lone. obviously varies bet..... etn
two limit values; one of these being the full geostalic pressure, the other the ca5C
of lero load encountered in ve ry solid and Slrong rocks which are en p.1ble of
carryi ng the loads witho ut plastic deformation and popping by mere in ternal
redistribution of stresses ....ithout s howing any external evidence.
I" co/,eJionlrJS soih and in solid rocks it is th~ loosening pftSSurt:, "'hich mu.st 1w
cOllsit//'r~d. whereu.\· in cohesit'e soils ond in p.\"(!IIdoJolld rock.~ genuine mOl/mam
pr..SfUre must be tak .." - as 0 rule - illio acrorm/. The mugnitude of rock: pressure
is obvIOUsly ranging between IWO extrem~, i.e. the full geoststic load and zero
load in "cry solid rocks, where the transmitted surplus pressure will be carried by
the rock. material proper wi thout any detrimental deforma tion or spalling -
essentially th rough the simple increase of inner stresses. still within the elastic
range. Ikyond this the flexibility of tunnel-linmg is playing also an essential pan
in rock-pressure rormation. In the d etermination of the loads acting on the lininl
it IS necessary to discriminate between flexible and unyielding (rigid) lining.
In addi tion. the classical (mining) construction methods (Sections 6.2 1- 6.24)
and the full face method arc bound to movements of such magnitude, which will
trigger ofT the loosening pr~ss and by that the kind of rock pressure is al ready
determined. The installation of a permanent lining or that of lining segments
effected by a carefully drj\'en shield me thod may bringuboul. on the other hand.
on ly elastiC deformations, hems II1sufficicnl for the possible mobilization of tilt
loosening process. A more exact theoretica l determinatiort of rock-pressures is
in itself very difficul t /xcause of the variety or processes following the ou tbteak or
the ca\'jty - as descTlbcd in the previous chapters - and the use of various
a ppro'(imat ing assum ptions is unavoiduble.
II is the ore-rbl/rden (full gcostuti c) pressu re - ..... hen the weight of the overlying
~Ira t:l must be con~ide red - ..... hich may be determined wilh the greatest exactI-
tude. This is decisi\·e. however only for tunnels in rdatiH~ly shanow depth.
210 DITEIUI INAT10N or V[IlTICAL lOC': PItESSUl[5

Genuine mountain pressure may be recognized b}' its effects only, the preliminary
determi na tion of i!s magnitude is ofcoursc impossible. Still II fai rly good approxi-
mation fo r the required lining th ickness of Ii drcular tunnel is give n by K ASTNER
(cq. 3.26) based on the re la ti ve strenl!th of rock a nd lining material an d of the
factor of earth (resp_ rock) rcsistan l'e.

,
I
I I T
iorue .sand , I'I -,--
-, I I " ..-.'",
.....
.: ._,- ,:::;':-"':':
Vot'l'}se
"

"- ./ Mild :<: . .,

/ •
•
,-:. --
10m" - f58 kg '" .-. .

~'"
10 _,., ' .'_'-'.:'~'I""" L.. , ,. "
~": - "; :'.. -"
Q.. • "',

t7 Z ~ 68 fO'2 I L1hfrmli
I1agmtvde o/' cover pete openmg !Jh(mm) Cover oBtt 010;)
FlO . 3/3~. P~ufe upon a «>,er pial" .III a ';]0 bollom

The de vcloprnen\ of loosening pressure wa, com pared to the behltl'iour of II

filling siored up in a bin, which is closed at itll bottom by a cover·plate. When this
bottom slot is left open th e actin g pre~sure will suddenly drop down to II minimum
(Fig. 3j35) becllUse the sliding mass will gel supported along the 1;H<:rul si lo-walls.
With fU rlher opening, the pressure will increase again, without obtuining however
its original value.
As it will be dealt with later II gro up of l oo~n ing· prcssull: theo ries is based -
just for th is reason - on this arching aellon of the sliding layers exerted on the
sllo·wall·li ke layers Il:mainmg in thei r original position. llH: other way of the
determination of loosening pressure IS the a~umption of II limited fai lure-zone.
loading ..... ith its full weight on the tunncl-crown. Tha t is to say, in the fi rst case
the coverdepth will be considered. whcrclI.$ In the second case it will be neglected.
When dealing with the secondary prc5sur~ responsible for the dimensioning
of tunnel sections, vertical, la te ral and in~erl bottom pressures shou ld be discrimi-
na ted an d d isc ussed se parately.
 ESTIl>tAUS AND APPROXIMATE METHODS 21'

3.21. ESTIMATES AND APPROXIMATE l\IETHODS

BASED ON THE EXTENT OF I:PBREAK

Fir.t of all some practical values are given in the literature which ind icate,
within rather wide limits, the exp«table vertical, bottom aod lateral pressures
as a function of the rock material.

\'< lG. 3/36. Loading estimate for an incline<l

stratificat ion (TERZAGHI)

T he values given in Table 3/ 11 are based on observations made at the failure

of timber supports:"';
For the estimation of vertical rock loads on the oosis of past experi ence the
following hints are given by TERZAGHI:
(a) In solid and horizontally stratified rocks the greatest load resu lts from the
largest upbreak likely to develop when the unsupported rock is blasted. In the
case of horizontal straTification this height (cf. Fig 3/24a) will he equal to half
the tu nnel width: p = 0·5 by. In the case of vertical stratification, p _ 0·25 by
(cf. Fig. 3/ 24b). In the case of inclined stralificalion a lateral pressure corrcspon-
ing to Ihe direction in which Ihe layers are inclined will also occur and its hori-
7.Onlal component will induce bending of the side wall (Fig. 3/34). Thc height of
t he d roppi ng vertical wedge is again 0-25 h .
(b) In moderately fissured, uniform solid rock the height of the dropping ver ti-
cal wedge whose weight constitutes the load on the ,uppons may again be assumed
as 0·25 h.
(c) In fractured rocks such as are common, e.g. in thc vicinity of faults, where
thc e~tent of fracturing may va ry from intense jointing to pulverization in rocks
which are otherwise sound and unwcathered. thc load on the roof becomes
- beyond a ccnain hcigh t - indcpendcnt of overburden depth lind depends solely
on the width and hcight of the cxcavation. Frid ion between individual part icles
leads to the dcvelopmcnt of "arching adion", wh ich extends generally to a heig ht
of 1'58, wherc 8 = b + In (cf. Fig. 3/25). A very slight downward movement is
sufficient to rcduce the roof load appret;iably bdaw the weight of the soil a rc h
(lr" .. r.)' Upon f(.lrther movement the load increases again slightly (h I''''''') but

•. " Cf. 8lNOU_: I""~n;e,,,g~o!og;~. II Table 202.

 UT1N ATtS ASD AP PROXI MATE MITHOOS 213

rern;lins still considerably less than the weight of the ground arch. In fact, the load
ca n be expressed in th e form h~ "" rx8. Accord ing to TERZAGH I t he value of ii,
depends on whetncr the layers are a bove, or below Ihe water table, a nd o n whether
the sa nd IS in a dense, or loose co nd ition. The correspo nding values of t;I. arc
summan zed in the following table:

" - " - • " .. 1 ~ -,

Dc:nse sand tniljut 0'27 0·" 0·" 1-20

Il ab. exp l)

1..()Os<: sand
(lib. ClIpl )
Fi na l
Initill
Finll
~"
~"
~"
,~"

~"
. .
....,
0-62 1-)8
1-20
1-38
Mode nlldy fmc um~d ItlCR ;IIseS from 0 10 00- )$
& sed on observations
Hillhl)' ~r,,~hed ;n rai lway t u nnel. I ncr~astS from 0'60 10 H O
and mixed

(The ass umed "Vertica l movement in the Cllse of dense sa nd was initiall y 0-G9 B ,
in the fi nal cond ilion 0·1 S8 : in the case of loose sand initially 0-028 and io the
fina l co ndi tion 0,158 ).
In practice, act ual roof loads in sa nd soils lllid fractured rocks were found to
be much nearer to t he minim um initia l values tha n to the highest final o n es,
ind icating that the Slight d isplacements ass umed ale sufficien t to prQf:luce arch ing.
An in tensifi ed ki nd of archi ng can be observed at the wo rking face of Ihe lunne l.
Here the roc k above the roof is supported at the f~ ce as wcll as th e !>idCl and the
load s arc carried by the resul ting half dome, whi ch has a hi gher load-bearinl.capac-
Ity (cf. Secti on 61-2, fuJl-facc ellcavation method).
The roof load in fl1le lured rocks may vary betwee n ve ry wide h m lt~ and ma y
range from the .... eight co rrespond ing 10 the a rore-mentioned wedge of he igh t
0·258 as a lower limit to several times this \'a lue. The actual load ..... ill be affCi.:ted
not only by the degree of fracturing but also by the moisture co nt en t and $urfut."e
pc rcolution co nd iti ons. The time of su pport and tile de nsi ty o f back- packi ng ma y
ulso plllY an im porta nt pari (ef. Secti ons 61 .3 14 a nd 6.2.).
For soils dc vo id of int ernal co hesion, but d isplayi ng consideruble inte r nal
friction (dry sand, gritsto nc, crus hed roc k, rubble, etc.), an approllimute ro rm u la
was proposed by BIt;RAAUMF.Jt . TIle roof load deTJvcd by taki ng inlo accou nt t he
d ropping wedge is accord ingly (cf. Fig. 3/22):

p' =; b! eotan~ , (3_30)

where b = the wid lh of th e cavi ty

rp = Ihe li ngle of int ern al friction
y - the bulk density of the materia l.
'" D~'T[ItMINAlI O!'i Of ~ R TIC " 1. "OCt.: r/l Wu~r.s

A conspicuous shortcoming of this formula IS tha t fo r d1 - 0, p _ 00. which

IS obVIously impossible. inasmuch all the highest theoretically posslble load is
the geo5t8tic pressure p ,.. 111. T he obvious validity limit of the fo rmula is defi ned
by H = ~ cotan ~. i.e. where the wedge emerges to the surface. Actuall y surface

b
subsidence occu rs x met res cad ier so that the limit is N = x + '2 cown tP.
where: x varies from 510 10 m.

l. 22 T II EORI ES HASIW ON VARIOUS ,\K CH L'\'G Al' D RUPTU RE

I'ATIERN ASSUMPTIONS

The foregoi ng expositions and especiall y those of the theory of FENNER. have
rc\'caled thai there are two possibilities when deciding how to dete rmine the loads
fo r praclicallunntl-hning design. The one is when the extension of the pro tccti~e
zone only is conSidered and the de pth ofco\"er is disregarded. The other also takes
this Inner factor into considerdtion . The choice depends on whether the rock in
question is sohd. o r pseudosolid. o r whether it 15 loose. In solid rocks lind in the
case of st resst"s not eJL:ceedmg the elastic limit, the developmen t of the protecth"e
zone IS unaffected by the depth of the overburden : conseq uentl y, the application
of theo ries dis regarding the effect of de pth is full y j ustilied. In pseudosolid und
plastic rocks with slre~s exceeding the plastic limit, the efTecl o f d epth is a releyan!
facto r not only in the magni tude of rock pressure bUI a lso in the time required
fo r t he dne lopment of II prOiectiye zone; consequently. thc use of theo ries taking
this fac tor into account is wurranted . T he design theories used in practice may thus
be classified into these two groups, namely, into those which lake into account
the effect o f the overburden depth , and those which d isregard il.

32.2 1. TMori C!l T. king tbe Etrect of Deptb lo to Aecount

32.2 11. BtLRD~UMe R·.f tlieory. The theory of ijll; RB~UM[R was dc\ eloped duri ng
the construction o f the gre8t Alpine tUlllletS. According to this theory the tunnel
is acted upon by the load of a rock mass bounded by a parabola ofhclghl ll _ tt l l
(Fig. 3/ 37).
Two methods, )'icldin g lilinos t idenucul results, were dc\clopcd for the d eter-
minution o f the value of the reduction coeffidcllt :r.
Ooe ap proach was to assume that upon cxcavation of the tun nel the rock mate·
riul te nds 10 slide down along rupture planes inclined at 450 + 1/1/2 (Fig. 3/38).
The weight of the slid ing rock. mnsses is counteracted by the friclion fo rce
1/21
S = 2fE "" 2 tan t/l tun (45 - ~/2)· 2 d eveloping along t he vertical slidin,
2
 THWllES lASlO os PATTEIlN ~UNmO,.S

(frOurIff svr(lct .. _ " .. 4 FIG. J{J7. Rock prmure bulb arler

•• 4" ........ BI£IIIAI1)o1(1I

£ , F

p
II ij 11111111111
- 4J:
,[ Ii

FIG. 3/38. Amunption

mod~1 of Bt ( RBAU>O( R'S
'8 I
Ihwry /J -t;'{ -/.II1r1 IH '{-tr· f)¥
planes and therefore a rock mass of height II.H only, instead of H, must be taken
in to account during the calculations. Consequent]). the pressure on width b + 2",
Ian (45 - 1/1.12) al the ero..".n Will be

Taking into consideralton the load dillgram shown in Fig. 3/ 37 Ihe value of Cl: 1
is derived as follows:
P "" If y[b + 2m· tan(45' - tP/ 2)j - H'Z;J lan ~(45 ' - t/J/2) Ian tP,
 216 OET~R"'I"""IO~ OP \ 'ERTlCAI_ ROCK PRWUMU

~ mce
p Ian ~_ lan'(45° - ~/2)IIJ
[
p= (3_31)
b+ 2m -Ian (45' 41/2) = H-, 1 - b + 2m -Illn (45 " 41/2)'
thu s
lanq, -lan 2 (45" - ,,/2)11
::11=1-
b + 2m-Ian (45~ ~12) ,

n~ V"I~s o[ l' T... Bu 3,III

,- p"," .mlk-' ,,"ck ' unncl,
t _ 7 ... _
• • m
-
"- - • " " ~
" " ~ ~

'" .,.
.80 ."
." ." .n 0-76

."
0·74 0-72

...
.., ...
JO .67 .OS .6J .61 .S!
.y
.60 .,. .56 .S< ."
'"'" .'" .42 .J8 .)4 0·]0
0-42 0-38 0-32 0-26 .21 .i1 0· 12
"
100 .36 0-32 0-26
." ." ....
.12
.'"
.m
.,. ... ...
I
." ."
."
0-22 0·17 • 12
'" 0·15 0·t4
, "" .'"
00'

."."
0·1 2 0·08
'" O· )S

."
0-11 0'06 0<lI

."
200 0"24 .i1 0·07 O-OS 0.".
min.
." .i1 .07 O~, 00)

...... ~""b l... f • • k 'unn."

6o _ 10m . m • m

"- • " T M
" " " ~ ~

,.
JO ."
I ... ....,. ."... ."...
0'7'"
.72
0·S4
0· 76
0-84
0'76
O·HJ
0· 73
.OJ
0·73
.OJ
.n
0·6)
.8J
.J)
.~
" 0-"

"
" ... ."
.OS
.J) 0'11
.n
.29
."
.N

...
0-42
100 .J9 .36 .29 .N 0·t8 0' 15 o· JJ

"'
ISO
."
." ."
." .N .'"
."
... .30
."
.'"
0-24

.Il
.14 ."
0''''
0'07
...
O-~

O·Ol
'"
,"" 0·)5 0-24 0- t7 0'12 00. .06 o· ~

mono
." 0-24 .i1 0- 11 00' 00' 0<>,
 THEQIIiU BASLl) O!< PATrrRN A$'Iu",prlO'~

implying that gcostatic pressure is diminished by the frictlon produced by the

horizontal earth pressure of the wcdges EC and DF acting on the vertical shear
planes.
Values of the reduction coefficient for single- and double-track tunnels, as well
as for various angles of Illlernal fricti on ¢ and depths Hare campi led in Table 3/ 111.
The reduction coefficicnt OJI has IwO limit values. namely for very small over·
burden depths :I _ 1 and al se\'eral hundred melres depth, whene\'er H > SR.
the magnitude of :1(. is no longer affected by depth nnd becomes
(l\ _ Illn 4 (45" - ';/ 2).
The second approach of BtLRI:iAUMER fo r developing a reduclion faclor ,):, was
also based on friction arising in Ihe sliding earth mass bUI a delailed descripti on
of Ihis approach may be omitted as it is not of panicular importance. The correct-
ness of BI£RDA UMER'S fo rmulae could not be complelely verified in practice. 11:e
best results were o btained for cavities ucavatw al great depths in malerial~
displayi.ng high internal frictIOn (shea r strength).

32.212. MAtLLART'S theory. TM: basic rl:alure of anOliloCr theory. Ihll of MA' LLAU,
i~ hi5 refu5a1 to acccpt lhe belief Ihat the originall), unirorm dislribution or stn:,se:; in lilt
mountain ma" ;s fundamentally than&ed bYeJIelvluon. He maim.ins that as tM:";ze of tht
clvity is nCIl1illlbl~ small in comp;tmon wilh the volume: of the mQuntaln mas!in, ils eifrct
on SlrCH diSiribulion i, presumably in~i." ifklnl. The determination of pressures is bMc:d
on rock .strenath. A Clvit~ or n:ctlnau1ar crOS$-JeClion is considered in tl!(, ....i' of Vo'hic:h the
ruck p~ure P I is luumed 10 be smAller lhan the cube Slrcnllth 0 1 Ihe rock (FiE. ) / 39).
This i, thc condition amln& in !>Olid r<x:1i:s when: preuures life of no oonl'Cm as tnc rod if
filII)' capable of resislln, lhe loads. If, on the olher hind, lhe prc:!illure inlensit)' ;ncro:ases 10
Pu Voh,ctl is II.I'CIIter than the com(lre5Si~'e strcnllih of the rock. Ihe lat ter will faillQ ....lI rds (lit
,ntenor Qf lhe cavity, 50 resultin, in a structurilly mon: Idvlntl~u5 cirttJlar (onn. On Ibr
concave ~ urfacc of Ihe circle the compressed rock i~ 10 I more fa'ourable condition lhan l1li
that of the I'CClanlCle owin, 10 Ihe fllwurablc: inward lTchini Icuon , as a result of which ill
$lren&lh will increase from Ie 10 Ie,. For Ie, > PI! equilibrium ilIl,ain established rcprdlcssof
the frachnina which hitS tlken pla~'C Oil the sick5. Where Ihe pressure PII is hil!,hereven than
the i""~lsed slrenaih of lhe rock (Pili > le i )' Ihe lauer willllfllduall) (all 'pin. Consideri",
now Ihe equilibrium of an annular rock 7.one o r rldiu~ t Ind thickness d:. situated conccnln.
callylTQund a CII\;I)' of radiu, r, Ind sub,Jccted w tM: circumferential col1lprc~on p . and
lliso from bolh (XlIMde and inside 10 IRe radial slres~ of maanitudcs 0, Ind 0 , + do, KIIilI
in oPpo$ile direclions, we ma), .... rlle:
pd:=(o, + du,)(:+ d~) _o, : = o,d~+ :0.10"

, p
""',
•
",hieh on Intelralion yicldli
In;: _ C- In(p-o,).
At the pcrimct~r of Ihe circular GI~it)' , for: "" r we hne 11, "" 0 .nd thu~ III r _ C _ In"
from whic:h C ., In r + In p. Afler tllbsmution

--
, p _"-
II,. whence rfp - ",) "" rp.
'18 DEnRNINATION OF \'UncAI. l OCK ' RES5UI.l.!i

a, is, consequeotly, described by I symmetrical hyperbola ""jib lhe horizon.a! tiDe represe nt-
ina tilt p~re p and the \'en ieal in the Ulnnel uis I' its asymptotes. O""·inl 10 the resu ltina
<:onfinw state of oornp~jon the rod' slrenath is iner..sed by these radill $IrtSSotS.

Rxir slung/fI ' x.l fJ.

--------------- -------- -

l HPdtu.." rtliJt.ln1
;J<k, p>k

l Hri,~1g 1't'.J4w,t
p< k

n o. 3/l!}, Bas;1: a!.sumptions of MAiLLAln', theory

Re lying on uperimcnts of CONSIDtR~ and K ,;R"'~~_,dM,o.lI,.[.AR T assumed the following rela_

donship to exist oclween the confined compression Strength !r •• the unwn fir.ed CO"'rHe~~ ; vc
~Irenl'h k and the lateral pres.un: tT,:

",hen: lhe ,.Ioe of (J is } lIem' for concrete and muble and 6 I em' for SIIndslone.
f>1.IuinJ J amilnr;l) for a and ullna I., ins lead of k the magnitude 0( the compoond Sir"""
is obt.ined as
A. - .j3u, O+k,f+ k r
This rel"ion5hip ~ogether willi the radial SHe>sn Cltn be !l«n plolled In Fi,. 3139. The
rock p,,,,,.un: p" ~ t Ihe , ide "'alls i~ ,reater than k., so thai the rock Will neee"ar; I)' f.il. The
proce" may be visuahud as a proan5Slve fraclurinll or lubscqucn t lhin layen extending over
various pe riod, or tirn~. Howe>"er. by shi rting t he line rep,esen tin g lilt: ". value'! which slurt
m zeru at the side wail, highu b)' a .nmll hnU)unt " .., i.e. by provid inll a certain radial Strenath
hy an ,nternal mdial support ror the cavity, Ihe pressure Pn will nOI exceed tile rock strenglh
k. at the: ,idc- face!, so thai failure will not c,"cn be Ilarted. Actually, il is th is pressure u ••
 '"
... 1I1.:h mU~1 be CIIrried by the suppons. Where: the in$!allahOn of the support system u()eS
not folio ....· e.-cayatJon immediately and rn.ctunn8 of the: rock is perm'uc.! [0 proceed, the
I'I:quin:d supportin, force will aho be iiJCIIlcr. as .I~'en by the cxprosion 0,.1/" Tbe imporumcc
(If inSlanina the liuppOrlS at the n1rliest lJ'M$iblc: lime is . thus, allain demon~lra tc:d theoret ICally.
The rock: p~sure it5etf around II ,"i~u Lar .:a,'u ),. a«ordinl lo M"'lURT, w,lI be uniformly
dist ributed Ilnd of the mapilud" <I,.. It can be obtalncd In turns of tile: ,eostalic pl't'$Sun:
O} rc:plac,n. k~ by fry in lhe basic equation. Thus

(It)l)' - {k, )t
p;; (1 . . =
0( 1 + k , )'
(All VlIlun shou ld be substituted mi D the: fannu l. in Ijem' u II.LS.)
Since the ruel. ,I 'cII8111 k, i.w:rnws also ... ith the: depth. the p~sun: on the: tunnel. Is not
directly proportional (0 the ie<lstat te pressu re: .
The requ ired th ic kness of • circu la r lilling can then be- calcuilltctl from

<.
r=" ' - - ,
<,

\OMn: , :: the ntlius of lhe cin:lc cn'~lopinl lilt: cavity

0_::: the penninib lc compn:ssh'c stn:H for the wan .

For e~Mmple , the walJ thickne ss of a lunnel a1 2000 m depth, in a rock of strength k, _ j()(l
k.,!cm', of a denslly i' "" 2,g tim" ... ill'l 8 radiu~ , _ , m is obtainc<! by laklnl the raelor
II at 3, and the permissible 5t ra.li in the ","II: o~ lit 100 h;cm' 81

(2'Sx 100-'X 2000 x HIO)' _ (0" 11m')'

./ - - --- ,.. IHlO9 t,.em'
.. J(I + 0'$ )'
0'009 t.'em'
v=SOO cm - - • _ 4S em.
0" 1 tll:m

32.213. ESZTt)'S Iilrory. The effect of tu nnel width is also taken 11110 considel1l'
lion in the rock pressure theory de veloped by EsZT6 on Ihe basic observation
made in mining Ih;11 excavation is followed by lhe developmcnt or ruplUre 5u r-
faces outcropping 10 the ground surface, These rupture surfaces become gradulJ)'
steeper, as fissum appearing at the ground surface ha ve been observed to start
almost ~ertically. thei r inclination decreasing .... ith depth. Ruplure failure. thus.
takes places along a cu ....·ed surface rather Ihan along n plane. and the profile
of this surfncc is, accordllll!. to E.'izT6. a curve or second order. prefe rabl y a Pllru,
bola (Fig. 3/40). Any curve of second order could be scle!;ted fo r the protile of
t he ru pture surface since Ihe mag.nitude of lhe error introduced thereby is pr.KU·
cally the same for all curves. particularly because the o\'erburdcn rocks arc not
umrorm and consequently the curvature of the surface will not change regularly.
The assumption of a parabola or second order is otbenvise juslified by the fact
that in beams elposed to bending and consisting or a materia l or uniform strength
the magnitude or tensile stresses varies acco rding 10 a parabola of second order
in proportion wllh the elasticity of the beam.
220 D£TUMINATIO'" Of v o,neAL lOCK ~KWUI.U

As II most suitable parameter for the cllaracteriutioll of lhe enlil), of o\'crburlkn materials
the angle of rupture Ii M5 been chosen by F.snO. ThaI is, the one included by the horizonta l
and st ra"ht Ii"" (Onnc.:1ina: II'Ie comer of the roof and 1M point of inlel'5«'lion of th .. . u!'lu re
u lrfaec: ,"'itk Ihe te rrain. The field observation of Illi, arllle remkn nO und..c diffICulty, whi le
!!'Ie II'Cnllh prOp"rtic~ a .... likely W ~h ~nll" from layer to la~r and ahhOilah thdr m casul"<'-
mtnt iii, in pnnciple, r<>"~ible on $p«in~n' obtai ned from each layer. their behaviour un"
;" Itraction in situ ca nnot be evalua ted. In mininll . rns the angle of ruplure is in many cases
known from pa51 experience. Naturally, the actunl " ~ Iue of lhi' anale dcrends not on ly on
HCOUll 11
,
x .{. #-1/

H
l
h

FlO. 3/40. ,,",-,"'plion

m!)dr] of Ea7.TO' S rock
pre.sure theory

the ~ trenath and stratification of the overburden material but also on the dip of theK layers,
inasmuch as it ",iii be steepe r proceedin, up".rds, than do,,"nwards alan. the dip. Ncvt)rlhe+
less, the rupture angle i. alwaYl lIau er t hiln the end,tan~nt of the profile a~ it readIes t he
t""ain. Iosn6 a\Surned tha tanaent to be normal to the terrain. i.e. vertical, where the terrain
is horizon tal. The rupture surface must show an incrruing ,Iupc towards tile terra in. lInd
ao;"l;"oruinlly a parabola is adopted whose axl, is formed by the horizontal terrain .,.. \ whose
apell COincides Wilh liM: puinl of ,nter!;CCI,on of Ihe ch('rd plotted under the an,le o f r u p llue
and the lerrain.
The axis or the rupt ure parabola is t hui lhe line ABff, lhe BpeJO Iyinlll B' , "h,1e II point
on the parubola is the uppe' comer uf t he «<t.nlull, cavily D. Since BB' - H COlan 0,
the equation of the parabola is H '_ 2pH COlan Ii, wh<nce lhe parameter p _ ': Ian O. The
equation of the parabola is thus (cf. F i•. 314O;:
cotan (J

"
and usi na Ihe nOlations of the figure, thc tangent or the p~rabnla 31 the clcl·.tion EF Is, frorn
the shaded triangle.
<.\)' cotan h
13n " = -
,Ix = 2x -""ii-0 "'
II
_13n~ _. 'H,,;"""" :C
2(H AJ
 221

In lllis theory wro I .\SUrn«\ tllal the cavi ty created I t depth If and of which CD = b
would not be called upon 10 ~a rry the weilhl of the entire rock prism CDAB e~tcnd ing 10
t he terrain. bu t OM p~ rt o f t he rod: load '"Quid Ix: IfllSmilied by friction and COhesion ,
Le. by ,15 ;nlernat'ltrtnith. to the imact cn''lronment. l he .."i,ht of the elemcollry laye,
U ' of thicl; oess dh. and of ...·eight dp _ dA-y con"dercd I I heigh t It loo..e I~-ca ,it,. would
be distrib..ucd not only on . "rface f" O bu t On the l a r~r surf."" G Il , Ttw: distribut ion is as-
sumed to be umform and the ~tr.ilh( line bordering the llrn>ed lOr\C i< aSlumcd to be normal
to the rup ture par.boll J)llssin. through POOI" l 1", a nd In include the anal" ~. corresponding
In the tangent 0( t he paflbolB " 'jth the "ert ical." ·
T he ckmcn,.ry load tip, produced by the ,,'eight of 1M 11)'er or thickness dh al he'ahl h.
is dlstnbuted ,n the plane of tM roof over a widlh of b + 2. Ia n I;.!.O Ihal from tM cquili brium
of " ei~h t s ,t follo ws Iha t
yb.d h ~y(b+ 'Votan o)) dm .

.. ~ lim _ lhe .,·cnoac: thickness of tM 10adm,laytr ,n the I",,'cr plane GH.

The IInit load o~cr widlh b of the C<O"'n ,s Ihu. c."<P ",I~ as:

b<",
"- b + 2/1 Ian I;
The full roof loa.d i. oblai n~d by in .e¥"Ot ina ,he above upreSlion be' ..·.... n rhr. ~rOwn and
the le rrain:

,- f" b+2J!lun
"''' o\
•
After Inlegr~tio" ,,"e o btain

bcotan
{J Ian [ H fj
(b.lnb
11 Ian fI J
(3.32)

-"f._b'H)' [Inb,
" - "J
I -;;.
b,
whe re b' _ b rotln fI,
fo r lack of praclical owrvalion ~a lu es of D. il may he lak en eilher as Ii _ 4' + <1>/2
( ... here, il lhe anl!k of inte",al friction), or U 63" (Ian (J .. 1) U if common practice in
mlnln,
AI poi nled out by ElIZT6 himself."'· the pressure ulcull.tcd accordin. 10 his Iheory $hould
not be usr;,d as a desl,n ~ril~"on In praCtice. It I•• howeve r. con"den:d suitable for clarifyinlj:
polenliul prcSliure varialioM under varying cond il;ons by establishin, propuriions and
relallonshlps. In fael , Ihe ,rUtesl "",ri l of "_~7T6's lheory is Ihal il pro"ides a hetter insi ,hl
inlo tlte inllucna of the facton lU~crnin,lhe ma.nitllde of rock pressure. His cOflsidcralions
relatln.l u the vertical and honlonlal dislri bulion of prfSsurcs around cavilies and ~~mpar­
~I"'e ~tud i cs on confined underground Sp.'C1 are of spc:i.1 in(erel1 .

.... NOll. The oor~I~S o f Ihis assumption is hlgh'y q~stionable. a§ il .... ou ld follow
from tile principle or Ihe ru pture plane t hai ,n,lea d of the ea rl h mass beh.ttn the boundary
\"Crticals o f the cavity, It is t he ...·('.hl of it bet"'een the rIIptun: surfaoes which is to be di s-
tributed . T his weiahl v>ould be partly resiSled by rr ktio~ ulo"g the rupture surfaces .
.... EsJ;I6. 1'.: A k6zetmozP 50k mcchanl kai ci(me; ( t.1 «hani,al cltmcnts of rock movc-
men"), 8dnytU:Of; II Kollluzorl LtJpok 19)9 U.
 DITEltlot l"4TIO" Of H ltnCAL lOCK PRESSURES

Considtri ng the role of nrious faclors incl uded in lhe tqllalio n. the rock thickness ca pa ble
of t raosmiu ing 50% of the lOlal presw re is dClcrmiocd first. It follows that

Inc solUl ion of whic h yield"

, [ 'J'tH
II
t -
JI Ian II
- - In - tiln9-t+
2 11 H lan{J ' ] _0.

... hence lhe \"1\"" of x can be calculaled by ,ubllitUlin, the apflrOpriale H . bi nd Ian n "u 1....,5.
~pcndinll on lhe width and depth oIthc CI~i l y. x WI$ found to non", from I to 15 m_
Table J/IV is ~ompikd for va rious cumblnlliuns of ... idth and dept h by lakin, {J _ 63'5

Th. Y,,/urs 0/ x TI\\:ILII 3/ 1V

inp'b (II) ~ _ lm

,.,
J • Om

,.,
• • m

'00 m
,., "., -
-x

...
200 m
m II'S
""
".,
14'9
U" -
,
.<

II ,s "'I"~I ,nil to nOle thll even under 1§C • ..,ral hun4re<1 ....,.res of ovcrbodcn ,IIr n",unilmll!
0/ prruurt Is ront.oll..d by '''t hlytrs IfllHllN i",,,,.,d~'rly flOOr.. 1M ...... ~..., rn..uq",mtly tht
qutlll.y O/I#lrlt /"Yf'rI 11 0/ IMramoli'" /mporiflfK".
COM..,.nin, the ioRucnet' of depth ,I;S 5ho...·n by subst;tul;"1 nurrw:ri<,:a. values tha t pressu res
vary accordin, 10 its One fourth (I f"" po ... e •. but Ihe rate of ;ncn:ase is mon: rapId in layers
of poon:. SHenlll h and in wider cavhicl. T\I.e influcru. of both Ih., anile ('>f rupture IJ and
the wid th of Ihe cavi ly b on the mallni"'d" of p re.~un: i. much mOre p.onouno;cd. in u m uc h
as pn:ssurn vary as the 1/4_ th power of the width and of Ihe tangcnl of rupture "nIle liS
illu5trated by Ihe values of Table J/ V cakuliled fo· )I .. 2 lim'.
A closer 5ludy of the lable !ihowl thlt by doublm, t he width the prcssure;s increased by
63 0", for II .. 4S' , by 67 % for {J _ 63·S". and by 71 ~~ for 6 = 76 , furthermore tha t the .n-
Crease il63°~ II 100 m lkpth. 61~·~ al 200 mind 71 o~ a. 400 m. Pressures an: thus 5et: n to
increllC wilb ... idth al a hillite. rale in rocks of beller qUlltl} and al grealer depthl (a h hou ah
prOducin. mlucN abso!ute VIlI~!).

Pressures developing u nde r identica l COnd Itions a bc)\ " confined u nde r ground
spaces (halls) a re subsequently inves tiga tcd (~f. Section 3.53). Deno ting the d ia m·
eter of a cavity o f ci rcular plan by d, the differen tial eq uation desc ri bi n g eq ui -
libnum conditions assu m es thc form

dOn 1[ .1'1
' 4 dh = ydm(d + 2" tll n t!)~"4 - dp(d + 2" t nn W4
 THE()tI.IU all5ED O~ 'ATIUS IIll'lUMPTIOSS 223

whellC(
H H

.f
;-d:dh ~

P· 7 dm - J (d+ Ur Ian ")!-

Substituting th e va lue
"
H ta n "
Ian.' _
21. 11 h)'
we have

lak ing the form li fter integmtion

dootan b
If d
tan .~
In -H tan!} -
d
1 (3,33)
d )'
Htan 9

"
,.
6 I.. '

••
'OIl P - I~ 19-6 30-)
200 14-8 24'4 39-2
<OIl IN 29-, 48-8

, _ 6)-'

If ( .. )

J-"-
CcnAn.~

, ""'
<.. ;t~

••
,.."
.. .,
b ( ..)

p- H
,.. 12-2 ,9-6
,~
'OIl
200 ,-, ,-, 14-8 24'4
<OIl ,-) ,-) '.0 11'4 ".,

~ _ 16

6 (.. )
H (oo)
1- ,.. ,-, .,
'OIl I' - 4-) ,.. 12·2
,-,
'00
,-,'-0
14'~

<OIl 10-8 17'4

224 DETU'II'IATION Of VERTICAl,. ROCK PRESSURES

For comparing these results with the pressure obtained in the foregoing for
a lincal tunnel it is neces5ary to r~duce them to the same area. This may be accom-
plished by usi ng the ratio d _ 1·J2Sb obtained from the relationship J_ b J4/ n.
By computing the pressure~ pertaining to va rious widths and depths in this way.
again for an angle of failure i} _ 63'5". the values compi led in Table 3jV I arc
obtained. As revealed by a comparison with the previous table, the pressurcs
above a Jineu! tunnel arc 3 to 4 times higher than above: II cavilY of circular pla n.
The advan tages offered thereby ure ut ilized in practice when using an excavation
frOnt which is circular in plan (d. Section ]1. 111).

T "'HL~ 3/ VI

Him) • .-0 III . _ 1'<1",

J 4" m .I _ '1-(1 '"

100 p = 3-9 ( 12-21 I,m p - 1'0 (1~'6)

200 p _ 4·\ (14-8) f! - 7-8 (24'4)
P _ 4'3 (tN) p _ s·) (~-')

"""
32.214_ TlRZAmu'l rock prCMllrC theory_ This theory was developed origi nally
for cohesionless, dry. granu lar soils, but it (:1In be extended to whesivc: soils as
well. In correspondence with actual conditions he assumes a moisture conte nt in
the sandy soil suffi cient to secure the (:ohesicn value necessary to main tain the
vertical pOSition of the face in minor headings. The Sll.nd masses around the
cavi ty are Illready disturbed by excavation. and movement wntinue~ when lhe
temporal')' su pports are installed dter thc t:.IIlnel has beell e~eavaled to full
section. These displacements arc sufficient to lead to lhe development of u set
of sliding planes characteriz.ing thc slate or imminent rupture in the sand. It is
therefore justifiable. when dctermining Ihe width of thc earth mass sulTering
d isplaccment. to use the inclination 45° +¢/2 or the pl~nc of ru pture associated
",ilh ac tive canh pressu~. This v.idth is thus obtained ~s

B- 2[ ~ + mtan (45 - tP/2)] .

The displacement nfthc earth mass is cnuntemcteJ by rriction developing on the

vertical silc(l r planes.
The vcnieal boundary planes of dicplacement may be re presented by the ver-
ticals drawn at the ends of the element of width B_ The shear st ~ngth acting along
these vertienls in reSisting dis placement may be assumed as

r = c + utanq, _c+ lT~tanl/i.

 If the unit weight of the soil is denoted by i
'"
and the uniformly distributed
lond q is assumed to act on the ground surface. and further, if the ratio of hori-
zontal and vcnical pressures is e.~presscd by the empirical constant K. then the
horizontal normal stress 11. IIcling normally to the shear plane and due to the
vertical stress 17, developing a[ any depth;: undt'f the ground surface can be ex-
pressed in Ihe form 11k .. Ku r_

I
• '"

;(k. ,y ~'I~,.j~U.,,~ ~____ ~ __ --:.:[~ll.wpOY~1'fNcrowr.

, '.
FlO. )/41. Ba,;, assumptions of TUZ"OH(S rock prc~.urc theory

Forces acting on the prism of width B and height d: al depth;.: are illustrated
in Fig. 3/41. The I.:quilib rium of th ese forces may be c.~prcsscd as
By d= = 8 (1. + dur) - H(J• ..... 2t dr.
Substituting

....e have
B~ d: = 8«(1. + du.) - HfJ, + 2c d: + 2Kcr" d : tan 4»,
.... hence
dO'.
- - - KO' -' '.'C",,''c
2(",
- ='1-
d: o- - a
Assuming the boundary condi ti on 0'. _ q at depth; _ 0, the solulion of the
differential equation is

O[Y- ~) ( -x'.n.~J n.~· X ...

2Ktan¢ 1- ~ + qe
"6 DETERMINATION OF VERTICAL ROC K 'RUSURU

For c:: 0 and q:: 0

fl. -
By
2K (anT
(
I - ~
_ Jr ..... ,. !;)•

and by sllbstilliling in any paTlicuJar case the depth of overburd en H into the
equation, the rock: pressure is obta ined as

•
P' · I 'K t.a n 'I'
By
.l..
I
I -e
-A,•• I:) . f'
(3.34)

At greater depths arching action no longer utends to the ground surface.

In his experimen t~ TERZA(oHJ found the >JuJue of the coefficient K to Increase
gradually from 1 to 1·5 over a heighl corresponding to B, and beyond height s
grealer than 2-58 Ihe displacement of the lo"'er layers did not affect stress con-
ditions in the upper sand Ja)crs, $(I that no arching dc\"c]oped there. Rock pressure

, I ,
-'--

FlO . 3/42. Roc!; prcssur~ al .rUI~r d.plh~ faner TUI.AGtIl)

may consequently he regarded as being composed of IWO lerms. Denot ing (hit
heights up to whic h archmg action extends and thence up to the ground s urract
by H, and "l>respectively. the soil mass in this latter may be considered a n
external load or magnitude q _ }flY acting on the soi l and, thus the pressure
acting on the roor is, in aCl.:ordlmce with the Ih~ry dnived (Fig. 3/42),

(3.35a)

Height }/, increases, as the roof is placed lower and lower, and as soon as H g
increases 10 at least 1/5 or the entire overburd en depth H , the effect of the second
term becomes negligibly small, while the ex pression in brackets of the first te rm
approaches unity. The e.1 rth pressu re at ve ry gre~11 depths t hus becomes

,8
p,"~, = 2K Ia n q, , (3.35b)

and is unaffec ted by overburden depth. Relying on experime nts and experience
T ERZAGtII fou nd the value of K to be approximately uni ty. Taking this jOlo con·
sideration the modified fo rm ula yields a linear re lationship between rock pressure
and increased width of t;xcaviltion , and shows a strong resem blance to the for·
mula dt;veloped by PROTODYAKONOV (cf. Section 32.224) from which it differs
csscOlial ly only in yielding a unifo rm, ra ther than a parabolic-al pressure distri·
bution in the tunnel cross·sectio n.
On the basis of the fu ndamen tal rela tio nship T( RZAOHI'S theory can in principle
be extended to cohesive §;oils as wel l, in whi!.:h case the rock pressure would be
obtained as

Jc 2e
No rock pressure would devclop al all fo r ~ =..:.....
8
,i.e. for B". -
,
. In practical

terms this implies, however, no more t ha n the fact that in the case where
the cavilY must be su pported temporaril )' b«ause of t he tensile stresses developing
above the roof, and the roof itself is prefera bly excavated wi th un arc h·like fo nn
in order to protect it against t he o ut bre,l kin g wedge. Ol'l'illg 10 I'le ba.ric assumplimu
rhemse/,;O!s Ihl'. theory y ields u.l'efill re.ru/b in dry granular l'/Ji/S and in the case of
mod",ute OI'erhurden Jl!plhs (II .:;; 38) /Jnl)' .
A s demonstrated by GOL])STEJN,!UO the dcla)'ed shear st rengt h of clayey soi ls is
only 50-70% of the initial value, i.e. the value of T decreases with ti me. Since in
cohesive soils the roof pressure p,. = H(,. - ;}, an ex pla nation would be offered
thereby fo r t he gradua l increase of roof loads ac ting on tunnels built in clay soil
(cf. Fig. 3/82).

32.215. J AKY'S {'(JI/cepl of ,hecrefi('a/ slopt'o This ooncept was introdu« d by JAn in
1925 on the ba ~;~ of CULU4 .. :..,,·S oohesion_p3rv.oola. The $Io pc: on the mariin of labllily
becomes s t~eper with d«r~uina hei"ht and IIssumes lin o\'uhanilni fo r m at \'CI')' low hci~1I
(Fii. 3141A), ,' ecord;ni to JAn the cav ity is acted upon by the soil masKS r~ma i ninll beyond
the- theorelical slope lines 1i1lin,:lo the cavily. The lhcon:lical slope linc can be tktcrmiJltd

U. G(tI.DjHtN. M . and V' RIU,",Slt Y, V.: Vliyanie p... I'I. ... I.;o: ... li na jlorno}'c da~lcniye (TIlt
c!foci of 80il Crc4:p on roof prc~s u n:s). Tmnsp. SI.-o,·'. 1954 4.

".
228 omR"'I~ATlO" OF HRTICAl ROCK PUSSI!IIU

by constructing th e canecnls on lilt basis or CUlUlAS'''-S parabola, Tk depth IIhere the

l.ngen t 10 the slope line brcomr« ,"ertical ii determined theoretically as
q ~(JO _ . ,)
m .,",__ .
2 ~in'(60 - l lJ .)
(a) In the case of hcading5 located abo,-" the limn doplh Ill" the intersecting CUrVC5 yield
~ roof load only, .. hkh .~ distributed in the shape of. Irianale.

FlO. 3,'4)A Cootepl o f JAKy'l tl>«>«:lkal slope

•
" r " -
•
"--
••
,-+ 1"10.3/4)8. PlQI oflhe pressure
bulb ha~ on the theo re tical
" slupe
"
(b) In ca.scs .... hen: the t",arlina is located below lh~ Ii mil depth "', a lateI'M! I'fe~SUrc will
a.w be pl'CS('nl. By fi ulnlllM: IMorelical slope lir>C$ 10 !he lower comer point, of the excavated
section. the ur~a enclosed by the inl~r>.c~li nM cu rves )·icldl II\c magnitude of the earth Illass
e.lIcnina the prnsun: ( Fig. 3 .13K). Owml to its wM:eptual deficiencies this theory has found
no use in pract":c
)2,216 BAlLA a <su~s in hi, theory"" Ihat 1M m<diuln Iy ln, abo"e the ca"ity will ~ufTer
loo\.Cnm, and a dowlI",ard lnO,en .. nl IS I C(IIIR!(jU<:f\CC of Ihe breaLml OJI of t h", cavily.
T his displacement will ~ umcc for 1M mobihlUl,nn of the Shear ,I , enllh of tht ",alerial and
OOflR!(juemly """'n,,'I,d mo\'Cment must laLe pllcc , 10118 some kind of slid ina sorrace.
l:Ie .rbil r~'; ly assumes the pr~"cc: of circular sloJi". surfa~ p!I\I that thl')' will ~ Ian
from lhe uppe r corners of li">e recta n,ula, Civil). T~ radius of t he drde, in ad<lI t ion. wi ll
he dcfillro by the as.umpl ;on Ihll in Ihe inlcr§ccl iOIl of lhe t ..o c,..lindricll .hd'"1l surfa~ •

..." DAuA, A.: Rock Prc~urc Delenmnro from St..arin, Resistance. I'rar I.~l. Conf. Soil
M uir. 8udu"~'f 196J 46/.
 TH(ORIES BAS(I) 0:-. PATTEIiN ..usU\ln t O~ 229

in the axis of symmeHy they must join to a tangent inclirted to tile horizontal at (4j'~J2),
correspondin g to thut or tile sliding planes of passi\'c earth pressure (Fill, 3/44A),
Wilh the dimibution of Stresses along the
slidin8 surfa.c beina d~tcrmi""d after Kutler's
,
differential equalion. the rock prtlsu rc i~ ob·
tained from the equ Ilibrium of all forees aClin,
~rlically upon the $Iidina lIfound mus;

[G+<?+ K.+ P=O,

..-h~n: G denotes the .. ci8hl of the slidlna CHrih
,nus enr;losc:d "hh in the cireu lu ,Iid ,n& ~ur·
r~ct'5, Q. and K . repr(.~n ' t he re.uitan's of shear
,Ires",., ,· i~. of cohesion aClin & alonG the !ilidins
surfaces and with r.lhc resultant of rock pre"
11,1"" actina upon Ihe rouf of Iht ca~lIy.
Afler the ddernunation of th~ VlIlucs U
functions of the dilMnsions Ind 10000lion_ deplh
of lhe ca\'ily and of 1M strenllh cw.raClC"Mocs
of ,he overlY'"1 gr()Und maSS and h~umina
Ii uO lform di.uibution of Ihc roof pr('"~~un:: (P.)
he obt~ins

l·
P."" H'I ~ II+ H
b F. - H y F, - '1 FlO. )144A. Principle of K... l l ... ·S Iheory
In this exp",uion F H_ F. IJId F, reprno:nl
factors dependina on , I>c anile of inner fricllOn (6) of the around material. the Vlllucs fo r
.. lIich mlY be taken l.'tcher from Fil. 3 44B or from ch! follo ...·lnIIBble:
r
Hi • '. c.

+ 1·8066
.... 1'--..1 " +0'6l!14
+0'4145
+ 0'IS02
+ 0'2571 + 1'6084
"30 +0'2109 +0'1277 + 1-)6(>7
" I ~ ., +(HI7S7 +0'}67 1 + '·101 6
• _, T - +<HIH} + 0'3714 +009667
H 1"-- "
'" • A:
,' ~ I An inhe,..,nllkfeCI of th~ theory lies
.
.~

1"H,8,lH/JI
""
I
in the fact tha t both the loosening an "
pressure of lhe lat(rnl (arl it llla S5(S are
ncale<.:tcd as III( ~Iidin, surfa ces a rc
.tanetl from the corner poi nts. In a d d i.
lion, numerical compara live reso h~

I I I make il dcar Ihal lhe cffoct o f cover

\leplh ( F H faCiO') lin • predomina n t
~
01 . I
, _nd very siMI I}, diminishing "tT..c'.

,, ;5 J!)
.
JJ
riO. 3144B. Rcsi il ance faclOr d ia grams
of R... LLA
230

32.217. SUQUET'S theory of rock pressure. This theory of SUQVn~·n lias developed
from OMen'ationl made during thc COfIst ruction of lhe Paris UnderifOund system.The
assumplion u nderiyin& Ih .. IhC'Of)' i~ tilal Ihe rock ml$' A CBB'A ' abo...: lhe elvi ty - bordered
by fai lure rlan~ u tendina: 10 1M vound SUrflCC Ind MVJnl.1. 510pc "'hid, depends on the
~'" Ijtt Si/!JJJl1tl1tt
8·~·\""4rc=c==o--=c~.~C==-==~=-~--~7.',;:

FIG. )/ 4', rrinoeiple of SUQUH'S

(hwry

,(ren81h of the rock - will move dow nwa rd and in doin. 10 will bear 15 an ar~h on the ,p r ina-
inp AA' and HH' (HI. J{4S) ,
The §oi l a rch ii, however, e. pabk of lransmininllQ tM: Sprinllillt$ on ly I ~n of the t Olal
tcn.d proportional to ils sl ren,lh. lea~1II1 the R$I aeun, on the CI\-;t)'. ThiS exccss load is
de~rmined by (a k:u talinK from Ihe unconfined oomprtSSive 5'",nllh of tile SOI l the un it
WCllht i" w!lith dOC:!; nOt n~ull in a 10ld exceed!nl lilt: be:ar;nl ~apatily o f lhe soil. The
mllJlimum ~Ireu de-.:lopinl in the soi l mllM ii

a= 2...·
.,f 1m)
H+ T + (H+m)'
j .
II Ian T 2
The tolal loa d ,~

whi.h assumes lhe iimpl itied fo rm

. b II
p- 2"'l 2Ian " + 2 -}'
if the hei,hl M o f the ea'oity bcc~ n~KljKibly <mall in ,omparison "ilh lhe o""rbur<li, ,,
depth H . By equating the preuure obtained with lhe un-co nfirocd oompres.,,( Slrenath 0,
of I h~ soi l, the limit unit wdlhl y' can be: e ~prc5!led as

7 =
2 '-"7.'::-:- + -"2 ).
2 11n2
- 0,
. ~­
- +11
l in 2

and tn. partial pressure 10 be carrkd by l he n'ity is

P." I/()' - y' ) ,

.... Allllaln du Ponn <"I CJ,aussh. 19204. 1928 $- 6,

 THEORtES BASED ON PATI[RN ASSlIMPTIOSS

32.22. Theories Negleding Ihe Effect of Depth

The second grou p of rock pressure theories deal. essentially, with the dt:ter.
mination of loosening pressure sinCe the existence of any relation~hip between
lhe overburden depth and mountain pressure i! dcnied. A common feature of
these Iheories is the assuplion that the temporary supports, or permanent lilling
of the cavity will be acted upon only by the weight of
the stress·free body developed as a consequence of it
relualion following e:<cavation. This assumption is.
of course, incorrect. It is invalid in thc vicinity of the /
ground surface, and al small depths, but its is equally
invalid at scveral thousan d metres depth where the rock
material is in an almost plastic condilion, just as in
all cases where the quality of rock (pseudosolid rocks, , o
plastic soils) is such as to permit plastic deforml tion
10 take place on thc side walls as II consequente of A I'-...."Y Ie
orlgmal geostal!c pressure which is relieved by eJ(ca-
vation. Neither is thc theory vu lid in perfectly plastic • L .j
materials having an angle of friction equal to zero. y
These theories ass ume the de\'elopment of arehing FIG. 3/46, AnnOlalions and
shape 0( KOJOIEItELL'S
action in the rOl:k material a nd the size of the load
Jlre$$ure diagram
mass depends. according 10 one ap proach. on the
strength characteristics such li S angle of internal fric-
tion of the rock materilll and on the size of the cavity, while the other approach
attri butes It decisive ro le to the manner in which the stress distribu tion is cha nged
in the vicini ty of the cavity.

32.221. KOMMl:RUL'S theQry. The oldest and most Widely kno\\,on of these theories
is that developed by K OMMERELL, who det ermined the hcight of the loading body
from the deformlilions of the Structure 5upportmg the produced cavity. The
theory is justified by the consideration that the displa~"ement, or deHection,
of the supporting struelUre is represenlali"e of the displacement suffered by the
disturbed soil mass. As a consequence of this displacement the mountain malerial
is relaxed to a height h, \\,ohich is equal to the htight of the §(Iii column capable
of filling th is space of height e by loosening. If the ensuing specific 5ITain is denoted
by d (%). M 1001'
e_ - and Ihus h _ - (Fig. 3.46)
100 ,
where d ill the /(JQsening NH.'jfidelfl of the mountain matenal as a percentage,
ha~ing for "arious soils and rach the values gh'~n below:
'W;)
loose: granular $Oil ($an d) . . . • ,_ 3
moderatel)' co hc ~i,c soil (dry clay) 3- ,
cohesive soil (marl. IIravclly clay) ,_ 8
sort rod s (un dtlonc. limeitonc) 8_ t2
solid rncb to- IS
232 OHlkJotr""'TIO'I1 OF "' ~ R TK"'1. R()eK PRESSU RES

The supporling str ucture is req uired to carry the weight of a rock mass bou nded
by a pa ra bola, or half ellipse of height h. The equation of the ellipse would be
x~ y'
l~r+,,±= I '
and smce
lODe 4.1? ),t.5~
h _ + - I,
.5 b~ (J ClOeJ~
while the total load
llb r . b 100<
p= - y - /r= - r- (3.3~
2 Z 2 2 J
Where t he mo untain ma te rial is loose. or soft enough for lateral prc!>Sul\."S also
to be anticipated, t he curve envelopinS the loadinS body should be started fr om
the points of imersection of the extended roof line a nd the straight lines drawn
to the slope 4 5~ + 4>/2 from the lower corner points of the c ross-section . Other-
wise, the curve should be started rrom the comers of the roof of the cavity.
The theo ry of KOMM ERJ:LL should be regarded - in spite of its po pula rity -
merely as a rough approxim:::tion for the (ollowlllg reasons:
1. Loosening is possible in gra nular soils only as a result of the redistri bution
of indi vidual part icles. Loosening as such is impossible in solid rocks, when:
oilly clastic expansion upon load release ca n occu r, but this is of the order
of a few millimelres on ly.
2. The linear relat ionship assumed to exist between the deflection of the roof
beam e and the height Ir of the loadrng column could not be ve rified by
measurement and cannot be explained theoretically.
3. Neither the dimensions or material of the roof beam, nor the width of the
cavity are accounted for in the formula. Yet in evaluating the de nection.
both the dimensions and span, as well as the material of the deflected beam
are important f;lCIOrs, since the load producing a given deflection will vary
within ve ry wide limils, dcpendinJ!! on those factors.
An attempt has been made 10 partially eliminate thcS('; shortcomi ngs by
T. HAROS Y"u who ex.panded th~ fo rmula \0 take into account the deformations
of the beam itself ('I f') a nd of the b.1ekspucc (wo ~). and Ihe settlement of the invcrt.
The intensity or the uniformly distributed rock pressure is lhus:

(3.38)

where 100/0
(I ...

C - the coeffieicnt of elastic 5ubgrade of the soil under the in\·ert.

~.A H .h Cl'iY. T .: Ik:lonolaa1J1ak lCrVC7.tSe ( De$ian or concrele run nets) , MTA Os., . Kihl..
min)'fk t9,8 XXJII J 1.
 32.222. FOR(ttt'E'~ F.R. 's rock prf!uur~ IlItor),. On the basis of careful e~pe:riments. the
rod Prcs.!ou~ Ihcory of FORnUluMU."" "as de\'~lopc:d for cohesioniess, dry IIranular $Oil$
on ,he analoey of p"",su~ aClm& on II hole at Ihe bouom or a bin. rram Ihc:sc e~pc:rimcntal
r!:lulls II was concluded that the pressure aCt inc on Ihe mO\'llble bouom plale I, not ",laud
10 the hellht of the r.and column. Mnd i~ proporlio""] 10 Ihe weilht of a bod)" ",ilh a Ihed
shape: Which, in lurn. is eo,erned by lhe siu: ortlle bouom ope:nm~. Con'!lequemly, the pre,.ure
is cssenh:dly proponional to the cube of lhe diamelC~r.
The pre~~ ure on the moving Iwuom plalc is
;F' 1+2u.n9
P-
1U Ian ~
"'hieh in Ihe case of II circle IS
1'. _ , 1 + 2 Ian' . "',..
tan 4'

1+2Ian'. Ii'
p. = ,..
Ilin .p 8
" 'bile for " re.:lan&1e ..... ilh sides Q and II
1 +2Ian t .p .'~
P, - ,
ti n o,lI 4lu + b)

For a hnnllUlUlC1 SlrUClure of " 'idth h the pressure inlcnoity is, finally,

(3.m

II should be nOled here thai ST'" also found lhillheor~ ofhttlc pracllCal value"nd suiublr
mainly in slr.Iuiflcd rocks o~er adll s«:tions pd,acent to tunnel portals.

32.223. RI TTER'S t"~ry. In a J«ond IIroupor Ihcories analt~mpl is made toeslimal(

lhe hc:i,ht of the dc\eloplnl!: nalural arch ralher thRn friction alona: failure phlllCS. Mnd H)
delenniflC' thererro," lhe wel,ht of the enclmed 100000mng eon:. con§lt.len:d aJ; the load aClln,
on the tunnel.
The fil'$l to adopt this bppn. .. ch 10 llle theoretical dClermlnDtion of ,"ertical rock ll!elIl~re
was W . R,ITE .... Profaror al Rip. accordtnl to .... hom the mMlPlitudc of the vertital presw",
IN~ be rellardcd a~ lite dilT~e of lhe .. ci¥ht of material "'ilhin , tIC principally unl.:noYIQ
pf('~I"e line and the ~ertieal tOr'll1l0neniS of lenslk' (fricl ional, rorces dcwlopinll alon, II~

If the temille fon:'::$ actin& normal 10 Ihe w,ch surface are denoted by Z}', lhe ,·enical prQlC(-
o\·~r :~. ds (1'1,.3; 47). The: ....Cllhl of nlalerial withIn
lion ihcreQf the arch Icnllth dl " i ll be
IIx PK$~Url: line WIll be
=,

..", FOIlnmrt ... t .... P.: Obcr Sa nddruck .. nd 8c"'Cllun~sencheinungcn im Inneren lrocl;c·
ncn S;ande$, Zfl'u·/r,. (J I A. fl. 18112.
234 DIITER!II1NAT10,' Of VERTIC"L ROCK PRESSURES

and rhus, the roof load will be

• •
P= yfydX-rzJ
• •
T it,. differential (qual lO" is solved for the criteria" of max imu m roof load, i.e. the surface
enclosed by the curve A 8e should include the llceatesl pos.iblc "eight of material al the
shorleSt aKIt length. The equation derived from Ihis criterion is

y= C. + C,x+ C,.>:',
where the unknown constants arc 10 be determined from tile boun dary condil ions, Le. y = 0
for.r _ 0, and .r = b, and funbe. tlte criterion of a maximum is that the second derivative

I
, !p r
, 1,1' L
If
~
,
,,
FlO. 3/47. Assumptions FlO. 3/48. Ann otations and
in R .. nu,' s theory "pssumpl ions of PROTOIW" U )NOV'S theory

I
of the curve should be y" = _ . Subst ituti ng accord ingly. the equation of Ih.emcridian se<: li on
2,.
of IOC a rch is o btained as
<
y = 4:(b x),

wh i~h describes a vert,c~ 1 pa rabo la wIth its apex at B. lhe grel1est height Dr 1he arc h is at
the midpoint .' ''' b/2 aDd has 1he yalue
h __b'
16z .
The intensity of the roof load is

", - z)
P,", )'b( b' (3 .40)
In spite of the considerable mathema tical appara tus used in its de~clopmcnt, the tbeory has
not been corroborated in practice. The theory "Us, Itowcl-er. completed by lery valuable
research into tile most ",.h" ant a&Cou~ Jlta ~ of tM crm ... ~tion. ror which In d l ill.e was
5ulJeStcd"" when: the square ral io of the mirlor and major axis equ ab Karl\:i rl e's laleral
p,""un: coetrociefll :
b' _ tan'l43 ",/2)
"'
(d. Seclion 22.22 and hi. 2,48).

32.224 . PROTOIlYAKONOV'l' theory. This is similarl)' founded on th e detcrmi nution

of nat ura l arching m the rock. The theory. which has gain~ wider popularity in
prac tice following favourable uperiences in Soviet tunnel a nd unde rground con-
struction, is very useful within certai n limits. In ucveJoping his theory for gran-
ula r ma terials, I' KOTODYAKONOV assumed the de" elopment of a n arch above
the ca~ity of wh ich the equi librium is no t ensured. unless the stresses alo n8 the
line ACO (Fig. 3/48) arc purely compressive and are not associated with bend ing.
The areh produ~d under this assum ption will follow a parabolie line wi th good
ap proximatIon. The fo rces :leling o n any section DO of the arch are :
(a) the horizontal resultant T of reactio ns acting from the right at the crow n 0 ;
(b) Ihe resultant px of vertical pressures;
(c) the tnngential reac tion R' at point D of forces acting from th e lef! on the
lowe r half of the arch.

Taking the moments about D we ha\'e

px' p.r:~ T
M~= - TY+T- O; - ,- - y.

AI the springi ng A , pressure is exerted by th e r~uJtant R which can be re solved

mlO II \ertical component V and a ho ri zoOlaJ o'le H . T he venical component
dcpresses the arch to the supports, while the horizontal one tends to d isplace it .
The si re ngth of the na tu ral load-bearin g arch can be derived from Ihe condit io n
lhut any displacement by thc horiwnta l foru "" is prevented by the frictio n a l
resistance developing in the plane A - B under ve rtical pressure.
Wi th sym bols: N _ VI. where v. p ~ • and/, the coefficient of interna l fric-

tIon - Ian </J.

An add iti onal safety rescn'c against displacemen t IS provided by the s hear
me~ses T mobilized in the la tcroll rock masses. T hus

U' HOIIV.i..TH, J .: K6zeln yomhi dl1ll!lelek ( Rock pressure th eories). Bdn)u.zil'; L opok
t 9S~ Few.
Substituting Ihe corresponding boundary values x "" b12. Y = It and T _ N,
into the general equation of the parabola, relall~e to point D I~e have

h'
P2X'4= l
P 2h f - rh h. 1
whence

Height h of Ihe arch is dedl'ed from the condition tha t ill ~ associa ted with the
maximum \'lIlue of shearing resistance f . The ab()\'e expression is therefore d ifftf-
enl131ed with respect to II
b
d, - -fit
h 2
-
dh
~p
2 . ,- - 0.
whence
h=..!!....= b (3.41)
2/2Inn¢
Substit uting Ihis "alue into the expression for r .....e obtain

and inserting this into the bou ndary condition

after subStitution the equation of the parabola becomes

2x'
)' '" bl . (3.42)

The load acting on tbe tunnel is, Ihus. Ihe weight of the rock masses confined
within the parabola; tbose lying outside this hoe beIng Iransmined byarchin!
action . The area of t he parabola is
2
F "'" bIJ.
3
and Ihe IO:ld per uni t length is

p - 7S -
lind substitutin g Ihe value
h D
2 tan tP
we have
1 b!
f' = - , -
3 tan¢'

which, when transformed to specific pressure I IP - b) .shows a certain

JI Y tan f
resemblance 10 the simple formu la of TERZAGIU for great depths (see Eq. 3.32b).
His theory '.\0"35 tes ted by model e~pcr iments, which re~'ealcd that. with the
exccption of small overburdcn depths. pressu res are nOt affected by the dept h at
whieh the tunnet is located. These experiments Involved gr.mu lar materials, but
the theory was a pplied to cohesivc soils liS well by using an appropriale value for
the cocffic:icnt f ( 10 which he refcrred as strength coc:t1iClent). In coheshe soils

f _ tan ¢ + -' . whercas .In rocks f=" , y, here (1~ is the unconfined com·
tfc 100
ressi\'e strength and tf~ is the cube strength of the rock. Empirical values '.\ocrt
collected and eom pilt:d for various soi ls in Ta ble 3tv !!.
When selecting the ... alue for the strength coefficient, the condilion as ",'ell as
the type of nx;k must a lso be laken into considera tion.
The theory of I' ROTOOV"IWNOV hilS been found to yield satisfa!;tory resu lts at
deplhs frOIll - ~ IO ~ .I. in Soviel practice (Volkov). Satisfactory resulu
2 ran ¢ Ian 'I'
were o htamcd, although rather on the consen'at;\'e side, in Ihe construction of
the Budapest Underground, as '.\ocll. The two main objections which can be
raised are :

1. The height of the load<arr),ing arch, as obtained by the formula, varies as

u. li near fuo!;tion of width, although actually this relatIOnship should be
much more in\'ol\cd.
2. The tabula ted dcterminatio n of stre ngth coefficients is inaccura te and may,
in mnny instances, be seltttcd a rbitrarily within \cry wide limits.

In Soviet practice the principles observed when dete rmining rock pressu ....'S
may be !)ummarized as :

(a) The basic assum ption underlying any computation of rock load is the
dcvelopment of a load.carr)ing arch ",hich wi11l1lways de\'elop abo\'e the
tunnel. Within t his arch a loosening tfr.!gmen ta tion. plnsti!; deformaTion)
will taLc place and the tunnel supports ha\e to be dimenSIoned to resl5I
the weight of 1his loosened rock mass (Seellon 3.9 1- 3.92).
(b) Where the underground structure is built in loose sedimentary rocks where
t:ln tP < 0'11(1/1 < 40) and the o\'erbu rden depth is less thnn 2·58, i.e.
JI < 2'5jb + 2m tan (45 - 41/2»). the struct ure musl be designed 10 carry
the full gcostlltic pressure C3lcu lated al the full depth below the termin .
 T ... IILI JjVIJ

...
c•••· " • ..-,1"" of,,,,,k {..,m T ua". . c;,I"
(lJ,m ']

-,------
Solid, dcn!ie quanlilc, basall and
other 50Iid rods or ~x~ptionally
I 2Il00
3000 "
high strength
II V~ry hi~h Solid, ~ramle, qUQrI~pOrphyr, silica 2600-2700
shale. IIl ahly resis"ve sandstoocs
a rod limo:~tones
"'00
"'
III HiJh Gnmite and alile. Vcry resistivc 2S00-2600 1000 10
51 nd- and limestones. Quartz.
Solid con,lomeratel,
lila IIi &/! Limestone. " -ealhercd granile. 2SOO 800 ,
Solid undstonc. mprblc. P)rilC~,
Modcralcly
Sironl!
Normal sandstone 2400 ,
IVa Moderately
st rona
Sandstone ~hHles 2lOO '00 ,
v Medium Oay-!hales. Sand· wnd limestolltS
0( smaller r(:!l;starooc. Loose
2400 2800 •
oonglomeraln
Va Medium V,uious shales and sla t~, 2400-2600 lOO )
~nK marls.

VI Mod er .u~ly L~ ~hllie I nd ''Cry loose lime- 2200- 2600 200- 150 ,
1- I;lonc, ,ypsum .froun JIl'ound.Com-
mon marl. R1()(:k y $IndSl0ne, ~_
menled gta\'cl 80d boulders, stoney
around
Via Mooel'1ltely
l oo~
Gravelly IIround. "Iocky and fis·
sured shale, compressed boulders
1-'
and luve!. hard clay.
VII Loose Deose clay. Cohcsh-e ballast. 2000-2.200
"
Oayey Jround.
.,
.,
VII. Loose l.offie loam, l.xu, ,rflYd, 1800-2000
VIII Soils Soil .... ith vcgl:ulhon. put. 1600- 1800
50ft loam .....n sand.
IX Granula r
soils
Sand. fine &I'>I\el. upliU 1400-1 (,()() .,
x Silty arou nd, m()dified loess Ilnd
other SQ;I$ in liquid condilion
 THEORIES BASED 0:- PAnERN ASSU!otPTIONS 239

(c) In soils composed of various layers of adequate thickness the physical prop-
erties of the layer immediately above Ihe tunnel onl)' must be laken into
consideralion, Ihe developme nt of Ihe stress-free body being no lo nge r
alf~ted by subsequent layers. Thei r load·inereasing effect may be laken
into aeeounl in the d i~tr i bu[ion of assumed stresses.
Cd) In the ca~e of lunnels built in clay under the groundwater [able, swelli ng of
rhe clay must be anticipated. The effect of swelling may be taken as equiva-
lent to the weight of a soil column e"tcndin~ up to the groundwater ta ble.
32.225. ENGESSE R'S theory. Ard a~ljurl on Ibe analogy of a !-erie! of "'3'onr}' arches
is alf;lin Ihe principle un tlerl}inllthe theor)' developed f~r rock loads by ESGESSEM.'·'· who
considered cohesi~nl ess roc k massn of infinite eXlension below a horizontal plane in his
investi gations (F ig. 3/49).

~
, " "
,
~
~
~~~~
, . 1 B

I
,
FtO. 3/49. Ass umption s for
EN<.i~SSE~·S roof pressu re
lheor),

,
FIG . 3nO. Arching in the
cra~ked rock layer above the
L
cavity (ENGESSElt)

For dcterminins the minimum spe.;ific pressure EhG[5S,R arbilrarily 3,"umed this to OCC Llr
"hen the anslc "included between the end tan sent of the load·urtyinac arch and tile hori-
lonlal ~qLlal. til<;, angle of imernal friction ¢> of 1M rock, With this assumption is he obta;n-
inll tt.c horizontal thru st of the 3ssumed th",~ hinged arch element of tnc risc of

•
1=2" - t3n';

b"Ol/
'f
= h'
2j
I'I-!!..)h dh = -'-
lan¢
Iy -!!..)
h
dh

.... HOI(VATH. J.: K6zetnyomlisi dmtlcteK ( Rock. preuure theories). 8a~J"dsz(l1i Lapok
19S4 Febr.
2" DETElJol INATIO' Of ~"E lT I CAL ROC': PI 155UlfS

and conscqucnlly Ihe \crlical resistance

p=l•. dp._ II rl'-~) 'ln'(45.- ';2).

Ian ~ "

h. b. tan'(4S - .p12) Ian .p]

p_:z [ -V;:-" .., <P + ". lan'(4ST,::O.C:,",C + b· 6 2,.
T he full load on the plane .'18. incl uding l he "l:illht o f th~ circle IiCllme'll. is

l' - b' ( h 11'1'(45 ' - +11) U.n <II}

__ 4 ), -2hlan++hlan'(4S"--'C,'
''' + 6 '
o r al a "tat depth and if!be Inak: is ItO! uc~ui'cl)' small

I
l' = 4/1';' lan' (4S -

Le. the PJ'e$S\lfe be<:ome~ independent of okplh .

9.'2) ·
colln.
2 -- + Ian "]
6 '
(l. 4 la)

f o r l he de lerm;t"uion of lhe I n ni~L lunllCnt ~"1I1o: V lhoe as.,umpl,oll of R lnl~"UI,u;R may

hi! RIX"l'te,I. Le, lite roof pres.'lIre mu~t he a minimum Ind thence

• - an: Ian h i ) ·lII.n (4S - ~/2)J .

Wil h lhallhc weight of (he roc k m8S~ Jyinl! belw...," I~e lo,,'e,j a rch and Ih., roof "ill gct the
'-aloe
lb' . i'
- 1\ln(45 1>12)

aOO (I\c Imal pffiSUU on the roof "

.ell'. "
p_
,,
_ -=-:"C·lln (4~ - 4> '2). (.l.43b)

Thc t heorct ical n:~ uh~ were ch«kcd apinsl upcrincntal ones. E "'O!:SSUI u,.,d sa n dy 50il
ror ttw:se npt:mnems and o~rvcd fa ir all~men t pru.,ded II 2!: j·Sb. For ~m.ll dep thS the re
appeared to be a discrep. nC)· beN~" actual condit ion. andlhosc obtai ned by lheo~tkR I
"kul alion.
Furl her, in eaKS when: excavation Is ca rried o ul wilh lhe help of bll<ln'll, he poi n led 10
Ihe nee ....."ly for I ~ kinll the IlJQsclIJnIl efreel M Ih" laHer imo accOunt. rOt t ~is pur pose Ihe
"idlh 8 of lhe ranae effected by I"" blul should be 5lIbltitutcU into the formula inste" d u f
the widt h b of I"" tunnel (F ia:. 3/ 50). The heilhl X of the fntclUrcd rock ITUIleriallS, ho" .. ve r .
in lC'ncflll unkno ...·n and all appro~imale method ""lOS de"eloped to obtain il. A Sl um in il
that lbe lanaen l of the paraboliC lao>encd 0001: " '1 11 ioclude ao anile equal 10 the anale ~
of inlernal friction bclwttn tlte UtOl:!Ile point A and the horizontal sc-cant of the pllrabola,
the lutlf.lenBth AD of lhe chord can be up~d from the t nallsle ADC in terms of the load
p,arabola as
CD _ _ _ _ + _+x
'" b
Ian., 1. lan(4~ + ';:2)

x~ rIan"', - ~J tan(4S + 4>12)-m.

~

,,' B _ 1(", + x) lan(4~ _ , /2) +b.

 TIIEORIES BASED ON PATTERN AS;UYlpnO~S 241

FlO. 3/SI. Upbreak of the roof in ,

analogy with a three-hinged arch
(SZEcIlY) ~·tI
.'Im'.iIIf (lIPhrwt)
fJ.,;(,·rkil rnJ;

F IG. 3/S2. D<:{ermin a{iIHl of th~ assum a ble

10000tion of la{eral plaslic hinges

Roof load is thus due tn !he combined effect of {he rock shattered by blast ina below line
AD. and above b}' that bounded by the parabola ;

p '"' X)' + Br tan (45

[
,
- ¢12)
cotan <p
2
tan <p
+ -,- . I (3.44)

32.226, SZl:CHY'S theory, The height of lhe e~po:ctable LJpbrcak and hence lhe shape
and weiaht of lhe rock ",as.~ load,ng upnn 1he tunnel lining werC determined somewhat mo re
euctly by SztCllr'" on the basis of a "atical analoll)'. His ba~ic assumption is Ihal il is
the {en.ite stll'nglh of the roct.:: itself which will terminate the upbrea~ above a rc.;langul a r
"",·ity. The developing girder-form in the rock "ill be a three·hinged arch ( Fig. 3151) subject
mainly to compression .tres",s. The IwO lowu hinjl:~ may be assumed sidewa rd~ from Ihe
('lI"iW in tile Cenlre of ,ravily of the addi l ional Slress area at roof Icvclll'~uhi n g from ,I,.,
redistributiun ofslresseS (F ig. 3/52. after W 'LLMANN; cf. FiR. 3/27), whe<ca, the upper plastic
hinge will develo p in the U'ntre line at a h~illh1 where the "trt~!.CS set up by the ovcrbridgin!,t
action will no lonjl:r exceed the stll'ngth of tlH: roct.:: material. The mumal ~ upport between
IIH: two hal f arches established in this central hinge will tran,mil compression '{res ...... and
becau~ of th~ <elativdy high C<Jmpre:ssiun sl<enR,h of aU rock materials i" location will nOI
be defined by th<:~. but by the tensile slresse •. Fur tlH: determination of tIKs<:, Suell Yassumes
that the roct.:: mass o"crbridgin8 the cavity roof act~ as a Quadrangular disc-like beam. II is

...., Sed"tl\', K.; Angenahcne Bcstimmung des Gcbirgsdruckes auf Grund ein~r 'la ' i~che n
Analogie, 1''0('. '1/1. COl'! Soil Me~h . 1963. IJ",Japest JlI.
SZkHY. c: Appro~imate D<:lerminaliun of Rock Pressure on the Da.is of a Statical
Analogy. 1m. Symposium 011 Ro~k M<,~hQniu Li5bon 1966, Ikillradc 1970.
242 OrUII}!ISAllON Of V[lIneAL ROC'K PRESSURUi

known from the: the:ory developed by DISCH INOU. LIt that beyond a cenain ratio of girder
depth (d) versus SPlin (wilen {. ~ 1) any further ;nerel>e of the depth d<)e$ nOt aff«! the
d i,tribution and magnitude of inn<: r strnset. Therdorl: it is justifiable to 1I ~.umc an inner
511l:SS distribution as shown in I-' a_ 3; 53 in dleu! in, I he flo .... of comprl:ssion stresse:< above a nu
thai of tensile 'tn:5SC, N low the neutral axis. eonslderi~1I lhal in a homolC~ous solid rock
mass no chan., is to be expeclcd eitber in the ,t renph pro~rl ir:s, or in loadina. The only
factor which leads 10 a ,rIldual decrea!iO:- of inner ItreSICS is the d~ of effecl;.-" s p;on due
10 pro&:reu;'" archin,. Let us denote lhe mea.ure of Ihii span diminut ion by the factor ..
(wbere .. < I).

F,G. 3153. Inner Slress-di$trlbt! t;on in FtO. 3114. Assumable rod. pressure dia¥fllm
the di"::oNam ba~ on Ihe 51alintl analotJ,Y (SztCII Y)

The assumed strc:~~ diulITllm in the unknown limit hcil~t It will determine t~e location of the
li~ of aelion as Iyina in t~e centre o f II01Vily C of in~ enmpr~s~ion Slresst'S N and defined
actually by lhe condilion Ihal t~e m:u;imum ttRSl1e "rus at the bonom of Ih .. cr"i.'-seclion
should M uaetly C<lUlI to lhe lensile $tn: nalh of t he rock malerial.
The location o f lhe I.. " bollOm hinge, may be a$&Umtd. as Tnenliono:d. It lhe l i~ of action
of ,u~rimposed ~·enkal Slreun. The e... en~iQn (b') t:A I~is Mre.s mne .. ,II dcpeml upon
the claslie and/ or plastic propert ics or the roc k material and may N ClCprnscd. afl~~ WIl.L-
"''''''''. as a rU""'hon of lhe ..·idlh (b. ) o f the CI"ity as b ... {Jb. and its inlensily ..ill decrease
a«ordinl lo a parabo!Ic law (see Fig. 3/52).
Considerin&: Ihal in the undisturbe d zo~ , i.e. above the ~eighl of the loo<;cncd rock mass.
(It') Ihe aClin~ pressun:: may be pUI equal to Ihe O"erburden weiahl, i.e. to the IICOilalic pn:s-
lure p ... t . )1. ( .. ith I lhe o"crbur<kn Iw:ill~t and )I I ~ specific '''''iIY of Ihe rock mass).
In t~e uslIll\(d Ihr«-h inllCd a""h lhe I><.or""n tal re.CI·"n al the em .. n may be ~in"d ,,~

and accordinl 10 Fill- ) ,$2

",---
p. b'
SA-
•
" --- p. 1>'
' H,
(3.45)

b = b.<1 + {J1 2) (3.46)

..... DW::HIS(;"~ ,
1-".: Hcllrag zur Tlw:oric Ikr Hal bsclw:ibe und des w.ndarligen Trige.,.
Abluzndl. dtr I. V. 8 . If. Zurich 1<;In.
 THEOIttES BASlO 0:<1 !'ATTU" A5!UloIpnOM 243

repmtnling Ihe assumed splIn of the Ihrec-hi n&'t'd arch. The faclor P is depending on the
eJllen~ion and di~tribll(ion la .... of laterally $uperlmposed s:rtSStS and Iccordinl 10 WI LLMANN
may express I"" rdallve lalcral cxlension \U wdl B.' il "ill be inv~r~ly prlOp(!rl ,onBI to Ihe
n:lali~"C ,ncrease of the ~uperi mposed pea k "rdi".le p' .cting in I"" pl ane o f the cavity-wall
(d. Fill. -'lH).
hs value was 11I~~n by WllUlM<I:<I bel"ttn 1/2 lind 1/3 For plaSI,," roo;k$ an'" bel~n 2 and
J for rilli .... d~ Slic roeks.!! may be eXprt.se"', howe~er. In function lOf the geometrical dime n-
sions 0( lhe cavi ty and of the lens,le - respectively cempr"';,i'·e - stren.th of Ihe rock
material u II folllWo's..
Exprcnin, H , ~§ Ihc resultant of Ihe inDer tens,le st rtSl-t$ in the di",-bea", accordlna 10
Fig. 3/ 53, we IItl

II , -

$ubstitul inl Ihis inlo Fq . (3.4S ) we act

", .4J•. ~
J - ,
o.·o-... · ~.b.

II' = (3.47a )

"hll '" le" .. I" ~tr<:n,'h. and .. the ....a""I;on faciO<" of riI"<'CIi,,, ~j'II/In as refelTC"d 10 above.
Wi th 2 _ 0-5 the rise (11" ) of the thr"_hinl¢d .",h be ",II

whic h form ula is clearly indicating thallhe bill~r Ihe :ensile strength (0,) of lhe rock , the
smaller lhe heillht of the loosened masJ . In add ition ... e mIIy Use for the delerminalion of {J
the eq ...... lity of 1M .",n kal compmlC nts of l~tcral react.on.... ilh the area of 5U~rimposed
pressures at t he ~prin.ml-<. i.e. (cr. Fi •. 3l~2).

p." p' I,.

V. = """""2"" - -,- (3 .48)
and wilh
p' . o<_P. _o<_p_h' · , and as " ' =} · b. and b - b.( I +{J/2)

we Itt frlOm I:q . (3.48)

and thence

and su b$lll uti ng Eq. (3. 47b) for II' we lIet furthe r

and soh'inl this C(]u~tion for tJ .. e I¢t tM follO"A';ng cubical C(]uation

(3.<19)
244 DETERMI NATION OF LATERAL PRESSUHS ON TUI>MLS

This is clearly indicating (he innuence of overburden depth (I) of specific 8ravily (y) of span
(b.) ~nd lhe co rnpr~s<ion strength (0,) res!'. tensile sirenllih (0,) of r.xk on lhe maanilude
of,~ and thus upon the hcillht of the loosened rock mus (h').
This hdghllr' may be dClcrn,ined in lurn from Eq (3.47). "hcnsubsliluling inlo it the
iJ·val ue ""jned from Eq. (3.49).
The loading figure may be plaued now quite easily, when usuming lhal its boundaries
..... iII coincide with the connecting lines of Ihe assumed hinges and thus will perform a ITinngle
(Fig. 31'4).

3.3 DETERMINATION OF LATERA L PR F..5SURES ON TUNNEL....

Although the analysis of loads a~ling on tunr.cls is concerned mainly with t he
vertical or roof pressures, Ihe magniwde of la teral pressures is not less significant
for the structural dimensioning of section~. In fact, as demonstrated during th e
detailed discussion on genuine mountain pressures, the side walls of the cavity
excavated are the first to fail owing to the less favourable structural conditions
developing in the rock there. In some instances lateral preSSI.ITe may therefo re
playa more important ro le than the roof load. Also its theore ti.;-al estim ation
i§ more involved than Ihat of the latter, since its magniwde is even more d fectt:t1
by the extent of deformations of the section, so that it~ value de~n d s increasi n gly
on the strength of lateral support- besides the properties of the rock and dimensions
of the cavity. Lateral pressures arc also much more aITected by lalent resid ual
geological stresses introduced into the rock mass du ring its geological history
which are released upon excavation and whose magnitude depends Oil the defor-
mation suffered by, and the elasticity of. the rod, bUI it is unpredictable. Genuine
mountain preSSl.lre and swelling prt:ssun: which cannot be evaluated numerica lly
may a,,'t in full on the side Willis.

3.3 t . APP ROXtMATE OET ERMJIIIA Tt ON Of L ATERAL PRESSURES

Lateral pressures in soils are determined approximately from earth pressure

theory, as a product of gcostatic pressure, or roof load and the earth pressure
coefficient, respect ively in terms of the lateral strain. ( It shol.lld be noted that on
some oe<:asions th e lateral thrust actually observed was grealer Ihan anticipated
on the basis of geostatic pres~ure).
Lateral pressures are, according to STI:>:t, in contrast to roof loads, in a lint:ar
relation,~hip with overburden depth. This has been proved also by n:cenl modd
teSts and in situ stress measurements in the Donnerbuhl tunnel in Bern (ef. Sec~
tion 3.33).
At greater depths pressures on the springing!> are usually higher than on the
roof. bUi at the sa Ole time frictional re.istance is also higher. Again. the effect
of goostatic pressure on lateral thrust is kss di,lurbed by stratification than in
the case of roof loads?'~~
,.,., NOT~. As a n example, TS1MBARVEVlTCH suggests til< delermilllltion of the I"leral
pressure for each layer separately by redudng the yertical pressure computed from the thick-
ness lind unit "'e'!lht or tile laye" abo,c the cavity by RAKKt"'E'S coeffi.ient.
 A'I'ttOXINAn DETU-',II'IIATIOS o r LAElAL P~f.SSU~f.S 245

Lateral pressures compiled according to practical experience are given in Table

li i.
As may be noted from thc table, lateral pressu res ran ge from one-fo urth to
one-third of the roof pressu re. Latent geological stresses in t he rock may radically
alter thiS ratio. Thus, e.g. lateral pressures three ti mes as high as the roofload were
actually obse rvcd in onc of the tunnels at Hoo\'er dam.
According to TERZAGIII, II rough estimate of la teral pressu re is gi\'en by th e fo l-
lowmg fo rmu la :
p~ = 0, 3)' (O'SIII + lip),

(cf, Fig. 3.25), where lip is the height of the looseni ng core representing the roof
load : in granular soils lilld rock de bris, 011 the basis of Rankine's ratio
P. ,. yH tan Z (45 0 _ 9/ 2),

unu IilUlll y, in solid rocks, relying on Poisson's ra tio

p
p~ = P. · (3.50)
I - /1

Acco rd ing to Soviet practice, and the design code developed for the Budapest
Unde rground Railway lateral pressures should be assum ed in a linea r distributi o n
and should be based on the \-ertical pressu re estimated by one of the roc k pressure
theories instead o f on geostatie pfCssure. The parahoolie distribut ion shown in
Fig. 3/ 55 should be assumed for the vertical pressure ha\ing a peak ordma le cor-
responding to the cstimuled roo f load. If the pressure ordinate of the pa ra bola
on the vertical erected at the side of the cavity is h~1 _ Pt. then the luteral prl.:~sun::
intensi ty at roof level will be
e, _ Pllan~ (45 0 - 4J/2) - 2c tlln (45' - tP/2).
and a t inven le"el

"2 - (p, + Ill y) tan: (45 0 - 4J/2) - 2c ta n (4 5~ - ~/2). (3.51)

FIG , 3/jj. Usual as~u",pllOn of

preS5U~S ac,;ni upon a tunnel
!IeC,ion
 onE'/oI I"'ATIO~ OF LATUAL 'RWUI ES ON TU,,"N£U

O""ing to the favourable effect of lateral pressure on bending moments arisi ng

in the section. cohesion which tends to reduce the magn itudc of this pressure must
not be neglecled in the intc rest of safety.
The magnitude of lateral prt:ii:>u re is delermined also by ENG[SS[ R, using ea rt h
pressure theory, simpl y by mul tiplyi ng the roof load es timltled for fissu red roc k
(d. Section 23.225) by Rank ille's coefficient.
Adoplin g:'l n approach sim ilar to thnl of ENGI:SSEit, PROTODYA IWNOV assum ed a
loading parabola of increaSo!d wi dth over a roof pla ne extended by the rupture
plones of p.1ssive eanh pressure and adhe red to Ra nline's ratio. Accordingly, thc
full lateral thrust actmg on the side wall of heigh t m of th e cavity is

E _ 1II1 Ian2(45° _ 'fl/2) 1

.
2 - [b .....
3tontjl
IN tan (45 ml
- ./2)] + ,- .

As will be percciH'd, the lat eral pressure coemciellts involved in the above
formu lae are either
. l _ -- .'
I - /1
. or ;' _ tan145 - ,;/2). The value 01 ;. has been
observed to depend no t only on Poisson's number but 0150 on the geological
formati on. Thus, e.g. it has been definitely established tha t la teral press ures in
a tunnel unde r the bo ttom ofa valley differ from those in tunnels unde r mountai n
ri dges, inasmuch as the value of ;. is appreciably high er under a valley botto m
than under a mount ain ridge. EspecialJy high values a re likely 10 occu r where
the vall ey Sides arc steep. La bor:lIory e)t perimcms and tests are nOI very suitable:
(or obtaining informu tio n on ;., since l-l AIIIII, fo r e)tIHnple, reported £ values deter-
mined in the labortttory by the conven tional compre5sion test which were fi ve
times as high as those oblai ned by tile III $itu compression test. In view of all
these uncertai nti es, TU.ZAG Hr recommended. for insta nce, the ado ptio n for a
particular rock formation ofa range of ;. vlllues rather than a si ngle figu re. The sec-
ti ons must then bedimensioned for t he eritil.'U1 loads de termined by thc limit va lues
of tile range.
According to the inves tigations and e)tperiments of Loos and BRETlI. the dis-
tri buti on of late ral pressures between ground surface a nd bottom lc vc l is fo llo wing
more a parabolic, than a hydrOSlatic-triungular law. The magnitude of its resu l-
ta nt is rema ining. however. that co rresponding to the classical ea rth· prc:ss urcs-
theory (Fig. 3/ 56). This is du e to ar(.· hing effects between th e assumed rupture
planes A, Dland A,. DI similar to the si tuati on in the formation o f shoring pres-
sure,.
Consequen tly, the result a nt pressure will be

.. (j, + 1>1)'
t il = I •• ' i' 2 (3. ,52a)

and its line of action is in the middle of the stretl'h tI , ' C!. Anyway only the part
E1 (defined by the heigh t m) will be acting from that upon the side wa lls. This is
 EXACT D£TUIol 1NAT10S O' LATEIIAl. 1'r.£SSUr.ES 247

to be expressed as part (n) of the total pressure E .. i.e.

and its line of action is defined by the location of th~ ~entre of gravity of the para-
bolic Ilro:n. T he effect of \·ertical pressu res may be taken into aIXount as the co n-
sequence of a surface load 17, _ P: .. q in th~ form of all equivalent height
" ... q/y.

I
-, 8
~ "

.1
8.
,
J ,?, :I/.j
",
,

·1
FlO. 3/'6. l>I:l~nnlnalion of ho ri ,.onlal
pressu re!; accordin a 10 Loos and BIIETH
"" ,~
According to COULOME'S earth. pressure theo ry t.le pari of the pressure produced
'.
by th i, $urfllce Iwd may be gi ven as

£ 2" ~
21 ·;'.'1· (". + m)! - 2
).•. , .<Ir! - /11
2) = )·.. ·7·".·m (J.S2b)

a nd the lo \ul lateral pressure as

E _ E[ + £2 (cf. Fig. 3.56).

3.JZ. EXACT I)I;.- n : HM t /'loAT ION OF LATERAL rR ESSU RES

For a more exact determination of latcrul pressure, latent stresses and the passive
resistance mobilized by deformation and lateral outwa rd displacement of the
section are taken into account, as well liS the pressure which IlCts as an aClive
fo~ . This pro blem is of great signifk'1tnce for improving the economy of tunnel
design, and has rttently been Investigated theoretically, mainly by Soviet authors
(ZURAlKlv- lJoUGA YEV .... DAvIOOv ; see ~I ions 42.13 to 4.33). The width of the
tunnel section tends. in general. to increase under the vertical loads, and th is
movement is resisted by the laleral rock masses. la the majority of cases tile active
pressure at the elttrad05 is insufficient a nd the b teral mas§(:S are bro ught from
an active into II. passive stress condition. The actual magnitude of this resistullce
cannot be de termined, unless the d is placements are known. The theories develo ped
in ~'Qllncction with this problem will, the re rore. be treated in more detail in the
chupter on design calcululions (ef. Sections 42.1 3 and 4.33) .
248 D ETE M!>l ISATION OF LATERAL PRES$URf.S ON TUN" ELS

3.J3. EX PERIMENTAL DETER~UNATIOX AND IN SITU MEASl:REMENT

OF LATERAL PRESSU RES

During the recent const ruct ion of a la rge diameter shield-driven tunnel in Be rn
(Switzerland ), laboralOry and in situ measu rements have proved thai if local condi-
tions do not admit sufficient displacement and looseni ng (e.g. in case of s hield
tunnelling) which should be required for the mobilization of the soirs shear
strength , horizontal pressures must be derived rat her form the overburden weight
(geoslatie pressure) than from Ihe rock pressLire acting at crown level. Thus il
may be written afte r BONNARD fo r Ph
p~_ H. y .).• _ 2c ';;:"
with H denoting Ihe tO tal overbu rden depth. In commenting 80N"'ARD'S experi-
ments, HOUSKA suggested that owing to the restricted displacement possibilities
a "local failure" may be assumed in the surro und ing soil-mass and the shear-

FlO. 31 ~7. Lateral pressure

-.L __ _ delerminatiu" afl"r HOUSKA

strength compo nents should be considered - in conrormity with Te R ZAGH 1 '~

bearing capacity theory - only with 2/3 of their va lue, i.e. the soil-physical va lues
or~' _ 2/3 ~ and c' = 2j3c sho uld be used.
In this way the vertica l rock pressure may be calculated after TERZAGHt accord-
ing to Eq. (3.36) with the reduced ~' and c' values and a diffe rence of
, , b/2
(f = (I1 · y - Pe)T'

may pc assumed as acting at crown level on thc to p of the slid ing lateral earth-
wedges (~e Fig. 3/57).
Th us, the horizon.tal pressure at any depth z bclowcrown level may be gained as
q~ = h ... [A H + z) + q'j).~ - 2e' J).~ (3.53)

wit h d' = m12· j)!,,+ }f . .j.t~ strip width of the superimposed ve rtical pres-
sure q' upon the lateral sliding wedges. When calculating pressures - both
vertical and horizontal - after this method, they were in much better agreeme nt
with the measured vlIlues exceeding slightly TERZAGHI'S vertical pressures (Eq.
3.36), but very considerably the lateral pressures as calcu lated afte r Eq. (3.5 1).
 ".
3.4. BOTTOM I'RESSURES

Bottom pressures should be essentially the counterparts of roof loads. i.e.

reactIons. acting on the tunne l section from below if the IUnne] sec_tion is n clo~
one having an in~erl arch. A certain part of this load is, however. carried b) lilt
surrounding rock masses, so thai this situation docs nol occur c\cn in the case
of closed sections, and bollom pressures have usually been found to be smaller
than roof loads. TrRZAGlI1 quoted empirical evidence mdicating that bottom pres-
sures are approximately one-half :lOd lateral th rusts one-third of the roof IOlld
intensil)'. T his is due nO I o nly 10 the fact that pu~ssures IICling on the roof bccomt
more uniformly d istribu ted with increasi ng depth in the interior of the rod: " lid
their inlensity is thu5 proportionately reduced, but abo to the fact thul the \\'eig~1
of o~erl ying moun tain masses tends [0 Increase roof loads but ~as an opvosi1c
effect on bottom pressures. In the cuse of sections open at the bottom, i.e. having
no in\cTI arch, pressures of different intensity develop under the side walls und
under the unsupported bottom surface. The pressures urising under the solid
side walls must be compured with the 1<Xld-bearingcapaclty,or uhimnte strength
of the soil, but do not otherwise affect the dtsign of the tunnel. The magnitIJdc
of rock pressure acting upl'iard 10wurds thc interior of the open tunnel section is,
however. unquestiona bly affected by these pressures (cf. the theory of TSlMUARv&
vITell). The development, distribution and magnitude of bottom pressures are
greatly influenced by Ihe method of constru(;ti()11 adopted , i.e. by the sequence in
which various structu res lind components of the tunnel are completed (cf. Figs
3/29 and 3/77).
Genuine mountain pressu re and swelling pressures act in a manne r similar
to lllteral pressures on the bonom of the tunnel as well. In practice the problen:
of h(iltom pressures is usually e ncountered in loose soils and especially in plastIC,
5alUratcd clays. The rock lit the bonom of the open tunnel section is ex posed
to no pressure from above. white al a slight distance therefrom Ihe load t ran~
ferred in the plane of the bottom is the same as that acting on the side wall~
As long all the side walls consist of solid rock this load is transferred with its full
magnitude to the rock at the bottom which acts as a lower suppon. In cuses,
howeve r. where the sides of the cavity arc not strong enough to prevent the devel-
opment of IRteral pressures II10ng them, only a pan of the original pressure \li1l
be: transmitted to the rock li t the level of Ihe bottom, the remainder being dissi-
pated by the deformation work of ]alem l pressure.
The pressure transmitted to the rock at the bottont IS natuTIllly propagated
further and since the rock disp]IIYs a certain strength (friction lind perhaps cohe·
sion as well) the area o\'er which Ihe prt:ssure IS distributed becomes bigger with
mcreasing depth. The extent or propagation can be described here again by a
curve. Consequently. t he rock unde r the bonom of a n open lunnel section is
pressure-free to a cerlain depth, I.e. it will be: subjected 10 the load due to tlte
weight of overlying rock o nl y. A pfC$su re-free core hllving the shape of an invened
arc:h wilt thus de"eJop under I~e bouom as well, SImilar to the retie~'ed core
250 BOTTOM PHSSl' lE$

above the roof (cf. Figs 3/28 and 3/29), The compressive stress al the top of the
pressure-free core, i.e. at the bottom of the tunnel is zero and increases but slightly
as a conseq uence of dead weight. AI the sides of the core. on the other hand.
high compressive stresses prevail owing [0 the transferred load . If this pressure
is higher than the strength of the underlying loaded rock, the latter willnecc5sarily
yield and by losing its stren gth will ex pand towards the free surface, i.e. to wards
the bottom of the cavity, maki ng il heave. This p h~nomcnon should not be mistaken
for the bottom heave occurring when water (in the form of eithcr grou ndwater
or atmos pheric moisture) finds access du ring conSl rul:[ion to highly plastic clays

F ,(;. , /311. Measured holtom

~"~tti r. g , atlu a. a function
c f tte PCil CIS of e:<cavalion

and these expand as a result of ph}'liical transformation. Nevertheless, bottom

pressures may still be affected by such water, inasmuch as wate r reduces the
strength of clay soils, renderin g them plastic, so that the critical condition occurs
under a smaller stress and the clay heaves into the tunnel at a smaller load. The
inti mate rel ationship between bottom and la te ral pressures is clearly demonstrated
by t he observations carried out during the construction of the new Semmering
tun nel (Fig. 3/58). As may be secn, the bOllom tid not start to heave appreciably
before the clIeavation of the crown section was commenced, i.e. until the load s
were transferred increasingly to the sides. This trend increased when the excavati o n
fo r the side walls was sta rt ed, i.e. when the load of an cven larger cavity roof
SPlin had to be transfe rred by the remaining sides to the bottom pla ne .
Bollom heal·c may thus (K."(;ur not only in clay, but, e.g. in sandy soils as wel l.
The greatest part of the mate ria l !;ausing the heave encroaches d irectly fro m the
edge of the side walls. This is the point whe re largest settlements ()(:!;ur, showing
a decrease towards the interior of the sound roc k. An inward verita ble inclined
arch a bu\melll is thus formed under the side walls in the bottom plane, u nder
which the soil will continue its consolidation owing to pressure. Consolidation
will also increase with the degree of inclination. Thererore bol1om heave will
stop auto matically once a certain inclination is allained, since the load on the s up-
porting sublayer is relieved by the inclination itself.
 DHUMINATIOS or TSlM ....II.\E\UCH
,,,
3.41. DETERI\III"'iATION OF BOTTQ:\I PRF.SSIJRE ACCORDING
TO TSII\IBARYEVITCH

The problem of bottom pressures W!IS investigated Iheoreticall), by TS IMUAR·

Y[V ITCH.' As In the stability IInalysis o f the bolton plane of a braced construction
pit. he assumed that a soil wedge is dis placed towa rds the ca~ity under the action
of active eanh pressure o riginati ng from the \e nical pressure on the lateral parts.
This displacem('nt is resisted by the passive ('uth pressure on the soil mass lying
under the ootlom of the cavity (Fig. 3/ 59).

I
h:.I/"ud~

I
- 4$!. fI
'xrr-~

FICl. 3/ $9. Computation method of boClom .,.-euu," (aflcr n ,,\ly... n\:nCH)

The active earth-pressure diagram at the perpendicular of the corner point

of the excavated cavi ty is a lrapezc. The carlh pressure al depth x will be
t'. _ (p + x p) tan'145° - 1/>/2) - 2c tan (4 5~ - tP/2).
At the same time the sp"ilic passive ('a nh pressure at depth x is
t'p = xy tan'(4S~ + tP /2) + 2clan{4S" + 1/1/2).
Depth x: where t'" _ t', can be computed by eqo.laling the above two ellpressions.
The layers above Ihis dcpth will be involved in boll om pressure:
p ta n'(45" - tP/2) - 2cftan(45~ + 9/2) + tan(45° - tP/2)}
y[tun!(45° + 41/2) - lanl(45~ ';12)] -

- p).• - 2c (F, +
y(i./I - ).. )
, ff. )

The magnitude of th~ horizontal foree actin g tOwards the cavily abov~ d ep th ,'I(;
is given as the diffc~nce between the areas of Ihe diagrams for,. and el" This
force induces a set of sliding su rfa c~ inclined al (4S0 - tP12) 10 develop in the
soil mass under the cavity_
m

The force of magnitude E", E. - E_ may be resolved into components T

and S, parallel to the sliding surfaces and perpendicular to them. respecti vely:
T ~ £ cos (45' - 9/2)

S = E sin (45 0 - ~/1).

Force T tc nds to displace the soil and is resiHed by the frictional component
of the nOfmal force
T ' _ S tln¢.

-- -- .. - Afte r trigonometric tra n sfo rmation ~

and remembering that the soil is dis placed
by forces acting from both corners, the
magnitude of forces acting o n thc bouom
plane is obtained as:

, '''"''-,
'(',,,5 - ¢/2)
, 1 0 - 2£-
1;0 5 tP
(3.54)
,
The re~ulta nt To actS 8t the centre line
and is ven il;a1. This upwa rd pressu re
, can be counteracted either by loading
, the bottom wilh lhe counte""eig hl of
" intensity 4... or by a suitably d imensioned
in vcrt arch.
, , ,
, ,"\ , , • Thc(."ounter load qn must be applied over
a length y, which can be obtai ned from the
,
J
~:~
" -- e .\p reS~ t On

Fl<}. )/60, B<mom p~"lrC: computation .,

in an actual ca:\C (O"",oov) )' = tan(45° - tP/ 2) ,

The pressure acting on thc bottom o f tha cavity in the practical case illustrated
in Fig, 3/60 and assuming II granular soil, it can be detennined in the followi ng
wa y:
If the bottom reaction under the side walls is p _ 2,
0
, tbe beight of the soil
q
column at the side of t he cavily can be obtained from the rela tion 11 - - ,
Y
Since
tant (45° - ';/1)
.T _ If
tan!(45° + tP/2) - c"'.iio..- tP/2)'
tan1:45° ""
E_ E~ - E, _ ~ "I' .~(x + 2H) tan~(45· - (/l/2) - + "l'x~tan'(45" + tP/2),
 DETER.l41\1I110N Of TEU.IIOIII

sin (4 5~ - 4J12)
T _ I; .l..'
r;os 'f'

The pressure acting fro m below on the cavity is

T" = 2T sin (45" - ¢f2).

Closure of the section with a bottom slab and the application of an internal
ballast IIrc the only possible counter·measures to this pressure, In the in terest
of safety Ii coefficient n .. 1·3 to J'5 has been specified.
With ~ - $ denoting the actual loading wid th, P6 and p. the weight of
the bottom slab and internal ballast, respectively, the coefficient of safety can be
determined by comparing Ihe resulting downwa rds .tress and the upward pressure
NIY. In othcr words. it is required that

y
<!: ],3 - 1·5.
b ,
2

3.42. O£TERl\ U"'AT ION OF BO'nO\1 I'HESSUHE ACCO RUl N(: "1"0 TEHZAG III

pres.""~ in open ",",lrll"lioo

The rdllionshiP'! 1k ....1"..o:d by Tuo.:tAGl Il for the bonum
p;15 can be applied to bonom pressum in und"rpo u nd c.aY,lics as wdl. by considerio. Ihe
equilibri u m ",od 'iionl It Ih~ bouom ut a cay, ty ucavated in I h~ interior or ~n "anh maS!!
inilud of Ihe open conS lrU",on p, t . Here
aga in tw<) UI"',ne cond ,t,ons can be d is· I
IIOgui.hed, one of them bein " the case --fIC'---r-11-------1''--''-
of the ideally ",bcsi\"e SOil. ",""re r " 0 I', I I
IOd~- O,lheoth.".lhatorthe"'t.eo.ion- Ji ,_ --I II
less granular 0011, .. here (" = 0 and I I I
• i' O. T his anal)'sis yield! in formalion t1 I I,
en the stability 01 ,11, />Qllom, rJlhcr Ihan I ~. I I
on Ihe mallnih,de of b<Juom pressure. I I ~
CoMider first the case .. here I"" soi l (" I'I I'. '
5u rroundinl In unde'iro und a,<it) cuv -
f~ by a Yault has a .poI!C,r1C den.ily ,", I' .""~--"-"II
.... _
'0110'011 (" and an angle of internal / - -..... I, It
friction. trig. 3j6 1) , Th~ soil masses -(.
abo,·c t he pla""s ,... and bJl ;'''l acenl 10 mi,t
.he Ch,ly anti simIlarly of w,dth b rna)'.
r...l.. -
,II thi. case, be I"Clarded ,111 eXlerna l
loads and the problem ",ou is 10 deler· ,
mine the cn t ical ctjuihbl"luIII ,ondilion
of the soil unlkr these planes, The onlv
."
possible di splacement of the loaded soil 1"10. 3/61. Ibuom prellSurc com puta tion us fo,
wedge is Ipin lowards Ihe cu¥ily and open excavllion pi •• (TlIlZ"GHlj
,,, ~O TTO M PRESSU Ra

the sli ding mass con.isis, according to the theories of failure rciati ng to the !;ase when
~ = 0, of the activc earth pressure wedge bounded hy straight lines ind ined at 45° under
the loaded section. the adjoining rad ial shear zone formed by section of a circle with a
central a ngle ,./2 and radiu~ b_ ~nd fin all y by the pa:;sive nrthprcssurc wedat bounded
"
similarly by straight lin"" i~lclined at 45 -.'" T~e end points of the sliding planes are .
~ccurdingl", the point . denoted by ~ a nd d. Vertica l, arc erected at these poinl$ from the
extension o f the ! lidi nS planes 10 the grou nd s urface. Consider now the magnitude of
for«'S act ing on l he plane " ... which m ust not exceed the ultima te strength of Ihe so il
whi~h can be mobili ~ed i n Ihis plan".

Q. =
rb+ 2
bl mb ,
l1 'i'-~2-Y-Tbfl'-H,~",

(3 .SS)

On the other hand, the load· bearing capacity of 1m, .oil strip of width a~ _ b is

Q = p"", b = t2 + ,,)ch.

The mar~ i n of safety Can thu s be c~pressed b)' 'he following quotient :

(2+ ,,) cb2

n=~ _
Q,

In order to obtain adequate safely ailainst sliding into the interior of t he lu nnel , " shou ld
have a value of al leasl 1'3-] '5.
A simi lar a pproach is then adopted 10 in~~,ti&<1Ie th e case where ~ = 0 and", "" O. The
.... idt h of lhe SHi p ue bounded on one ,ide by t he wall and on the other b)" tiM: imcrscc l ion
of the bottom plane and the sl ip su rface, and which depends nOIll o n the magnitude of I he
angle of ;mernal ftiC'l ion </J. wi ll be denoted by A. The shearing ",sisla n~'e mohili""d along the
shear plane, wh ich is again as.;umed to be vert ical , i, obtained a s the product of the norma l
for<.:e (act h'c earth pressu rc) an d the specific frict ion (t a n ¢), The ac tivc forces are . thus.

or, IR another form,

o. = y J/ , A - 0"
where

I .• Cf. SZ£Clt V, K. : GrundlHlII I. Springer. Vienna 1963. Fig. 1260:: o n p. 206.

 O[V[lOI''''(''T 0 1 ItOCK 'lIlSSUItE D U II.I ~O [XCAVATIO'l
'"
The ultimate load rtf/resenting the Maring eapadty of lhe soil can be Uf/resscd for c = 0
in the follo",·in. form (cr. the fai lure theory of D UBII.O\.I.JI);
Q _ A';''' •

.... here " . is. rC'Sist~no.:e <;IXfficient chrll<;lerizin,lbe resistance of liM: "",110 slidini, lhe value
of ,,·hieh may be laken from t h~ foll o wing lable in lerln' of 9 '

". J<)0

n._ O S 40 t40 260 780

--
Safcly from slidinll IS agai n expressed by ti'>c ralio ~ _ Q,Q •• T he minImum ""dth A ea" be
dclermined from Ihe eXl reme condilion dn/ dA . In olher "·o nl s. Ihe upre •• ion

d 1'''.
A'
dA "l H ,A Q
n\U~1 be ze ro. He no.:e

(yll , A - 1I ,) 1"1".-4 ~ ,,~ .A ·"I" , _ 0

(1' H,A Q ,)'

.. hieh is im possible un1cr.s Ihe numeralor is uro, i.c.

(1'", A - Q ,)2;.onoA - :r". H, A' _ O.

From Ih.is eq uallon of Ihe sco;;ond IXlIftt A _ 2~ and Sub5lllutinil lhe value o( Q,
delermine d a bove. Ihc minimum . ph,,, of A i~
"I",
ohtained. It is ne<.:essary Ihal

A _ II,Ulll~l.n'("S _.,2)~ b (I/ , - m~ 2 /»0.

II , J

.. b,cb aIn be fUriher ,ncrca.cd 10 aUain tbe specified dc~ o f ~fcly. , he YlII~ of "should
.pin be hillher lhan "J to I·S. For A _ 0 lhe safel)' t llairnu slidin, is insufficient a! Ihe
bollom of Ihe cavity, so that spc;:inl suppo rt . nr ball.51 muSI be prov;clcd.

3.5. DEVELOPMENT AND SUPt:RPOSITIO N OF

ROCK PRESSU RES

3.51. DEV£t,OI'\lENT OF RO CK PR ESSU RE

lIUNING EX C AVATI ON

It was mentioned during the ge neral description of rock-pressure phenomena

that the magnitude of rock pressures is greatly affected by the time before the
tnternal support is installed and by Ihe strength of the suppon.

I... D u u~ ... v. A .: GldrOf~rhni'drfSkuy" Siroyirtl.lro ]9S] 51 and cr. Sd("lIv: Grll",llmll.

SpriTlger. Vienna 1963 J 177.
'" Driving and construction of a ny lunnel consist of repealed c)'Cles of several
opcmlions such ext'in-alian, installation of temporary supportS (propping)
a~
(lnd construction of the permanent lining. Driving is always accomplished at the
excavation from which, in rocks, is usually advanced by blasting. Support con-
ditions of the rock surroun ding the cavity arc morc favou rable here than over
no rmal sections, since the rock here is su pported on three sides, but only on two
sides in the latter ellsc. The T()('k ovcr the face forms a half dome which is capable
of carrying a larger load Ihan the arch o r vault developing over normal sections.
Aner blasting, the half dome may remain stable for a cenain period even without
I!r<tQrtJN~ f):lun of /111/ (/()mt I/'~
. /(IIrl~tr adYlllel ,f/#(je II1d n{)
I /' ,.. - - - - '-....
_____ -< '-.uppor! IJ IIIStJllfri
/, /....
----_::0--
--'- '--"...--- -------------.)
I _---
IIJIfWf'/I
,i '
I I .. __ fiI'fJu"rllT'rlJ

, ,.
0iJII1I~' f!QffI
""~klllt {Itt

• 'r4r1'-"'i,'
-- •
.•,
~yt;'.
ItJorlg /JI.-!:()K/rtl1
I erMA - - -~-I-
I !J«kp4rfm; r,
--.~-- '

, , ,

F lO. 3/ 62, Relation bet"een lime, o"erbleak arid rock -IOIId

in blocky an d scamy rocks (after TERZAGHI)

supports, but gradually increasing quantities of material will drop ill\Olh.:: unsup-
ported cavily thcreby leading 10 Ihe formalion of new arches t:Il tcnding higher
and to Increasing dislances (Fig. 3/62). Theorelically, thc process lIlay go on unlil
Ihe entin: caVil)' is filled wilh loose: rubble.
ThiS process of gradual hreakdown depends no t only on the quality. bedding.
joinling and fissural ion of rock, as well as Ihe width of Ihe excavation, bUI also
on Ihe dista nce between the last support nnd Ihe rock face (I .), The process is
extended in time because of the vis.cous, tough behaviour I)f Ihe cementing malenal
filling the joints and fissures of the rock. For It ''erl ~in period prior to breakdown
the loosened rock itself is cll pable of ove rbridging the unsupported cuvity. This is
referred to as the hridge acrion period (1&). On the oosis of ~ very rou ghly approxi.
mative theoretical assumption the following equation was deri\'ed by H"RUS'l for

'. - "
h R:,)
with II denoting the thickness of lhe bearing und h that of the overlying loading
F
layer. t the shearing-strength, 'I the s~ific gruvit~ and R the rdated radius - V'
with J-' Ihe area and U the perimeter of Ihe unsupported cavity, From the expression
it may be conduded. thai an infinitely long. bridge action period will be gained
when ; . ~ . y -. I v.ith the practical meaning that bridge action period will
increase with the increase of the thickness of bearing layer related 10 Ihat of the
Joading layers and with the increase of shear·strength related 10 specific gravity
and with the decrease of R (i.e. circular or quadrangular shape). The sequence
and method of excavation should be selected to enable the installulion of the ne·
cessary new support before the bridge action period has expired. The position of
the bridge action period in relation to the sequence of operations during the con·
n ruction of a tunnel exc.wated by blasting in solid rock is shown in Fig. 3/63.
Cons!derable overbre.1k is likely to occur if t. is shorter than the ventilation period,
t,,,or Slightl y longer, SO that it e~pires early during the mucking cycle. On th!

t'
• < t •'
t, > t;
~ f~
~
~
j } ~'"

'. -~~- ~
2~8

other hand. very Itttle or no o\erbreak will OIXur where the bridge action period
is sufficiently long to permit the erection of the new supports (t,). In some instances
it may the rdore Ix: advisable to reduce the length II ~sce Fig. 3.62) consistent
with the character of the e,\cQvated material and the width of the cavity. It should
be noted that 10 wide cavities the bridge action perIod is appreciably shoner than
in short spans, i.e, narrow sections, The rock load to be ~'ll rried by the supports
show~. howcver. lin increasing tendency even if the supports are installed in good
time and arc sufficiently strong. if \\<egding is carried out carefully and the over-
break is backpacked before the bridge ac tion period expires. This increase can be
traced back to two causes, namely. 10 the transition rrom ha lf-dome action into
pure arch aClion us the face is driven forward, and to Ihe fuct that rock movement
is not cntirely prevented by backpacking and wedging until the loosened rock
aoo\e the roof adjusts itself to the changed equilibrium conditions. The joints
in the rock immediately above the su ppon become closed by the suppon, while
Ihose higher upward will widen, owmg 10 a loose:ning of the rock. Consequently
the 10<ll! on the roof increases as long as movcment OIXurs.The ex tent of overbrcak
and the magnitude of the space backpackcd either poorly or no t at all, play. there-
fore. equally imponant roles in the de\clopment and magnitude: of tock load.
The fina l magnitude: of roof load and the period of movemen t, or ]oad-lIIcn:ase
depend grea tly on the thoroughness of backpacking and wedging. Where these
operations are carried out carefully. equilibrium conditions and the final load H ,
may even develop after the first week (curH' ('\ in Fig. 3/62). On the other hand,
insufficient care. inadequate hackpackinK and loose wedging WIll extend the load
incn:ase period to several weeks as illl.lSlruled by cur...e ct > and the final loud H'rn ..
will also be higher, in spne of the fact that the initial load ma y have he<n smaller.
The consistent displacemen t of the rock towards the: suppons will result in a pro-
gressive failure of the rock material in the load.carrying arch.
hI"-_"""~~/b.
t([Ir.rrI ..u .... - " " t

Fu;. l i64. Roek I'r~ssurc

-~ ..
dc\"Clopmcnt ";111 tile 8c.l jpan melhod for boll'! slow and TlI p;d
c:()nsl rucl;on proar~ • .es ( B~ NO~I..)

TM in<; ...... !iC- of rool' tnaoh is illuslra.t~d after Bu,ou. In Fill. 1,64 for I tunnel cooslruelcd
RCI:Onhna 10 lhe \klp ... n mctll04 Id. &clion 62 .3 1). In the fiaun: 1M uCI'·llion of lhe frun!
i. indlclued by" ' ''. Itw.: exc"'~l;on OT the roof and the consltuction OT the roof arch by "2'.,
and the con~tructi un of lhe .ide ,,·.1 Is by "Y·. According 10 BeNln\.., lilt tn8l1nilude of I he minor
 VEVELOPMENT OF ROCK PRESSURE VU~lI',(J EXC"V"nON 25'
a"i ~ of the load ellipse is gm'erned not only by the strength of the rock but al so by the speed
of construction . Tm.reforc. the angle characteristic of i.. magnitude is defined in solid rock
on the hasis of R~"KIN"' S theory as 2 , =45 ' + 4>/ 2. in highly squcczinll roc~ Or in the case
Q( slow con strUCtion progress. this may be obtained on the basis of the limit condition of flow
as~. = 45 ' -1/>1 2.

In Jow<slrenglh. cohesionless soils Ihe length of the bridge-actio n period natur-

ally approaches zero incurring an appreciable reduction of the excavation span
(increase in Ihe number of drifts), the unsupported length from Ihe face mllst be
minimized (employment of forepoli ng) and tunnelling methods based on these
principles (cf. mining methods, shield driving) must be resorled to. It is interesting

$(x(~J;lvr Mrb:'tIk iH>n 1/ tJ't,,,,,,~ " ~!tOfl!r1'lltd _ .7q

.! s:Jpparl II msWkd (lJrri,r<l.ts t;f'1lMh Jm~s m ,19 /;)
/ lMrktdk bill Immm..!~'1 <I(/4r r/JfJfld 4 /irni
iIKt{Mck

,
.,I

FlO. 3/ 65. Relatio n between time, o,erbreak and rock load (after TER ZA(JHt)

10 nOle that Ihe bridge-acttoll period is considerably 10llger in weathered rocks

than in criJshed Olles. but the load increase in the former may be many times that
of the latter, and may take a very long time to devel op. Pressure conditions in
rocks of different quali ty plotted by TERZAGtll in terms of the bridge-action period
are shown in Fig. 3/65, where time is plotted in units required to complete one
phas.c: of operation. The extent of the breakdown of roof is indicated by a dashed
line, and the magnitude of roof loads involved by full ones. In so und and mode-
rately fissured, seamy rocks the length of the bridge-actioll period is seen to be
practically unl imited, and SU pp0rlS are installed for the sole purpos.c: of prolection
against s]XlJling. The bridge-action period in crushed and shale rocks may extend

".
'60
from a few hours to sc\,tr",ll days. Fo r ploUlng h g. 31Mb the: length o f the bridge
action p<'riod was assumed to be 80 % of the time: required for completing one
phase of operation.

3.!l2. SUPERPOS ITION AND INTE HACfION OF ROOf l.OAUS

A n OVE ADJA CEz.,'T TUf'rOl"OELS

The dislallCe at which II new tunnel may be driven parallel to an uisting one:,
or at which various clements of II system consisting of parallel galleries and halls
may be arranged is of inte rest 10 the lunnd builder in many pracllcal cases.
Owing to the nature of rock pressure not only mlly the construction of II new
tunnel too close to an cxisting onc transfer II load co nsiderably in excess of the
original (0 the latter, but the load on the new tumld may also be appreciably
higher than that estimated for II single tu nnel. In this connection two problems
arise. The firsl is to determine the minimum thickness of w.. ll·masses or pillars
be ty, een parallel tunnels or adjacent C3vilies Ihat is necessa ry to pre1lent them
from being crushed by the load superimposed from both sides; the other, to
determme at what di~tance parallel tllnnels shou ld be loca ted to prevenl lhe de~eI·
opmg nelg bbouring loading parabolas, stress relieved cores, or protective zones,
from fusing toge th er. 3ridge action in this (ase would be th e same as over II single
con tinuous cavity.
Load·in terference. naturally, i§ affecu:d by all the facton affecting the magni-
tude o f lock load over a slDgle tunnel, such as rock strength, depth of overbu rden,
width at tunnel a nd the method of construction. Acco rd ing to the elasticity theory
coocerning stress distribu tion
around circula r cavities, tangen-
ti al stresses in undisturbed rock
e)[lend to distances equal to three
over live ti mes the diameter (cf.
Section 31. 11 ). T hus if it is inlend-
•• ed to avoid any stress accumula-
tion by the excava tion of a second
tunnel, the later mUSt be localed
at least two diamete rs distant
from the first (Fig. 3/(6).
In cases, however, where adja·
cent cavities serve the same pur-
pose, or planl, a rigorous adher-
FIG. )j6(,. T angrnlial pm,ures acting on the side
ence 10 Ihis pnnciplc would
or 1"0 adj.aCMt cnilM:s: (u) ",hen und" lurbed.
(b) .. hal dislurbed by Ihe lupcrimpmcd prO$um cause considerable difficulties and
would invoh'e extremely long
connC'(..'ting galleries besides rendering fasl indoor traffic of a plant as one unit
impossi ble. Stresses transfe rred to sound rock decrease according to a hyperbolic
function so th at the increment load caused by lhem beyond a certain dlstam;e
 JU.E"~T I "''' .. ND I:"lTE .... C110" Of .. DJ .. O:"T TU""U,s
'"
- smaller than that mentioned becomes insignificant. Acco rd ing to
"arious etasticlty theories (ef. KUtSCH'S formula in Section 31.19) the peak
clrcumferenllal stress around a circular cavity occurs at the side of the
cavity, lit the springings, and its vanation ..... ith the distance from the caYit) is
illustrated in Fig. 3/67.

FIG. 3/67. Decrease of unient;.' stresses

IIrOllnd a circular cavity

M..,lyinH on his rod: pressUIl: lheory (s« !i«lion 32.2l) Duo comp\ucd the reduction
of lran~ferred load o,'rr the distance x from the cavity for different tunnel ,,'dth.and depths..
Ulin, tM rIOtalions adopted in FI,. 1140, pre~sure Intrell!oC i5 calculal"'! by lhe »me dilffll:n-
liar fqultiOM. with the modification, that the du tanu x from the ca"ity u adopted a\ the
Independent .arlable, while the dep"ndenl ,-atiable is, again. the Ihid:ncss II of Ihe layer
"hil;h is proportional to the transferred load. Thu)

Itll tall (j
_~_ ltt anlJ_

..
2111 It)'

'"' 2..11
Iftanfj+~

On inlelJl"lltion this ~

P. -
b tan Ill'"
r fo,-,,-~b(;I'
II Ian tI
b+
+
~x
h _ lItln D-b ]
II tan tI + h . '
(3.S6)

HlanbJ

Alsumina an anale of failure (rupture) Ii _ 63·j· , lransferred load •. in 11m', are oblained
for ditre, .. nl depths and tunnel widths as aiven in the foll owing table:
 D~V~LQPMlNr A NQ SU r H ~I'OSITIO" OF MOCK P~ __ SSU ~ £S

x (m)
• , , I, , , w
,
w
,
~

• 'm'
I
" "
" 'm' ,, I ,.,,-, ,-,,-, ,-, ,
'00 N
12-2 10-6
6< J-'
N J-' ,-,
0-'
J-J
8
8 19-6 17-8 ltd 13-4 "J , '-0 "8
,- ,
,,
200 2 8-' ' -J 6-' !i-2 ' -0 J-'
,-,
D- ]
14-8 12-0
,-,
N

""
'-8 '-8
24-4 22-6 2]-2 I g- 1 14-I 11-0

'00 ,, ". .., ,.. ,-, '-J ,- ,

s- ,
,..
,-, "
] 5-8 ]4 -6 ',J
8
1'-4
29-5 27-7 26 -3
12-4
2]-1 1CJ-' I 5-7 ", "
JJ

Th~ di,la nce :x, al which Ih~ lransf~rred load de<:reases to half the roof load ab-o" e Ihe
cavit~ is indicated in the last column,
As dearly illustraled by b-olh Ihe graph and I~ table, the load tean,ferred to th~ surround_
ing rock is , a~cord i n, til ESZT6, of considerable magnitu de and its effe<:t can be: felt el'en at
fairly large distances. Conseque n tly drifts and t unntl s driven close 10 cach other (e. g. sub-
wa ys) a re subject to considerable superi mposed load~. The inc rease i. C'lpecially large if 3 witler
cal'ily i. exC1lvated beside one of , mailer width at a ,reat depth. T I>e examp le of a single- track
and ,louble-track drift, located at:!OO m depth and spaced at 20 m distance is quoted by ESZT6.
In this case, if the original load o n the 4 m wide d ouble- trac k drift is 14'8 tim', t~ transferred
load will be 3-9 tlm'_ corresponding to an increa se of 26 y' . In the 2 m wide ,ingle_ track
drifl the ori,inal load is g-, tim' . . . . hereas Ihe t ran.ferred load is 5" t/ m' . T he increase is
65 Yo_a nd this consi derab le supe rimposed load could not be neglected in designing Ihc inlernal
suppons. EIZT6's high values havc_ howcvcr_ not been encountered in tu n nell in!! prac tice ~nd
the lo ad im_TC""", "d ually o!>served have "',en apprec iahl y Inwer. On t he other hand. the
effect of depth must not be 1le00Iected wben e~ti mati ng load inerenc_
Acco rdins 10 ESZT6', theory_ tran sferred loads increasc ..... itb deplh at a higher rale Ihan
do o ri ginal rock pressures, Whereas roof loads .... cre shown in Section 32.213 to i[)Cruse as
the fourlh root of deplh, tra n.r~rr~d loads a ppea r 10 be proportional to its square TOOt.
Consi<icring t~ distance at whiCh transferred loads decrea se to half their origin al value,
this will be secn 10 occur within I WO or tbree times the tunne l width , und the ..... idcr t he tunnel
Ih~ sOOn er this will (;, k e pia...,. bul t he greater the deplh Ih~ la t~r it will do .0.

FtG. 3,1 68. Development of stress conditions Mounli closely .paced cav;t;C'l
 26)

experiments of considerable interest have been performed by LEON and WI LL-

HtIM, who demo nst rated in a ~er)' convinci ng manner the effect of tunnel spacing
on the development and supe rposition of stresses lFigs 3/68 lind 3/ 69). Variations
o f pressu re around a double section are illustrated, n,:"clI.ling the consequences
of the neglect of a certain minimum distance be tween the uni ts.

In (hoe fi l'l'l usc ( Fia. 3168), where lhe distance ~l ""cen t he tun nels is ()O4 h the devclopl1'\Cnt
of Mresses 'Ikes the follow"'lI: courw:
Tensile Stresst'S "f rda t ,vely hilh maani wlk develop c"cn under low presSUfe> at the .oct
and Mt the DoHam of Ihe tu nn el. u well as in the axis of sy mmetry or lhe double section.
These strel<!ieS U $ult in crack"'l in the roof Ind benom. II a con<.equcncc o f whlcb Ihey IIrCl
rcl ie\·ed. while Stres..es ,n tile uis of syml1'lCl l')' incrdl-.e I I abc:KJ t lhe 5&me rate (ul.

"

FlO. J;6!J. Oc,-clop~nl 0( SIms ccmdi lions •• ound ~a~ ilics spacc:d al grealcr d islances

AI Ihe same lime ~ompressive SlrCSKS develop in Ihc e~t~rn31 walls as well as in Ihe Inl ernal
o~s flcing each mlle r. In the cc:mral bUllreu waU lhese stresses Ire .UpcrlnlPOocd upon
each oliler and, WOMr or laler, ucccd ils oompmsivc llrenat h Ib), ConStquenl c rushi ng of
thIS humesl "m lead 10 a reductIOn of com pressive st resses lhere, but will be ~om""noed
hy I largel y pr()porllonal I"c relK of those In the ex terior side "ails. A. a l'Onsequencc of
lhe rcdis{ribUli"tI of preu u rC5, Ihc tensile ~IrC)¢'i in the centra l axi s "'III ;",'ease and result
in cractlng o f t he roof ar>d b<mom. The tcnsion zone wiU shift up o r down. resultinll In
a funher inc:relse of prl!»U'" on the side WIUS. No load WIll he carried al all by Ihe cro.~hcd
ccnuII bUIlre» a nd the SIms p.o.llern aroun<.l tloe double tunnd i, ident ical to Ihat wh ich
woul<.l have dc .. elopcd aroun d a s;ntlle {u nnel o f I widlh 2b +
G-4b .. 2·4b.
In Ihe second case (Fill. 3;69) Hoe ,,-all bet"een Ihe I"'" tunnel. illS a Ihickn"". of )·)b.
and lhe redist ribution of 51resscs takes I eOUrK ..,.sen llilly differenl from thll In the fo rmer
casc. The flrsl phase consists. hen: IllIin , of t he rupture o f Ihe roof and bottom in both
lunnel~, broulIhl about by lens;le s l rcs~ . As a ",suI! lhe le ns;un "me a bove lhe lunncl$ Will
be mo>ed up" ..d lowu rds tile SQund rock and. sho" ~ a con~idcrable increa>e in .hI: UIS
of symmetry U ...·cll. IIJ ten.rc of g",vily is shifted fur.her up ward Or down .. a rd.
Hcnrafler lhe de\"dopmc nl o r shellr crach (shdinJ plann) ~an be obserwd In tbe ildc
,,·.lIs, Ihe in,Teased len sl le $1 n:SseS In the uis of symmetry cau~ the roxk to crack. bnl)~ln.
'" DPVF.LOrMENT ANI) ~U P lM"OSn""N Of ~OC); '~I:SSU~E !

abou t the splou inl and up ..... rd or down .. ard ,h,', in, 0( the tension ZOne. The leno;;on w""~
1100_" and below the tunnels are. hO,",',,",r, rel~vcd by tIlls process .nd f ..fl her opeDin, of
initially dev~lopcd cra~ks i~ .topped.
Po pping even t ually la l;O$ place on the "de ...-all. and eom pre.uivc "tresses mo"10 to"anh
the interior of the rock. )'1:1 the inlermediale btJltress ....111 is not crllshed and ",eluded from
load hearina. although from lhe filurc, Ihe e_lerio r wall~ would s.,11 appnr 10 carry a IreateT
share of the 108<1.
In tile above experimen ts LEO'" and WILLlI[IM look vertica l loa ds o nly inlU
co nsideration. Actually the~ are always II~--.;ompanied by a higher o r lo wer la teral
pressure which is Ilawrnlly nOI without effect on th e magnitude and distribution
of stresses. T he behaviour of the rocl: mass renJains, however. esse ntiallY the
same.
Relying on site observa ti o ns a tunnel width to buttress wall-thickness ratio
of I : 3 is suggested by STINI. In sound an d fa vourably strat ified rock this ratio
may be reduced to I : 2.
The effeet of Slres.o;es transmiued from adjacent cavuics clln be estima ted on
the basis of the theo ry of clasticilY as well. For thi s purpose the values (1, should
be plotled in the spri nging line (~ _ 0) at the poin ts r = 0 ; r _ 2u: r _ 2·50 and
r _ 3a, as obtained from the relationshi p

'. - P
, m
II!
I
P, II! -
m - I
2 II+ 3~l) r
cos 20

(cf. Fig. 3f67). As may be seen, the sm."liS in crement at distances 20 an d 4a frO llt
the side of the cavity is 22% and 4 % respecti\'ely, so that a distance corresponding
10 two tunnel d iame ters should, in IIgTe'ement with STlN(S suggestion. afford
adequate safety in practice, Interference intensi ty increases slightly wi th rock
strength lind with the val ue of m,
Therefore, stress in terrerence should alwa ys be taken into consideration when
excavating tunnels side by side. or when driving a new tu nnel in the vidni ly of
an cl(istin g one. There are several instances on record where the lining of old
tun nels hilS been badly damaged by the inc reased load it was called upon to carry
when II new tunnel was driven in its vici nity (London. Picadilly Station),
In a rcecnt theoretical slUdY":r.: it was shown on thc basis o r elasticity. that
compre~sive stress d istribu ti on a bove two circular tunncls will rem ain practically
unifonn nearly througho ut the whole depth of cove r and it will change o nly just
o\'erneath the crown-level. Corresponding to the deHcct ion of the crown , pressures
will decrease around the IUnnd lll(is and will increase b<tween the two tunnel
sections and somewha t beyond the spri nging venicals, too.The rat e of unevenness
being a function of the rel ative di stance (d/,) hetween tunn els of the relative co\·e r
depth and o r the flexibility and embedmen t rigidity of tunnel sc::tions (cr, POint
63.452).
u. THU'H" US, H, : Oe.. Einllun \'on mchre",n Tunnelrllhrcn auf die Spannungcn ,/I dcr
und in dcr um.,bo:nden Geb ..gc. Ph, D. TM~i~ TUb. U"i,', OaFmJladl,
Tunn~IBu'l"cidunl
Germany,
 LUADS ON II<X:K- PI LLAIIS

J .53. I.QAD S ON ROCK -P ILLARS

'"
Rock wnes left between underground cavities an: referred \0 as pillars. Their
co rrect dimensioni ng is of paramo unt importancc fo r the stability of adjacent
tunnels.

35.31. Prolodyakono,·'s Theory

According to this theo ry, the add llional load to which the pillar h subject
consISts of the weight of the rock mass cxtend ing [0 th e surface above Ihe pressure
areh (shaded area in Fig. 3110), since [he load due to the masses under this arch

-,-
~- ,
m
,
,
FlO. 3/70. Comprc,"",on Slrcsscs prooll,ed in undcra:round
roc:k pillars ( 1'1l0TOOVAKO"<)V)

aTe carried by the tunnel lining. The additional load is assumed to he "nearly
distributed in the pilla r cross-seelion, show ing peak va lues at th e pilla r Side a nd
decreas ing 10 ze ro over the d ista nce $ . The cond iti on of equi librium may be
expressed as:

-Hb )' -
2
l,b
h
232
2h
1+- ' ] - -' p' - O
- (h, -h»'
2·
Neglecting the term in brackets in the interest of safely wc havc

- ,- ,
Hb
2
ps = 0
.
,.
For the TullO of peak siress p to d istance $ PRO'ro[)VAtWNOV's experiments
yielded th e value
p
,
- - O·0745j.
Arter substi tullon y,'c have
Hb Q'0745ft!
21'- - 2 _ 0:
whence

Consequently the buttress must be .11 least l r wide, bUI a safelY facto r of 2 may
be introduced and the minimum d istance between adjacent tunnels is thus obtained
.11 abou t

dIem) = 20 f }':;' )' , (3.57a)

where/is PROTOOYAKO\iOV'S Strength factor (cf. Section 32.224). All values in the
formula should be substituted by kg and em units. Using metres alld IOns the
formula becomes
d ' '''1 _ 0·65 r Y~H) ' (3.S1b)
, 2/ .

35 .32. Tsimbarye,-itcb's Theory

Another distri but ion of compressive stresses in th e pillar wall was assumed by
TSIMIIARYEvrTCII, as shown in Fig. 3f11. T he slopes of the broken line are defined
by the sections q and p for which the following relationships are given :
q .s 0-5 (K - I) and p S 0-6 b
where K is the st ress concentration facto r measured at half the heigh t of the tun nel
side wa ll, for whi~h we obtain the rollowing tabulated values calculated according
10 the Iheory of elasticity;

T""............ T_CC.C~ . _---;____"

=.c =I;"'CQ
= '_
Ra tio mlb 2 : 33:23 ; 1 1: 1 1 :3 1:51 : t8
K 2-n )-15 2-2 1·0 1-3 2-0 2-2) S-o

Distance a over which additional strl:$SCS arc spread, according 10 the above
elastiCity theory, is equal 10 3b. A ( o rres ponding va lue for $ _ 2·5b may be as-
sumed_
A rurther condition to be satisfied is to kecp the stress in the bultTess below the
pe rmi~s i ble mal>imum level.
 '"
FIG. 3/11. DiStribution 0( compressiQn
stresses Klin, upon rock pillars
-r'-------------------
.;It'
(TsI Mo .. u ' ti\ln
I, .,
r_ - ' - - --

~--
m - r"t---t~,~t::::::::::==-
J

Fo r the elise d "" ~ th e max imum stress b«:omes

• ---
fJ = (K - l)y ll.
For d ~ s, however. the co mpo nents of lhe superimposed stresses may be obtained
from the rela ti onships (Fig. 3/72):

u~ _ f1~ + qjf1} {I - "-) ,

"
11/ = ('1) + qb fJ b (I - '."-) ,

which va lues must n::main below the permissible stress fo r the rock in unconfint'<.l
compression fJ~. Of CQ ur5e. su pe rimposed stresses may also be obTained by an up-
pro pria lc summation of circumferen tial stresses calculated according \0 the
th eory of elasticil)'.
',.-- ------------,-------

FIG. 1/12. P~ure distribUTions

!)e, _en rock-pdlar5 L
 3.6. C RITI CAL TR EATM-ENT 0 ..• R OC K PR ESSU R E TH EO RI ~:S
Al"() I N S ITU R OC K I' R ESSU Rt: I\H ::ASU R EMENTS

From the wide variety of roc k pressu re theories presented a series of sound and
intuiti¥e"lISS'Om pt ions, ra ther than satisfying uniform results may be condud~ ,
This is but nalUral because of the essential deviations in the presum ptions and
of the impossibi lity of the theoretical considerOl tion of all the relcvanl f3CtOrs.
Besides, it mLlS ! be added thaI the preliminary theoretical consideration orfactors
like the method of excavation. rigidity and time orpropping. conttolidation proce>s
of defo rma tions, stratification and re lative location of overlying layers, magnitude
of inheren t residual stresses, etc. seems to lie beyond the capacity of both elastic
and plasticity theories,
HeOl ring in mimi their inherent defec.!S. praclical design may be based on the
followin g rock pressure t heo ries, wilh due regard to t he circumstances and local
conditions:
l. Up to a depth of cover of fl ,.; 2·58 full weight of the overburden (full
geostatical pressure) must be taken into account.
Z. Fo r cover dept hs exceeding Ihis value in all kinds of £rounds the use of
TERZAGlU·S Iheor)' or Ihat of PROTOD'I'AKO:-.lOV is permissible: for appro~imate
values, a nd chiefly in cohesive and solid ground , (he aut hor's theory based
on a statical analogy may be advised (cf. Eq . 3.47b).

Because of Ihe incenilude and i ne:'la~ lit ude of rock-pressure theories, the dimen-
sioning of tunnel linings must be re ga rded as uncertain, panicularly as Itttnt
research shows thaI tun nel lining can never be considered a free-standing supported
struelure but an embedded one exerting a com posite ac tion wi th the surrounding
ground· mAterial against external loadings. Th us, the surro unding ground represents
not o nl y eXlernu l looding but simulta neously affo rds support and composite
oClion agaiml it.
It ma y bt: well concl uded that rock pressure on ti mbcring as well as on permanent
lini ng is the produci of interaction between rock and structure a nd therefo re large·
Iy depe,nds on the rigidity (i.e. defo rma tion) of the structure and clln not be
determined sepArately. Based on this correct concept G ,o,Ztl::v"':U has adl'ised
a method by wh ich rock pressures ma y be determined on the basis of strJins and
stresses measured directly in the bea ring Sl ru~tu re (i.e. tunnel lining). Correct
values may be oblained by successive apprmtimation .
Difficu lties and uncenaint ies inhere nt in tlieorelieal rock pressure computations
cannot be rcslficted, nor ca n new better·founded computntion methods be del'el.
o ped un less roc k pressure estimates aTe checked agai nst site observations.
The newer trend of investigations has, t heretore, rcnoum.:ed the method of
developi ng fu n he r rock·pressu re t heories, but takes the strength a nd deCormation
'-" GAZltV, E. G.: Method of Determination of Rock PK5sure in Tu nllt'b , PrPr. I."
Con! Ro~k Merh. IktKJade 1970 II 8SS.
ch"rllc.ensuCll (crushing and 'ens,le " . reng.h. Young's modulo. 1'0' .... 0"·" ro'lO.
$hearin a: s .n:ng . h ,,"d plas.ic proper';et!. e .c.) or . he su ....ound in a: ground for .
bas'$. Thus, ltoe a im i$ . 0 ob'a,n ,nforma.ion abou, pn: ,·II. hn!!: S' n:.!IS cond,uon,
and pressures from deformations and strams actually measured In I:lplOfllIlOO
drifts and bonngs, and on the actual loads to be considered for the dimenSioning
of tunnel li nmg.
Laboratory or model tests can afford satisfactory informa tion on stress condi·
tlons prevailing in the rock in exceptional cases only. since actual stresses in tile
rock a re gowerned to a great el(ttnt by its uatura] bedding and geologicH] history.
None of these lends itself to la boratory modelling.
Nntural cond.tions may perhaps be most truly reproduced in Ihe model irtlle
prototype consisls of a rclali\'cly dry gl'arlul;u ~uil , o r rod. ,h:b,i), but even then
no means arc available for simu lati ng moisture condItions, construction melhod
and dinlcnsi08s.
An auxilinry, supplementary rolf;: may be attributed to model tests in tlx labo-
ratory only, where the latest trend 15 to simulate actual stratification condillons
by the npplication of "eqllil'a/I'n/ material," in the models produ(:ed. ThIS is to
reproduce the same deformation and strength properties (including thidnm,
Ulchnation, etc.) on a proportional scale to natural conditions. [n this ..... ay qU<lli.
ta ti vc informlllion may be obtmned on the innuencc and interaction of ~arious
factors such as sha pe and me thod of excavation of the cavity, the relative thick-
ness, succession and strength or overlying and unde rlying strata, etc.
Model tests of this type arc rathcr advanced in mining engmecring with special
re ~ard to the most economical a nd sare e:olploitation methods.
For the above reasons increasing attenllon is being devoted in rock pmsure
determination to the in situ measurement of rock pressures performed ellher:
(a) III exploratory d rifts dmen ahead of the tunnel face, sometimes Ol'et expe-
rimen tal sections, or
(b) in the lining of the completed tunnel, or in the surrounding rock. These
observations arc of a long-term chu nlcter.
Both mcthods are of significance for the design and construction of tUMell,
although information aVi.ilable before constructio n is undenillbly morc I·aluable.
Measurements may be aimed at the determination of the so-called static strffi.
o r undisturbed mountain pressure prevai ling before the tunnel is excavated. or of
the stress in the disturbed surrounding of the ca\,lty.
The methods by which these measurements can be performed have been sum-
marized by TALOBRI! as follows.

3.61. MEASURE.\(E,''TS ON H t P.. ROC K "'ACE

This information rela tes to stress conditions pre\'ailing at the rock surface
which must not be mistaken for the natuml stress condition e:olisting in the interior
of the rock mass prio r to excavation . lillie is known about the relationship 'tit.
tween thc two states of Stresses lind the former is not indicative of the lauer.
no
The basic principle underlying these so-<:ailcd mechanical methods as used at
presen t is the "relaxa tion of stresses", Essentially, the compression prevailing
in the rock is relieved by a cut and the ensuing deformation is observed with the
help of a strain ga uge.

Ft". J{?3 . Arrangement of p..,,,ure meaS-

,,,,,men! on a bare rock.face

The o ldest of the methods aiming at fl.lIl stress reJa~aljon is the onc outlined
in Fig. 3/13, where an tx lensomeier is mo unted between two fixed measuring
points, or a resistance gauge is applied on th e smooth and dry rock surface. Stress
relieving cuts are then made beyond the limilS of the measuring device by sawing,
chiselling, or boring. Strain gauges arranged in a roselle yield results from which
the principal stresses can be determined.
Partial stress relaxation has been used more recently, which is similar (0 th e
method used with me tal~, and i~ suitable for measuring stresses in ha rd rock.
ExtenSOmelers or strain ga uges are here arranged in a delta configuration (Fig.
3/74). A stress relieving borehole is thcn drilled at the centre. The borehole must
be small cnough in comparison with the measuring length of the device for the

.• \, •.
-.
o
F",. 3/74. St~ss relievin, borehOles
 '"
stress reduction produced not \0 exceed one third of the original value. In this
case the be haviour of lhe investigated zone remains completely clastic and the
actual modulus of elasticity will closely approximate tht value obtajn~d from a
sample. The accuracy of the method can be improved by gradually Jccpcnin~ the
bor~hole meanwhi le continuously observing deformations. Deformation~ thus
obtained are then pinned against depth, and inferencC5 as regards local irregu-
la rities or disturbances can be drawn from the diS(;ominui lies of the plol. At It
side length of 200 mm satisfactory results have been obtained with 56 mm dia-
mete r boreholes dri lled with ve ry fi ne diamond lipped bits.

"

11/
L ________________ _

FIG. 3f1~ . PrC5sure measurcmenl un 'he principle of p",,",,re r~t~bl;shmcn'

The third surface method is based on the principle of stress restoration. Tensioned
wi res are first moun ted on the intact rock surface (Fig. 3/ 75), and their vibration
frequency is measured (cr. Fig. 3/89). [n the second step the rock is stress-
relieved by a cut at one side which results in partial elastic stress relaxation. A flal
Freyssinct jack is the n placed in the slot and fixed with mortar. Arter the mortar
has hardened the jack is operated until th e original vibrating frequency of the
wires is res tored. The necessary jack force and, t hus, the stress is then recorded.
This method was found successful in sorter rocks. A modified version was devel·
oped by BFRTHIFR, who tJsed an annular slot around a 250 mm central borehole.
S l resse~ were restored by radial jacks placed inlo the slol and reco rded with
a special microscope. A drawback of this method is [he full rdaxation of stress
which leads 10 questionable results in view of the doubtful reversihi lity of stresses
in rock.
271

In orde r to combine the advantages of parllal slress relaxation obtained ""ilh

a central borehole with those of the method UStng stress restora tion, a q lindrieat
jack was re<:entt y introduced whieh fils into the ~'entra l borehole of 56 mOl dia-
me ter and is capable of exerting pressure in two diame trically opposite directions.

3.61 . M EASU REME I\'TS III> TIl E 11'T ERI O R O F T H E MOC":

The aim of measurements in situ depth is to determine, within the attai nable
limits of boring, the original pressures pre~lli l i ng in the interior of the rock. The
necessary equipment and method of measurement is, however, expensive and the
method itself is nOI without li lllitatiolls.

(a) r o r the method ba~d on full st'~iU ,~la'l1l/o"., qlindrkal device. t he serealled movin~
~t u •.has been dcve1ofl(d b)' aUTHIER. TilT« uten~"lf:lers tak m" measurc=menl! in Ihree
different direction. arc= eqUipped " 'ith sill. d u tic feelel"l. The instrument eln be I""ered inro
a 76 mm d ia mele. borehole. When in lhe rc=qui red po$it ion. the feelers Irc= Ibed .nd rcadi,,&,)
a~ ta ken. The !"<Xk arOl,lnd lhe instrument " ~Iotted " ilh a ZOO-2SO mm diamete r crown
drill. Read ings lakc n .. ilh the feelers now in Ihe"me positio" <X>n"esponlilO Ihe full~ i ln:ss-
re lieved condilion. Fe(lcr po.ilions at the bottom m.y be rc=wrded cither I'hotl>graph;';:'ll)
or by printing. dependina on IIIf: type ofequlpmcOl u:;ed . Besides Ihe uncerl ainly with which
Inirinl and final pos ili ons are indicaled. Ihe inlpos~ih"'ty or <let errni ninlt; corrcclly Inc maani.
lude of Ihe deformgl;On nlodull,ls in lhc case I)f rull SlrUS relaxat ion (see abovc) i. ~ ",riOl"
drawback 10 t il" mel hod .
(b) Tnc second pr"elk;al mel hod is based on the prlnc,ple of slrrn rr:r/(mJli(HI. A 185 mm
d,anM:lcr boreho~ i. drilled 11,.,1 10 the de plh whe~ $l rC$'IeS arc= 10 be dctcctc..l . T he instrument
is Io"ered .nd fi .."" I I the bollOm of the bo~holc. The extcnsometcn in this pMluon .n:
IdJI,ISled 10 zero. In lhe K'COnd phase of rarh,,1 SlresS ",Iau rion • ~6 mm diameter bo~hoIc
,~drilled in the uis of the IIrst. The third step eons.ii1$ of loweri na a qlo nd rk.1 j. ck inlo lhe
cent ra l 56 mm di~meler hole. operaling the j.ck and la kin. rc=adi nll! befo", .nd afr er final
prc=ssurc= is applied. E~~ llliall)' Ihe in,t rum ent permi lS Ihe application of surface methods
in th e interior of Ihe rock, bUI r<'<luires a borehole of considerable diameter.
In,lead uf jac kl , pre"ure cell! Or membrane pUles.~ .Iso used (Section 36.6; Carlsson
o r Philips ails), '" w"",h tho: fun<,:tion. of prc"orrrOCflion and deform.tion nlf:as.u.remcn l
are combined . The a pplic,"on o f lhe-;<,: dc~I<:r:> appea r;;, ho .... c' e. , 10 be limi led 10 w fte. rocks
onl)'.
(C) AllemplS h~'·e bIe<on tnIIde 10 correlale l he "clocil), of prt>po.giJr/oll O/'Olil!d ....."..... imro·
dueed into the rock Wi th Ihe maAnllude of iIlre5 preVllilin" in il. Vdocil), w.s obsco'ed
to locrealiC ".. ilh Si reu. II will be nored from the di'lr. mS pubhshcd .fter HA PIP and
I)ow",,,C"f"" ( Filt;. 3/76) Ih.t a sm all percent.8C chanl<' in Ihe ~locll)" of sound wa'<:s
corresponds [0 a chang" '" \I.e r:omprc=u;ve !lrc" of several hundreds of kalem', SO Ihal Ille
melhod Ii of lim iled ae<:u r. cy and sultahlc for roulIh approximatiun only.

Some years allo the so-called "DOO'5IOp~." method has been successfully
int rod uced in the underground stress measll ring lechnique.:U; This device consists

..... H U la, P.: DeicNIunalion dl,l module d'~la~uei tt des racbu co pia«, An". I. B. T. P.
19SO Scp! .
.... L U MAN. E. R.: T he doorstoppcr ln d triaxi al roc lr.: stre511 mC3.~u rin8 in51rumenls dC"cl,
uped by Ihe CS IR . J . S. AI,.. Inl"l . Min. M~II1I/. 1969 Febr.
 "V..uUII.I'M(NTS IN nl~ I N" n: ~ I OIl Of THE ~ OCK 273

F!O. 3i16. Sire" determinltion on t ilt ba~is of \/Clodty of .ound propa,uion (HUIR and
Dow"",,ct)

of actually small cylindrical blocks placed on the flatlened bol1om of a borehole

drilled to the depth where the determination of the stress is requ ired. T he mea~urillg
transdu~"Cr used is a rectangula r electrical resistance stmin-gIIuge: rosel1e, ~'()n5ist­
mg of three st rain gauges measuring in Ihe 0 (ho riWllta!). 45" and 90° (vertical)
d irections and are conn«tcd to four connector pins which are moulded in the shell
so tha t the "doorswppc:r" Qin ~ plugged imo an installing tool. The mcasurement
itself is effected by overeoring (thus stress relievi ng) the bOl1om of the borehole
using the same eormg drill crown as was used to drill the origmal borehole.
I n order to find the complete SI3te of stress tt is necessary to make "doorstoppcr'
measu rements in three mutually oriented boreho les. The magnitude lind direction
of the three prinC1pai stresses can be obtaincd by resolution o f the six stress com-
ponents measured tl1~. (7) .• 0,. T..p Tyz ' T",.).

3.63 . MEASUREM E NTS ON T \.·NNEL SUPPO ItTS

Information directly utili.l;able fo r tunnel design is supphed by method~ indi-

cating the force~ acting u!'On the proposed lining and so leading to its reliable
and economical dimensioning. These rcly mainly on measuring the defo rma tion
of timber and steel structures used as t~mpora ry support. A wide variety or
me thods has been developed - especilllly in mining - for insllllling different types
of dynamometers on ordinary supports.
Measurcments ure carried out either prior 10 cOnstruction in pilot headings
driven ahead of the main face. or after I;onstruction on the completed structure
fo r control purposes, or for stallstlcal TC"I;ords. In the majo rity of cases only defo r-
'" IN Sin, ROl.- 1( P'KLSSun MI'A~UItDoI£NT1

malions have been measured hitherto ; direct pressure observations beca me pos-
sible only 011 the morc m-ent int roduction of new measuring devices (pressure
cells).
Tunnelling is usually s larted by d riving
pi lot heading in which measurements
Ii
can be performed conveniently. Target marks are estah l i~l1ed at about 20 111
Intervals on the tim bering. expediently by drivmg nails into it /Fig. 3/ 77). The
hori7ontal and veniea) position of Ihe:.t points is observed in the first phase of
construction weekly, la ter fOTtn igh tly,
.... A,K:$r(IIt.Jtf.rJ or II I monthly mtcrval~ . Measurement

r
r=j~~~~F~~ can be speeded up by a suita ble meas-
u ring frame composed of simple c le-
111, , melllS. The frame is SCI up in the plane of
'-=!~~t measurement: it is wedged tight between
_ the roof amI !loor beams a nd the cenlral
str ut is positioned on the centre line. Its
~erlical position is then measured with
an inSl rumeni. The feeler arms are
adjustable, wilh coane an d fine adjust-
rIO. 3/77. S,mple dcformalion mep~uri n l ment. over a ru..:k ~nd pini on mounted
inlllallation in an ad v~nce headin!!: on the central pole. The feelers are then
brought into conlul·t With the target
point. and the ve rt ical and hori zontal position of the an n is recorded. Once the
position of the central pole is known. both the \'erticul and the horizontal
posit ions of the points can be determ ined in an absolute manner. With the
fra me set up, readings can be taken by several obsern'l"$ simultaneously,
For evaluating observation data th e movements of individual points are plotted
in a di agram (Fig. 3/ T~). The period after wh ic h equilibrium in the rock is re,tored

f •
~!it ~

/f !
/
IVI FIG. 3118, Mea sured deform·
I tion vllues II I fu nClion of
lim<: and of i ndi~idu a l opera·
lion ~lbt:t:S
 m

- t'olluy,.ing indi~idual stages of co nstruction - 15 distinctly rccognLmb le fro m the

grdphical representation. Increa sing displacements during comlroclion give timely
warning of growing pressore. permiuing counter measures to be luken.
Recorded dcformulions nre compared wilh information obtained by geological
explorallon (which is completed :15 the heading is driven). SIImples IIrc ta ken from
the rock o r soil lu)crs penetrated. and la boratory tests are run on them. In obser-
valion of actual stress wndi\ions samples shou ld be tested by increasing loads
slowly and !I1uilllu in ing eac h IO(ld incremen t for a considerable period rather than
by rapid load increase. In the elastic stage of deformations the elastic limit should
be determined, (hen the com pressive, tensile and shear strengths. as well as the
rlltio of \'ertical and hori7.0ntal deformallons should be no ted (cr. Fig. 2f10).
Final decisions on construction met hod and lining d imensions can be taken on
lhe basis of measurements in the pilot hcading. observations of mountain StruC-
tu re and investigaTions of samples takc n.

J.64 • •\ 1EASUREME:<O'T 01' "W~:SSURE C HAI"GES tl" COM P I..I:.'lm I..II\I i\"GS

For the measurement of pressures act ing on completed tunnel linings, usc can
be made of rod eJl.tensomeTers arranged radially. or in a sla r-shaped configura tion.
or pressure cells can be installed between the rock and the lining. o r electrical
straill gauges can be mounted dlrlXlly on the tunnel lini ng. Use can also be made
of a va riety of other mechanical and lIeoustic deviccs.
Rod extensometcrs in radial ar rllngement are shown in Fig. 3/79. Rod ends
are telescopic and displacements (0) aTe measured by aCOUSllC mcasu ring cdls.
transmitting th e resul ts to a ccntrlll ehxtric recording inslrument. If pressure (p)
..... ere d istributed uniformly ovcr II circle of diameter D and ofum l length, and with

fiX4tfO!1
]nl't11' roo

AtHIIJ,s/,;c ull

FlO. 3/79. Radia l meuurinJ

feeler arrangemem

18 '
 II< SITU MOC~ P H SSU M~ Ml"";U R[Mt.N1S

E:: and II denoting Young's modulus of elasticity and Poisson's ratio respectively,
the pressure could be determined from the expression
EJ
f1 = .
D(1 +/1)

Taking into account the presence of a lining of thic kness II and having a modulus
of elasticity Eb between the surrounding soi! and the set of extensometers, the
pressure is apprnxi mately

+
2<'D£,).O·
,
p -
r E

Instead of the radial pattern, extcnsometcrs ca n a lso be arranged in a double .::I

with its a pex either lying or standing. i.e. in star-shaped configurations. In com-
plett'd tunnels Ihis arrangt'menl caust:~ the mi nimum interft:rence with traffic.
Mt'thods dt:scribeU in Se<:tion 36.1. a nd suitablt: for the measurement of stresses
in natural rock faces cun a lso be used. The nn ly ditrerellee will be that devices
allached tn the interna! surface of the lining ra:nrd stresses instead of rock pres-
sures, which, however, reflect the effects of strength and beddi ng conditions on the
lini ng (voids, and grouling. draillage. etc.) as well.
Pressure boxes or cells of various types are available for the direct measuremen t
of rock pressu res. These are usua lly mo unted on the external face of the lini ng,
T he method is recentl y gaining in popularity, especially for undergrou nd railway
tunnels. Measurements of this type were carried out on the Moscnw, Leningrad
and Chicago subways and are current ly taking place on that in Budapest.
Serious difficulties are stm encountered in the evaluation of ob~erva ! ion da ta,
since besides the elapse nf time, the developmen t of pressures is seriously affected
by the proper and firm installation of gauges. by all changes produced In thc

-
J. NiIl< I. .w.
;,Imlw."f,q
""" ,cr•.'1#:' -,
IJH:~'I"·~II
1>11...- r~

FIG . J/IIO. Arrange ment of p ressure: celts below bollom ptate of tunnel (Chicago)
 m
surroundings (c. g. grouting and bolt-tightening, scaling ope rations) and by a
variety of other factors, the identification and separation of which is practically
impossible.
The installation of pressure cells under the invert of a tunnel is shown in Fig.
3{80, while their arrangement in a circular tunnel is illustrated in Fig. 3/81. Obser-
va tions conducted in Chi(.:ago soft clay led to the following conclusions:
I. The ten-year observation record revealed thaI final e:quilibrium in the soil
did nol (X:cur until nyC )'cars artt:T completion.
2. Pressure changes showed two basically different tn:nds, ina~mU(;h as they
decreased during the flTst three months, indicating that surrounding soil
layers were only gradually affected by subsequent soil movements. Thereafter,
vertical pressure increased for several years until static equilibrium was
obtained and soil stresses increased to the ultima te soil resistance, deter-
mined also by independent shear tests.
3. Lowest values were observed at the end of the first phase when stresses
became practically uniform around the enti re circumference of the circle.

Sta!Jcn flJ+//Z

FlO. 3/81. Location of pressure ~Ib in the circular tunnci section

".
4. In the fma l equilibrium cond ition vertical loads attained the magnitude of
the geoSla!ic pressure, while lateral pressure!;, which showed small variation
during the observation period. remained appreciably below Ihe hydrostatic
value.
The development of pressu res is planed aga inst time in Fig. 3/82, demonstrating
that vertical pressures in the plastic clay soil even at relatively small overburden
depth :main th e value o f the gcostatic pressure after a certain period, while owing
10 cohesion lateral ones remain appreciably lower.

T
_ ~J
~

"
-~
"", ~
- ~

~'11 -
~

'-0" -
",
'
~T
.,+
<
-+
-'-
,
" DO

". -I- 'flJf

,
-'-
,;"'
'';111~ (~'urs )
~'Ji !!lJi -
•
1')4,7
".
FIG. 3/82. Variation in pressures with t ime (plastic day, ChicaRO)

Observations inclu ded changes in the horizontal diameter of the tunnel as well
as th e defo rmat ions in tunnel shape ( Fig. 3/ 83). The hori.wnlal diameter was
found to decrease: as long as the driving of the s~ond tunnel did not reach the
cross-section investigated. Later, it increased sho"" ing II dttreasing rate in time
as long as the air pressure in the tunnel was maintained. From the mOlllent when
compressed air was shu t off, thc rate of increase again became sleeper to flatten
out again after a further Ihrel: months only (Fig. 3/ 83a). Eventually the deformed
shape of the 7·5 m diameter iunnel lined with cast iron elements changed from
that under (b) to the onc L.lndel (c). Deformation and stress observations thus
revealed the considerabh: innuence of various factors (adjacent tllnnel, pneumatic
support) besides that of time.
The final com:l u ~ion de rived from these obse rvations by TERZAGHt J ·3G was that
.... T ERZAOHI, K.: Shield Tunnels of the Chicago Subwa y, J . Boswn So.-. Ci~. Ell!!. 1942 j.
 ,
_ jl1lr!Cf'I'tl!!!lO(
< hrJ/ltJtc /'ifJt lM~

De/'t1m>lIJM rJ( I$IIMI/ /liJJflg ~ 7

rhyJ 4/,Jf ffl'clJor.
FlO. 3/83. I'r08n:sS of deformations in the circular tunnels of Ihe ChicaSo-Subway

lining walls in plastic soils should preferably be constructed as flexible and as

latc as possible. This is in full agrecment with the remarks made in Section 3. 13
In conncction with ge nuine mountain pressure.
As revcalcd by careful deformation and pressurc o bservations conducted in
n:l:en t ycars in thc circular tubing-lined tunnels of the Moscow and Leningrad
undergrou nd'·' 1 and elscwherc the stresses developing lfI the tunnel lining Me
frequen tly affected more by other I:ircumstances than by r()(;k pressure itself.
Conc-entrated initial el:ccntric ~tresscs leading to high Ix:nding moments and grow-
ing deformation of the wall may thus Ix: indu('"l:d especially by inaccurate elliptical
erection of segment rings and by improper grouting and bac.kfilling. Cracks and
Stress peaks were noted to occur especially at Ihe c·rown and in the clements
immediately adjacent thereto .

.." GF1.."'~"" G . and Bol>KO~ , B. P .: Napra,hennoe sosll>yan ie ~bnrn;kh lo""elnik~ obdye-

10k metropolitena (State of .tre.. in prefabricaled lininGS of underGround ra ilway tunnels),
S!J"rn. S,aui 31.
'"0 IN SITU ROCK PRF.SSUR E M,",SURU,,; "H

"
"
>
,, L-'c-cL.Ll .-l
,~
__ O~rfCmJ[/~" (/lfrt ,,. "'~/N'5!

,, two,er""! 1i'J7
1
.",I

FIG. )/84. Progressive incr""", "r (he ho,iwnlal d iameter of circular tunnel
(in Cart onaccous clay)

The ho rizontal diameter of the circu lar tunnel in clay of the Carhoniferou~ Era
wa, foun d to expand at a ratc decreasing considerably with time (Fig. 3/84),
while normal forces were observed 10 increase more rapidl y than bending moments.
ind icating th at the rale at which lateral pressures increased was higher than that
of ve rti cal ones. No appreciable load was transferred from the parallcl tun nel
as long as the connecting boilS of lining segments were not tightened and pe r-
mi tt ed relative ro mli on belween them. Otherwise the parallcl IUnncl caused an
overload of almos! 50 % on the stress diagram. In the case of careful construction
no significa nt di fferences between calculated and actua ll y measured ~tresSL""!; cuuld
be o bse rved.
Grouting between the rock and lining is of considerable signifil:!lnee for th e
d istribution and development of pressures. As can be seen from Fig. 3/85. the
stre~se~ in the rock behind the li ni ng can be rest ricted by grouting to a much
narrower range an d the peak .tress (K:eurring at the interface ca n be materia lly
reduced which is essentially a con.equenl"t! of reuul"t!u pore volu me behi nd the
lining.
The effcct of imperfec t grouting on stress d istrib ut ioll around the tu nnel is
shown in Fig. 3/86. Averages of test result s obtained at an un dnground gas-
cont:linc r with a 6 mm thick welded steel- plate lining are illustrated here. u s
An intcrnal ai r pressare of 15 atmospheres should have caused a uniform ci rcum-
fere nt ial slres~ of 1134 kgJem~ in the lining. At the crown and in vert, where owing
to imperft:1:1 gro uting no firm contact with rock was establis hed, peak stressc, far
in C:l:l:ess of lhe average were obse rved instead. Apart from initial stresse~ dilfe r-

.... KnvAcs HAZV, F.: 6budai barlanggaztarto (Cavities as gas containers), tp. h Kozi.
T"". Ko:i. V 1.
 ru$Su,, ~ ("IIM<GfI " ,

'"
MfAJUIU "'-NT 1)1 l .../lNG5

f"IG. lI8S. Clunp of pltiSu rc

d iSl ribu lio n prod u,w hy ll ro uling in
su rrou nd in" rock
. Sq.H!'lId rock

. Gro.,t'fl (Jll'lty

1.ll/tIM 1JIT!li:'I';
Mill pYJ<Itmg -1""'-
, ~.

-'.

enees due to imperfect gro uting/urther defin ite discrepancies we re obser.... ed between
the rules of growth of roof und invert stresses. This. however, mll y be interpreted
as un indication of d ifferences betll.een vertical and ho rizontal rock prcssn r~
in this p:u1icular rock. The ratio of the s lope~ ofl ines representing increase ap pe ~rs
to be suitable fo r determ ining the late ra l pn:ssure coefficient, since pressu n:s pre-
vuilinS after the inaccuracies of grou ting are el iminuted.may be rega rded liS ' bal-
anci ng' the ac tive rock pressures. The slo pes of the twO stm ight li nes we re found
to yield Ihe coefficien t ;. _ 460/ 1200 _
_ 0-3g2. which experience has proved to
be acu:ptable for the do lo mi te roe k fo und
on the site. I
A genera l conclusion fro m in situ rock
pro:ssure mea ~ureme nt a ppea rs to be that
pressu res arou nd the tunnel afe distributed
continuously a nd decrease fro m the peak
val ue at the crown towa rds the springings
"'
(cf. Figs 3/83 a nd 3/86). Stress calculations
should, therefore, preferably be based on u
conti nuous radia l pressu re pallern ral her
than on the combinatio n o f unifonnly
d istriblued ve rtical a nd hori7ontal pressure FIG. 3186. Tanaential SIrl':S~ In
~teel-sl>tt t lining o f c mhcd ded ci r-
d iagrams. The resulti ng difference in the cular ps-con tai~r d istortCd _inll
design hendmg mo ment is considerll ble, to "npe rfect a:roU ll ng
'"
."""much as the momen l in " circu l.. r secllOn due ' 0 un,formly dis,ribul«i
,crllea] and ho .. ~on l,, 1 load~ ;s 101 - ± O-2S q( I - ...)r". wI th 'I being thc,~"iall
.. nd ; . .., the horizontal load , nten s it y ("r. Sect; on 44 . 14), On the other ""!>d,IR
Lhe: U~ or CQnlinuou s oidia. di5lribUllOfi we hilllc At - ± O'(:5 qi] - I.)r'. The
difference amoun ts 10 40 %.
The modern trend is hO\l,'\:\'cr to dete rmi ne the in situ defo rmat ion lind 51rtngth
pro~rties of rock by in si tu measurements and compare them with the expectable
deformations of tunnel linings and thus draw conclusions upon the pressum
Inferred .UIIa.

3.M. D fITER M I NAT10N 01' I' I(J~S~U IU~ ~ H Y MUU EL TES"' "S

The numericol delumination or check of real rock pressu res on the basis of
Illodel tests ;5 \'cry difficult because the strength and deformation characleristics
o f the natuml la),e rs built with a true stratification but on an appropriately reo
duced scale in the model wiJl undergo the Stresses and deformations brought
about by the excavation o f the model tU'Iity on a diffe~nt scale.
In orde r to obtaIn correct and chardcteristic deformations and stresses in tM
model, the deformation and stren gth.propcrl ies of the applied model materials
shou ld also be chn nged in acco rdance wilh the model scale. Recent investigation
is the~rore mo re a nd more governed b), the trend (chien), in mining engineering)
10 apply so-called 'eqllil'oJenl mOlerio/.r' in the models whIch should be able to
afford a corrtel reOecllOn of the pressure and deformation condit ions brought
about by the excavation of the cavity owing to thei r ahered strength and defor·
mation properties changi ng in accordance WIth the requ irements of the §Cak
model. 3 -,""
The Idea l equivalent materials shou ld possess si mi larity of modul s of propor·
tionality and of stresses and st rains in their resistance to corn pl\:ssio n. le nsio" and
shenr. i.e. Ihe~ should disptay " 3imihtti ty of the Mohr-.;urves. To "\lJtat~ )iln~·
Slone, or sand),- and elayey-shales. mililures of gypsum a nd sand. whems ror
days and slates milnures of sand and paraffin are used. It is not only the similarity
III these qualities of the material but th e similarity m the: strati fica tion and SUIICIUft
or the roc k which is of primary importance:. Thc main point for which it is ~llCr­
ally stri'cn for IS the construction o f models, in whic.h Ihe: factors mnuencing
pseudoplaslic deformations and Iheir eJ(tension may be reliably observed in ord~r
10 conclude upon the proccs~s ...... hich are about to display in Nalure. Equiva'
lency in this sense ..... as not an object of recent te sts C"olrried oul prior to tilt ron-
struClio n of lhe Donnerbtlhl tunnel in Bern, S..... il.tcrland which may also be meu·
tioned hcn:. 3 *,

..... cr. Proc. or Ihe hi lnt. Conr. on Tunnclhna, Tonno 1969. Vol. I.
.... cr. K I.,l5 ....;nov. G N ' In'"t:Sliplion of Rock Pressure Phe nomena on Modds.
U.letehlsdat. Moscow 1'158 (in Russian) .
.... cr. Ihe series of nrtl clw in Srhw. 8::111. t960 111 10-31.
 .... , ... . , . ~ .. o:s o~ , ' ''£DU '' E .. . .. SU"" , "'''' 'NnltUMENTS
"'
H ere the factors generully i nvo lved in r ock p ressure e~i>rcss i ons we re found 10 be
1, - yflA+cB .

where Il ". t he geometrical height of the loading rock mass.

y ::: its de nsit),.

A and 8 are d imensionless coefficients whose magnilUde depends, in general,

on rP and c (t he shearing strength of the rock), as well as o n the ra tio of vertiqd
and horb:o ntll l dimensions of the loadi ng rock mass.
By ado pting )I. rP and c values in the model idemical to those in the protoi)'pt.
the first term of the expression is obtllined correctly in the model by m ul ti plic8tion
by the scale facto r. T he se<:ond term hils the Slime vlllue in the model li nd in Ihe
pro totype.
In .he case considered, Ihe results observed in .he model at small overburden
depth weTC equal to the geostatie pressure a nd approached t he val ue calculated
accordi ng 10 TERZAGIU'S theo ry as soon as the overburden depth exceede<lthe
.unnel diameter.
l a tera l pressu res, on the other hllnd , were fou nd to be highe r thu n those obtained
by RA/'I" 'NE'S widely used reduction which is explained by the fact Ihllt owing
to the smllil gaps lind limited defo r ma tio n opportunity involved in shield d ri~in!
no shea r resistance could develo p on thc Sliding plane.~·11
Model tests performed earlier by Y A M "GUTI3. l ~ a lso demonst ra ted thal.he
difference between roof Il nd IUleral pressures is usually sma ller Than R ANn~£5
theore tical value.

3,66. MAtN TYPES OF ,'RESSURE M E ASURI NG I NSTII: UME['t,'TS

A section t hrough the Philips-type pressu re cell (pillte) which is a lso used in
Hungary is shown in Fig. 3{87. This measuring dev;';e consists essentially oran
800 mm dillme.er oil-tilled box endosed by IWO mfmb ra nes. Pressure acts on Ihe
large-surfaced (225 mm dia me le r) external membrane (A). the deforma tion of
which is transmilled by the oi l in space 8 to the smaller internal membrane C.
Deformations of the latter are fegistercd with high sensitivity by an e lectr ic strain
gauge mounted thereon. T he st ra in gauge consists of ext remely thin copper wire
of which several waves life glued o n pllper. An)' chllnge in the length of Ihe gaug~
induces a change in its loml lenglh, the mlio of Ihe two being equal to Ihe nllmber
offll1l waves. Slighl changes in the gauge length thus give rise to perceptible chan-
ges in WiTC resistance whieh can be. measured b)' changes in the strength of the
small direct currenl passing.

I... , cr. J . : Beitrag ZuT Theorie der Erddnkke auf da§ Tunnelmauerwerk, S<-h.
''' ou~!(~,
8u/I. 1960 18 and ~e Section 1.33.
I-'~ YAMAUUTI: On the in''Csligaiion of Slress distribution in a tunnel. AM. J. 'M'. K(IIIft.
TuhM. M«h. Siockhoim. 1930 1 ISO.
'"

FIG. ll81. Section of " Ph ir.ps" pressure cell

Changes in the cu rrent induced by eJ~tro mal!n els suspended on II stressed wire
are registered by the M AIHAK-type prl;:$SUTC cell. The Stress in the wi re cha nges
with eXlcrnalload WIS. 3/ 88).
Devkes rcyting on vihrating wlrc- and acoustic principles IIrc also widely used.
Changes in the frequency of II stressed win.' Ju e 10 its extension are registered
by th e vibrati ng-wire device.
TheSo;! uroustic slraill g augt's provide a very !>Cnsiuve means of measuring strain.
They depend essentially o n the va riation of frequency of a tensioned wire with
strain. The Irans\'crse frequency of vibration of II tenSio ned wire is gove rned by a
well-kn ow n physical law whkh stales Ihat lhe truns verse vibrati on of II s1Tetched
wire is proportional to the square root of the te nsion in the wire. Thus if the
tension is altered in the wire, ~ubsequen tly bei ng stra ined by 11. then Ihe frequency
of ils fundamental vIbration will be altered accordingly. In practice a very small
(0'01 in) di ameter si lve r-plated steel piano wire is damped to that region of th e
structure in which stfuin is to be in ves ti gated and its fre"l llcncy is reco rded, slIb-
seqll en t strain in thut region or the str ucture is tra nsmi ttcd to the wire vIa its
rigidly clam ped ends. resultmg in a change in freq uenc y of the wire. whIch is
again recorded. TIle d ifference between th ese recorded fn:"IUenCleS is a n obvious
measure of the alteration in strain of the wire and hence of thc struct urc to which
it is a tt ached .
Man y types of this device have bee n d e~eloped in ~a r ious countries among
whIch those of CoYNe, M At HAK and Royal Research Laborawry (The t :'nglneer
Dec. 19511. p. 964) may bi;: mcntJOned . II i~ especially appl icable for long term
tel;ls an d th is makes it very suitable to rock-pressure measureme nts.
As II perfectl y l.lp-to-da te instrument Ihe rihraling-wire or dOtrgauc!-llire devi-
ces may be mentioned. These arc based on converting the lengt h changes of the
lest SIImple or that of the rock-surface into changes or tension in a tal.lt piece of
piano-wire. This wire is set into vibration by an electro-magnetic im pl.l!se lind the
vibration (so l.lnd ) frequency determined as fl.lnction of the measured elongation .
Theoretica ll y th e work ing prindplc of these inslrumenls is based on MERSt:NN[S'
law gi~en for the vibra tio n freql.le ncy of a stressed wire as

f~ -I .
21
JI' =-'. Jr.•
m 21 G
whence

with P _ te nsion force, III _ the vibrating mass, G _ the weight per um t length
and 1_ the lengt h of wire, £ = Young's modulus and F _ cross-sectional area.
Arter Hooke's law the spedfic stram
of the wire IS
t =
• _ P
£ £·F

tlnd su b~ti t utin g t he va lue of P obtuined

tlbove we get
4/2·/~·G

g · £·F

and writing the un it weight p in the place

G
of - we gct
F
4P·,P·p
g. F.

Should thc specific strains &1 and £2 be

measured o nce li t II frequency II and Ihe n
at a frequcncy I, then we may wrile:

4P,(dfi ~n)
g. t:
(3.58a) f l(]. 3188. MAIH .. !:·.prcslure cell
t. Co~r ptlle 2. Load II11"s'm Uo"K
spj,.,rical pill 3. Kcpstration beam
In th i! way the speclli..: strain of the 4 .. "ca....,melll ~. Soltom pIlle 6. &:. t I.
wire will be determined lind the resulting Support! of ~Iisl nlion beam 7. Elec-
change of the frcquem,:y measured. tromagnet 8. Cable 9. Cable in"'t
The pri nci pal struct ural ar rangemen t to. S!eel ~lr;1I1
of the elongated wi n: mel hod is show n in
FJg.3/89, Thc cunversion of generated vibrations into electric osctllutions is ef-
fected by a n electro-magnet and these are transmitted to a recdve r, where they
are evaluated with the aid of an adjustable comparator wire.
Changes in resistance due to \'arying length~ of cables. bed contacts, etc. have
no tnfluent"t' on the results because the frequency of the oscilhllions is measured
instead of the intensi ty or resistance of the electric current. Readings elln be tak.en
Ih lung us any electric im pulses pass through the cable. so that Ihis method is suit-
able fo r remo te reading unde rground installations,
286

A tun ing scale at the recei~er divi des th e runge of the transmitters in to 500
gradual ion~. th u~ the accura cy of the hand-operllted lUlling system is 1/5(X) or
0·2 per cent of the whole ra nge. The accl.lracy of the 1l1<:asl.lremcnIS on an average
is 2 per cen t.
Three transmitters are usually ins talled facing in three d ifTerent d lrcctionS at 45
dcgrces to each oth er to determine the principal stresses 1100 thci r directions.
The principal stresses can be calculated from the measu:eU chllnges in Icngth
usmS Young's modulus and Poisson's ratio in oocordance with the theory ofela!>--
tidty.

~.

•
••
•

, no. 3/89. Sketch of the prone.plcs of

V1brr.ting ",i~ Ikvi«

The lransmill er consists of an L-shaped saddle. thc shortcr leg of which is pro-
vided with a measuring edge (Al while its longer leg has a groove In which a short-
er measuring rod (R) is seated. bevelloo at both ends. The lower end IS ser ... ing
as measuring feeler, ",hilst th e upper end adnllts Ihe min ute angular process.
A high-tensile steel-wire (C) is i tretcheJ between Ihe IWO measuring edges, y,.hich
will be brought into vibration by th e electric Im pulse: emitted from the electro-
magnet ( E). The oscilla tion picture will be regislered after btinl! led through an
am plifier in a cathodiC radiation~osci llos.cope receiver. An y rel ative dis placement
of the measuring edges will bri ng abou t It stress in tilt: measuring wire (C) modifying
it~ frequency. This change Will be registe red by the described electric system and
admi ts the determi nation of the stra ins resp. st~s acco rd ing 10 Eq. 3.58a.
The R"t<.KI-typc oil-cushlon membra ne pressure cell. th e ope ra ting principle of
y,-hich is Illustrated in fig. 3/90, was deve loped at the Techl1lcal University.
Budapest. in connectIon with the construction of the 8 udapE"St Underground
RailwllY. PressureS aeling directly on a largtr e"lerna l membrane are again trans-
mi lled to II smllller one, the deflectio ns of which are indicated mecha nicall y by
(l diullllluge relldinll 10 1/100 mm accuracy. Highl y sensitive electri cal equipment
 287

FIG. 3;90. Di re"ly

relli$lrating oil-cu1hion
pre.sure cell of I(.I, S KI

is thus d ispensed with, a lthough the possibility of tde-reporti ng is renounl-ed

(direct readings are o nly po~..ible).
Pneumatic pressure cells, which are the most popular in American practice
(GOLDBECK, CAR!..SSO", etc.), operate In the followi ng manner ( Fig, 3/91). Exter-
nal load (lcts on a 0·5 mm Ihick external membrane bearing o n a concelltrically
located contact surface of 6 mm dia·
.-~
meter. A s the vessel is filled with com·
pressed air, contact i~ interrupted at t he
moment when the internal and external
pressures are balanced. The Interruption
of the electric circUi t can be recorded
With high accuracy. Dry compressed ai r
and current are introduced on ont side
of the cell, the other lead being on the
opposite side. The sensitivit) of the preS-
sure cell can be adjusted by a screw at
ils base.
ASide from pressure cells, measuring
struts and jacks o penuing on hydraulic
principles and built into Lhe lining may
be uscd fo r directly registering the pres-
su res or ddormations therein. Their
more detailed trealment y,.ould, ho·
we ver eAcecd Ihe scope of this book.~·~

.... H AMILTOS, J. J.: Ea rth Pre" u", Cells (N Re. Ctlnada). Rep. ,," 0 60()9 1%0,
J ... COIlI , ll. (I~38 ) : Instrumenlalio n for R ock PrlK~ ure Re<.earch, CQII/"y Et/flil. Vol.
jj, 81.
MOlfM, F. (19S6) : MClJurcmcm of R ock Prcll urc , Mf~ . Q ..arry £/111. 1}, 178.
'88
3.7. WA n : R I'R ESSURE

T un nels. where they a re below the grou ndwater ta ble, are exposed to the exter-
nal pressure of wate r in add ition to ex terna l rock or earth pressure. This load must
be take n in to account mostly in the case of tunnels built in the upper. geologically
yo ung fo rma tions, i.e. e~ pe<: ia ll y fo r undergrou nd rai lway and subaqueous ~eh ic­
ular tunnels where the: major part of the tOlal load must be attributed to it.
In contrast to rock pressure, ex ternal water pressu re usually aels a"cord ing 10
Ihe full hydraul ic head without any loss, especially where in Ihe in terior of the
moumain II na tural system of communicating caves exists which is bounded below
by a n Im pe rvious layer.
In the case of such an inlcn:ommunicating system the magnilUde of water
pressure is a t evcry point cquallo the hydr~tlllic head in a direct ion perpendicula r
10 thc loaded surfat'C. Such co nd itions lire encounte red primarily in sedimental')
rocks, while: free:ly pcrt;olliling wll ter in volcanic rocks occurs only in the rarest
in~ t llm:cs. Yet the de: ~c:lo pme n t of full h)d rostatk head in the interconnecu:d
fi ssures of the::;.c: rocks is by 110 rneuns impossible:. For the lining of prenu re tun-
nels this effect rnlly e~en be udvu ntllgeous. On the oth er hand. in helldings with
no ~rrnu ncn t l ining such 'wd:ping' water ullder pressu re may loosen an d d islodge
pie~-es of rock fro m the roof a nd from t he side walls. Water flowing wi th II free
surfue:e will thus be less da ngerous in sill1il~ r c~ses. A value lowe r th an the full
hydrostlltie: head can be taken inlo consideration as a rule for tempor.. ry under-
ground suue:tures onl y (shield chamber faces. temporary head-walls), provided
that the soil penetrated is of low permeability and the possibility of the percolation
of ground water from upper water-bearing layers along fissures to the structure is
nil. In some instances wa ter may percolate only very slowly towards th e tu nnel
lining th rough silt y sand veins a few millimetres thick, embedded in fissure s be·
tween elay layers. On the one hand,a very long ti me is neces!illry fO f the extremely
small now to build up to full hydrostatic head and, o n th e othcr, a \'cry slight
leakage or seepage through the lining is al read)' sufficient to drain ofT the: wll ter
and reduce wate r pressu re. In simila r soil, interwoven with thin pcrlll(ubl!: veins.
water pressures eonsiderahly lower than the hyd rostatic head w\:re observed
even after several years during the conslfuetion of the Buda pc~t Undergro und
Rallway (ct". Secti on 63.24). In si mila rly stratified wi ls the distribution of water
pressure aroun d the Section was found to be non-uniform. No waler pressu re
acted at points where the lini ng was bedded tightly aga inst the impervious layer,
but e"en the fu ll hydrostatic head prcvailcd on thc faces eJlpost:d to wate r-bearing
velllS. Thus it IS co nceIvable tllat watc r pressure will not act on the entire surface
because watcr has no access at all to somc parts.
In view of thc foregoing. tun nels need nOI necessarily be designed to I"(:sist the
fu ll hyd rostatic head whcre the sUffo undlllg impervious soil is fissured. or wo\cn
through by permeable veins small cnough to ensure u certa in degree of sealing,
adm ilting 110 more water to the lininl!: thun it is capable of drai ni ng continu ously
throul!:h its pores and other discontinui ties. or which can be evaporated by venti·
 WAT£II PRESIlUU "9
lation. T he great ad ~lin tage of ca refi.ll drainage is once again demo nstrated'
inasmuch as not on ly will the excavation be drier, but the load is also reduced and
the lining is subjed to smaller forces (Fig. 3/92). It will be readily noted from the
figure that the critical water pressu re on the tunnel lini ng will develop under
static condit ions, while seepage pressu re maimained by continuous dra inage will
be !cast ha rmful. T his condition must. however, be ensured by providing suitable
drainage strud ures, or sometimes artificia l me3 ns such as pum ping must be em-

.- H 1

",i1 W{

~) hr"aUJ lining

FIG. 3/92, Water pressures act;nij: on

(a) pervious and (b) on impervious
"
"" . 1

tunnel lini n K'

ployed. II shou ld be remembered at the same time that upward seepage may
reduce the load-bearing capacity of soil under the tunnel; it may lead to boiling
resulling in increased settlemenl of the tunnel. In this respcl;t the situation is anal-
ogous to that in the experiment shown at the righ t-hand side of Fig. 3/93, where
weight W settles suddenly into the soil as a result of upward !;eepage pressure as
soon as the hydraulic gradient h/ H = i rcaches unity. Since this ra tio

tJl!(1 + m)
(cf. Fig. 3/93b) is, in the case of wnnels, not lower tha n unity unless the tunnel
is relatively very high. or unless drawdown is ve ry sl igh t, the inflow of water into
tunnels in sandy soils is permissible only if the entrance of sand particles can
positively no: prevented by careful filtering . T he advantage of admitting water
at the bottom of the Structu re will he noted from Fig. 3/93. T he cross-section
of drainage should he capahle of handling the flow at which the entire grO\.lnd-
water table can be lowered in the vicinity of the tunnel, which then assumes the
role of a large filter drain. Statk pressure is Ihereby minimized. while seepage
pressure (hol is in most cases negligibly small in view of the low velocities and
small waler volumes involved. Otherwise, however low the seepage velocity and
small the flow may be, wate r will gradually accumulate at the lining which arter

t9 S,60:Ity, The An cf Tu" n<III"1

a certllin period of time will be subject to a pressure co rresponding to the full
static ~d.
If a tunnel is designed to resist water pressure, the calculations must naturally
include uplift as wcll. and the densi ty of the saHirated soil must accordingly be
determined from the known relationshi p
i - (J' - 1)(1 - /I).
Sometimes t he tun nel itself lies entirely in an impervious layer through which
no water has access to the tunnel and this layer is overlain by strala saturated
with waler. In suelt cases the load to be taken inlo consideration is the weight
o r the WilIer-logged layers which have a density ;
1" - ( I - n) 1. + Y•.
No WI!.Ier pressure will act on the section.
Besides the dIrect eXlernal load produced, wa ler has secondary effecl5 as we ll.
such as the reduction of inherenl rock stren gth upon saturation. Consequently,
the stress-relicvcd core will be larger and the rock load on the tunnel will be Ihe
5111urllt«l weight of an increased rock mass.
In the ~'asc of pressure tunnels waler pressure mily represent 110\ ollly external
loads, bul lin: internal design loads as well, the magnitude of which depends 011
opera ling comliliOlls while its direction is perpendicular to the internul surface
(cf. Section 4.34).

lkrflow

• ,. -H•
1m/ a 1

Inflow

FIG. 3/93. EIf""1 of s«page and danllcr of bailin, throu,h tunnet Hoor in sand ('I't~tA<.\I'"
 '"
3.8. LIVE LOADS

loads d ue to Ihe weight find velocity of vchicles moving. o r material [rampart-

cd in the tunnel are usulIlI), negligible in comparison wilh the external ca rt h a nd
wate r pressures. Fo r this reason internal loads are usually neglected in the: des ign
wi t h [he cxce ptio n of lun ne l ~ subjec t 10 high intcmal pressu res (e.g. power tunnels,
underground gas containers. ctc.). This is all the more justifiable. as internal pres-
SUTC5 lend to counterbalance Clltcrnal loads and the empty tunnel will usually
rcpre!>l:nl the design loading case. Exceptions 10 this may be listed as fotlows:
(It) Closed rectangular cross-set:lions of monolithic reinforced-l;oncrete con-
struclion encountered wilh sub- pavement undergroun d railways where the weight
lind pressure of earth arc rclali~dy small in comparison wilh the in ternal ra ilway
loads, and "'here direct loads on lhe bottom slab a re no longer negligible because
o f the grea l width of the rectangu lar section.
(b) Po ... er or sewage pressure tunnels refe rred 10 already, where internal pres.
sures may attain orders of magnitude considerably in el[cess of the eJltemal rock
and wa ter pressu res. The internal lo.1d furthermore induces tensi le and bend ing
st resses which arc erilielll \0 Ihe t unnel lini ng.
(e) Tunnels in Cl[lremely soft , loose soils where thc lalle r su rrou nd the tu nne l
in a liquid statc and may gh-e rise to critical local moments as a n asymmetric
exte rnal load.
3.82. SU RI'"CJ,; I.OAO S

loads due to buildings and vehicles On the surface. or to uti lity lines running
abo~e thc tunnel playa role in the case of sub-pavement tunnels only, which run
at re latively shallow de pt hs under the ground surface. In ~I ungary these loads
must be la ken inlO consideration acco rding 10 Ihe specificaTions of the Highway
Bridge Code. In the design of the Moscow Underground Railway these loads
G
were allowed for by assuming a 45 sprClld and no dynamic factor (cf. Section
3.95). Beyond 8 meters ovcrhurdcn dept h the effect of these loads is u~ually in-
significant.
,
3.9. DESIGN LO,\OS

As men ti oned in Cha ple r 3, this is about the most difficult problcm bt!cause all
possible factors (such as type of soil, constructi on mc:lhods, structural shape and
Bexibility, etc.) canno t be ta ken into accou nt with in the practical limits of any
specification. This is why [here: are no comprehensive lunnel design-load speci-
fications anywhe re in the world and why th ey a re compiled for el:lch particular
unden aking on the basis of prevalent conditions.
A number of general design rules a re given below and supplemented by speci-
fka tion5 for th ree particular projects.

".
 l.91. ESTIMATED DESIC/'II LOADS FOR D~: EI' T U'·... ~: LS
IN S OUD (; ROUN Il

I. The sliding su rfaces in the entrance area extend to the surfa ce (FIg. ]194).
There is no lateral pressure in mate rials with hi gh cohl:sion va lues lind the over-
burden is confined between two venical planes. i.e. one on elll:h side of the tunnel.
Beclluse of the static pressure along these planes the ilctua l vcrtlcill load o n
the tunnd will be the total self-weight of the overburden less the frictional forces
due to the static earth pressure on hoth sides (Fig. ]/94a).

e,·/lr.l.. -fc~
" -""(45' ft2)

In loose soil and fissured, fragmented rock mate rial Ihell' will be: \'cnical as
well as horizon ta l pressures. In this case the overbu rd en w ne will be li mi ted by
sliding s urface~ incli ned at 45° + tP/2 rath er than verticaL The vertical loads will
be equal to p _ hy a nd th e diagram of lateral pressli res will be trapezoidal (Fig.
3/94b).
A more accurate estimate o f the overburden near tun nel entrances may be based
on the theoretical slope. outside of which the gro und masses will sta nd up by
themseh'('S and only those within will have to be supported . While tnc pll'ss ure
d iagrams will be similar to the previous ones. the fo rces will have 10 be reduced.
2, On the way inlo the tun nci Ihm: will be II point where sliding su rfaces no
longer reach Ihe surfuee and the over bu rden is limi ted to a stress-free body con-
tained within an archi ng of soil. For covers of ]0-50 m (100-170 ft) and more.
tun nel linings should be designed for this condl lion.
If there is no late ral pressu re. a parabolli o r an ellipse of a calculated heighl h
can be fitted o\'er Ihe tun nel 10 represent the burden zone.
If there are lateral pressu res 10 be considered. thc sliding surfaces will slart
at 45 + 4>/ 2 al the bollom of the wa lls lind be ex tcnded to the top of the secti on.
Above Ih i~ level the burden zone is once ugll.in contained withm a parahola, the
he ight of which, ii, can be calculated by u numbe: r of methods. The vertical loads
 ESTIMATED DESIGN LOAO~ fOR DHP T U ,""'ll.'i

are to be calcul<Hed by dividing the area into narrow strips. In most case.~ the parab-
ola is divided into three parts aDd then evened out: the 11','0 dividing lines are
vertical an d are constructed on either side of the tunnel. Thc tunnel is then to
be designed for the vertical pressures of the centre ~Irip (pd and fo r the lateral
pressures as de rived from pressure P'I. ( Fig. J/95b).

,"SStlrf! deep !i!lllw

, • th .wrIJu
~);!"J1)Ii!tf.1pte;l~

I,
,-I ,
FrG. 3/9j. Rock-pressure assumpl ions
wilh a grC3t dzpth of o,'erhurd:n
, C1,

!/n/IILu,;!
P'8JSIJ{'f

Fn,. 3191i. A,y'nmc tri"at toad s d..., 10

slopin, surface and I<J change< in Ihe
lyI'C of , round mal~rial

3. Except for the adit and exit areas il does not make any difference whethe r
th~ surface is sloping or nol. In this case the diagram of vertical pressures will
be trapewidal and the la teral active pressures will be unequal (Fig. 3/963).
In solid ground - with no lateral pressures to speak of - passive pressures llIust
not be relied on un less there is a distance of at least 9- 12 m (30 40 rt) between
the exterior face of the walls and the surface.
4. Special consideration must be given to tunnel sections passing along dividing
Jines between two layers and/or faults (Fig. 3.95b). On these for tunnel dimen-
sioning critical weak points of the rock the tunnel will be exposed to 3sym-
metrical vertical loading and a lso to la teral pressures.
Once again reference is made to Section 32.1. according to which pressures in
solid rock depend largely on the condition of the material. For example, Ihere
will be no pressures at all in sound rock thaI is free from fissura l ion. On the other
hllnd, adjccti vcs such as " laminated", "shale structu re", "block formations",
 ,,,
··.nto:rwo ..... " ... "crack ed", "wea'hered", c le. ,or.,
a ll i ndicatio n s of .. lende...-y 10
dcu, n o ral ion and warran l i n c ...... ses in .he a.!lSulTled la.eral pres.llUfeS. MOIsture
con len t hH~ .. si milar elT.,.,1 .. s far as des;." loads a .... c oncern ed. bccll U... ,. 111', 11
"Iubricate" t he crac ks and will ~presen t an intrease due to its own 'A-tiglu as
",til as to in effect o n the pressure coefficients.

3.92. ESTll\LATED DES1GN LOADS FOR S I-tAI. LOW TUNl'H'.S IN LOOSE.

SATURATF.1l SOI L

Vertica l loads on tu nnels close 10 the surfac.:e (Il s 2'58) will consil! of tht
weigh t of a ll mate ri als above: such tunne ls, Includmg hydrostat ic presSUrt if the
\Oo'alc:r lable is abo\'c t he IUnntl. Fo r a ground co ve r of dephl h a nd a water lable /
alxwc t he IL nne! the vertical load is

1'. = (II - t) 1.(1 - II) + {(r.(l - /I) + I · ,, ) , (3-58 b)

..... nere Y. and n are the specific weighl a nd the percentuai void con tent of the soil,
respectively.
The assumed design load ma y be bigger or smaller than this geost3tic load
depending on constructio n mct hods. tunnel location a nd dept h of cover.
Biggcr loads ma y be encountered o n tunnels constructed in wide Ifi:nches clost
10 the surface and bearing a certain amount of oo(;kfill tha t is still subject to ron-
solidalion. The same ru le a pplies 10 tunnels (;onstru(;[ed o n the surfa(;e Ind then
buried unde r on embankment which is again subject to consolidatio n. The ~50n
for this lies in the increased setllement due (0 consolidation of the adjacent tanh
masses which. thus. im pose additIOnal loads o n the more ri gid tu nnel s«uon In
the fo rm of negati\'e skin fr iction (sec also Section 44. 1).
Loads muy be le59 tha n the gCOSlatic pressures, however. if arc h in; derdopi
above the tunnel . either because of the strength of the cover or because of ill
depth. In both cases part of the overburden will be carried by the adjacent undis-
tu rbed ground . ConstTuctio n methods causing extensi\'e deformnlions in the
overl ying stmla will also result in archi ng and in a reduction of loads on t he tunnel.
If. however. such defo rm!1.tions are too small to de~'elop friclionlll rcslstantt, the
loads on the tunnel will hardly differ from the initial stage. It must be noted heft
t hat . while the phenomenon of arching sho uld be (;onsidered in the design of
temporary structures whene\'er possi ble, it is regarded much less freq llC'J1tly 111
the design of permanent structu res. The reason for this discrimina tio n lid in the
temporary nature of ar(;hi ng itself and in the empirical fact that pressures In p.
eral tend 10 Increase gradua lly, as lime goes on.'towards geostntie ,·nl ues. This is
pafticula rl y tfue in clay materials (sec also Sectio n 36.4 and Figs 3/82 and 3/83).
 ""CF k ~ l '" ~ ~ O" T" ~ SP£C l nC"TI<>N ~ O F Ll SIOON
'"
3 ....3 . EXC ERI' T S "-ROM Tti E S I' E C IFI C ATIONS !'O K "U ": 1 ) ~::S I GN
0"- T ilE Ll S DO N SU D W AY
I. O A Il 5

In 1950 desIgn load specificallon~ .....~re compi led for the construction of the new lilOOn
Subway. based primanly on uperieoces Io:aincd in the capitals of Ihe Liltin CQuntTie! (Pari!.,
Rome. Madrid. Buenos Aires). Ahhough the veTlka! alignment in Gencnll fQllo ...."8 the wrfu:c.
because of lhe hilly nalUTe of the terrain, theft' i~ ~ ,,·;<.Ie range in Ihe d~pth of cover as "ell
as in the gwlogical «>nditions. Tunnel sections pa~"Sing through boasal. were constructed
with eI~ssic~1 Iunnel drivi nil methods: I hose sec. io ns pas~in ll through clay ....·ere buil. in open
trenches.
T he sp«iIiC~l!ions fo r design lo.ads cover bOlh temporary (scaffolding in headlnp) and
permanent imtallations (tunnel lining) and differen.iate between S«'tions lhal wm dri,"tn
and those thai were constructed in open I",ncl~s. Temporary struclu",s "'·ere d~iJTICd r~r
3200 kalm' (6.5.5 Ib/ft').
Tunnel lSCctions comtru~t~d in OlXn tn:nchc$ were de~igned to carry an o,·erburden equal
to Ihe gcost alic pn:ssu", mul',plied by a factor. T his "'as a funCl io n of t ~ ralio of the dt;pth
of ~Ovcr (H) 10 Ihe lunnel width (R) and also dtpended On Ihe Iype of $Oil:

H
,
Granu lar materia!
r·, 1"T"
I
I" I" 1·· 1" ,. ,., IZ'O

wilh no cohe~ion
l' = 1'6 ti m' (99·\1
lb/ft') ( %) 91 ·0 83'0 76'0 69'8 $9'3 .5 1{l 44·4 34'6 25'4 21'4 IN 16'1
Sil.y ",CI SIInd
,,_ 1'9t/m'
( 118'6 Ib/f\l) { Y,J
Salurated clay
;' "" 2'1 I/m'
(1l1'llb/ft l ) (Y..l

Surcharlo:e loads due 10 buildl nlo:s and ,..,hicJes w<:"' distributed al 4.5 and replactd by
equivaknt un iformly di~lribuled loa<.l s.

On the su rfacc ti m'

6-0
H .. I m deep 5·1)
H _ 2mdeep 4'0
H '"' 3 m deep 3·0
H _ 4mdeep 2·0
1I=.5md«p 1·0
1/ =6m<.le~p 0

Rearing prU5UI'l:' due to subway ca~ (weighing 40 I) aod dUt: to the self.....'elahl of lhe
00110'11 Slab ranged from 0·36 kg/elll' (S'12 ""i) to 0'13 kg/;:m~ (1'8.'1115i). The depth of Iht
overh urd;:n 7.Qne earri~d by dri>'en tunnel $ccl io1]s, h., ~aded wilh the surroundin, soil Iype
and was different for Ihe initial Sl lIlIc and foo· the IinDI condilion (after looKninE in the rock
29' Of.SIGN LOAm;

had laken place). Ma~imum and minimum pressures. as specified. were 10 be combined wilh
lateral pressures to produce IID,'erniDIj: design conditions.
In sand and . ill materials the depth of the overburden mne wa< speo;if",d in tt.c form
of a maximum and a minimum (h,)

T,....

Compact
~"d
,,'..,iI Pr . .. ur.

inilial
final
" - .-,
0 ' 27 (It
"'I><lv~ ~...

+
ml
0-3 1 (b + m)
« !Obi.

Q.6(1
0'69 (b
~

(!J
+ m)
+ m) ()OS4 (I>
0-62 (I,+ m'
II<I<>w HI..

h, ....

+ .,
l~bl.

", ...,
1-20 (b
)-38("'+ .,
+ m)

,- inilial 0'41 (It + ml

+ ...,
0-60 (I> + ttl)
+ m)
0-94 (b + ., 1'20(b+m)
~"d final 0-54 (/> 0-69 CI> l"OH(b+
m' 1'38(b + m)

wher~ band m weI"" (0 be substitu ted in mClers.

Lateral pres<ures ..... ~,.., specified a s p, _ 0-];:(0-5 m +h, ). i,e. con forming to a Irapezoidal
diagram.
Provided lhat (here was not [00 much fi uuration in the malerial, the depth of overburden
in th e prevailing basalt ..... as sf)N'ified at It. "" 0 in ti>( initial Slage and at It, _ O'Sb or 0'35
(b + m). whichever was greater. In baoall material thai h~oJ disintegrated into block~ Ihe
+
initial overburden depth varied similarly from 0 10 0'6 (b III) (ini t ial Stage) and from 0'3S
(b + m) to l ' l (b +
m) (final Stage) depending on ti>( extent of fissuration.
In ciay the O"crburden p~ssure .... as
2S
b '
1'= .... H - (3.59)

where S = the later~1 frict ion of the ""it mass surrounding the overburden body and i,
eakulaled from

In clay materials. "here lateral preuurcs also had 10 be considered, the factor for spell
pres~urcs Wai laken as 0' 7 in plast ic clays and o-S in claye)' soils.

3.94. EXCERPTS FRO:-.t T H E SPECI FICA TI ONS FOR T H E DESI GN

LOADS OF T H E BUDAPEST SUBWAY

The e~ternal loads to be consid~",d in Ihe design were Sf)N'ifoed 10 in dude :

LOADS

A. Permanent loads and elre"s

(a) overburden (earth pressure, hydrostatic pressure. surchar&e loads
due to buildings. ctc.)
(b) self-we'Hht of structore
(c) loads due to installations and equ ipment
(d) displacement of SUppOriO (where working again st safct),)
(e) shrinkage of concrcte.
 EXCUCI'TS HO/ol TOll

B. Tl1Ios~nc IoadsI.nd effOMs

J I' ~Cl n C "T I ON5 OF BI) I"'I' ~r

'"
(0 live: IoIIds (vdtie~~, ~lri'II>1, e' c.)
(allempenllllre e hanjfe$ (w"h,n narrow lim,IS)
(h) loads d~ 10 I'Onslruclion ~IIiPl"Mnl (sII"h as jacki ng thrllSi .
pren ure , rout in,. ctc.).

I
.0<..-',I
' '8, _;, B
r- II,
\'0"
.<
/

\ /
)'r--+"-~
' .11
l
I

Fla. 3/97. (a) Surchar,e dis'ribu'I<Jn;

(1)) Knd (d) Compu la,ion of lIo,·crninG rock pressures ;
It') M inimum distance he' '''·...,n tun nch (Speciflcacions of BudalXII Subway)

Surchlr~ loads (buildi nlls, vehicles) are 10 he d islribuled at an .. nile o f 2, _ JO for a

de!"ch nm ..... cecdin' the half ", idt h of the buildin&. below "bieh the anIle ..,( d lstrl bulion
iSlo be i~ru~d to 4S' (Fi,. 3/971. Bu ildinp v;idcr than chree ' ;111CS tho: deJl,h of their founda>
lion shan be eonsidereoi in Ihe form of I. uniformly d ,~m bulcd su reha.-.c Jlf"CSsure eq ual to
.n add",onal depth of lill. Allowa""e for impact shall he considered for deplhs of w..,r Ie»
th.n t·S m (S ft) and shall then be dc-c:re""d ,radu.lly 10 2ero as tha i dept I! reac~ 3 m ( 10 (I).
The live load 0( subway . ra ins n«d not be conSH~red in lun nels witl! I. depth of eo'·cr
in u~"t'ss of 7·S m (2~ fl).
Kccause temper.tures are at a relsonably COOStan t leve l in underGround .lr uctureli. the
effect o f temperuure c hangc need be considered on ly in uCC!plional cases and chen wit hin
nar row limitS . In such exceptiona l ""...,s uniform lemperature chanies sha ll be limicod 10
""
±
UI:SION LOAN

10 C (18 F) Uneven temperature chanll"s a pply only 10 uceplionaJ case, such U ,'entil a·
lion , hafts and duc ls. " 'hen, " s udden drop in lemJlC'ralurC "" O\I ld affect the inside ra~ bill
not the out,ide face in COnlact "ilh earth. In sue" ca,;r:s temperatures of - 5 ~C (2) F) and
+ 10 C (:SO F) ~hall be: assumed for th" Inside and Olltside fa \."l:S, respect;""ly.
Shrinka&<: of C()ncre IC shall nOt be considered unlcn clusinll suil!;lan(ial stresses. in whkh
CUe ,I shall be considered:u ",qwol to. tCmpcralure drop of 10 C ( 18 F) a nd 1 C tlJ FI
for concrete and reinrolUd concrete. respect j'~ly.
There is nO need to commcm on load s unde r (b). (el. (d l. a n d (h) e.ccpt that Ihey s hou ld
be laken int.., account II their actua l values a nd e ffects.

Roc," l'a ESM/a u

Ve rt ical pressu res, to be cakulalcd aoxordinll to T ' .lAt)lU·S t~ory, arc spec;r..,,, In two
.'ouPS 1k1""...lonll 011 the preSCn" or absence o f lroundwattt.

A. No aroundwal~r.

(al In rod; mater,al Ihe preuu.res may be t.~ell al lCro. pro~ ided thaI there are nO
cra~ ks a nd faulls t o s!Xa k of, and tha I there 1\ no ' tabi lity problem.
(b) In sort cia)·, (consistency indCJ< K,< 0·6) IIld in , ranula r ma teriaillubjcct 10 vibrl-
tions (if nused by lraltic and for deplhs ~s thlll J m - 20 fl) and io backfill mate-
riats (pro~·ided IMI the " . cavlled lrench is not wider Ihlll I·S lime<! Ihe wid th
of Ihe tunnel) cart h pre,"u res . hall be taken as equal 10 Ihe full aeoslalic load s.
(e) Ve rticalloaU. ure acncraUy less l han the ~ostatie values in Ml,1s l oot a rc lulllcif:n tl)'
homoleneDU! and cons.5I of I.yent displa>·'nll lin le '·afilt ion in physioo.l propenio;s.

Vertical pressure s will a lso del"'nd o n whether the Iype of soi l undc rlyina Ihe tun",,1 i,
solid. in "' hid, case the veninl load. On lhe SlfUClurc will be raluccd. or wMther ,t is of
a loose tex tu re in wh,ch C-.ose the verti(:al pres'ur..... will increase ~xu'\C or
lhe compression
o f the base .
The follow'nl d imcnsiOl1S and notallons are I'sted here for ,..,f"reno: pu rposd:

8 _ ~ + mtan(4~
,,
"'Mre b _ the lun",,) ""dth (d. Fill. J/9? b)
m _ the depth of the in luior of the IUn",,1 !>Celion
• - lhe anllk of !riction of t ile surro un d inl Iround.
AI"" . ~ _1M ~n ,a lle.t o f tM cohesion va lues 10 be found in the layers tl bove the tun n(1
/.• _the eohe~ion of the layer immediatelJl overl )·inll the lUn",,1
g = the gcosta tlc p~.ure al tM le,...1 beina jnve.lIp-tcd.

In h omo~""ou. m;, terial g .. 'I', in stra l ,fied ~0; 1 !; g _ Er, . ~'I. ( If tllt)re is groundwater
present , II t, tM acostatie pre~sure cxc1udinl buoyancy bot inc1udinl tM weii/tl of tile ,,·a ter
in tile around. SUrra" l(/,ads a,.., not included in ,.) fl. denotes Ihe It'QSt Qtio; p n::ssu rc includ ml
buoyancJl, h is the deplh measu red frorn the lOP o f l he struClu re tn the "ater ta ble (Fia.
l{97b ) and I is 1!Ie depth from the lOP o f t!le s tructure 10 the surfacc .
I. In cases ... hcre aranular m~terials _ such as lra,e! , ... nd . sa ndy an d si!ty fill (mu .
]O ~~ si lt ) -'c",cnd on both si des of tilt) . tfUCtU,,", ror a distan" not less tha n b. t he vert;"a l
pressure ;,
-,-,::ce_
p, " 1·4g 1 - .. -'
o
(3.601)

"'here
,
r_ " B lan9.
 OCt.Pll F...... lilt

and K is the flIlio of lateral 10 v(rlic~1

SP F C' Fl C "~ IOS5 Of eVO"pI;ST

pre,so res, varyinl from )., - tlln' (43' - ~ J 10

'"
1'0.
In lieo of mOre aceorale informa tion K m.y be laken as J.
The fllClor 1'4 i& IG ~ used in Ih" final load desi.n.
2. In (11.$>0 "f ",erbunlen ma lerials havin. a «rtain ammln' of rohesi<m (sill. clay) lhe
vertlCIII pr"""u..,.. are: cakulated as
1', _ 1<4 ,..,
1- , - ' f
·1 _ _ _ •
(")
<MOb)
~ r. II
"heo«: ;.0. - Ihe avera", unil ".."iViI o f Ihe layers abo,'e Ihe lunnel.
J. Surchar~
load s Iq) d istributed o"er a distance of ""I k~s t han 3 l in .... , l he deplh of
cover Il/) shall be adeled 10 th e: abol'e pressures II the w t" of

1' .. _ ]<4 q . ,_. (3.6Oc,

Feprdkss of &rOUnd"..ale. condilions.

Surcha rlC loads len Ihan 31 wide sh all be dimibutcd as iIIUslrated in Fill, 1/97 •.
4. For an o verburden oonsi~ljnl of 8'" nul ar as "ell as ~"ha,ve ""il~, IWO e l leulat ion s h8 vc
to he: conlplcted .
Fill! caku lation: AuUIllC arching III the lo .... er layer and consider rile uppe. II)'cr as
a surchar",:
p,, - A + 1'4 1, r ,, ",
whe,e
1 _ ,-"
A - 1<4 /, r. -'-=;Cc--' (1.61)
",
..
p rovllkd Ihal 11M: I_cr laycr ronsislI of lranu l~ r "laIC rial :

A _I·4' .r. '-" "r ')

~.
1- - - .
r. 8
provided Ihal Ihe lo"~r laycr «HIsislS of oohesiV'C' wl l.

'"'
r, - 8,an '. ~.,

<Ill<: ,"ohesion is 10 be: la~en as Ihal of Ih~ lo"~r lay(r,.

S«o nd cukolal,on; Assume Irl:htnl in Ihc upper ]lI,..,' Ind ""'ume the full wei,hl of Ihe
lo .... er layer 10 be nrried by Ihc lunnel

p.... A+I'r •. (3.62)

')
.., 0, -
,,
.-" ('---.
, -~-
~,

T l an';' "
r. H

<Ihe l;Ohc:sion is 10 ~ laken IS Ihal of the up per la)·er).

T he Imiller o f p" and I'd sh~11 be considered from here on.
 ,. Two lun nels dow 10 One anal her can be ..,p rded u a li n,le Sl rut lUre of " 'idlh b",
ali ru r a< "er1ical pressu r", arc
con~c rnc<J. pro~ide<J that

.., 11< 1')(8 ,+ S ,)

d<b , + b •.
IFi,. 3/97c). I " othel cases the I.... d ' shall be con.idered sc p,a r~le!y o,'cr ea,h Sl ru"ure.
6. Wilh p. de lermi""d. the aeli ve laleral pres.... re. .1 a lP~en depth)' can be u lculaled
no; follow~:

1'_ "" ( I', + n') lan ' {C45 - iJ - 2r· Ian [45' - iJ . (3 .63)

I I is PQlOsible that the wail S may move o ut""ard under the thrusl from Ihe areh. In Ih ls
case Ihe muimum pusi..., earth pressure that may be considered i.

P"- -~'++J'i')Unl(4' + :J+ 2.-. tan [4"+ ~J]' (3.64)

",here" IS lhe faelor Of Sll fcly, ",'hieh should not be less than ~ _ 2 oc<:ordin, to the Spccifi",,<
lian s.
B. If there ;5 IIrou ndwa tcr present, all 1M aoo~e mu~t be modified ac.;o rdin,ly.
1. Verllcal pressU..,1 in pervious. homo(ICncous. loose . ra nu lar maleria l. (Ie ii: 10- 1 em/s)
shall melude the wei,ht of the O\'Crbu rden , hydrO$la tK: pn:'S!iun: an d buoyancy (sec FII.
3/91b for nOtDti o ns)
- ~-.
p,_ 1·4 g. + 4-1• . (3.65)
•
Il ln $Oils SHl lified . , ill u.l ralcd in ril. )f97d lhere are Ihn:e P. ~allKs 10 be ca lcu laled :
p" ,. It)'. _ It,

, - , -- (
~,
,- -
<
)'; B
11+ I, Jl I~ .,

All loads - ",ferrin, 10 a pla ne at a deplh. , - an: 10 be included in lhe product of I, ,',
includin!!lhc weillhl of l he waler.
I _ ~ -"
1'" "" 1'4 y" -'--;;'-- + ' . ,', + (It - . ,) ),. ,
'.
"here g" denotes the pTC'Ssurc d...: to lhe upper la)er, i nd~din. buo)'lncy.
Ixnolinllhc 5maJlcr of P •• anc! p" by p' the erili.al load is the greater of p' and P", The
,-allK of p s ....11 be "01 las than 5 tim' ( 1{l2S Ibjft') and sh.a ll nol ucce4 I"'" p:o..lalie prcuure
Wilhou l buoyancy.
If lhe: arranlemc:m of l he layers is reversed. i.e. lhe impcr.ious I ~ yer is abaH Bnd lhe pcr-
"ious layer is below, Ihe press ures shall be computed as under 4, takina the buoyancy in
considera lion HS re'l uired .
II. The lalera l PI"C$SUn: in pcr~io~. 5Oil ~ il to be calcula ted I S l he su m of Ihe earth pre~,urc
redu.ced by bu oyancy. Hnd the hydrO$lalic pressun: . Le.

(3 ,66)

In lhe above exprnsion the value of lhe h)d rosu lic p...,..,ure is ,.ncrally p",domiolnl. For
th i, rcaS()n hyd rOSl ati <; prenuTC'S shall be elimin,u cd .... henever possible.
 $Ov,n flANOAIlO Srt:Clro CAT,ONS f Oil TU'I'oU.s

., t>eoreucally speak in" hydrosla,ic pressures nted not be con. ,.,!e<ed in solid. ,mpenim"
'"
and non·porous ma'~rials provide"! tloc voids be'ween the tunnel and the ,round I-n: filled
by ,fouting. In ;mper~;Qu~ ",a'erial, it is ,enerall)· ei,her 'he hydros,.,ic preuun: o r ,he 10lal
~~rlh pn.ssure plu. Ihe ";ei,,,, of waler Ihal has 10 be considered. Th~ reasun for lakinjl hy d ro-
Mal'C pressures inlo ,onsider.,ion lies in Ihe posl.ib,lo 'y of waler e,'cn! ually reach in, Ihe Slrue·
lure lhrough c ra,ks or fau lls. Howevcr, because Ihe chan~s of Ihi s happeninll are limiled.
the safCly faClots may be reduced in such cases.
In.he ca.'\C of lempOrary ,truelores,he ..·.,er mIIY be allo ... cd m penelra,e . hoe .,ruelun: a,
Ih" will lower Ihe wiler la ble and ellminalc h)'drosU IIC pressure. Special hoks shill be provid.
cd above such inle,s , ho.. e~e,. 10 I-Uow inspeclion o f ,he IC1ual lo ... crin, of.he waler level.
C 1 he .,!irt<:li,·,=, I-I:KI cove r ltoe dislribulion of lIydrOllatic and carlh pre<.$ur~ on double
Ion,n~. Here Ihc basic princi plC'l are:
In ,he case of a single ""~Icrproof linin, the laller Ihl-II resis, hydrollatic as ..'ell as earlh
press ures,
In the case o f a combinal ion of permeable ex'''rior wyl1, and illlcrior waterproof lininj:s,
Iu<:h as brick of concre,e ,"'.ll outside:, reinforud concfe,c linina and wllerproofing inside.
lhe lint will ha"c to reS '~1 lhe ea rlh pressure on ly 100 ,he lallef shall be designW for the
hydrostatic prnsurc.
The above deila" load$. of cotIr.iC. apply nOI on ly 10 circular ,unnel KetionJ bu, also to
shields and any other unde'around S1ruel ur~ used in ,he eonslruc1ion of sub ...·.ys.

l.'IS. S OVIET STANDARD S PEClfl CA TlOl"S FO~ T Ht; [)~:SIG N

OF UNDERGROUND AN I) ~10TO RW AY TU~N ~: I.S

(Slroileln;" Norm, , Pra ,,'a, GI. 3.,

8 . SNII' II 0-3~62 and II - D- 61, M05COW 1963)

The prin<:ipal prescriptions as to load ing assum ptions of these extensive design
specificalions are as follows:
I. Loadi ngs actin); upon lullllel structures must be assumed as a function of the
cover-depth, of geological, hydrogeological and seismic circumstances, of
the dimensions of the excavated cavity and of the construction melhod
em ployed lind of the order of sequence of single ilems in the e"(cavation·
propping proc"t"ss.
2. Dimensioning of tunnel struc!Ure$ must be elfectcd on the baSIS of the mOSt
unfavourable ':O'l1binalion of all l(),1ds and effects acting simullaneously and
in coopcrlltLon either on the structure 85 a whole o r on Its separate parts
and either durin); construction or during operation.
For this, thc following loads and effccls mUSI be considered:
(a) Basic loadings eompo~ of Pfrmanelll load.~ and effccts such as
Self· weight of structure
Vertical lind horLwntal rock (mounlalll) pressure
ElIlcrnal hydrostatic water pressu re
Pressures transmitted from buildings and structures on the clIternlll surface
lying within lhe area of subsidence
302 D£5IGN LOADS

In addiTion non-ptrmunl.'nI foods such as the weight of vc hicles mOiling In

the tunn el or on the su rface above iT.
(b) A cctssorJ' loading-combinations 10 he supcrim po~ on basic loadings from
the following non-permanent loads and effects:
Temperature effects
T ransient loads during co nstruct ion (jacki ng pressure. weight of const ru e·
li on equipment. grouting pressu re on The externa l face, com pressed-a ir
pressure, local earth-pressure concentraTions d uri ng the various stllgcs
of CIIC3va ti on and filling operations).
(c) Spnia/ fuuding combill(J/ iQlu 10 be eventually added to items (a) and (b),
e.g. seismic effects.
J. Tunnel portals lind adi l5 be d imensio ned for rock.prcs~ure (vertical
m UST
and horizontal), for full dead-we ight and for eventual seismic effects.
PermOllenl fwds ami efferH
4. The magnitude o f mountain (rock) pressure may be ~."omputed either on
the basis of the expe rimen ta l values gained at simila r co nstructions executed
undcr similar circ umstances or in compliance with the present prescriptions.
(4.1.) The uniformly di stribu ted rerriea} rock pressure prevailing in the most
common rock materials acting upon separa te tubular tunnels of 5·5 6·0 m
d ia. and dri ven by the shield method, or by some similar method providing
a con tinuous and constan t s upport, may be assumed ei.her afte r the follow-
ing tabl er o r after point S. (It may be noted that a tun nel may be regarded
as u se parate unity when the distam;c to the adjacent !lInnel exceeds:
(u) In limes' one, mar! and Upper-Carboniferous and Cambrian clays half
the di ameter.
(b) In Jurassic and TeTliary clays and in sa nd s the whole d iamete r.
(4.2.) Should this tabulated load exceed the geological pressure, then the effec t
of arching must be considered (sec poin t S).
10<,• • «<11 .......
8 • • k ,'01 ... ha bo u.... ;n M.i<>r.,lon
K;~d o r .<>ok ",",.<fI.1 .,ound ' Ia "«... ' ;"0 """,~u, .. I_ )
T.« ...
(1.'.',

F issuKd limeStone and marl " 'jlh • cube-

slKnglh. (0, _ 250-400 k&/{m' , , 10 ,.,
Strungly r",urell lime,tone Or
«1, _ 80-2.so ka/cm' )
cla~y marl
, ,.,
"
G."
Upper Oi rbon,rerous ,,.,.,
"" 20

" ,,.,.,
Cambrian
Chalk
Jura.sic
Den"" u"d, with sliahl moillurc ,onlen!
"" l3

"
20 ,. J
"
 SO"Il"T ITAI<OAItO S'£ClflCAn O"5 fOil TU .... U.5

(4,3.) Should the covering thid ;ness of the layer be less than the diameter of
the t unnel and if it is overlain by less resistant layers. the rock pressu re
must be compilled acco rdi ng to the following formula:

P.. P. - =(P.;; p,,) (lim~), (3.67)

where Po .. the rock: pressure relative to the layer surrounding the tunnel
P• .. Ihe rock pressure relat i,e to the weaker layer o\erlying the
surrounding layer
z .. Ihe distance between the tunnel crown a nd Ihe bottom o f
the wea ker la yer
o .. th e di3meter of the tu nne l.
(4.4.) For tu nnel§ lyi ng in clay and deeper Ihan 45 m below the surface the
tabulated values must be majora ted b)' a fact or of K = H/45. with H de·
noti ng the depth of cover.
(4.5,) If the tunne l is lying in a clay layer expos-:d to the scepage of watcr, the
tabu lated values are to be increased by 30%.
(4.6.) Lateral pressures may be derived from he vcrtical when multiplied by
Rankine's ralio, Le.

q .. plant (45· - tP/2) .. pl•.

5. For tunnels built under circumstanccs olher tha n those under point 4. 1.
the determination of rock pressures is to be effected as follows:
(5. I.) Wilh a cover-depth sufficiently large for the de\'elopment of nrching. rock
pressure will be defined by the area ellclosed by the arch stnrted from the
intersection points of th e rupture·p laIR'S with the horizontal tangent
drawn to the crown of the tu nnel section (Fig. 3/98). A precondilion for
this is, however, that the distance belweell the vertel( of the pressure arch
from the bottom of the weak layer o r from the groulld surface must not be
,
,
•

,_ 1-
Flo. 3/98. Assumed load on a circular
(after Sov ie l Regulat io nS)
~a" ity
6-
- "
b'2.u~(#·· ,/1)
"" uLSIGN LOADS

less than the height of the pressu re a rch itself. Should this precondition
not be fulfill ed, the total value of geostatic pressure is to be taken into
account.
{S.2} The d imensio ns of th e pressure arch may be gained fro m formulae:
B
8 = b + 2m tan (45 0 - .pj2) and h~ -
2/
whe re f - Ihe resistance fac tor vf PROTODYA KONOV.

(5.3.) Al~orJing to the regulations the roc k pressures acting upon the tunnel
li ning both ~erticill and horizontal are to be assu med liS uniformly distrib-
uted in tht: elise of arching also wilh th e following va lues

where "I = th e dry density of the ground.

(5.4.) In loose and saturated grounds (quicksand and silt) the acti ng pressure
is to be assumed acco rding 10 the laws of fluid-pressure.
(5.5.) Majorat ion fa!;tors for permanent loads and effects arc to be conside red
fo r ali loading-com binalions acco rding 10 the foll owing table:

Vertical rock when arching action is considered

( when tota l geostatk load i, considered
,.,
pressure 1'1 resp. ()o9

Horizontal aCli,'c pressure 1'2 re<p. ()OS

Water pressure 1·1 resp. ()O9

Nun·permanellf IQads alld effects

Loads of vehicles must he assumed always acco rd ing 10 the respective regula-
tions. Pressures exerted by hyd raulic jacks musl be multiplied by a majority on fac-
tor of 1,3. The em:ct of tcm perature difference must be computed also in compliance
with the respedive regulat ions. but with regard to the isotherms of the tunnel
site and dimensions and the extenl of its exposure to the elTect of atmospherit;
and tempera ture conditions. Seismic effects must be taken int o account only with
tunnels built in regions liabli.: to earthq uakes of 7,8 and 9 Bdls inlcnsity.

Dl'Sig'l slipu/miQlIs

The dimensio ning of masonry walls, portals and any kind of pennanent tunne l
lining must cover the followinS three items:
 . UElttI<CU _BIBU OC .... rHY ,os
1. Bea ring resista nce
2. Deforma tions an d displacements
J. Check of lissurntion~resistancc.

T he chec k of de formations may be omitted when the rigidity and stability of

the strud ures ure suffic iently prO\led either by pre\lio us tests or by pract ical e.~ pc·
n encc.
T he cont rol of fissurn lion- resiSlancc mus t be efTec.:led fo r normal operation con-
ditions and must not e~ceed for ordina ry R.C. st ruct ures fo r maxi mum basic
load combinat ions th e 0·2 mm and fo r addi tional acces.sory- Ioading combi natio ns
the 0·3 mill \lalue.
Statical calcula tion of lun nels must be effected after the methods of elastici ty
wi th rega rd to the strength of matcrials., i.e. to those q ual ities of the tunne l struc-
ture pro pe r as we ll as to the surroundi ng ground, and also to the spedal i li~
of the construction methods employed.
In the case of lining segments built-i n undn lhe shi eld met hod, $tre~ses may be
co nlplUed o n t he hasis that plastic hinges are brought abou t pru;sibly in the most
slTf~ssed cross-sccuons. Shield-d rh'c:n t unnel linings must be dimensioned wi th
rega rd to the r:laS lic Support o f th e surrou nd ing grou nd. T his clastic sup port
should be assumed o n those sectio ns of the pe rime ter where defo rmation will
take place toward s t he gro und.
T unnels co nslTuetcd in o pe n cuts must be d ime nsioned according to the theory
of elastic subgradcs wi th reg-.trd to the elfec.:t of lateral ground resista nce.
Young's modulus (£): Poisson's ra tio (p ) a nd the clastic subgrade coefficient (C)
\lal ues must be assumed o n th e b.1sis of in\lcstigat ions of Engineeri ng Geology,
of lahoratory and in si tu tests. a nd of observatio ns lind measuremenl5 take n on
similar struct ures.

REFER ENCES - 8U1 L10G HAf' H\'

ANO"' . ( 1951): In'. FMIt,aglillfl fiJ~ G~b!'fI·,d,"dlr~n. Lc:oben 19$0. Urban, Vienna
ANOS . ( 1958): l'o,,,lIl1r 1",.. ,,,,,, ..,,,...lr, Gr/Ji,gsdrllr/t'Q{llIlIfIcn. LeiplIl 1958_ 1964. Akad.
Verla8. Herlin
Krll{)f ~ , H. (1968): D.u natCirliclle OewiJlbe in S.ol kn- und T llnnelbau. Olr Bllulu/milc , 4
Bmtltlr drr LjjndmrrffM 1- 5 de,· 1'1' . H"ro~ liir Gtbirgsnrulranlk. Lc:ip-.iK 1960-1965. Akad.
Veri_II- !kr1in
[J" ir., dr.• It". S" flpoJjon't iibrr Gr/);,gd,ucks/,UII'''. L uttm 1972
B OC"'\""lVA. O. and lu.... lKlv. I . (1%1) : Hyd'(JlIllC Tun,..,'s. (O idrOlcchnicheo-koc Ton ndi.
ru,s.) Moscow : Gonene',oLda !
D u"",u1". 1'. (I'HiM) : Comple rendu du \- Congm Inlerllalional de M«aniquc de5 Roches
Li~oonne 1966. La Rr"ur dr /"IlIdllslrie Min"'ul~, .' tai 1967. and No. Sp«i~ 1 Dec. a nd
Lc:s Dtrorm ation s dins la mo:callique des rochu. SympOs/'m, Madrid. 1968
Gooo ...... I<, R . E .• l ... ¥w. , R . L. Ind HII.[ K]{E. T . L. (1968 ): A mlXkl ror the m~haniC"'l
of jQlnlcd rock. Pr(K. ASCE S{II DID. May
H ... n .........", D. E. ( 1967) : Rock M",h.:Ini<;s In~lrumenli lion for T llnnel C o nstrucl lon . TrrrQ-
mtlrlo. Inc. Golden. Colu'ado
""
Ih ~T$CH£", R. (ISiH): Sp.nnu n~n a n Tunnd6lfnunp:n mil r~h(<<k'sem '1utzquerschn;tt
lind kn:isOO,.:nfijrm,IC' Otoc.,wtjl btm C. BOIi/lllltn;rlir.8
I IOI. VAT H, J. ( 1 9~4) ; K 61~l n yomAs i clmc1ctck. ( R oc:k pressure theories.) IMny41' OII /..Ilpok,
Feb. Th~sil jor srfrmi/k drg"'t. 8 dnydJw/' Lt,pok, 1972
J AEC KLlN, P. (l %~): FclSn1~"Cha m k im -ru nr>elbau. S~h,.. 800ul/l"'(I, 17 468
J.. l<" l K, J . C. un~ Cooo::, N. O. (1969); FUlI/lulI/f'IIlDls ,,' Rock ,\/u/uuI /a. Met huen & Co
Lt d . Lo ndon
K.o.nN( R, II . (1%2 \I. 1971); Slotlli tks Th"'U"-lirW Slolkll/)("",... lkrJin- GilUlAscn- Hcidel·
!KI ll. Spri nF
KovA." K. ( 196'1); Ein lXilra& zur Ikmusunliproblcm dcr UnlCrll,ebautcn, &h'_
/JQu:tg. Sep •.
Lo'!.",,,,ol. G . (1969): De, I:.inuss dc. FelSoe,~n\Chlflcn auf die Slabi litil von lI otllrlumc:n.
Sc~ w. lIo~"g. Jan.
LOOlI, W. and BkIlTH. I I. (1949): Kritische Delrl c h!ung d". T unnel_ lint! Stollenba lles lind
der Ik rcc hn llna dei Gebirgsdruckes. Dr. H""i"ll~ni~ur, 5
MAnM, A . (1965): I. a Ml!can'que des R()I:hc:s. PrIX. 6tlt Int. Coif/. 50iI Mtr~, Found. £ngg,
III 104-113. Monl~.1
MOHII, r. ( 1963): G.birgsn~rlI'mik. G oolar: HObner
MOl.u •• l. (1960)' l:lrochen und FIi<:sStO in der aeo1oaischcn lind mcchlnilChcn Tetmino-
lolPC'. Goologr; u. 8o...·rsrn. 1-J
MOLLf •• L. (1963): Drr Frlsbau. Fcrd. Enke Verllg, StllUgan
NUlMASN. R . ( 1964 ) : Grc10glr fo, 8ouing~ni~ur~. W. Ernst. Berlin
OU ~kI. L. and DUVAl., W . (1%7 ) : Rock M~(~,,,,I(J anri ,ht Drsig1l (If StrU(' ''US In R/Xk.
J. W iley &. Sons Inc. New York
I'w(udings (If th. /lrs t COllf/rus ()11 R(lrk iIIrchlmi('". U~bon 1966, La bor.IOrio dc Enacn-
haria Ovil, liJoon
P.,,....rJi"fls "f 1M sr('lmd 111/. C(lI1jJrtss on Rock .\fU/IIlIl/ct. BcogrJld 1970. I 1U
I'rocudi1lgs of Iltt I- liII. CO"i/rrSl 011 TrrlvflclJl Probfrnu ill ,IN- r"'lSfrU<"lifm of Tun1lrls,
Torino 1969. IX. 26-28 Torino. 1971
1t .. .,nWIl"Z, L \19.\4): AlIS de. Pruis de_ TunMlbaues. Einig.: Erflhrun,en liber cehlen
Gcb ir8!;druck. Goolollir u. 8ouw.srll. 1-4
ROTIT •• D. (1960): OINr dlr DiskUJJiOll zu, l'.ifl~·i~Hultfl dr, G~lNrgsdrl«:krltro'irll in drr
Sol'irl,Ullion in tlrn J"~rrn 1958/59. Akacl . Verlall. Dcrlin
SAV IN. K, (1956): Sp""'''''IfIU,hvh,,''fi "III R"nlit t'OlI Lllrhnn. Berlin: VI:.H Verlag T~hnik
ScHNlrrER, G . ( l96l): Th ~o~liKhc Grund lugcn <l~r Fel<r".:cha ni k und atschi chlli~hcr
RCkkblkk. Srh.·tlz_ 8ug, l . <lml Ve'6Ife~lljchuna Nr. SO. Sch~·tl:. Gu. fu, Bodtnlrluh,,-
nit und f"u..rJufl,m." 'trltnit
SoN()UEGGlR. A. (1%1): UnfrrirdisrM 8aultll. 1n,eni<:ur- Handhuch, 78. Auspbe
SrACKlUR. H. (1911): Ikr hcuu,e Slant! <ler <ieh<r,sdructfra,.en. Drr 8"/1/)0" J4-lj
SUN •• J . (I~52): n .. r Geborjpdrllck und "",ne Berechnllnll- GtaIOilI, u. 8a" ..~Jtn. l
S71LvriieYI, I. (1952): K,ju'n,wtllil; t/mjltulr. (Rock prnSlIl'e 11oco....... ) V"ogatoU fejeuld:
az alallul~pil~" boi.ny'nal; melyl'pfrts H\n;~1. ISela::led chaplttl on IlInnellina a n d
engineering constr u<;lioll' in "', n ing.) Mu~uki Kiado. Budapes(
TAl.o8 RE, J . (1966): I... mi.·"niqut tin mc1itJ. D unod. Paris
TtJ\Z~GH " K. (1946): IMrod,,«ion fa TlmMI Grology. Cunune"ial Shearinll ancl Stampina
Co. Yo ungslown. Ohio
r$'''' ''ARVF'''Y'II, P M . (1952): Vopros; dad,IIiyol flMII)'Ir~ porod. (Ql.ICslion. of rud pres-
SUTCS.) M oscow
W'LH£lM. J . ( 1964): Observations des mnll\<cmcnIS d-lIfIC nappe d·e.au souternine entourant
line plcrie d'a<ldUClJon d'cau en rocher. Srh ..·ti:. &U:I/I. No.2
Wrrnf, W. ( 1910): Three cI,mensioMcI pc~olalion of rClLularly li.slIrco.I rock. 1',,,...
Symp.
of Opm PI, Mintl JohonMJbu,g, Sept.
 DES I GN OF TUNNEL SECT I ONS

4. 1. GENERAL PRINCIPtES A~D H IS TOR ICA L DEVELQI'MEST

OF DESIGN METHODS

It is genentlly recognized fuc t tha t stresses and deformations measured In

It
existing tunnels usually do rlOI agrcc with those predicted on the basis ofcrruin
assumed loads and/o r accepted design methods. There ure many reasons, ofcoul'S(,
10 account for Ihe discrepancies including:

I. Design loads and assumed pressure distributions may not correspond to

aClual conditions:
2. The regarding lIlatcrillls and struct ure or the lunnellining lIlay not display
the elasticity, rigidity and the other char.lcteristics assumed in the design:
3. The design assumptions made fo r the calculation of stresses are not quite
accurllte:
4. Certain initial stresses muy develop during construction thul have /lOt bttn
allowed for in the design.

It follows. then, (hut it ad Visable 10 use somewhat higher safety fJetors In

IS
the deMgn of tunnels and that the loads should be considered in every posoible
combinatio n.
In the design of underground stru(:turts the surrounding rock a t tim 'us
(ollsidcred only un edernnl IO;ld a nd the effect of a ny eln~tie suhGrade reaClion
was disrtgarged, Monol it hic slOne and concrete Imings were designed as archei
according to the theory or elasticity, subject to active pressures and ignonn! any
passive resistance 10 the deformations liS rna)' ha ve been o l1'erOO by the surrounding
rock. Flexible linings u~ in shield driven tunnels were tre3tOO in much the oame
manner. The bearing pressures were calculated rrom purely elastic equilibrium
considernti()ns a nd assumed to be distributed as undcr an infini tcl y rigid body
(Fig, 4/ 1),
More ad\3nced design methods were fiT'5t introduced by KO.\I~EJt[LL. ROlA-;OV
lmd HEWElT, ill which the resistance of passive earth pressure to structural
deformations W(lS rta1mmended for consideration, In these methods, /toIItltr,
the monolithic hning was still treated as a compositIOn of arches and walls, i,e,
of s<::pu rote members even though rigidly connected, Neither the deformation of
the section as a whole. nor the interaCtion of the defo rmations or thc composing
members was (:onsidered lFig, 4/2).

"'.
 GENlltAL PRI!<CI PLU Of I){.""o; """-HOO'I
FrG. 4/ 1. MOllolirhio; na,d
runnel ~r ion wilh no
eiasr,,, subi;rade rclcrioll

Komrf.kf.U.:s method (described in Section 42.1) was mod ified la ter by ROLA-
NOV 10 include the friction force S, under the wall base. This, of course. h a prc-
requisi te for a base whose horizontal displacement is assumed 10 be l.ero. In his
melhod for mono lil hic circu lar ring secllons (sec Secti on 43.23) H[w[TT IIlso in-
eluded the passive ea rt h resistance. Howeve r, the distribution of the la tter waS
laken as Irape70idal. a rathe r arbitrary assumption, an d was calculated assum ing
no change in the length of the horizontal diameter of the ri ng. In these design
methods the effect of passive ground resistance was obviously oH restimllted
which, In turn, resulted io lower sa fety factors.

-{ ~ _ _ _ _L F lO. 4/ 2. BUIll-up I«cion

rr suppOrted by Pl'ni\"e
earth resistance
In order to improve design accuracy, the Sovid uperlS DAVIDOv. ZLRA90v-
BOL.UAYIi"VA. Ik)l)ROV. MATFRI and GoRf.UK have attempled to include: the inte r-
uelion be tween the dd"onnations of the monoli thic and fle", ible structure and Ihe
elastic subgrade reactions. All the assumplions used in these methods were based
on the fo rmu la by WI KKLER P _ Cy. i.e. on Iht linear rdationsh ip betw«n pres-
sures and displacements (Fig. 4/ 3: Secti ons 43.3 a nd 42.2).
It is generally recognized today, that ove r-rigid lunnellinings are not economical
to bui ld. Lateral suppo rt can, and should, be utilized by designing flexible section!>
 G~N~RAL PR I NCIPL~S Of OESIGN METHODS 309

t.tt'li/ JC!lff
NrlIJ pr!1!Vf!

flulle
Jllby~lf!
rncfl(m

llavidiJV
FIG. 4,'3. load~ on a tunnel section wilh lateral ground support
considerinK eiaslic· deformal ions and sul:>grade Ull.cl ion~

which will expand horizontally under vertical loads. Flexibility will a lso allow
self-adjustments \0 follow Ihe thrustJine a nd may prevent damage arising from
loads which inc rease with time.
In hi. ",udy, \) r. F. M OllR'" draws allenliun 10 lhe changes in loads as functions of time.
In r<xk s wilh plast ic ~ha,'iou r load s On llie tunnel "",tion diminish rap idly in Ihe wake of
Slruelural deformations. This is represe nted by a desc<ndinll line: (1) in the q - ~ dialiram
°
(Fig_ 4/4) as an indica1ion of Ihe eominuou. de<:linc of the stresses with increasing stra ins.

,
,,, I ~_

,
,;'
,
_____ -l- __

__ -
-'
I

,
....
I -
_~.J..~
-- 10 ' _ - -
__ ~'

,"
,
-

E, ", E•' E
FlO. 4/4. Load reducl ions with inc reasing stra ins in pla"ic
ground (b~ M OH R)

If cena in st ra ins (I, ) have deveiollCd prior 10 Ihe commentinll of l i nin~ operation" the ,niliu'
stresse. are rcduced to 0. accordingly. As strains comi nuc to increase the load s will also
grad uall y i!lcrea"" on the lining (I ine I). Tho: load go,.."ni ng the dc~ ign "ill l:>c that correspond_
inj; 10 stress 0". as determintd by the point of inter"",tion ( lJ) of Ihe 1"'0 line •. Com inued
deformat ion, in the r<xk. or course, arc on ly made possible Ihrough Ihe flexibi lity of Ih e linins.
In Ihe case of a rigid lining t he loads would be determined by Ihe stres$es prevailing al Ihe
lime of con.truction (0,) ,

•. , MOHR. F.: Gebirgsdruck und Ausbau, Gluckalti 1952 27-211.

 Compressibility of the lining and the modulus of e)aMicity are al so comributing factors
to flexibility. The sm allc r £ is. the flalte r the line of load transfer become~ (II ); the point
ofinterocct ion is shifted to D ' and the resul t ing strcssn will be smaller (0,). It must be r.... mcm·
bered, how.:ve r. that the above ob",r"ations app ly to genuine mountain preSSlJrcs o" ly. The
de,·tlopment of the stress·fr« body.giyi"a rise to relaxation pressures and the resultinaloads
cannot be reduced by try ing to promote such deformations. On the contrary. solid supports
~o nst ructcd hurriedly will set a limit on the fracturisation a nd o n th e propagation of the
zone of relaxation (cf. Fig. Jj62).
In thi s case the advant age of section flexib ility lie s in the increased latera l around suppert.

It is well to remember that maximum loads are not necessarily encountered in

the finished stage. but may occur du ring constructio n as well as some time afte r
completion. This will also depend on the construction methods employed and
on Ihe type and cond ition of the rock su rrounding the tunnel.
As diS(;ussed in Cha pter 3, loads on the tunnels include the weight of the oVer-
burden, self-weight, weight of installations. live loads both within the tunnel and
on the su rfa~e and tcmporary constru~tio n loads (su~h as com pre~sed ai r, jacking
thrust, etc.).

4.2. DESIGN OF HORSESHO£...SHAPED T UNN ELS

With the extemal loads dete rmined as described in Chapter J and Section 4.1,
the actua l design work can be started basically through reiterated investigations
(successive approxima tion) as is usual for statically indelerminate structu res.
Empirical d imensions based on existing tunnels are assumed first and then checked
either hy the earl ier gra phic or by one of t he more recent nume rical methods.
T he procedure can be greal ly ex pedited hy using various design tables dcveloped
for arches and circu lar sections. Ad mittedly, these tahles do not consider Ihc
exact distribution of loads and use either point loads or knife·edge load s or distrib-
ute the loads in an easily man ipulatable ma nner. T he errors resulting from the
simplified d istributions, however, are much smaller than those involvcd in thc
computation of rock pressure.

4.21. DES IGN B" M EMB ERS

Consistent with the classic step-by-step tunnel construction methods (Sections

62.2 and 62.3) the earlier design methods considered the top, bottom and wall
sections as separate members subject to inter-reactions ensuring thei r rigid cOn-
nection. It was not correct. o r course. to ignore the deforma tions and displace-
men IS or the above members because the loads from the supported un its will
cause certain displacements whic.h, in t urn, will again :lffcct the react ions them-
selves.
 m ;.'l10 N UY MlMUUl.'l 311

42.11. Graphic [n\'esUgation (Kommerell)

With a sel of empirical d imensions estahlished and the rock: pressure computed
either by theory or by specifications the loads and thei r locations can be de ter-
mined as follows (Fig. ~/5):
Sliding surfaces are started from the lower corners of the walls at an angle of
45 + tP/2 extending 10 Ihe crown and then continuing in a palabola or eUipse
0

of height h thus defining the "burden zone", i.e. the zone 10 be supported. A dia-
gram can then be .::onstru.::ted for the lateral pressure!i in the u~ua l manner and the
ar.::h as well as the wal! are sepamtcd to form individual membt:rs. The loads for
ea.::h demen t of the ar.::h .::an bt: ohtained hy proje.::ting the limits lu the diagrams
hOrizontally and verticall y. The verti.:;al load is V = .1'1 ; YI I~ r and the hori-

. '>:1 + x,
zonlal load IS 11 .. 2 I,. In add ition to Vand H each clement also has to

carry its own weight G; the resul tant of the three forces can be constructed as
ill ustrated in Fig. 4/5.

v~ ~ 4}
Ii. XiX' I.

FIG. 41~. Load, acting On

elementary strips

The above loads l'lln also be delermincd in a simpler mannn, particularly when
used ill analy tical calculations (cf. Fig. 3/95).
0nce again the burden zotte is constructed firsl and then the pressure diagrams
are evened out between the vertical lines raised al the tunnel limits. Loads
should be computed separately for the centre portion and for the two end sections,
The vertical pressure diagram will thus consist of Pt ordinates in the ccntrc and
the smaller p~ ordinates al the ends.
312

Laleral pressures are 10 hi: calcu lated from P•. There is no significant difference
betwt:en the two methods: the um.:ertainties in establishing the depth of the burden
zone are considerably greater.
In fact either method may be adopted.
In rock where there is no lateral pressure, the sliding surfaces at 45· + cfJI2 ure
omitted and the burden zone is as wide as the t unnel itself(Fig. 3/95a). The vertical
loads have to be balanced by bearing pressures u'lder the walls or under the entire
inverted arch as well. The hori:wntalloads on the opposite walls are in equilibrium
in themselves.

42.111. Absence oflolerol press'lfe. We shall now consider the first case where
there is no lateral pressllre and therefore no need for an inverted arch. The prob-
lem is one of constructing a thrust polygon under the external loads plus the
self-weight through the crown and the side walls in such a manner that the stresses
due to eccentric loads do not exceed the al10wable values in any cross-section.

There are four conditions to be satisfied:

I. The thrust polygon shall be contained within the inner third of any cross-
section and there shall be no tensile stresses. Both conventional (brick, stone)
and new {concrete hlocks) building materials can withstand considerahlecompre~
sion and, in fact, a certain amount of tension. Il owever, any such tensile strength
cannot be relied upon because of the very nature of the interlying mortar.
2. T he maximum compression stress in any cross-section shall not exceed the
allowable value. While the allowable stress depends on the particular huilding
matcrial (stone or concrete) it is not equal to the strength of the latter. The overall
strength of the wall is onec again governed by that of the mortar.
An allowable compression stress of t1 = 20 kg/em~ (285 psi) was widely accepted
in the dC'Sign of carlier tunnels, but wou ld be considered unreasonably conservative
loday. Stresses as high as 100 kgfcm 2 (1 420 psi) and 134 kgJcm~ (1900 psi) have
been measured in the crown and walls of the Gotthard tunnel, rcspectively,
without any visible sign of damage to the brick matcrial Illid in cement morlar.
Today, it is customary to allow 40 kgJcm2 (570 psi) compression in wllll~ of medium
quality and 60 kg/cm 2 (850 p~i) where better than average quality can be <:XpeCled.
(The allowable compression in the Lisbon Subway [brick walls ) WIlS 70 kg/cm 2
(1000 psi].
3. The third condition calls for fairly uniform stress<:s in the various sections.
This is. of course, generally an ambition of theenginet'r, serving safety and econom-
ics at the same time.
4. As a fourth condition the thrust line must cross the neutral axis at least
twice for stability considerations (Fig. 4/6 and below).
Allowable soil bearing pressures may generally be increased by 4 kgfcm1 (60 psi)
if an inverted arch is adapted in the design .
In the first case we have assumed th::lI an inverted arch was nOI required because
the tunnel was subject to vertical loads only.
 1)(" ('1" 8V MEMB t ll!

F '.... 4/6. Co ndition, luvern;nll

the conSIn.l<;tK)n of
a thru st line

'i " II!

2)C, 't"...
I
~14- . ~'''''
~ rn.":t, ;,;

'.
-----1
I
In his ~Ihod. KOMI\IU E ~ ~ Slln. au' b y d,vidinl Ihe c rown into "lem"nb and compi lin,
Ille l(),Ids into a veCtor di agr~m ( Fig. 4/71. The pole is eSI~l1h sherllrhitrarily alan, t he hori.
mnllll,,,,, prr:cedinillhe fin;1 fo~ (0"). The l"C'!Iu ha nl o fille ulernall oad~ cln be determinw
lnd/:penden lly of the 'Kh. TlIc thrusl line <:ltn now be constructed $0 t Mt i, pas~ ", thin
the inner th ird poin,s and c rosses the neutral ax is It lust I"",cc:. The area bct"·e..n Ihe
thrust line and the neutral axi~ represents Ihe mo~nl ",all,a m (N--',) (F i, . 416). Fo r best
rCiul". t llc~l gcbraic ., um oflhe .reas of the moment diallram should be zero. as shuuld be tl'e
Inornen l of those areas about tile . pr' n¥'n , 10 diminale displaccment ~ t the latle<. This (In
only be acllieved "' ith momen ' a..,as of alternate signs. u condition already mentioned.
Tile: t hrust line can be eonsln.tctcd by trial and " rror. For a symmetrical K<:1.ion subJClCt
to symme lrica! Loads the th rust line is homon lal at , he CTown. The Ii.., line of the pol)"lon
can thu s be drawn tentatively through th e outer third point at I.... CrOwn and then utended
to intcIXCt the resultant. The closine line Is drawn throullh thi s intersect ion and throullh
10 arbitrary poin t al lhe sprin,inll. To mike fuU use o f the desillned soct,ons the a rbitra ry
pu,n l has to be locaied apin ....... hlO l he IIlne r Ih ird but on the o ppo5l te s,de of tM neu tral
axi,. A line d rl wn in tlte v","'or d,aVlm from the end of lhe I.~t fortt and para lle l to tlte
cloti ng line will est ab lish the prope r pole (01 u the POilU o f inttr$eet;on willt the li"'t hon·
zun lal line. With the Ihrust Ihul dctcrm' nw both at tile crow" (HI Ind .t 'he ~pringini1 (R)
the thrust line can be com pie led Now is the lime 10 check ,,·helher the luumed pol)""n linel
Itlve been positioned correctly I t 'M cre" n and at Ihe springina. ..... hether tbe Ihrust lil>C'
cros1C.'S the neu tra l axis in al least tw o points. whether ,t passes "' il ltin the inner third of all the
cros~·~ctio n s. whether the Sires,... ~rc rea so nably un ifor m. elC.
Discrepancies, if any. can be corrClCted by shifting the Ihru ' l line al the crown and al the
lipringing, or _ if Ihis is impossible _ by c hanging Ihe ~h. pe and lor lhe Ihickn= of Ihe
arch .
The "'ails will be investi&a te.! ",,01. The ..,actions from the . reh ",II fore<: the wall s again5t
the natural ground ,.."ult"'K 10 passive carth prc~~u,..,s bt:hTnd them.
Fif>t Ihe IHlount of pas';,·e ea rt h pressure ~s ..... el l IS iIi di stri bu tion and localion should
be com ptl led. The horizomal eomponenl can be read, ly obt amed : b«luse of lhe equilibrium
of III horizontal 10lds the homnn,al eompotM:nt of Ihe p~.si ..., ea rth pressure (E"> must be
equal to tlte thrust at t .... crown (II ). As the wall ....ilI "It under Ihe abu tment prC$sure t be sh ape
nf Ihe pas~ 've earl h p,enure d iagram w,lI be ei,her a trianele Or a t.apunid . To determine
'"

I
I I.
i
I
'-i •
I ~r'I""

,
"
, •• '" I
..
,., I c.. ¥J f- 6h'I)·#-,(q,f
,, " ., I~,

~,

d,' fjj (1-1ff)'!()'f~:""

, " "'" I .( . f rJn~;/'{IoU n

," N
11·$
D''''<:;
t1... W. !6$~#}·
, I
," ~I

~~C; '~I¥h'

FlO. 4i7. G ra phic inve$liaalion by KONMU.n.1.

t ile line o f the rO':Suhanl on~ has 10 COD,ider all the for~ that an actina on the ",pil, Le. IIIe
Ilmnl from the arch (.. butment pressun). paMi~ earth pr~nun.lClr·wciahl and IIIe bearina
p'e\..... res and friction under the wall. In grapilleal invesliaallOn!l the lattcr can be il!lO~,
c'-cn though Ihe base will ob~iou ~ly h ~ vc '" mo'c horizonlally to he consistent wilh the
parti.1 distribu tion thaI hi! been assumed for lhe panivc earth pnnure. and even lOOuah
a f • ...,tion fora S. will n....".sarily III'-c 10 ok.c lo p. AttordlDK 10 KO~"'EUU.. the pas!oi'-c
unh p,es,urc ""ill not dc.'C'lop IQ the full depth of the " 'a U bul only In the undiStu rbed lrel
ncar the oprinllng. IU "'oo ld follow from Ihe ",,,thO<! o f con SlrUClion . The equ ilibri um of abut-
mcnt prenu re. earth prcsSUI'l:. sdf-v..ciaht a nd bearinl pressure, is I'l:fkcted in the clo.ed
pol)lo n of forces. The locatIon of the Ihrust line and of the seJ[-wCllht has!lttn detennined
earlier. When IISing elemen tary 'tr;p~ the reiuUant of tbe thrust line. IClf· ...·CIAht aOO pa"iYl:
.arth pressu n: $hall be carefully <;Qntrollcd '10 that II 51&)'1 ... it hin the inner third at Ihe blose
u "ell as half way up the wn ll ... rn"rc tnc wal l section i ~ u~ually tile thinnes t (Fia. 4/1). An
nll~mpl should Ix rn~de10 keel' tile ,esullanl ncar 1M centre of the base to pre"",,,,, uniform
'"
bearing prc:"l"e~ , It is advisable \0 au u me an a rbitrary l(>C'1Ition for Ihe resuitam of the bear.
ina pressu~ and project ;1 vcnicaJly up ..... rds to inle,""""l the thrust from [he arch. BeclUse
of eqUIlibrium the resuhant 0( the pas,;"., earth pressures hal to pan lhl'o\lgh this p<.>in l
IS ,,-dl. The pII~ .. . e "rcs.~u"'" a", 1C''''''IJly inclined at ~ _ 20 -30 to the horiLOntal (I'.,re.ence
" 'orks recommend Ihe use of 'an . _ 0'3-0-'). An Ingle of • can he 11S"mro consistent
Wilh the l)'pe of ,round malerial ... I\leh will abo determine lhe direction of C, lllhe same lime.
The di.,ram for the disuibulion may be taken as :0. trian,lc, The dimensions of Ihe d,al'.'"
(d i~tancc x, a nd t he naCl localion of C.can be cakulaled by equaling Ihe Lillin; of the ri,id
w, lI 10 Ihal of the basc. al folio",,;
The bearina pre$$UreII are caieula'etl as if Iheir result.nt ",as in the Ulunw:d loca lion.
Hecau ... of ' hc lrap"'fQldal prc:<.~\Ire diagram the bl5e will undergo a roll " on, thc ana;lc of
"'hieh will Ix in proportion '0 the ratio of the difference of u. and o. o,'er tile width of Ihe
bl5c. A55uminl delinhc proportions Ixl"'",,,) the ~<.SI"C carth pressure Ind the I>ori~onta l
d"placement of t he " 'Mil, a suuila' ,allO Can be de~clopcd rellardinl t he passi.-e c;trlh p~rc
diagra m, The anile of rOlalion ,hould be Ihe same for Ihe b~ ... and for Ihc wall bcc:ausc
of Ihe rigid eonnection. T hus

o. _ ".
b --". )x
bo' ,
<1,' }x _ E.

and hence
". - 1£.
h

1£. ". ". , ' 2£ .. b

SUbsll lul'nl
'x, b ,,' x_
) ~· o._.,. '
•• '" ccnl'''>elen 1£.
","x' - ". b
".
'"'
x_ _ I
30
!.U .. b
o._a. . (4,1)

( In the abo~e formulae all qoanlilies a re in cenlimclrcs; division by 100 rcr~ ..... to a .trip
of ,.-all 1 m "ide.)
FilOrC 417 shows Ihll lhe passive earth pressurl: dia,ram can now be compleled and "ilh
the location 0( E. kno..,."O, the reIIUllanl of the bearin. prenure, and 0( the. horizonlJll load
can be locatcd. Finall) the polylOII of forces ~n be eompletd and lhe funicular pol)'lon
can be constructed,
In the nc:XI step the §<'Ctions shuuld be chedcd for Slrcsscs.
Tunnel scclion~ cunslfucled of brick. concrete or StOne blocks arc .'cry ortcn de,ilPled
by Ihe above I •• phie procedure. It musl be borne In mind, however, thai E, and x ha\'c
bc<:n de termined arbitrarily, bttau~ lx < It imfllie§ Ihal flOln l A is the ccnlre of rolallan
an d point 0 hai 10 mo •.., iO"'ard (h •. 4 /8). Thi. mo,'cnw:nt, on tnc other hand, will ""rll;nly
tkvc:lop a frietloo for"" S, which Ihould then be laken illio account 10 lhe balance of the

a fixed p<Kltion (Rol'. ... '1ov) and thul )x". It. bu t S, _ 20.. - H ",h,ch
,
norizonlal fortts. In practical C1I$I:S. ho ....e""r. there IS )ulf"",ent fricliOO to k~p point 0 in
~hou ld be less than
It>.: ~.ailable ma~""um of Wtan ';'. 17, can be computed dir~tly from m(.Ornent Co)Ill, ideration s
.... ,Ih reference \0 fIOint 0;
<1.It'
'"' Rr+ W/~,
)

+ WI. )
and hena: 0,=
}(Rr
,. (4.2)
 '"
,

I
..'} .~", I

,<• •
~ , ~
...• ."
,
;
I
-,
•
N J6~" -;" 1
,< '" U AA"[ If'
*' W> I un ,.,
"
•
. ' '<1 :/,.

" "
FIG. 4/8. Graphic investigatIOn ~-.;>n~idcrjnll Ihe horizo~13 1 <hspln~emenl of Ihe base

Ao:IulHy the yalue oJ S , C()uld now be dctcrnuned . Tllere ;$ thil incoru.is~rKY. hm'"c,'er. ltuol
. he ba!i.C ",ould have 10 rno..., owr 10 mobilize friClion . ,n .... hich CilSC the p~ivc urth res"l -
ance ....'Quld nOI develop behind the full heilhl of 11K ""111 (/I) hut tva heighl of 3x only. rOT
a base rno""m,,111 or J ,",'C have

.... here C = . he coeflki<:nt of suhlll1l<l" reaction •

Hel"l« X may bc up~ u x _ ..'
3(". + C .J)
. The mo_nt .J il limiled \0 1- 2
~m (3/ 8"-1141 (Ihi. belOit Ihe upper limit rC<l uircd 10 ductap 1M maximum friction of lan ~ .
tile value of which has 10 be determined by a thear lest) and so a pa.sivc unh prc$I Urc dis-
tribut ion mer Ins ,hln the full dcptllll is Juslif~d only for larae values of C. Th~ con, IrlK:·
tion in ria. 4/8 , lIo~tra!C.·s
a case in wllicll 00111 S, ~nd E. lIa~c been considered. Assoln'
,nl I _ 0·3 mm (118,,) Ind C = 20 ki/cm' (790 !Xi). for Ihe lII~n h _ 4-97 m (16' 3 SIB' )
Ihe result s would be 0,_
23'4 11m' (4'79 lb/fl') and JC " 1'32 n1 (4'4").

In the second C:lse the tunnel is subject to

42. 11 2. iAltr(J{ prl!!$$IIf?5 Pf"'sPnI.
laleral pressures, and an in"erled arch is required. To investigate this problem
Ihe simplest method is. o nce a.gain. a graphic one.
 317

, ,
, I
,I
,, -
>'.
••

, •• ~
"
~
\ -
' '":''
,

, ...
( , :~
.... ,- ."
•• .. -
~
! • .,,.
.,~ ...
"" ;.,
•• M M'

•• ,,~ •

..
~
~

-
-
-
~

.'
..
~

*
N.

.! ·....
M~
" •• M
1
4 _~=
' -- - ..
I ...•
, '-f _

'"f.1! ...
~

~ ~ ,

··...
~

l o\.~
,i .~

r iO. 4/9. Graphic in~estilaliun ~uns;dcri"1 active lalcr.' pTenures

Tunntl. ~uinllhrouah loose and sor. malenals are subjl'CI 10 \ertical u ",'ell as 10 literal
loads. B«ausc the compu illion of forces and tl~, r loca tions h.\·c ~n discussed carller.
VIC proceed directly lD .he ,nvcstipllon o f . he walL
hI . 4/9 ~ho ..,~ a tunnel scclion wilh em pi rically establi.hed domen),n".,
T he invCSliaa.ion sho uld be illned wilh. lhe a rch Yl Ihe lOp. The r<:i ul lanlS of the forces
on the a rch it determined tirs. (:;0:.: the polygon above lhe " .. h line). T he ,hru", line is ~On ·
Siructed 11(:11; in Ha. 4/9 It puscs Ihrmlill the OU ler third poin ' of.hi: em ... " and th rOIl.h
Ihe inner third point It the sprinlonl. A hori~ontal line t hruullh the upper third point of the
crown is c:<tended 10 inlerxct the ~Il~nt (tM lone IS hOrizontal undcr Iymmetrical 1000d)
only) and this point is conroeeted .... ,th the inner third poim al the sprin,tnl A line parallel
to Ihi~ and ~tarlinll from 1M end of tM resuhlm in tIM: force pOl)"Ion will yield the values
for tIM: thrust at the crown ( H ) and al l he WrlnHlnll (V). Wi th tM pole thus determined the
thruSI line can be: (omple lcd for t he entire ar<:h, ch« ked for Ihe conditions d iscu,,,",, earh·
er ~nd ~dJIISl ed If nea ..... ry. Thi5 procedure Should bc: ~p"ale<! unlll all 1M conditions
have been S&lis6ed.
If thc arch is fou nd to bc: sallsfactury, Ihe IhruSl line is extcnded Ihrouah tho: w.lI~ do"n
10 Ihe baK. The three forces 10 be balanced a re the ~1t1ion under t he ba!oC (WJ. the r"",,Cllon
unde r lhe inl·trted arch In and tile Ihru51 in lhe bollom arcllIH~). The burinl prU5ures
un de r lhe 11"111 bas.e and under lhe inl'cne<! arch are ass umed 10 be d istributed uniformly.
To oblain the IOCltion and Ihe dll.:<:liulI of Ihe t hrust, the lasl line o f lhe Ihrust pOlyaon I~
'"
ulcndcd 10 ill l"l1«l the vutical r~uhan l or the bearing pre~~u~ under tile ...... 11 base ..... hid.
is auumcd to DC! ne<lr Ih~ cenlre. This poim (<I' CQnn«lcd with the interJeCtion Orthe resultant
of Ihe bea.u', pll'l'$urcs under the In,"crew arch and of the hor;zomal thrust paning within
the mner lhif4 of the lowell! ~Iion (b) defines t he di~t,un of the I hrU~ 1 be,,,-,,,," the w~11
base and Ihe invcrted arc h: I he fore.: il<elf can be !lCl.lcd on Ihe paraliel line in the fora:
diagram (V'l . Thl ~ I,nc 11.0 ",Iabli,hn the vertical ructions: the lO'H ' belnll the reaction
under the .... all (W) Ind the upper being Ihal un(\cr the in,,,ned arch (T). The Ihru., iirIC'
c.n IIK-n bc refined (onsiderinl lh" distribution of the bcaring p~'>U res under ."" ;",..,rled
arch .s .... ell.
1J«"l>Se of the favourable d'fttt of lateral prcuurcs on 11M: thrust linc i, shoul d be care_
fully consi~Kd ... lKllKr in In IClual elK In '~1i'e laleral p.."...ure ""II "uuerial ,~c and "s
valuc sllould ~ kepi 10 • minImum on doublful ca'ICS. l i n oilier words 11K Inak of inMr
friclion ' hall be laken al ,I, maximum and .~ colK~ion sllall .110 be included in 11K
calcu lalions.)
The passive earth pressu re may be con~idc red un ly o n Ih e follow'''11 cond i.ions:
Owing 10 Ihc ,,,. pcl.Oida l dt<lr,bu(,on of be.rina prusUITS under .he wall l he laller will
1,lt and Ihus mobllou Ihc passive earth pKuurc wilh an assumed lTiangula. d iluribulion
c,,'endina ovc. ilS entire hei&/l •. Corner 0 c.n be l S1i umcd as fiAcd. If f .• i, In.ufficicm '0
bal.ncc H , and H •• lhe passlvc resislan"" can be calcula led. as

,1£ .= H , + II. - C. ,

i.c. as requ,red for Ihe equilit:.ri um. T his. on Ihe olber hand. mUSI be accompanied by • dlr
pl.ceme nl )' al Ihe sprinllin,. Thc arch . t .he lOP will h,we Iu be ehe.::ked (or Ihi~ d ispla""",cnl
)' - •C!..(C heina Ihc coefficient of , ubllrade reaclion). the effecl of which ~h.1 1 be Ire," ed
uS dioeu,sed in Scclton 42..122. Thc me.hod of kecpinllhe .hrun Ime .... ilh in 1/1<: inne r third
usinl the passive earth pressure can be secn readily in Filt. 4 /11.
There ;s al",a}! In in lcnoClion het.....,.,n Ihc a rch al the lOp and Ihe ",aU suppons and Ihis
should be taken 'niO c"n .. d~raltDn c,'en "'hen 100"'llnl Ihe an:h .nd lhe ",·.lIs as separale
mcmbers..

42 .12. Anal ylical !lesi!:n by Members

An inve:5tigatio n by !;"alculation rather Ihan graph ical cOnstruction is not o nl y

mon: accurate but it also enables the designer to consider other effccts within
c:ertuin limits. Such a method will be illustrated here ro r borseshoe s~""Ct i o ns thai
un: dosed all around, i.e. those thai are subjeclto aem'e laleral pressures a nd have
un in\erted arch.

42.121. Analysis for hQrse.l/uu secti,..,,/!. III this analysis both an:hes (top and
bonom) are considered fixed al both ends: the walls are regarded 1I!i completely
rigid and are assumed 10 be supported elastically by the ground in II horizontal
lind \'ertical direction. The exu:mal loads consist of the self-weight, vertical and
horizontal earth pressure and the reaClions such as the bearing pressurn under
the base. the passive earth pn:uure behind thc walls and hori;contaJ and vertical
rorces or friction.
Both methods described below are based on tht equilibrium of forces interact-
ing be l ween members deSigned as separate units.
 '"
In the simpler method all end supports are assumed either \0 stay in place or
not to affect the reactions by any displacemenl5. Thi~ assum ption is mlher arbitrary
And can be acce pted only if the cond itions warl"Jnl it (e.g. hea")' ~Iions sur-
rounded hy rock). If the relative dis placemen ts at the springin¥S ca nnot be neg-
lected, then the effects of the su pport movements have 10 be \'onsi dered in Ihe
:uch design (cr. 42. 122).
This method. of course, is much sim pler than to design the entire section as
II monuh ' he and will be sufficiently accurate in ground that is cnpable of develop-
ing considerable support.
A membcr-by-mcnlt>-:r design is justified a lso because all three members a rc
constructed sc parlltdy and are dilli ded hy construc tion joi nts anyway.
T his method should be used o nly in the design of structufCs with rigid and
heavy walls.
Details of the design o f each membe r are given below:
I. The un: h ut the to p is assumed to have fixcd ends an d the com hi ned load of
its self.weight pl us earth pressure is assumed to be distributed in a uniform manner
Q + Qo+.6G
P- I
where Q "" the self-w eight of the arch
Q. "" the uni form roc k-lo ad
dO _ the variable rock-load (Fig. 4/1 0).
The ao;h repracnts a sta1ically tbree times mdeterminale st ructure, the .edundanlS o("hich
can b<: dClerminw as kilO"",, (fOm the theory ofst rucllI't'S.'·' Ry r(placina tile ';!lid Sl,Ippon

,
,
r.
/-. "
E,
,)
I' ,.

-'. ,lIl T, -;rtf]

J! !
> F,c,. "flO. L<nd , on

Ii G: separated memb<:rs or a

, ., Ml"l'Tlt , K.: Dk SNI/k im D~lflHlonlxw. I. Spnng,cr, Ikrl,n, 1930

tllnnel """'I,on

GMTNU,: SII'I/(#lIy /Nlnu",INI/~ SInK/urn. Concrete PublicalionsLtd., London, 1 'J~8

CIl.+,tlTl.OI<. T. M .: Prlfldpl~s (]j SI,,,nltro/ AflO/)"lil. LonBmans and Co., London-
Harlow. 1%':1
 D[SIO~ Of HD~SE.'lHDE-SH~P~D TUNNLLS

at one of Ihc hcd en ds by 8 moment {X,l. a horizonlal force (X,) and a verlical force (X, )
lhe structu re is m.nsfarrued mlo a cant ilcHr, i.e. into a statically determinate SHu~ture (Fig.
4{1 1). The three redundants lIave to be dClc rmincd in such a man""r Ihut the resull ing relative
displacemenlS a nd rm alion 511all be zero al the relcai-ed ""d. Here are Ille Ihree equations
(If redundancy:
""X, + ""X. + a"X, + a, . _ 0,
a"X , + a" X, + a" X, + <I,. 0= O. (4.3)

""X, + ".,X, + a..X, + a,. = O.

where a", a" and all repreS"n! the rulational, horizontal and vertical displaccm<:nlS. r~.·
pc<;lively, al Ihe released end , due to a unit moment. Similarly a", a" ami a u denote d,,·
place",e",< due to Ii«: unit horizonta l load and 0". 0,. and " " d~not" Ihe respect ive displace·
ments due 10 the unit vertical load. Fi nally "!G' and ",.. Q,. denote the rotational. horizontal

i
, -,, ,
- f....; I

FIG. 4111. Statically determinate

I structure equivalent 10 th.
hingelen arch

and ,'erti~al dis"lacern"nts, respective ly, at the released end due [0 Ihe external loads . T he
thru equations are. in facl. a malhemalical expression of the facl Ihal lilt: released end will
not move or rotate In any way under tM combined action of the redundant forees and the
exl erna lloKd •. In o!h~r words. the redundant!; X l' X, and X , will cauK Ille cantilever t" acl
exac tly a. the indeterm inate .tmeture.
Transferring the redundants X" X, and X, to the ela.~tic cent re of Ihe are h (poinl a) .... iLl
make lhe caiculalions considerably simpler as cach redund ant will caus<: only onc movement
and lhat in its own direction, i.e. lilt moment will producc rOlation only. Ih( horimntal
redundant for..: will produce a lIorizonl31 displ ace"""nt and. f'nally. Ihe ~erlica! rc:dundant
forec will produce a "crt;ca! d isplacement o nly.
(For arches with a constan t moment of inertia lilc clastic c.:nHe is identical with the c~ntre
of gra vil)' of the neunal axis; for arches "'ith a variable momenl of inertia the claslie centre
~om"" Ih( cenlr( of g",v;ty of the ,J" quanti t ies). Or. if r, _ _J , .theelasticcenlrecan be
J,
<ietermined as the cenlre of gravily of the , Is, q",mlilies, where J , de"nte~ an arbitrarily
eh"",,, (conslanl) rno"",n t of inertia. "

y. =
'" --"
"
'.
.1."
(4.4)
L Lt.,

"
With lhe redundants acting in the elaslic cenlre lhe equations of red undancy will reduce
to lhe simpic form of
X,a,,+OO1=O .
X"' .. + Q., "' O. {OJ

X"" .. + "., = O.
 D ESIGN BY Mf'>leEftS

Here we have assumed that the clastic cc m re is rigidly connccted to the released ~nd and
each redundant, acting at the clastic ""mn: ..... ill Cause it to moy~ in its own dirc<::tion onl)'
(FiH. 4fJ t). This thesis Can be proved mathematically.
W hi lc the facton a .. denQte thc relative disptaeemenu of the clastic centre under the
ut~rnaj toad,. i.e. tbe rotat ion (a o') the horizontal displacement (a.,) and the vertical dellce.
tion (a.,), th e other factors with the du uhle s"m ~ : a,,, a .. ~nd a .. denote . be corr",ponding
movements due to X, = 1 tm, X, = t ton and X. = J ton, rC5~tiydy.

-pO -,),
H,- -y-

,im (m,)

m,
,,
m., • tim

m, -!l

!1omC{/( w3grlm dlld" XJ • '/(111)

,
X· _ It

FIG. 4/12. Moment diagrams of the arch released at one end

m
FlKlors 0 .. and a.. can be calculated from H10e equations of \'inuII ... ark as follows,

(4.6)

( 4.7)

when: ,\1. and N • .. the momenl and the .",al compon,.nt of the utcrnaJ load, n:$poet;,,.I)..
"'. and " • .. the monlen ts and uial loads due 10 the unit loads X, _ I, all or whkh
are coruid"n:d as IClin, on the equia lclII delcrminale s tructure.

The second member In cach formul a cxprcSSI'S II", effect of the axial loads and can u.ually
be neglected as Inslgniticunl comrared wilh lhe first member.
The moment diaBram~ Mo. nI,. "'. and m, an: 10 be: established first ~nd Ihe " faCIOr<;
Ihen calculated as their product
Fi a. 4/ 12 iJlLU' 1"8IH the moment dialra"l' in question. The areb il \0 be d ivided inlo
" SClmcnl! and the moments calculated a l Ille dividinl poi nts .

.-
frum llIe momen t dla,rams lhe " fsclors can be ",dculated as

• •
0" _
l:, -El,
" ' V . L, ~'
"
a u ..
• yf
L, - & ,= -
I t --".
Lr, I
(4 .8 )
EI , EI. , "

. . . l: •
,
(; -,.j' _Is, ,, --=-- L - -' -
V , EI.
, •
,
h ('
t, 2
- r
x,

For un iformly d islribulc4 ~rl it'lll loads (pI

a• • _ - i-
"i-
P(/ - x,I'I', ...Is
2EJ, ,,. - •
, . '"
'EJ L - ' (I _ x,)'y"
• 1 t,
(4 .9)

... bere " .. ,. zero ir lhe ~o;h and thc loads I rc lymrMlrit'll1.

From t M above X, a"d X. can be cakulalcd. If th~ stn.>Cture and the loa<Js a", symmetrical
"bout Ih" "utical OI:nlre line. X. will be zero Ind

X, . - -0 .-. . X, _ ( 4.10)
0 " 0"

The marMOI an d l be nia l load at any poinl of lbe sial ically indctenninllc StruClun: 's
cakulatd rrom
M _ M. + X ,m, X.m. _ M.+ X,.I x .,." +
(4. 11) +
N _ N. + X,n, + X.II, . N. + X,.o + X,Cl)!; •.

",hc", .\1. and N. _ Ihe moment lind Ill<: ux,al load on the cant il",·u, r"5p«livcl~.
 m

FlU. 4/ 13. S\ ~ \;cally rlelermi nate

Structure for a circular ar~h

For a d"""iar arch wilh a ,on.ta nt moment of inenia the bendi"a moments and the axial
loads can be expressed in the form of closed r"'mulae. A derh'3tio n for uniformly distributed
loads i~ g ive" below. In Ihis pa rticular case where {he struet","" and the loads arc symmetrical
about Ill<: vertical centre line the structure i< 'ph I .'""ugh the ""ntr" (Fi,. 4/ 1]) and t h~
becomes a pair of identical and statically determinate cantilevers. This wi ll greatly simplify
the cukul;!lions.
In computing t he relalive di<rla~rnenI S the only ,,1Te.;( consi<.lere<l will be thaI due to lhe
bending momentS; both a)tial load and shear will be neglected.
The location of the elastic cenlre is

~ J" du(J - cos ¢ )

•f r'(l - cos ~)d¢
Y. -
• -- ~ • ••
2 J ds f nJ,
• • (4 . 12)

Y. =
r'(4J o - sin

".
4>. )
- r(1). - .in <P. )

••
In the nexi slep the moments on the twO canli leV(: rs arc computed, due 10 the external
load!l and then due to X, = ] 1m (fIk) and X, = I Ion (kip). According 10 Fig. 4114 the
moment due to Ih( e~l em;, 1 load. is
prJ sin' 4>
,
The moment due 10 X I _ I 1m (£1\;) is constant throui/loul
"', _ 1 1m (ftk)

and thc moment due to X, = I Ion (kip) is

m,_ -y. + r(1 - cos4>1
Wi lh Ihe moments determined the relat i ~e displacements of the elastic centre can be: calculated.
Since the moment of i~rlia is co.manl, all displa cement. may be mult iplied (magnifoed)
by £1.

(4.13)
 -"
pf".!;n' fl
2

FlO . 4/ 14. (0) lQ (l') M~n{ diagrams on I~ statically d~lermin;"e equival<:nl StrUCture:
(h) Momenl diagram on the circular hingdess arch
 OOIG" BV M L M 8 t:M ~

" .. = r
L m: dJ - 2
.,r[-Y, + r( 1 - cos~) J" d~ - 2r
-,
fry: - uY. (1 - ~(I$~) +
. i "

+ T' I, . 2<1>. + 4>.12II - l"'-"O")'

4 >I n 2,.. ~, - 2(1'1 - :Un <l>J +

+ 2 (4)1_- sin 'J~on'. + 4>, _ 2 sin 4>. + ~sin 2';' +

" '
=,.. ('" - ,"°""·1
'. - 24>. ' -t- , 'On (4 14)

.,
_'" Ii!.-
, . ~'n 2fooj (".IS)

. ;.. -r L
•
Mo "'~' - - 2
• I
p" ~in'';
2 ( Yo+<1.I-cos<I'lrd¢l - -p,·f( r-
'.

•
-y.l,i"'<I>-rSin'<I'<.:OS4>] d<l> = - ""[('-YI)(- ~ sln~. + ~'l
-, "°>"1 )
--". _"1"°"1 ' · " + -" J.
- - - ion ....
6. _ 4 ' 2
_ 'Jn~ •• ]=
_ _ pr•,,,,<1'.
. ( _ _1 sin 241. +- --
I sin' <1"1 (4.16)
4 .1 2 J

X,_ "01 .,. +

.. ;,
pr'
"
11 - I . 'in~' 1
2 6.
(4. 11)

x,=
0,_
- -f- =
o.
•
+ prsi n ';'.
..-
I

.''". +
- +-
,
sin 2¢0
• , •,. -
, ..
- ,
lon' _ • I

.
,''"-"
~ ...
(4.18)

The momen t ~nd axial load ror any ~tion "

or the statically indc,ermin3'" all:h i~

M_M.+m, X,+m,X,_ M.+ " XI+XoY' l (4, 19)

N _ N.+Il,X , _",X. N. +O+X,<.:"" •.
For a ><:micill:ul a. a rch with ¢ _ 90 the mumen ts ire l!i~tn in F ig. " / 14

X, =-
I
+0'2Spr',
(",20)
X, = +O'~6Opr.

The muimum mumen! at the sprina:ing is

pr' lin' .o
M_. __ 2 - +0'25p,'+{_y.+, _ ,oos¢,,)O-56p!'"_G-1061pr', (4.21)
32, DI'5IGN 01 lIoR~rsIlOr·~IIA"En TUNNF.L

These formulae hoWe been developed inlo convenient tables for the design of
the Budapest Subway. The factors in the tables can bt: applied d irectly in the cal·
culation armoments a nd axial loads at the critical cross-sections under unifo rmly
dist ribu ted vertical loads
M=CJ.Mpf,
H = rlJl pI, (4.22)

and unde r uniforml y distri buted horizontal loads

.H _ PM c/',
H - fillet. I (4.23)

The notations are illustrated in Figs 4j l Sand 4/ [6. Numerical values for rtM and
rAil are listed in Tobie 4/1 for cross-sections at the springing ( I). quarter point (2)
and crown 0).

,_.,_
1"1_/= ... "
" I
Flu. 4115. Not a tions for Ihe
circular arch

FIG. 4/ 16. Tabu late d da ta of th e

. ireul .. an:h
C_lJkwnll lor Cirt',,/ar Art'h lNsign T AB LE 4, 1

.
" ""...ftll . , n. ......t OOtInci ••
RiM t"
•""" "'''0
1- ".

", ,
lI.di .. (. )
....'.-
Ctn".1

.,
flO s~, ...,.. (II Q-a'1C<

.-""""" t
po;n' <:'0". III

-.
(l)
1- ,
,-
" " j -" "
."
."
+ (H)(I12f)
+0«1167
-OV0120
-0'00167
- 1HlIXI42
-...,.., +0000040
+0-00058 -0«1058
1·2nO
100390
G ·OS74
D-OnO
I ·301 I
1·1013
22' 36'
27' 00'
0·14 +0«1224 -0-00224 -,-0000; +0-000&0 -0·00080 0'9045

."
0-0816 0-%1.'1 31 " 20'
." + (HI02'J2
+0-003606
0.00292
-0<l0366
-""""
-0-00111
+0'0(1110
+0-00140
-0-00110
-0«1140
0·79ro
0-70n
(}0938
0-1031
0-1610
0-1~44
H ' 30'
J<r )6
."
(}22
+ 0'00452
+0-00550
- 0{)04~2
- 0-00550
-0-00138
-<KlOI611
+ (}()(II?6
+0-002 14
-0-00 116
-0'002 14
(1-6335
0-5800
0-1085
0'1218
0'7256
0'6781
41' 36'
41 ' 30'
~
d
."
0'26
+0-0065)
+ 0-00765
- 000(5)
- 0<l0765
-0«1200
-0'00239
+0«1256
+O{lO300
-000256
- O{lO300
0-5)55
0'1<)95
0-1)4 1
01487
0'54 10
0«;109 " ,.- ••
•<
54' 56"
."
.30
."
+0-00885
+0·01010
+0·01145
- 0<l0885
- 0-010 10
- 0-0 1145
- 0'00280
-0-00324
-0·00372
+0-00346
+o-<JO<OO
+O'0045~
-000346
-...,..
-(l-{I04S8
(}468S
(}4415
{)O4135
0'1621
0'1749
0-182Q
0-5864
."
0-.5507
. 58
61
65
30"
56"
14 '
~
••
." +0-0128' - (-01285 -01lO424 +0-00520 -0-00520 0-)910 0-1944 0-5376 68 26"

......
.16
0'38
+0'01434
+ 0-01589
+0-01748
- ("r()14)4
- 0001589
-111)1748
-01l0479
-0-00540
-o-~)J
+0-00585
+0-00648
+0'00721
- 0-00585
- 0-<>06<'
- 0-00721
0-)725
0'3540
0'3385
o-20B
0'2151
0-2260
05274
0·5 190
05125
" 27-
74' 28 '
77 19'

...
0'42 +0-01920
+ (}()2105
_0-01920
-0-02 105
-<HlO672
-0-00744
+0-00797
+U-OOSS I
-
-
&00779
0·00l!81
0'324 7
O')l~O
0-231 1
0'2479
0-5076

''''''
80 0<-
82' 4 2'

...
0'48
+(}()2296
+0-024 78
+ 0·02668
-(H)2296
_1F02478
-/)'02668
-&0082 1
-.OO'm
-0-009S7
+0-D0971
+0'01064
+0-01161
-
-
-
0«197 1
0-01064
/)'01161
.,000
0'289,
0'2MOI
0-2583
02'"
0'2801
('S017
."..
0'5000
n 14'
87 40'
90 00-

{I.., = - ~., {1M =: - l .... PI/= -

, COI,-lH
~
~
~

2
l28 DESICN Of ItORSfSHOE-SItAPEO TUNNHS

What the moments and axial loads determined, the stresses due to the eccentric
cenadi ] be calculated from

N M
<1 1' 2 =A± K'

and the cross-sections can be d esigned accordi n gly. Should lht initially assu m ed
cross-section prove to be inadequate then the calculations have to be repeated
because of the effect of the change in the cross-sectional slilreners and area I(K)
and A on the deflections and o n the reactions.
2. A similar p rocedure has to be foJJo .... ed in
the design of Ihe infer/cd orch. The eXlernalload s
have to be estimated with due consideration
La construct ion proced ures. I n most case, the
arch at the top and lhe walls are constructed
first and so their self-weight is transferred to the
ground at the wall basco
In the design of the inverted a rch the beari ng
pressures ha \ e to be calcu late<! from the self-
weig ht and from the eart h pressure, whether
tOlal o r pa Ttial. These pressu rc~ have then to
be reduced by the friction behind the walls
(F ig. 4/ 17)

Irs ~II£, -h"; ,.) "" '"

The vertical pressure on the inverted arch IS

,I liJG + 2P + 2Q:x - 2S) L,

L FIG . 4/1 7. Loads on the
P. =g+ L L'
•
where (l deno tes that fraction of the pressure
i"v<oc]cd ".-.:h that will de\'elop only after the inverted arch
has been completed (40 50 % in plastic soils).
Moments and axial loads can be calculated simi larly 10 those of the a rch
at the top.
3. Design of the wolls. Once agai n t he external loads have to be determined
firs!. In addition to the reactions from the upper arch ( VI' H r , M/ ) a nd from the
inverted arc h t V., H~, M,,), all o f which have been obtained pre~'iousIYJ the walls
are also subject to d irect pressure at their lop (P), to their self-weight (G) and
to the active earth pressure (L·a).
The resu lting reactions will develop below the wall base (W) and behind thc
vertical face of the wall. Owing to the frictio n between the wall a nd the grou nd
the bearin g pressures along the plane of contact will have perpendicular as well
 D ESIGN BY MEMBERS 329

as tangential components. The friction forces can be calculated as the product

of t he perpendicula r pressures and the coefficient of friction (tan 4».
T h us, the friction under the wall is

S2 - Wlan fJ,
where W = Ihe ground rcaction under Ihe walt.

The friction behind the wall (vertical face) is

where £1' = thc horizontal component of the passive earth pressure.

Finally, the friction alo llg the top of t he wall IS

As mentioned earlier, the above methods of calculating the friction fo rces S2

and S , are not acc urate beca u ~ they result in ma ltimum \'alues which cannot
develop without a certain d isplacement (a) tal..ing place. In fact the amount of
friction will Ix limited to that actually requi red for tl,,;: t:qu ilil>riurll ar"j that
which is proportional to the displacement of the surface in question. Such dis·
placements can be calculated with the coefficient of subgrade reaction. The dis-
placements required to mobilize fr iction forces S" Sand S 2' arc

",
_, _ t'1'1
~
C

b ~ ­
w
bC '

(j = t'p~
2 c·
(In our case, j1Ju~hat<;u ill Fij;. 4/18, t,,11 q, can be taken m its mu.ximum value
as even the full S2 force has failed to balance the horizontal forces and an addi·
tional, passive earth pressure (t' p ~) was required to de\'elop in t he plane of point 0.)
Tn the calculation or the friction fo rces the respective coefficients of friction a rc

JI e,1
II = tanq, - = tan'" ~,
a fiC
, w
1 = ta!l(p - =tanob - .- ,
a bCu
J e!
tan,p - 2 = tano;l' - ' - ,
a Co
330 DESIGN or HOkSf.SHot:~HAI'fO TI1NSEU

FIG. 4/ 1S. Loads on

the rigid side wall

where a can be determined from a surface frk-tion lest and with the apprOll:imation
illustrated in Fig. 4/1 9. The value of a at$O depends on the type of soil. on i1$
condition and moist ure content. In most practical cases il elln be take n less
than 1 em ( 1/2 in). Whenever the displacements exceed this limit. the friction
clln be taken a t its maximum value (Ian tjJ).
The unknown q uantities to be de termined arc the passi\'c earth pressure (E,. ),
the ground reactio n under the wall ( W ) ilnd the respective lines of action. i.e .
dis!llnces I p a nd I... Assuming that both passive earth pressure a nd ground reacl ion

1"10. 4/19. Rcla'inn~h ill

bet ....een the mobi lized
Friction
and displaC':mcnl
 OESIGN 81' )oI t)otBEU lJl

ate d istributed linearly and in n compmible manner, the fou r unknowns can be
de term ined from the three equations of equilit:rium plus a fo urth one referring
to the rOil'll ion of a rigid body on a n elast ic subgrade.
Because a ll forces on the wall will have to be in equilibrium, the sum of the
horizontal :Ind vertical components has to be zero as has t he sum o f the mome nts
a bOll t nn)' f'Oint , for exam ple point 0 (Fig. 4/ 18) .
I. P + VI +G - (E, + £.)1 - IV - Va = O. (4.24n)
From the above eq uation W can be calculated.
2. P/l - Ht + £, + £., + WI: - H~ = 0 (4.24b)
cnn be !r.oJved for t.>
J. T he moments abou t poinl 0 nre nlso equlil 10 7.ero

(4.24c)
This equmio n conlains the two fll rt her unknov.ns. I, a nd t •.
4. The fou n h equation is based on thc clasti\.: subgnluc IIIld UII tllC IJfU llOl llOIU
betl>o'(.'Cn heari ng pressures a nd displacements. Because the wall is assumed 10
be infi nitel y rigid. the back face will remnin:1 slnlight plane and will produce
linearl y distributed bearing pressu res accordingly, From the abo\'c assumptions
it also follows tha t vert ical a nd ho rizonta l fa(.'CS will remai n perpendicula r to each
other a nd so the lines o f pressure distributions will be at right angles as wel l.
These proportions can be expressed a s
w,. - IV~ I!, I - e,z
b h
and Since

therefore
Wh
W
>= -b + . •
~ - ­
w
b ,

(4.25)

The relations between Ill... 10'6' e, .. en and /1" / .. a rc givcn by

,, --3h 2t'pl +
t,L+t,a
/lu

(4.26)

'. - b 2w. + 11'6

3 w. + II'~
III

Consider 1"'0 more re lations:

(4.27)

Both \t'b and t p i can be expressed from Eq. 4.27 a nd then written into Etj. 4.26.
T his w.1I result m expressions for I, a nd I~ which can be substituted into Eq. 4.24c.
The Jailer combined with Eq. 4.25 enn be soh'ed for "'. and ( ' !' Finally 11'6 and
e,1 can now be calculated.
This condud~s t he dete rmi nation of the ( .. Ie rnal loads and bnngs us to the
construction of the t hrust li ne and to the inve:;!iga!ioo of stresses in the Ch:l rdclcT-
iSI;c cross-sections. These include the: spring lines at top and bonom and the
section half way in between. Tht lhrll.'> t line
has to stay within the inner third of each
cross-section and Ihe ma:l.im um stresses sha ll
not c1Iceed the allowable o nes. From the poi n t
of view of mechanlcs the use of wa tl ~ with
straight .nlerior and exterior flll'CS is 1I0t
, recommended b<.-cause they do not follow
the thrus: li ne and result in awkward con-
struction joints a t the base.
I 42. 122. The effec/so/re/olil"t! displacemellfs.
In the above analysis the interaction between
FlO. 4i 20. A~sumed behaviour of
t he memrers due to relative displacements has
wllne\ s«lion (as Ihree-hinged arch) no t been considered . Of all the members, the
mrler di sptacermnl of the walls arch at the lOp is the most sensiliveto horizon-
tal displacemems of the walls which, in
t urn, li re \ he results of the reactions of the arch itself. The horizontal displncements,
added to the a~ factors, will incrcllSc the rcdundu nts Xl' X~, X~ and the loads
o n the arch in general and ma y result in considera ble (""verstresses. It IS cus-
to mary 10 assume that an arch con~ t ructed of brick, concrel; or stone will c rack
under the increased moments and will work as a three-hinged Irch from then on.
Fo r th is reason arches supported on "'ails subject to displacem:nts should be
designed also for a condition wilh three eccentric hinges, tl'oO of which are lo-
cated inside (at the springings) and one outside (at the crown) (Fig. 4/20). The
de\elopmcnt of these '"emergency hinges" will necessarily have to be accompanied
by local crushing of the wall material. resulting in damage to the wlverproofing
nnd in potenti:11 trOllble spots.
O nce the reaction at the springing is known , the displacement of the wall (.0:1)
can he calculated accord ing \0 WINKLER asp == Cy. With the passive cllrth pressure
and its distribution length dctermined (grnptically or analytically), the displace-
 DESIGN BY ).I£MBEU l33

ment is calculated as (.1) =

,~ , where e,l is the ordinate of the passive earth
pressu re diagram at the springing.
Similarly the slope at the springing is 4/18). Befo re
su bstituting the d is placemen ts into the equations of redundancy they should be
multiphed by II _ Ef 2 whe re E and JI denote the modulus of elasticity and the
I !'
Poisson's rat io of the parti c ul a r -construction mate rial. respectively (for concrete
/1 = 0·18) lmd ! is lhe avemge momen t of ine rl ia of the arch.

F IG. 412 1. The effect on the arch ur

hor izont al displao:.mcnt~ of Ihe
lateral support

For a circular aTch of constant momen t o f inertia and subject to uniformly

d istribuled loads the equal ions of redundan cy. also including the e!Teets of dis-
placement.s a nd rotatio ns, can be written as (see also Eqs 4. 15, 4.16 a nd Fig. 4/21)

X{ = - /vi + Al.= M '_

- a OI + ,
- - P' 'I'"~2 -
~ sm
4I . 'I )
2'1'0 + II(K
,
a" 2rtpo
x= H + H = H' = -ao~ + K(f - yo) - LI
• a2 !
,.
- pr sm q,o
[I
2 -"41 sinq,o2q,0 -
si n~ ifio
3
I + n(K)(f - )'0) - 11(.1)
(4.28)

r
'(
I/Jo - 2sin=ifio
q,o + 2I .
5111 2q,0
I
I.e.
-pr Smoro -
,.,(1 - -
I si n 2ifio
-
2
Sin q,o)
X;= !I' = 2 4 q,o 3 +
-
r, [,rr " J.,,'.. t -jJ sm. ro z' j
EI cpl

(4.29)
))4 OI5/G'i' or HORSf.5I1()£·SH"I'ED TUS~[L'l

The increases due to the dis placements become higher as the coefficient of
5ubgradc reaction (e) bttomes smaller. Arches are as a rule ve ry sensitive to
ho rizontal displacement of the spri ngings.
It should be noted Ihal ve ry thick a rches and ve ry low coefficients of sub-
grade reac\ion(C = 1-0 - 3-0 kgfcm 3) may yield excessive values for 101* and H".
which cannot be carried by the arch. It is in these instances that the arch may be
assumed to crack and transrorm into II Ihree-hlllged arch which is indifferent 10
any further displacements. This, of course, can only be assu med if the formation
of cracks can be lolcmted, i.e. jf watertightness is not a requirement (see earlier).
In general, arches arc also sensitive to vertical displacements but 10 a lesser
extent. Differen tia l settlement of t he walls. resulting in additional slope al Ihe
springings. is not panicularly common_ I f noccssa ry, il can be taken into a.;;cou nt
simi larly to the above.
Assuming \hal there is sufficient friction to prevent any displacement (i.e.
j',s = 0), only the ro ta tion at the spri ngings need be considered in the investi-

gation of the inverted arch. Even ir this wcre not thc case. ~'! would be con-
siderably less th.an e,l and th us have a lesser effect on t he inverted arch.
.
Any rotation K WI.,' resu , t In Illona ' moment X I.
. an a dd·· ' _ -
,,(1()
- an d an
a:, In

additional horizontal thrust X;• .., II(K)(!. - }~) , both of which have to be
a;.
deduced from the original momen t and thrust, respectively.

42.123. Exumplr::. The use of (Jl,o, anal)'lka l method will be illusl~lro in am aCluat
c"ample of ~1Im1:nl desilln. shown in f ip 4122a-d.
(a) InveSligalion of Ihe arch at Ihe top. The vertkallu.adson lhe arch consist ofa uniformly
disl ributed prtl>sure Cgeoslatie load). a Iriangular Io~d Go in lhe co rncl"! nnd Ihe sclf-weiKth
of the Hch (Q). For n cover of 27-6 m (90 rl) t hese loads arc as follow!:
No ... h.", "" 27 -6 m x 2-0 Ijm ' _ 55· 211m' (II -3 k/fl:)
I./~ 2-925 X Io-JO
G, - - , - v , ... 3 !-<) - 20'4 ,/m ( I }-7 klfl)

~.
Q _ to - - 21:. - 2-} _120 S')Sx h- _ ] 1·0 tIm (20-8 kjft) .
2:r 360
Assumi ng Ihal the enllre verl ieal load i5 uniformly distribuled over rhe ~pan of Ihe neutral
a,U5
p = l.g.+Q+G. _ IO-3x5S-2+3HI+2O'4 = 67-ot/m (4$i>kift).
'I. 9-27

.-tIC honzontalload ean be calculaled from the ~r.ical load with Ihe Rankine lali o _ -I ()
be on lhe safe side. Ille coh""ion will be raken a l hllf value: If ~ _ 1rand r _ 28 11m'
\S-7) klfl') .hen

JA. = SS-h: 0'$475 -

". = II, ; .• - " 21-0 x 0-74 = 9'S '/m' (1-95 kIf.·)

"I - HI A~ - c JA-:- 61'1 xO-5475 - 2~'OxO'74 = 12'7 tim' (2'60 kin ').
 DUIGN IIV MI.MBUU m

1---

°E' =::;""::''==:J ~ <.L

,c ,!!lit " " ,

, J" Il-JlJdot
f · J:!iI. ~-IHI71
~.",t ,-,~ '",\,
p.-~""
~ '7 ~~1 I II III
) ,'
I I!
0
I,~ .....", Po- tm/_
FIG _ 4122 _ Nurmrical uample for the analytical desip Ilf the roof an;-h and or the: in><er
arch of a shield chamber

i.. _ tan' (45 - ~12),

In the next approximation the Il'1Ipe~oidal stre!l!i dialram must be evened out and thus

9-5 + 12-7
2 - - = 11'1 11m' (2-27 k{sft)

or, when projC(: tcd to the ex t rados

2>925
PH - t'W5 - 12-3 tim (8'21 kl ft),

The thrust II thc Spri nllinl is calcula ted from Table 4 I_ For

2-673 "" 0'287

9-27
' .. _ 0-00939, PM - - 0-00920 ,.,
and the: thrust and momenl at the spri nging (due to ,'crllcal loads)
AI v _ ~ .. P.I' _ 0'00939 x 67'Ox 9'27' _ 54-0 tm (39 1 ftk),

H. = 'H p.l - 0'4562 x 67'Ox 9'27 _ 238, 0 t (524 '7 ki ps).

336 DESIGN OF HORSESHOE-SHAP ED TUN NELS

The vertical reaction is

vv= -- =
P_' 67'O x 9'27
2 = 310'0 I (683-4 k;ps),
2

Ny = .J H; + V; = 420 I (925 '9 k;ps).

The thru st and moment at the springing (due 10 hor izontal loads)

MH =P" PHI' = - 0'00920 x I2'3 x9 '27'= - 9'8 1m (- 7 1'Oftk),

HII = fluPil i = - 0'01588 x J2'3 x 9'27 = - 18'2 t (- 40'( k),

Vu = O.
The reaction due to combined horizontal and vertical load s is then

M , = M y + M H = 54'0 - 9' 8 = 44 '2 1m (320'0 ftk ),

H, = H y + H H = 283 '0 - 18'2 = 264'8 I (583-8 k),

V,= V y + V" = 310'0 - 0 = 310'0 I (683-4 k).

The stresses are investigated o nly at the springing and at the crown, and the relief offered
by the horizontal load is neglected, which is another assumption on the sare side.
The cross-sectional area of the arch (considering a strip of unit width) is

A = 100 X 120 = 12000 em' ( 1860;n')

and the section modulus is

]00 X ]20' .
K= 6 = 240000 em' ( 14.645 m'),
the stress at the sprin g line

Ny 420 54'0 1m .. .
a = -- + -Mv
A - K
-= 1'2 m' ± -'2".'""4-:m"''- = 350+ 22'5 = 372-5 I/ m - = 37'25 kglem (5320 pSI)
or
3 27' 5 11m' = 32'75 kg/em' (4670 psO .
(b) In the investigation of the in verted arch the construction sequence is also to be consid-
ered . Thus the weight of the arch at the top and the weight of the wall s - both members baving
been completed prior to the inverted arch- is transferred to the ground at the base o f the wall s.
In another assumption on the safe side the entire press ure on the arch at the top and on the
wall s is again ass umed to be transferred to the ground through the wall s aDd through the
inverted arch and is reduced only by the friction behind the wall s. Some of the press ure obvi-
ously must have been tran sferred to the ground through the walls compl eted earli er.
Because
P = af. y, = ]'60 X 2'925 X 2'0 = 9' 36 I (20'64 k;ps)
and
S = 120 I (264'6 k;ps)
(see later under wall design)

G, + 2P - 2S 20'4 + 2 X 9' 36 - 240

p~ = 90+ L
= 55'2 + =-'-'-='71:i-
3 '';'
50~-''-'..:. = 55 ·2 - 14'9 = 40'3 11m
(27'] k /fl ) .
 DESIGN BY MEMBERS 337

The components of the horizontal load are

e, = [go + (11 '87 X 2'0)] I,. - c ,p" = (55 ' 2 + 23 ' 74) 0'5475 - 28 X 0'74 = 22'5 11m
(15' 1 k/ft ),

e, = [go + (13'46 X 2'O)]A. - c";f. = (55 '2 + 26'92) 0'5475 - 28 X 0'74 = 24'3 ti m
(16' 3 k/ft) ,

PH = e, + e, t k = 22'5 + 24 '3 1 '59 = 24 '5 ti m (16' 5 k/ft),

2 t, 2 1'52

Selecting the appropriate IX and fJ va lues from Tab le 4/1 the reactions at the springing of the
inverted arch can be ca lculated.
Owing to vertica l loads:
M; = .M P; I"~ = 0 '00485 X 40'3 X 7'35' = 10'6 tml m (23'4 ftk /ft),
Hv= ."pv/' = 0'6 145 X 40'3 X 7'35 = 182'0 ti m (401 '2 ftk / ft),

• _ Pv, /' _ 40' 3 x 7'35

V v- - - - = 148 ti m (99 '5 k/ft ) ,
2 2
Owing to horizonta l loads :
M;, = PMP;, I" ~ = -0'0049 X 24'5 X 7'35 ' = - 6'50 tml m (- 14' 3 ftk /ft) ,

H" = PHPH/' = -0' 1146 X 24'5 X 7' 35 = - 20' 6 tml m (- 45 '4 (tk/ft) ,
Vii = o.
The sum of the forces at the springing:

M. = M'+ M" = 10' 6 - 6'5 = 4 ' 1 tml m (9 '04 ftk /ft) ,

H , = H; + H i, = 182'0 - 20 '6 = 161'4 tmlm ( 108'5 klft ) ,

V; = V( = 148 ti m (99 ' 5 klft),

N;= "; 161 '4'+ 148'= 2 19 ti m (147'2 klft ) ,

With a cross-sectional area of

A = 1'0 X 0'9 = 0'9 m' (1395 io')
and with a section modulu s of
1'0 X 0 '9'
K = = 0' 135 m' (8 238 in')
6
the stresses are
219 4'1
a = 0'9 + 0 ' 135 = 243 + 30' 3 ti m',
i.e .
am:l x = 27'33 kgjcm 2 (389 psi)
and
aml n = 2J '27 kgjcm ~ (303 psi).
(c) Th is brings us to the investigation o f the wall s. Because the base is held firmly in place
by the inverted arch, the wa ll is assumed to rotate about it s lower outer corner. This will
338 DESIGN OF HORSESHOE-SHAPED TUN N ELS

result in passive earth pressures behind the wall being distributed in a triangular form and
with a resultant acting at 2/ 3 of the height. A s I" is thus known right from the beginning the
calculations become considerab ly simpler (Fig. 4/ 23).
Other assumptions are :
I . The ground may be regarded as a homogcrlcous, isotropic material , in which the strains
can be calculat ed with a constant coefficient of subgrade reaction in every direction.
2. The wall is infinitely rigid and the back face remains a plane throughout the rotation.
From the equilibrium of vertica l forces

w= V, + P' + G-S- V~
where
P' = 1'60 (27 '60 + 2'90) = 98 I (216 k;ps),

I
G = (2'15 + 3'07) '2 8'94 X 2'3 = 50 I ( 110 k;ps) ,
Ihu s
II' = 310 + 98 + 50 - 120 - 148 = 190 I (419 k;ps).

The active earth press ure

£ = e l + e,
, 2 ,,= - -
12'7 + 22 '5
2
8'94 = 157"0 I (346 k;ps),

2 x 12'7 + 22 '5 8'94

- - = 4'05 In ( 13' 29 fl ) ,
12'7 +22'5 3

and the moments abo ut corner 0

P'p+ 5 1 h + V,v, - M , - H,h, + Gg- H QhQ - VQvQ+ M u + EQl a + Eplp - WI .. = 0,

where S I = P tan ¢. Thi s can be rewritten as M 0 +

Ep Ip - Wt 10' = 0, where M 0 denotes the
sum of all known quantities . Conside ring the proportion of pressures under the wall to those
behind the wa ll and the proportions to the common angle of rotation we get

"~ :(WI - w~)= m :b.

From these relations, combined with the equation of moment s, Ep can be expressed as

Wb - 2M,
Ep = 4 b3
-3 111+ - -
3m~
or, wi th numerical va lues

M, = 98 x 0'80 + 98 x Ian 17 x 8'94 + 310 x 2'11 5 - 44'2 - 264 '8 x 8' 58 + 50 x 1'10 -
0

- 161'4 x 0 '39 - 148'0 x 3'08 + 4'1 + 157'0 x 4'05 = 78'5 + 274'0 + 660 - 44' 2-
- 2270 + 55 - 63 '0 - 456 + 4'1 + 635 '0 = 1706'6 - 283 3'6 = - 11 26' 6 (m

(- 8152 ftk),
190 x 2' 76+ 2 x 1126'6 2778'0
Ep=
4 2' 76'
=+ 0':'" = 232 I (511 k;ps) ,
"-1'""2""
- 8'94 + -.;-"~=
3 3 x 8'94'

S = (E. + E. ) Ian '" = (232 + 157'0)0'305 = 118'5 I (26 1 k;ps).

 DESIG~ BY I>I~M8[R S 339

r - 'I'M rj,n
-:"'~~-r If - 2fi48 tjm
I'ft o 44"tJ U ,/m
\ f, - 195<1 t/:lI
~_ 2!N :/m

1"(, - 7·5 fmfol

P - j, , 8 -{jI!Jd. 15-g8t

,) - .Wf(ft1,T,J/l t , .)
J', _ ?14I1 .rP -!If .OXltf· ¥NJ;
5 Jil( o

f , 0 12-? :/ 01'
6, - :;·5 tim:

F,O. 4/23. N umeri ~al cxamp l ~ of wall design

(T his is ,n good agn:ement 'Wilh Ihe 120 lon~ (26S kips) assumed al Ihe beginn in~.)

2 X 232
= SI"I/ m' _ S-17 kg/em ' (73'5 p~ i) ,
"94

T ile a vcra s~ bearing pressure

w = -w ~ - ".
__ 69 I/m' = 6-9 k,,'cm ' (9$'! pSI)
« b 2'76 '

I..· 1'6
w,= w~ + - 2'" 6-9+ T= 7'7 kg/em' ( 1090S psi) ,

.Jh· 1-6
w. = w' -T= 69 _
0
2 - - 6-1 kg/cm: (g6-gp~i).

~w. + ~'I
-
b
--.
I" =
w, +"' , 3
and the fricli on
S , = 11, + H. - S, - E. - E. = 264'S + 161'4 _ 30-0 _ 212 - IS7 "" 7'21 ( I S°ft7 klps)_
This would requi re ~ fricl ioo coefficient of

S. ]'2
/ = - = - = 0'04
W 190

corresponding 10 <i>;;::: \I , "hiclt i, ~onsid~rably less than the availab le max imum . i. e. the act u al
~n gl~ of intern~l fricI:o n.
340 DESIGN Of HQRSUH()(-SHAPED T UNNEU

Hay;na determined all forces on tile .... all, the thrust line can be constructed. ikcau$e the
maximum coccnlritilie!l occur allhcno .... n a nd al l hc: sprinllng of the inverted arch, thettl'eSses
also should be invcstlllo\cd at the $A!nC section ...
We shill now investiplc the ~h"nac:s in the loads on t he I.reMS if the dfecls or ... all displace-
menlli 11.1 the springmlli I rc a lso 10 be con si dered.
Wi t h C- IS kg:em' t he horizontal di5plaC<'mc~1 al the sprinalinc

-,
(LI) - ( ' '"

and the rolalion ()f the .... all is

" _ c~"l4
(x) = _' ._ ~'c
It 894
The mo ment of inertia of the arch is
\ -00 )C 1-20'
"
, _ CC::..;c,'-'=- - 0-144
-
nJ' (14-6000 in') ; t.'..- _ 210000 kllcm' (29&7 k/in' )

and the Poisson ratio of the concrete i,

The magnifying faClor for the d isphm: mcn l~ ii

£J 21 )( IIP)( 0- 144
" - " ,=°,0••, - -------r- 0-0324 =- )-[ x to> 1m' (742000 (1'1:) .

and thu l Ihe magnified displpcemcnt Bnd rotation

J:()-)4$ x 10-' x J-t x to"_ 1140 (t m') (69660ft'k) •
., _ 0-385 x 10 - ' x )-1 x 10' = 119 11m') (2822 (I' k)_
Tht;: t;:'luations of redundancy thus become

"1L X,' + "., - ~ '" 0 _

In the nrst cq~at ivn the "il!" vC" i. o " j)Q$ilc 10 ,h. , of a . , .in~ the di.placcmenl will
diminish the rotation of the end section_ In 11>0:: ~ccotld equat ion th e si8n of au i~ opposi te
to tha t of d but is the $.I~ as that of the displacemen t due to >to From Eq. 4.12 to 4.16

Q, ,:lr.,. =2x5·3S 60' "

180 _ 11·20Sm(16·76(i).

2 sin' rJ>.
+ -2, lin 240. ) '" (61h
S·H' - -
2.in' 60·
- 'so
•• 18060"

= 1S4( ; _ 1.43+O-4n)_7-9_

Since"., := _pr( ~.
 DESIOS BY )li:MlIl RS 341

sin ~.
0,

""' - 67'0 )( 5'35 ' Jl- ( I - I 3 Jj - 3 ) "" -2190,

2 2 4 2:r 4)()

[" ./i)
" -". -, sin .,> =HS -] -

Iner Subslit"'ion the redundonlS cl n be o blainc:u u

2
'
3 =0-93,

, 322-1 19
1I'205X:_ 322+ 119 _ 0; X, _ 11.2U5 = 19·Slm(l3I ftk),

1-9X;_ 2190 - 119)( (2-925 - 0'93)+ 11 05 "" 0,

x."" 21110 + 238 -

7-9
1105
- 168 I oro kips) .
It must be nOled her~ Ihal lhe t hrust II t he sprinpn. is I'"~atly i ntl ~n«d by lhe displace-
men l (i n Ille eu mp~ 16Y.). The 1I0rizomal l llru$llItllle sprinll'ing, fo r example, ...·u reduced
from 2M3 lon$ (624 kIPS) 10 238 tons (524 kips), res ult in, in /I subi5lanlial increase In Ille [K»itive
mOmenl S al Ihe crown. Any displacement at the tup of t he wall will Cil.ll~ on ly rotalions at
the springing as the wall Wl$ assumed 10 rOlate abou t iI~ lower corMr. Thus t he equation
of redundano;y ~omes
X;a:I+<fo, +tI.- O,
x; ,,;, + <, + >1.(1.+ y:) ... o .
Tile rfI.Ign ifying ' Ictor ;,

_ 1'32)( 10" 1m' (3 IJI600rt ' k).

Ind so
"'. = (}O385 )( 10 -' )( 1'32 )( 10' _ $0-8 1m' (1205 f! ' k).

(~_$in~) ( ; - 5in 45' )

,-: = , , ,.. 5'20 4 _ ()oS2 m (1'71 fI),
f. :r
,
a: I - 21'1f>, _ 2 )( 5·20)( 4 - S'lO m (2 6-90 ft)_

.r;,-'" (f' - 2 ",',"

f~·+ 2 sinU'; = 5'2' ) ,,' ')
("-i----;;-+T
funhcrmore
,
.... = - p'" (0;
2" - ' ')
4 sin 24>. - 40-3 )( 5-2' ["8 - 4') - - ~,

Qo,--pr' si n f • 2 - (I 41 si nQ;24'; - sin'3 90) -

40-) )( 5-2')( 0'707 (0-5 -..!... -..!...) = 444 .
" ,
_ -
342 DESIGl' Of HORSF.sItOf-SIt ~PfD TU:<.r-;[l.s

Both" and "0' ""ill be of the same 5;1:.11.

860·g
Xi. )( 8,20 - S IO - ~o-8 _ 0; x;. _ + = + 106'20 tm (768 frk ) :
S'20

X' _ 393,2
x;. x I'SS - 444 + 50'8 (I ·n - 0'52) = 0; ,. - ]'85 = 212 t (l 67i<ips).

Here the effect of the rota!ion i, favourable as far as the crown is concerned because the
inc rease in lhe hOlizont al t hruSI (aoout \5 ~. ) reduces the po<iti~e moment.

42 ,13, Common Deformations

and COlllposite Action of the S urrounding Ground ( Davido\"s Mcthod)

A mnre accu rate dc.ign method has been developed by Prof. DA VIE>Ov' " in conjunction
w, th t he ex!,<,riment. an<J research.es!,<,cially carried OUt for rhe design of the Moseow Sub-
way. T his method is partieular]y applicable to major underground structures built by classical
construc ti on met hod s. The members of struct ure~ of . ueh proportions, constructed io separate
successivc phases, I~nd thcmscl\'es 10 de~illn as 1iCp;\ r~ te unir.s , A~cordinlll(> DAVI()()V the arch
and rhe i nvcrrcd arch are 10 he de~i"n -
A- nl >cpa, aIel, an<J t he ~"I~ulateo;l r.:I1C·
t ions arc to be applied to rhe wa ll s
a~ ext~ rnal loads, Howeye r, tbe di s·
~lacement S at the sp rin gings, o;om m on
to arch and ""all becau!;e ofrhe cont act
between them , will be indudetl in the
caic ulat ioM In t oo dc!igo of the
waJl~, on the other hand, the surroud •

, •ng rock wil l be a5sumend to par-

t icipate in ~arrying th~ loads and
snpporting the waJl~.
According to U"" 'I()()V, the ell'ect ive
depth of the cooperating Jlround will
d~pend on the magn itude of t'lnsfer-
red stresses and wiJl bc dcfi,.,d by
t he range within whieh th ese add i_
t io nal ~tn:ss~s <Ju nul <:M;<:C<J 110" i"i-
rial geosraTic prC!;SUTC by mOre than
20 %. Thus, the wall can be I ss umed
to be elast ically sU PJXlrted and s ur-
rounded by t he "composite gn;ound "
F, O. 4/ 24. Sr ruclunl rtle~ ha nism of the D ... v [()()v·~ th e thickness or wh ich can be calc u -
des ign method lated as above and will be deno ted
by H . an d II . for behind and under
rhe ... all. res~fl,,·el)'. In his trearment of t he clastic found ation O ... VI()()V also co nsiders the
interaction an d accumulation of penetrations in adjacent areas, ] n~tcad of a continuous
bedding,the found,Hion is assume d to consist of a fini te number officlitious clastic rods with
hin Jles at top and boltom ( FiJi:. 4/ 24),

... O ... VIDO V, S. S.: Rou hn i proi<,kliro"lIni<' potfumltikh kOIt_wukdi (Computation and
desill rl of subterranean struclures). Gosud. hdat. Stroitelnoi L,te raturi. 1950.
 DESIGN BY "' E"' MRS 343

The t unnel ....·all. lea nin' aga inst tile sur round ,n; Iiound. ma) then be reprded as a nnti-
Ie~er \OlIh a dlJplacemenl , .• and a rOlallon 4>. al l he rued end Ind subject 10 Ihe exter_
nal loads, and to the around TC'al'tion~ in Ih~ form {If force>. X" X= •.. . X. exerled by the
elaSl le roch (F ia. 4/15).
The rillidil~ of Ih" ,,·all is to be taken lOt:) co nSlderallon II,

I
o - -----*~
called the Tllidity fact or.
I'or values of • ~ Oo()~ t he Wi ll i~ Ilt1lctically
-- ---
P
\

IOtinit ely ri&id and the deformllion of th~ <.:Iulil"nr

may be ne&lected. Ilo ...·eYCr. for y > 0" 10 t he wall hu
"
to be TC'lIl'rdal U ".:Aible Ind Ihe defor malions eomld· 0
cred ltCCord in&ly.
In Ih" rot muill., 1:;' . 1$ t he modulus of ell5tlelly a nd 1-.
i. the Pois~n·5 ,.,110 of the around; EJ denotes the
riAid,l), I nd I' lhe " OIUO D·1i ratio of Ihe "'In and c is tte FlO. 4/23 The ....·all aelin, DI a
~pllci n l of Ihe Ilctitious oars .... hich caD be udten as IjS canllk~r
of t he heIght of the wall II, .
In order 10 sim pl ify the calculations a nd 10 rcduo:
Ihe vo lume of co mpu tat io n!, a nllmber of t ahlc~ tn,·e been develo ped by Ihe author for
rilo1id !U .... ell as for ncxible walls: t hese can be fcund in his work referred 10 earli er .

4 2. 13 1. D AVl DO V's approximaril~ theory. .... n approximate but 11l0rc prattiea1

theoT)' b)· O..,lIlIX)V ca n be used for clear fpans up to

I < II rf.~
. - VfJ'
, D I.
where}u - a fa~tor of rod st renllh (by PIIOlOOYA tW1<O\", sec Table l / V1), ,,'" ... here
I.
f . - Ihe rise of the arch. Under t hese condi tions the hori lontal TC'.uitanl of Ihe ~~~rnal
volumetric forccl. t.. ,jUSI about ba lancei tile IhruSI II l he spr ingings If F.. and the uterno l
loads nn the wall are in eqU Ili brium. Ihe rOlation of the base i. Lero (<I>. Z 0) ..... hich also
elimInates any rOlallon al lhe spr; nll line "': _ 0 and X. _ 0 RaSl'rl nn lheahovc for mulae ,
th is method c~n be used for the follo .....;n' conj ulllli e valt.teS:

k = ()o6 (}OS 1·0 2-0 4·0

'0'"" J·S 40() SO() 6-0 H·O
'" 12
" 16m

1. The de~iln of. rilid and liKed ....·all h~. _ 0) is simpler be<.:au'>C
(a) The ell~l lCily of Ihe surroun dllli ground need nOI be eon'lidc rccl;
(b) The forces act ing in the clastic centre of the ;on:h Ca n be calculated 15

Q:
..... here M ~, f{~' IIllll denole the 1I10ment, horizontal and vertIcal force. rcspcclh·cly due 10
lhe ellterDRI load. an rl HCllng ;n rhe ela'tic ("Cnlre of t he filled arch:
344 DESIGN or HORSI'.SHOI!-SHA?ED TUNNEU

(e) The XI forces. representing the clastic ground

resistance. will nOI be mobilized and 50 X ,= 0;
Cd) The clas: ic reactions (Y,) under Ille wall ba~
can be usumed to be uniformly distributed;
(el The forco:s aCling in thc elastic centre of the
in~crted arch ca n be ca lculated similarly from

M~ _ ,,' : ; fl ' _ II; and ~ _ 0,

" loads and acting in the clastic centre of the in~rted
FIG. 4/26. Simplified method for
Ih" design of rigid walls
where M~ and H:
denOle once again the mOm ent !lnd
t he horizont a llhruSl, respectively, due to the external
.. reh. The wall. are assumed to remain undisplaced
under the thruIIS from the arches. While the dilgram
of lateral preuures behind the wall is anurned to be
trianllular. the bearing pr""sures om!.,t the b,.".. can
be taken as uniformly distributed. Finally, t he wall
is desillned lOS a stat ically determinate structur=.
Th.e unknow~ s ". "Aand Xcan be determined from
the e<.tu~tions (Of equilibrium (Fig. 4/26).

.!:x= 0: H/ + X+
,
H~ - T all, =O,

!.'Y _ 0 ; . '
P+ G - Q. - I-"TolI, -a,h,= O,

H! = 11,+ Il"
Q~=Q"+ P+ G-Q: .

M! = M,- M .+ 11,11,+ H.h, _ Q: q~ + Q: q! _ Pp _ (ig ,

the furmulae rcd u<c tu

x- 2 011, + II! = O. h~nce

,
X =2 all, - H.. ,
.
.
Q., - '
21' , 011, -",11.= 0,
. ,
M •. - )"oh, +
,
the<;e two equations yield
6(2,\1: + k.Q~) , h,
"- ,
4h, + 31', h. h.
"d , I', -
h,
a .

With. thl:sc IWO r<:iations the loads can be computed for any cross-section. Forexamp le, at
the cenlre of Ihe wall b~~
M=-M, - M.+ lI,h, + H. h. +Qr '[' ,- '1,I '1
T h +Q. h'J
q' - 2 +

+ P [h,
2 _ p I+ [ho
G - 2 - -d~
2 3'
' .,
1 - - oh- - _ h " -1 ok = 0
2 .,.. , 2 ' .
(4.3 1)

N=cr.-Q! + P+ G -1"T oh ,=
, rT~ h. "d
,
T =T oh. - II .=X . (4.32)
 D!:SIGl'o IIV )lI),I8E.\5 34'
2. An da~lic and fteJlible wall can be designed
for the 4J. = f. - 0 ctlndilions as follows:
(al The range of the IIround in compression i~
disreaa rded ;
(b) The X, and Y, forcc..s. representin& the
elastic around resislan~'C, arc lIl~o neglected;
r
(cl The ilcaring pressure diagrams behind and
beneath the wall are a:.sumcd to be: linear;
(d) The wall i5 anu mcd 10 remain undisplll~ell
(Fil. 4/27).
Ike.UK of the Huihility of Ihe wall the pres-
sures lIue to the e)llerna l loads arc a"umed to be
transmitted to thf around on ly o,·.,r a ~erl ain por-
lion of the hcight. Furthermore, the horizon ,a l rc -
aelion, X, acti na: at the oo!lom of the base. iii as-
Iiumed to be msilnifican, and un be nelleetcd.
T he fo~ IClin, in the clastic <;entre of the FIG. 4 f27. Simplified rnc:thod for the
ueh are 19ain calculated as lhe)' ""cre in the case lIesiln 0( clastic Wills
of the rilid ",..II, i.e. auumong the arch to be fuUy
fixed. Once again the wall in itKl f is a statically
de,erminal., 'tru~turc for whi~h the unknown
quanti tiCJ ". ,,~ and Y. can be ta[eula,ed from
the equalions of equ ili brium:
,
201', -
.
H ,= 0 "vlna: a_
2H ,
Y.

l:Y .. 0;

l'M =0; M,+ H,h,_ o:q;- Pp - Gg -

, (h~- 3Y'
2 "1'1
, .) + 2, ,
0~1r. - O. (4.33)

2H,
Sub5tltutonK 0 = - - in the second and third cquDlio n
y,
cr,+ P + G -1', 1I,-". hA _ 0,

Q, +P+G -Il, H,
a. =
'.
M + H,h, _Q,(/, _Pp _ Gg _ H, (h._+",)+ h; 0,= 0,
hence
_ J [/lI (~' - h,) + 0;(/,+ Pp+ Gg+ M, - ; (0;+ P+ G+ II, H,)l
"- H,
Ind thus thc loads can be dclennincd for In)' !lCl;tion or the WlIlI; for c:u.mplc. II the:: ccnlr'C
or 1M ""all base
(4.34)

ay, l' = "YI - 11, .0.

/1/= 0;+ G+ P - I"-2-="~h~ .. d
2
(4.31)
346 DESIGN or HORSESHOC-SHAI'ED TUNKEUI

DAvroov's method can also he used to determine the coefficient of subgradc reaction In
cases where 110 varie~ with the depth of the compressed layer ( H).
Regard Ing tbe wa ll

n:i:arding Ihe baSI!

c, _ (4.36)
«
A nume rical examp le can be found in DAI'IDOV'S book. referred [0 above. on PI'. 251 271.
Bccau~e of ih comp lexity and lim ited accuracy t he method Ilas not gained general acceptance
a nd i~ u~d only in rhe design of exceptionally Jar,e undcT,round structures buill by classical
construction methods.

4.22. ANA L\'T1 CAL DESIGN METHOD TREATI NG THE SECTIO N

AS A WH OLE ANn C:ONSIf)ERING CO;\IPOS ITF. ACTION OF THE CIWUN O

42 .21 . Method of Zurahnt' Ilnd Rtlugllyenl

ZURAIlOV and !JoUGAYEVA consider a cunLirlUous monolithic srrL.lClure and take

into account the support offered by t he ground in the form of a n clastic foun dation .
Th is method is considerably more accurate than the previous one, not only be·
cause of its morc realistic approach of treati:'lg the horseshoe section n5 n conlin ·
uum rather than a composition of arches ami walls, but also beeause of ilS treat·
ment of the su pport offered by the surrounding ground . T he latter is assumed to
de~'eJop through elastic subgrade reactions consistent wi th the actual deforma tions
Tlllher than through passive ea rth
pressures. whic h would require dis·
I placements thaI may not materialize
QIiII;bllllll mlllllllllllllllillp at all unde r the given set of con-
ditions.
More often than no t the \ertical
loads will cause Ihe walls to spread
aPllrl . This trend is resisted by
gro und reactions developing in pro·
portion to the deformation of the
structure and to li S penetration into
t he ground. On the other hand. the
top of the tunnel will deflect .... ith out
giving rise to any ground reactions.
In this method, t hen, the grou nd
reaction is assu med to be propor·
lional to t he structural deformation
FIG. 4/28. Loa<l <Iiagrarn for a monoliTh;,
hO T!lcshoc section (according TO ZU~AROV an d but only at the points of maximum
8011GAHVA) deformations. In all other poi nts
 A~ALYTICAL DESIGN MtiTllOD 347

the bearing pressures a re assumed to be distributed in a n arbitrary, a pproxima te

manner. Also the locations of the ini tial zero points of the pressure diagrams are
llssumcd arbitrarily.
The structu re is ussumcd to have elastically fhed ends. The rotations of the
lowe r corners Cln be calc,ulaled in p roportion 10 the clastic compression of the
ground lind the horizontal displacements arc assumed to be zero at these POll1ts.
The ground reactions are ussumcd to be dis tributed as Illustrated in Fig. "'/ 28.
An equ:tlion fo r the diagram is ,iven as a function of t he locations of the maximum
o rdinate (q) and the zero pomts. The upper zero point has been obser"ed to vary
l'ilthil1 narrow limits and may be taken ut rPfI _ 45 .
The rnaximum 1,lleral pressure is assumed to occu r where the section is the
widest, but shall not be taken lower than 1/ 3 of the total height h. The dirl:{:tio n
of Ihe reactions is radial.
The maximum o rd inate o f the pressure diagram is calculated as 'I = Cb~,
where <>_ denotes the maximum ho rizon to I di~l'llIcement due to the combination
of external loads Imd ground reactions and C denoteli the coefficient of subgradc
reaction. For compoul1d circular secllons it IS ctJstomary to assume the following
approxima te pressure dist ributiol1:

a t the top (4.37)

at the bottom
2!li
Si n (4.38)
sin! ? .

If ~ "" ~II the n q' _ 0 and If ~ = 90° t he n q' ... 'I and til the second equation,
if ~ J . . 0 then q" - q and if ~ 1 = 1jJ~ then q" - O.
If t he lower Sc!Ctioll consists o f straight vertical walls

(U9)

(For the nOlalions see Fig. 4/ 28.)

From the above~quatio ns it will be noted thal once the zero poInts have been
assumed, the only remaining unknown to determine t he ren ctions is q. This is t o
be obtained from the displacement which can be calculated with Ihe coefficient
uf subgrade reaction:
II - C6~. (4.40)
where 6_ can be writte n as (Fig. 4/ 29):

6. - <>•• + 6.1 q.
where .5., denotes the st ructural deformation d ue to the external loads lind (j~1
is the st ructural derormation d ue to the unit rection : q _ I.
 348 DESION OF HORSESHOE-SH~PED TUNNELS

q.o",

Flo. 4129. Deformation ur thl: monolithic F,,;;. 4130. The I'fff;:<;t of the r<,>lation
section of the fixed end

Eq. 4.~ can be rewritten as

hence

q = + J '.
~- ou
~ (4.41)

C
If Nand M denOle the load and the moment due to t he extemal loads,
a~ia l
respectively, the rotation of the elastically fixed ends is (Fig. 4/30);

fJ ". y~ - Yb _ rTk - (lb

fII o Cmo
G, __mnN 6M
+~.- .

mo
G. _

p = 12M AI
(4.42)
Cm~ = CJ'

where J = the moment of inertia of the end section.

Wi th the above conditions and assumptions established, the calculation can
be carried out in the following steps:

I. Disregarding the passive earth pressure, the statically indeterminate and

elastically fixe<! structure is to be solved under the external loads (Fig. 4/ 31),
 349

Flo. 4/3 L Separat ing the loads p

into ( a) unit upper and (b ) unit
Ja lf::ral load
o

",'J
D' •.' · ClJ,JiF..
•

2. The Slime str uct ure IS to be solved for the un it lateral load q_1 11m, distrib-
ute<! as above (Fig. 4/31).
3. The horizonta l displacement at the point of maximu m lateral pressure shall
be: determined under the externa l loads as well as under the unit lateral toad (l)"' 1)
(Fig. 4/3 1).
4. The maximum ordinate of lhe lateral pre ss ures is calculated by equating lhe
structural horizontal defo rmation to t he elastic compression of t he ground (Eq .
4.41 ). Thus all ("lerna I loadS ha ve b«n determined and the moments, axial loml!.
and shea r forces can be calculated al any crosi-seclion.
[n the above calculation the same structure is to be solved fo r various external
loads. Because it IS three times redundant it will have to becut through a t an a rb i-
trary sectio n (e .g. in the middle) and then su bje(;ted 10 the red unda nts. The
laller will consist of a mo ment (X J. a ho rizontal forcc (X z) a nd a vertica l
force ( Xl ) and t hesc will ha ve to be determ ined in such a way as 10 elimina te
any discontinuity a t the disconnected ends. Jf XI' X 2 and X3 are the forces acting
on one half of the structu re Ihen Ihe o ther ha lf will ha\'e to be subject 10 - X l.
- X~ a nd X 3 • i.e. to a force of the samc size but of o pposite direction. Beca use
both the struc!Ure und Ihe loads a re sym met rical about t he vertical axis in most
practical cases. X 2 is usually zero.
)50 DESIGN OF H ORSESHOE-SHA P ~[) TlJNNELS

In order to simplify the calculations the structure is split through the centre
and the re<lundants X I, X 2 (and - X l and - X~ on the other half) a re shifted to
the clastic cen tre, which is once again th e centre of gravit)' of the e lastic quan-
;j.I'
tities E1 '
The equations for X j a nd X~ are

(4.43)

where UUl and aUt the relative rotation and ho ri zontal displacement due to
the externa l loads, Icspcct ively
u" "d a~: = the respective mOVCQcnts due to the red undants Xl I ~

and X 2 = I
all = the horizo ntal disp lacement dllc to X I ~ I
ti l ! ~ the rel a tive rotation dut:: to X~ = I.

Allthcsc factors afC to be calculated in relation 10 the clastic centre.

In calculati ng the relative movements, the elastic rot ations of the sup ports also
have 10 be considered

where a~ 1 is the ro tation of lhe struct ure wit h fix ed ends a nd Po is the rOlation
of the st ruct ure wit h elastically constrai ned cnds. Similarl y ( Fig. 4/ 32)

Substituting in Eq. 4.43

From the above two equations XI a nd X 2 call be calcula ted . Note tha t

, J"d,EI'
all -

Ho ri zo nta l displacements o.P a nd 0 .. also ha ·o'e to be comp1lted for the calcula-

tions.
 ANALYTICAL OESEGN MlTHOE>

F'G. 4132. Eq\Ii\'alenl determinate FIG.4133. Horizon lnl movement

struct ure or t he horseshoe section at the spring li ne of t ne cantilever

whe re "100 is Ihe hOrizon ta l d isplacement of tte cantilevers due 10 Ihe eJl lernnl
loads and J I and .5= are those due 10 X, _ I li nd ..\'~ = I, respectively.
[I is best to calcu late the displaceme nts from the cquations of vi rt ual wor k.
For C:Jla mple, a fict itio us fo rce H - I ca n be assumed to ac t at t he point in qucs-
11011 a lld t hen t he: el(te: rior and inte rio r wo rk ell n be equated (Fig. <1 /33) :

(4.45)

The va lue of J. t Cin be computed in a simi lar mnnm:: r.

The use of t he uhove method is illustrated in the fo llowing sect ion by a numer·
ical cl(a mple.

42.22 . I'\umerieal Exam ple of the Zuubov - Rougayen Method

Consider the hor!le~hoe section eom Plhc<l of two d rcular section, lIS ili ustrDted in Fii.
4/34. The moment of mcrtia is Ihrouiholll const ant.
The wnne! ;~ ~ub.i«:t to a uniformly diwibuted ' ·crljeal load of p _ I I{m. The around is
a~umcd 10 be claSt IC and capable of dcw:lopi nC lateral ,uppurt. In thc first part of Ihc calCUla-
tion l he; supports all: ilssu mcd 10 be ngld ly fixcd .
T he dlla of lbe $«tion Ire:
,
r = 3oQm. ~. =- 4~', 4>. -"8 - 22 30', J - ~o n~1. "" 0'0]04 111',

C_SOk:g/cm'=50000 t/ m', E_3000000 t!m'. ~=2.

Jl2 DESIGN or HOItS(SHot-SilAPW TUNI"fLS

1111111111111 II!!!!!!! !II !II IIllilll ilp of rim

Fin. 4/l4. Numerical c:JIampk for the des;,n of .. monolithic hones hoe KC1;on

The aro und reactions alonl the upper lIa" or the r.ection arc:
(S Ubslilulinll •• inlo Eq. 4. 37 )

q ' _q(L _ 2oos' (),

and al ona the: lower p;art or the: section:

(~U b~l itulln, 6, inlO Eq. 4.38)

q' _ q( 1 _ 6'82365;n' (,).

I. Find the: c:1~5Iio; o;c:n lrc:

rI ""
J >'"
Jii1'
3;,-
.u- r -:'r + :'r
,= 2-336, '
J 2, - _ _
28 4

y'=r(1-~05{J (upper parI)

f Y d1 .. Jr
.
.',
l (1 - "OS (Jd( +J
..
y"_r+ 2rsln(,

2r' (I
(lower part)

+ 2SIn ~ ,) d ( , - , ' (a - sin ~ Hr' +

• •
+ 2r' (<!" .-2cOS (,Hr _ rl(~ -1)+ Z,'C,-,.-2cOSfo.+ 2)_

= " ( ~+3+2•. - 4 00s~.)'

lub!;l iHllina the numeric,,1 yal ...,~

r y cis = r' (1 -$11 + 3 + ()O7854 - 4 x 0-9239) = 1-6661-' .

j-ti66r'
I,"" ~_ = 0- 708,.
2-)$.,..
 A:-IAlYTICAL D ESIO'" NtTHOO )j]

p.U/m,
11 1111 11 1111111" II I
,'
m, • 1/111
r

J
I
ZJ'. J
~

11.'-- f!'Jm<J
• !

zr ---
• r'
-
It, --l,/r'(f-MJ,)

FlO, 4/35, Loa ds and mo meni diagrams on Ihe (qU ln lent determ,na le structure

2, In Ihe nut siell Ihe Ilructu re is 10 be i'lVCSl iplcd undu Ihe exlernal lo~d ~ ", il/:u u l
"ons,de rin. , he laleral around suppOrl. lkcau!>e of )yn melr)' Ihe sl rUCt Ure can be reprded
a§ one ""Ih IWO redundanlS, An umingl"" 1.... 0 redunja nl ~ X , a nd X : in Ih., elaSl ic ,;en',,,

a nd .slum in g rigidl) filled SUPpOrt s ( Fig, 4iJ~. wil h l k nOla. ,ons alr!l:ly .iv~,

"u
X, _ -
J." " U ; X, "" -
." ;

m'
all =
JE; w;
M.
r
tn_
ds;""~ . £I-d~ ,

In these ellp ressions M denote,; Ihe mo ment on lhe rqu ,valent determ inate Sl rUClllrc due
10 . he elllcrnalloads lind III, and nl. are Ihose d~ 10 X, _ I and X. = 1. n:'P"Clh'd y. The
mome nt diag rams On lhe equl>'aien l determin ate "ruClure arc illu$lraled in Fi .~ 4f3 ~h-
4/J5d.
A~ Ihe momen! of inertia il constant. Ihe relative rolations may be 'm8gnified' by £1
'" DESIGN Of ItOMSlSHOF.·SHAPED TUNNELS

11\ the calculatio ns.

M; =
T' sin' ~ .' 2,' (1
,
- -+ - ,"os ~ ,);
2

••
u;, =J"'i =•Jr -..,+,(.
d'
"
- co, ~)], rd{ + fer - c, + 2, sin ' ,I' 2r d{, .
ai, -
..'.
'J[ c~ - lUI+ (1 - cos {)
•
r' ( I - 2. cos { + cos' () I d~
..
+ Ir
2r r: - 2e,', +
• •
+r' - 4(r, - r),sin" + 4r' sin ' { , ] d ~, = r[c; { _ 2rr,({ _ si n {) +,' (! -lsin ~ +
+ ,
4 si nl{ + " 2 ) . J" + 2, Ic; <, - 2c,,{,+ r' { , + 4(c, - ,),cos ( , +

(,
+ 4r" -4,i02,;, + {,il ll" =r ll" )'h +
~ ---; - 1 4 '.
27+

+8 ( -
" ; - 1) (COSo/l.-ll+T-2-2Sin2'1._
h I= ,"[ O'292'x2'3S6+1'416 -

- 8 x 0-192 (0'92388 - ]) + 2-356 - 2. - 2 x 0'7071 ] = +0- 737,'.

- ,.. sin ' {

111" = 2
(upper pan )

- -"2 + 2,'(1 _ cos {,I (lower pan)

"~'=. 'I'- """, 2 rd{ +, ["[" - T +2r'(I-cus { ,) 2rd{ ,= J

• •
= ~ l+ sin 2{ - ; I: ' 2rl-;'
+ + 2~, - lsin {If' = T' ( : - J-
4 sin :r/8

= r ((} 7854 - I-DOn = -O'i45" (p).

"o,=)m,M.dl_
,," J'" [c,_r(l_cos : )]r ""2 , ~d ~ + f" [cf-~-2rSID"["
{ ,] 2 -
o
~~
•
-,
- 2r'( l -COS ~I I]2T d ~ , = ~ J(C/SiO' ~ - rsin' , + rsin' ' cos ~)d~ + 2r'J(- i -
• •
- 2,',+ 2,', cos ! , - + + 2r - 2Tco~ { , - ~sio" + 4r~in ~ , - 4rsin ~ , cos ~ ,) d ~ , =
 IINUYT1CIIL [)ES1QN !o8;THOO 355

= ~ r(C,-r)(->in2~ + ; )+r 5i~3 { r\2r[(~ -2r,) ,,+2(,5in ,,+

+ (2, - -f-) ~ ' - 2rs in ~ ,+ rcoli ~ ,- 4'co~ ~ ,_ 2'5in' ,, [ ' = ,>!(C,- r) : -

"
-J«', -rl?+4(r,-r)sm¢J.-l'ircos4>.-4'Sm"rt>'+ ""6 ' ". "1 =,' - , l" /" )'
- 1 "'4 +

I) 0-3811 - I'i )( 0-92388 - 4 x 0 ·14644 + 6- 16 J = rll + 1)0229 - 0"446 -

- S-S40 - 0- 586 + 6-161 = - O· 18r,(p)_

0-14Sr'
X, = + 2 J- = + 0-31?,'(p).
- '6,
1)0 ISOr'
X,= + 1)0131,' = + O·24~,(pl.

Thi!i completes (he firM pan of the calcu lations. The st f u,ture has been sol.·ed for t he con-
(litinn nf fi ~ ed ends and no lateral grou nd support. The corre~ponding mOment diagram is
illul1rUed i" HS. 4jJl'i. Th .. ~n dl n s mOrn .. "t, are

/If = M . + m, X, + RI, Xt •
for the upper parI
.\1- = -
" ,,,,'
2
~
+X,- c, X, + r(l-cos O X. _
for the 10,,"Cf pari

.II.f ' = " + 2r' ( J

- """2 - cos ~ ,) + X, + (r - <" I X. + 2, sin ~ , X , .
3. Tu r ning nOw 10 the effC:Ch of the assumed lateral load of II = I ti m the expreSSIOn for
the bending mOmentS on the equivalent determinate structure is (FillS 4137a b):
(II) ror the upper part
q' = (I - 2 cos' ~>-q).

1<10. 4136. MOll1ent o.li a llram for rigidly

fixed end~ and no lateral 81"Q!lnd support

n'
35' OUtON OF HOIUU ftOE-SH.l r £D TUNNlL5

FIG. 4,)7. Loads due 10 .he la leral support

actin, on rhe equivalen t determina te
struct ure
q'~ I-2ros'f

.-.
-.r d~ rr sinCe - -rI(I • •
{ ~os,,-
M~_

- COlI
. ..,
q'

{ sin" - 2 ~OS· ,,(sin (CUii

Ill) ""
. ..
2' -
-

cos (,, "

2eos'~)

2J1 d2 _ - r' I
...
'i na - ,,) d~_ - r' Jloin

~in (si n" + co> (cos '" -

_2!ii n ~
[ ,jn~co~'
3
Y + 2
3
sin~
I
-lcos{ COIi'Qlj"
l • ~"
__ r [ sin'(+cos'~-

CO\' . .. co.' (
- 2 sin' { .!. _ _ . iot ( - 2 _ _ 0'7071 si n {- & 7071 co~( + 2 ii n ~
J
J J
0"01 . X O'S 2 ' 0' 7071'j
[ ) + T O' 707 1,1 +2COS{ - ] .
and in a rea rranced rorm

M~_ -rf- ~ cos' ! - 2 .

3 Sill> {cos' ( - T4 .
$1'- ( + 0'4 71 4 SIn ( - 0·47 14 cos { +

', he: moment at ( _ 90 is

T he horizonta l component
M~ = -
i~
"1-; + + '1- - 0' 41 14 O·138r'{q ).

H= f
_ .",'
w
q' d s sin " -
•
I(I- 2) r ~ln
_II
"
2 cO!;, " •.h - , [ - COli" + , [-
2 cos'.,

,
2 )( 0-7071 '
1 = 0-4714, (q ),
 "':-~LYTIC"'L DlSIG~ ~HHOO m

The vertical compo nent is

~

1'-
, ..
f,,'dlC<X,= J(I - 2COS'2)'C(li2d '- 'fCOi~-2Cos'~)d~­
'.
l
, _
lIn", cos-" , 1- =, [ ,
~;n ~
3. w
I _
3
_ 0'71171 + ~ 0'7071 )( O-! +

+; 0-7071]",0- IJll d").

(b) On 1Iw: lo .. c. pon of lhe Sl rUCture Ihe b:nd lnl morllCOIS arc made: up of , .. 0 parl~
,,' = (I - 6'HJ ~1O·.oJ· ("I M " _ M;' + M M' Wllile the Ii!"';t member ~presenl'l tlK: momcnt
due 10 load q". tile K'Cond member <.ienot..s th~ monlfnts due 10 If. V. and M . (Fig. 4{37h) .

••
,\/,:, =- f,,'lrd'2rsin(~, -,,).

, ., ,

~in({ , -7)(17= -4r'J~in {, COS7 -

, .
M;'= -4"J(I- 6'828 sin' ... ) COS{, Isin .. -

- 6'83 sin'"I(sin {, C\I"S'l - COli ( , 510 ~J I d~ = _ 4,' [Sln ~, 510' + co~';-, ~"" ~-

- 6'83sin { , sin',
J
+6'8Jcos ~, ( _ cos2sin', - -2 cos.
3 3
J]'• "•
__ l
4,' .;o' t , +

+ cos' t, - sin ' {,

(,.8] - -, - + 6'83 cos <. ( - cos:\,in'~,
3 -
2
J cos ~ ,
J - cos {, +

+ 6'83 cos c, ~ l = - 4,!(- 2-276 5,n' !, - 2-2165;0' { , L"OS' {, - 4'!Hcos' ~ , +

+ j'5Hros {, + n
The momeots due to H. Vand M. are

M::.= M~- H2r'io {,+ I'lr(l-cos {, ),

M;' = ,. (o-U81 + 0-')428 sin ~, _ 0-2762 + 0-2762 eOI ~,)
and Ihe 101,,1 momeOI i.

M; _ -4" (,,) . (- 2'276 sin' ~, _ 2'276 ~in' t, co,, ( , -

- 4'552 cos' {, + )-622c05 { , + O'B!7 sin {, + 0'9655)
The moment di_llram 00 the equi"alen' de:terlTllnat~ Struct ure due to assumed I"tera)
lo,ad of q"" I ti m ,s illu51r&lcd in Fig. 4/)8.
The re)ali"~ rotati..,n of the elutic ce ntre due to t he lat~ral load is

,
cos' ~ -
3
sin- ~ COf' ~ _ ,
":!"$!o' ~ + 0'4714 sin:-
 DESIGN OF HORSESHO [ -SH'PED TUNNEL'!

FIG_ 4{38_ MOrne"1 d iagram on the cqui~alenl dClaminale st ructu re du e 10 the late ...! load

••
- 0-47 14 eOil ~+ I) rd~ - f4r'( - 2-276 sin' ~ , - 2-276 sin' ~ , cos' {, - 4-5n cos'~ , +
•
T2(5in '~os'~
+ N i22 CO$ ~ , + 0-2357 s in ~ , + 0-9655) 2,. d ~ I = - ,.' -
I 4 +

+ - J[
4_ 3
)
oos'~ d ~ - -2,1.' "
4
." - -
2-
34
If 'r
sin'~ d { - - - - I sin 2' + ...!.. -
3 4 •
'j
2

- o-47 14 oos , - 0-4714sin ~ + !

l
~
...
- 8"" [
+ 2-276
_
cos t sin"
'
4
"-

I ~'
+ "2 j+ )-62 1 si n ~ , - 0-23~7 cos ~, + 0-865~ " j. " =

--+ • ,
- ..!.. sin2.: - ,~ ,'c;.
c'--;'c'c.c'~:
6
+ - I 5111
24
- " - -' +

2-27 6
12

- T2 { - . M' [-
0-471 4 cos ~ - 0-4714 Sill ~ +! - 8"" cos ~ " in' { , +
1. ' 4

-
2-276
4 sin' : , cos {, + 2-276 - 2~
16 SIn ,-
2- 27~ e
8 '

,
4-552

turning 10 numerical val ues

 lItn ltoo
ANALYTtCAL DESIOI'

The relative ho rizon ta l displacement of the elastic centre is

'"

w
- ~f{ - ~ coo ' ( - ~ sin' (~XIS' C - ~ sin' ( + ~-471-4 sin { - 0'4714 «>s { + 1) (t, -

- r+ r 'os ~) d< + sr J(-

"
2'276 sin' <, - 2' 2' 6 510' ( , coo' ( , - 4'SS2 'os' C, +
•
+ ),621 COS { , + O'23H , in {, + O'96SS) ( ef - , - 2r . in ~ ,) d{, "" O'{l28'') (e, - r) ,.. +

+ r' If- ~ cos' , - ~ sin' <'os' ~ - ; ~in' ( '05 { + 0'47 14 sin ( eos ( - 0'47 14 ' os' ~+

+ cos C d C+ 0'31113(f, - r)r' - 16~ J{- 2'2i6 si n' C, - 2'2765;n' {, cos' {, -

- 4'552 cos' C, sin {, + )'6214 COS <, sin ( , + (H3S7 . in'':- , + 1)<965' ~ in C,) d{, -
2 sin { eos' ~ j
= - 0'02859 x 0'292r' + f '
I
_ _
3 ,
- -
8 [ Sin ( cos' {
15 1
+ _:23 sin ( -

, - " coso" .
- ""iSs,n 4 sin'C
- "IT ) -34 si n'~+
3 0"23S7 SID
", - 0"-471 4[' - " + ' ,.
"4"n ") +

+ sin {
]
-
-
- O"Jl l1)X O'292r'_ I6r' 1+2'276 C(K. ~, sin' ( ,
I
, ,
4 X 2'276 ( _ cos (" , sin' { ,

, _'j ,'_,(
- - L'UlS . , _
J
'_ 1 _ 5i n' ( , cos' (, _ _
5
2 COS'{' j +4 _", cos'C , - J'6'"
5 3 3
",u' (" ,
, +
+ (1-23S7 ( -4' si n 2e, + -,'<,j - 0'96SS
- CO$ ( ,
I"
11-.
•

turni nw again 10 nu merical vRlues

0., _
(_O-oJ.147,o + Q-004]7r' _ (H)92,)S~ - 0"16061"')(q) _ - 0"2S88,' (q):

x , _ - -0-
Ot,
" -
0'3469"-
-'-'
,,:iJl~''"" - + 0' 1473'" (II),
X, _ - + O'3S21"(1I) '
The bendin, moments due It.> Ihe assumed l' lenl load are illust rated in Fig. 4f l9. All
va lucs arc to be mul h pl icd by ,0 .
4 . We now have 10 invc,tiwa,te Ihe horizo ntal displacemen t. all he paiocs where the IoeCtion
is wilkst. due to In assumed venical load uf p _ 1 tim Ind due 10 the assumw l<1terl l loa d
ofq_ 111m.
<a) The hori~ont.t displa~ment due 10 load p IS
,61) Dl5IGl'o or HOIU£.SHOI:·SHArt:D TU"N[U

FIG. 4/39. Moments due to the:

laleral IOMd

where <I.. 6, and ~f are Ihe d Isplacement} of the c:qu,va icni dclerminale $Iructure d ue 10 Ihe
"ertical load p and the rcdundants X, and X,> rl'!>;!«,u"cly.
Once apin it is bc5, 10 compute the displ accmenls wil h the equalio.'15 0( virtual work.
An Uminl a fictitious hOrl~olltal for~e of I wn Ihl' Illomen t diallram i~ determi ned an d used
,n the abO '1: equation ( Fia. 4/ 33).

M " .. +2r si n ~"

. II\.I
", = N /!t
C}
,
ds - '''I''
£J
•
~in{, d ~'--EJ ".[ cos:, r" ..
-
'
£J (l

At._, ,I .
0.-=
I £J d~"'7J 2rSln ~,(r _ C',+ usin :, )2rd ~,_

" I d: , ""
---; + 2 11n~, "'I
EJ " I' ·
-cos ~ ,+ -;-"I1S~, + 2 - 4 Sin H,+

"'I
_ _£J -'M>"+"- cos'"Y0
- ~
I $ln2'
2"
. +. "/ +'
- "'[( "J
EJ _ ' - -; ( l -coI<l>.) + •• - '
ZsmU.,
1

-
.,'
£J
['leas:, 2cos {, - sin'C, ,· _ __
I•
"' (.,,-' -
£1 _
1
-3 coS4'.-sin'';'.,
2

5ub!.litu linllhe abo~ R'$ults into

<I~=o.+ o ,+6.

x 0-9238 - 0- 14644]_ - &1290 £/(/1) ,

.
.,'
6'=f:J(1 -CO$</o. ) X, = t:J (I -
... ~ -92388)O-3 17 _
.
0-0965 £J (p) ,
 "'N"'I"VnC"'t Df.SIGN McrHOD
'"
6, = 4,'
EJ [I' "~I
1 - --; (1 - cos <1>.) + ' 1
tfJ. - Tsin 2<1>. 0-145, =

,
0. = £J (- 0'12\10 + 0'0'96:)' + 0-06Q) • (I" = + 01J27:), - "
£J
(I') .

(b) TI«: horizonl~l displacement duc to Ih~ la t~ral load" is

where 6. , ,I, and <I, are the displacement s of Ihe e'lul valeni determinate struct ure due to the
laleralload q an d to the redundams X, and X,. respect ive l>'.

11 0 -
f AfHMo
""""EJ dJ = 4"r . ...
£ J. [-2'276 ~ln' ~, -2-!76sln - ~ ,co,- :, -4-SS2cos'~,+

+ 3'621 co< ~, + 0-2H7 51 n ~, + (}96SS 12r sln ~ 12rd " =

16r'
£J.
j''.
[ - 2'276$in ' : , -
•

+ 0'9655 . in {, I J {, = 16r'
EJ
[+ 2'2762 COl ~ , s in ' :. _ 4)( 2·276 ( _ cns { , sin' : , _
S S 3

+ 0' 23S7 [- + si n 2~ +I +;,)- 0-96 55 co~ ~ I"= I - 0'1620 -

£J '
"

5. In the next step we shall now equale the structural deformation lu lhe clhtic cu m pn:o;~ion
uf the g.ound. where the ~ction is the wide<\1.

hence

"
q=
,
-c -b•
ti,
- -C1
0'0275 £J

+ 0'0308 -£J r' - EJ,"="---

C ...
,.
0'027S

+ 0'0308
362 O[S IG ~ or HOKSf.SHo(-SHAI'I:O T U!'iNfLS

= 1 000 000 )( 0'010..

_ _ "-""
" -,,,,77
~0000)(8 1 '

0-02751 I
0-0077 + {)0030J1 "" O'71 41/m (0'146 I«fl·).

Th:.t5, the magnilude ur , 110;: IDle,al prc ~ ... n: hal been delerm ined.

x, _ ( + 0'317 p + ()o147) II )( {)o714),', i,e . .. ith II '" P _ 111m, X, _ 0'422, '

X, = ( + 0' 245 p + 0'352 II )( 0' 7 14) r, i.e ... ilh ,, _ P _ I I/m. X, _ 0'496.-,

The bend lnA mon,en l5 due 10 the assu med lale,al lOad arc illUSl rated in Fil.4I)II. All
,·al ues are to be mult iplied by , ' .

i I
I ..p· / VIII
'" I I I

FlO. 4(40. Combined moment diagram due \ Q "ert;~al a nd later~ 1 loads, ror utruc t urc
wiL h fi.u:d ends and elutic lat eral ground iu ppo n

The moment diagram du e \ 0 both verl;,:al and latcral loadi ng on the laterally clallically
5u pponed 5t ruci ure "'ith hed ends is ill U ~l r' ted in Fi,l. 4140. All ordin8 le~ are 10 be
multiplied by,'
The calculat ion is nUt \0 be ulended 10 consider t he ebuli e constraint at the ends.
The rotation of Ihe en d ~tion due 10 a mo men l o f I t·m (7'23 flk) i~

p, -
, ,
C-', ~ "",,,-0, - - (H)0024
J ~O 000 )( <r08lS

The momen t of inc " ia al l he fixed end is

J , = 0'083!! m' (200 600 in').

I. Consi der lhe relal h-e movement s on the structure with elastica lly con~tra ,"ed ends and
multiply them by J:: J
Q;," II" +
p, _ 2'JS6r+ 0'00024)( EJ
£J _ 3000000)( (HlI04 "" 31 260t m' (74 1600ft'k);
 ANALYTICAL DESIGN IoIHIIOD 363

(I:, = 2'3561' + 0'00024 )( 31 260 = 7{l68 + 7'50 = + 14'57,

..;, = p,y, = (HXlO24 (1r292 + 0'7654,3 1 260, = +23'7]

ai."" a" + P,y: _ 0'737," + (H)()24 )( 1'0574' X 31 260,' = 19-90 + 75'2 = 95'10,

2_ The relative movemenl~ o~, and "ii" due to the uni fo rmly di slribuled verl i""l load p, are

a;, = - 0'745" - 0'00024 EJ X 0')478,' = - 20'1 - 23'S = -43'6;

11 0, = - 0- I8Or' _ 0'00024 EJ X 0-3478,' X I-OS74, = - 14-6 - 74-S = - 89-1 ,

The redulldanl s X, and X, are cak:ulaled from

a", + .. ;, X, + a;, X , = 0,

..;, + u;, X, + u" X, = 0,

- 43 -6 + 14'17X, + 2)073.\', = 0,

-89' 1 + 23-7)X, + 95-J()X, = 0_

23-73X, = 43-6 - 14'57X, Henre X._ 1'84 - 0'615X"

- 79_1 + 23-73X, + I7Hl- 58-5X, = 0,

and hence

X , = 1'8 4 - 0-615)( 2-47 = (}Ol21 (0-705 kip~).

Consider now the structure with elaSlicall y const ra.ned ends under the lateral load q = 1
ti m (0-672 k/fl>

~, - - 0-3469r _ 0'00024 )( 31 26(1,-' )( 0-733 = -9-36 - 49-5 = -58-86,

a~, = - 0'2588,' - 0-00024 X 31 260 X 1-057, X 1)-733,' = -21 -.Q - 157-0 = -In·S,

58'86
X, = 23'73 - 0'615X, = 2-49 - 0-615X,_

X, _+1-701m ( 12'3f1k) and X ,= +1-441 (3-17kips) _

The moment diag.am due to the uniformly diSlributed veTlicalload and for elastically COn_
straincu end eondilions, without consideri ng laleral support _ is ill ustrated in Fig_ 4/41. All
ordinates are to be mull iplied by ,,_
We proc.,eu now 10 compute the horizolllal st rUClural deformation al the points "here
the section is widest .
Owing to llit Yerti~,,1 load p _ 1 t!m (0-672 klft)

h. = h. + ~ , + h, = fly"
 364 D L~I CN O~ H OI<.'iI;SIIO ~ ·SHA P ~ 1) TUNNtU

IJ. - ( - 1'160 + 0-752 + fr 2JS) )1 ~60 + O0()()()()666 - - 01l000498 + 0-0000666 =-

'" +0'0000168.

Owing to the homonlal load nf II '" 1 Ijm \0-672 klft)

IJ.- "
l:.J \_ O' 162{)W'= frJ04,S X "70 + o-24~ X ' ·44.-j _ 0-34 X 0'00024 X o-i6S 3 _

_ 0'0000331 - 0'0000626 .. - O'OOOO29,S,

6, (}()()()()168
_~ ;: 0'00002 + 0'000029$ - 0-341
\0'75 kips)•
c •

FIG. 4!41. Momen ts r;lue to vertical FIG. 4/42. Combined momcnl~ for
load for elastic&lly constrained elu lically con str. incd end cond ilion~
end conditions and clastic lalna l liuppOrl

With lhe va lue of II delcrmin<:d Ihe ~dundanls X , Rnd X , are

x, = (0')2 + "44 x 0'34) _ 0-81 = 0'27 • .

The moment dia,fam considcrinll cla~l ic end constrain ts as well as Cl;llo Lic lateral support
i, illust rated in Fig. 4/42. All ordin~lcs arc 10 be mul tiplied by,',
For variable siructurni rigidity lind ground elasticity the bendln" mo me nts a ~ a function
of the ... tio ~~ . For a structure .... ith fixed ends the moment § .t the crown ..c ,lIustratcd

in Fill. 4/4J as a function of the rat iu ~~ . From the graph it wnuld aplX'ar lhallhc moment
for I laten.lly full y supported struCture is o-on r'. In the ~ or no lateral lIfound Sl,l pporl
 '"
n
----- -- , -
I
I

,,
, ,
"" I
~I

\. 'U -" '

>, ;:;: I
<!:o ~: ~,

o ""
FIG. 4/43. Moments at the crown as a func tion of st ructural rigidity and ground elasticity

t he same moment ;, 0-144 r', i.e. 2' 7tlmcs of what it was before. Ttw: coefficient of suograde
react io n and the ~ Irllclural rigidit), ha>'" only a les,;er ell~t on the llIoments.
EJ _
Generally speaklnll: It can be concluded Ihal If C ... IS less Ihan 0-1, the elast IC latera l "r..,u nd
SlIppo rt might as " -ell be ne~lttt ed and the monolithic arch can be treated as ir nOI supported
al a ll (l at era lly), For 11 su mmary of the above resu lls s« Table 4111 .

T AIILE 4f1 1

Mu . ",omen"
c,,"d;';M
CroW" Qu."" point Sr';nl;n¥

Fixed ends. no lateral su pport +O-I44r' 0'13 1r' +0-228,'

Elasti cally constraIned encb . no

lateml su ppon +O'200r' 0-194r' +0'040,'

Fixed ends with latera l sUPP'Ort

(1806 Iblin') (C=50 k lil/~m") +0'071,' -0'061,' + 0-078r'
Fixed e nds ""til lateral support
( 181 Ibl in') (C = 5 kg/e m') +0-118,' ---Q' 107r' + 0-174r'

Flaslical ly constra;ne<1 en ds
With lateral support + 0- 14Hr' - 0-129r' +O'027r'

4.3. DESIGN OF ClRCULAR TUNNEL SECTIONS

4 .3 1. GRAPHICAL 1;o..' VF,STIGAT10N

A gra phical method for t he investiga tion of circular nmnel sections or Hn:h-
Iype construction is given below (Fig. 4/44):
The d ,mension s of lhe circu lar se<:lion a~ to be assumed on an empirical basis, follo,," ed
by the calculation of the se lr-weililht an d Ihe horizont al a nd vertical exte rnal loads. The
 fJESIO,," or ClIlC1!LAIl ruNN£L SfCTlONS

seclion is di~i<lc<l inlO ckm~n l ary slrips and lhe componenls aelinl on l'3ch slrip arc ,;on-
~ert~d in lO a result ant. The problem is one ofconslrucl in~ a funicula r poly~on wilh a (Xlle &1
point O. The IOCDlion of 0 II not !:nown u yet bm the tntal polu di stance: is known to be
equal to If, i.e. 10 the sum of the latera l loads. The pOSItion of 0 shall no ..' be VIl.ied in ~uch
a way as 10 arrive al a Ih'U51 line runnins wilhin Ihe inner third and al Ihe ~n~ Il~ 10
.esult in a SCI of H I and H. lhal " '111 !>IItisfy t he equallons of eqUllibtlum belo"·. If Ihi s provn
to be JmpoSSlbk then the ",all I hick~",s haw: 10 be mod ified accordinal)·.

E,

1'1c.~p,7:SdbXl /C'."! 4
If, ~ - I(J,.; -H,h-IJ
FlO .•4/44. Graphical investigation of a circular lunncl)«t ion

Thus, lhe problem IS how 10 locale pok 0 since HI and H: are unknown . They can be
calculated, ho"·e~·er. fro m the equallons of equilibriUIll. Taking Ihe momem5 of the e.lCternal
loads about po,nt 0 1 fo r example. (I.C. abo ut. point in line wilh one of the unknowns, J/ ,)
the mhcr un!:no ..... n can readIly be obtained.
Moment5 aboul point 0 ,
::.:"1', -1..·G,g H,h = O.

~L,r, - ~Gdll d H. _
II,"" - h an 1:E~ _ J/"

In Fig. 4/44 the formula for ma,umum and minimum ~Iress in the wall <lue to an e<:centtlc
e",ern al load i~ repeated for convenience.
Because of the kngthy, aWKward and inDcc:lrale procedure invul,ed. the above graphica l
investiption is ra~ly ll:iCd ,oday.

4.3Z. APPROXIMATE MET HOO FOR TH E CALCLlA1"IO;o.l

or RING SECTIONS
43.21. Design by Dividing the S('ction int u Seg1llenls

Should the lunnel be conSlruc'ed in .he cI~ical manner. '.e . • hc roof, wall and bottom
secllons are butlt ~p;!.ra'ely •• hen their anat)"~i!I aln be performed in a SimIlar way 10 tha t
oUll ined under Section 4.21.
The I"OOr occlion (i), the .... nlll (ii), "nd tha b~~ (iii). ar" <Je .. "ned ... para, .. ly ~ .."m;nl
fill ity at Ihe conllectiUlIs an<l considering t he reac. lon) as external ro.ces on Ihe ~ul'I)Qrting
member. As. 'dul, of the con~'ruct ion. the shape of su"h SI.-':Iions is fit from being an Ideal
 /l~~kOXI~/lTij MUltO!) FOk lU NG SECTtONS )67

r inl. As Ih", "'all ~ ha'e to I!'amiler I ~ roof loads 10 I~ lublrade unlillhe bOHom sect ion is
fo rmed, their bases hne 10 be built .... ider in order nol 10 eu..,.,d Ihe bea ,ina ca poacily of Ihe
soil. The: con.- tinll ~ sec"on It~lf is seldom a perfecl rinl !!ClJlIenl . Thu~. in facl , only
lhe: inner surface has a ci rcula r shape (.we Fill. 4145). The fi nished ein;ular s«t ion il t hen
analysed as II monolllhie rIOt;. As mOil of lhe C~ternal (or~ ",ill develop and act on the
un fin ished o r TII t her Ihe nOl yet continuous ~Iion . il h:u 10 be au umc:d ",hal portion
of these forees "'III also be acti na on Ihe fini' hed ~I mct ure. Thi s depends mainly on Ihe nile
of the consolidation of lhe: sUfloundi.11I soil a nd Ihe rale at whICh the rod prenures develop .
In loose gran ular $oil5 Or soft sarllral ed 51 hy clays, in practice there will be f,w, if ~ny. addi-

Fl(]. 4/4S. Loads on a circular lun nel

seclion <:(Instructed in Sillies

liona l fnrc<:<s Ict lne on the: fina l ~I ion_ However. in hard dats or w li d rOt:k~. e~pcr ienee:
In dicata Iha t bo lh Ihe yer1lcal and hon rontal fo"u are steadi ly increa , ine even se,·eral
mont hs Ofler conslruction. Therefore. dependi na on the: spcc:d of construclion. 20 %-40 % of
Ihe final pressure can be co nsIdered 10 be Iransferred 10 the completed r inl section. The
ana lys is of the monoli t hic rina will be di loCussrd Illter (So:ct ioll 43.22).
Jr the 1-011 surroun din g Ihe section I~ sofl and ~ t\lratcd , In which tase Ihe pressures arc
nearly hydro, la lic, and Ih""" is no ,illnin Clllll dilTc re llce between Ihe preS$ure on the top ~ nd
the bo n om, Ihen t he pressure distribution I, Il~~umed 10 be uniform an d 3ctinll norma l to
the !>CeliQIl. Th is, of course. is Ihe most favourable loadong condi tion as on ly norma l forcc~
all: produced in th e rina o«t;on. The ,reater the difference be"","n the ~rtical aud laleral
fOr(cs, the leu favourable "'Ill be t he u rcss dlSlnbutlon in t he ring. This " usu all y the ca~e
in hard or den!iC soils. HOI>.e\er, even under Ihese conditions. if l he "'a ils of the ring .re bu ill
apm$! Ihe JoDII "'''houl leavinJ! voids bct"'een. tlll-n the laleral earth pr~u re "'ill be replaced
by t he Illeral e;1l1 h react ion. On the other hand. if 'olds ale left belween t he: ."velure.nd the
'oil, lhe mornenlS al lhe spri ngi n, a nd l he: crow n will be considera bly jncrea~ed 1Sc:<:lion
6J.22S).
II iJ of len ncccnllTY 10 provide an inde['Cnden l waler-sealina rina on the i m id~ rOT t he
compleled lu"nel sretiol!. Thi s is deslilned 10 lake I~ full hydro ..al iC pressu re.
Tt>e pre!l~ure dl\lrihlll lon on Ih l. internal Tina is illustrated in FilO. 4/43. and is !hown 10
gr.duaUy ""rea.e In inlen.ily with depth . The loadins dlag.am ncting on Ih a nulu se<:l io n
as a re!lUII of the vertical and Int ern l earl h pressureS, i5 alsu given on lite left-hand side of
ri g.414S.
368 OUIG>; OF Cl MCU I,.AR TUNNEL KenOl'S

43.22. Oeslgn or • Monolithi c Ring SectilNl

T he stresses in a t unnel section act ing as a closed ring, i.e. an indeterminate

structu re with three redu nda nt react ions, can be determined exactly. In the fol-
lowi ng seclion, howeve r, certain approx imations will be made, name ly, the magni-
tude of the su pport ing ca nh reac tions will be a r bitrarily selected a nd assumed
to be indepe nde nt of the defl ectio n of the ring. In add ition, the ring section will be
assumed to remai n consta nt.

'J
, ''( I

FlU. 4146, [).c:l~rnunale system for a

symmetrically loaded rinl beam

T he first step is to make Ihe slructu re statically determi nate by a fict i ~c cut
through at the crown. The ringean be considered now a curved cltlll ilever !>earn, -
fixed nt the len and free at the ri ght side of the cut - whic h upon the effecl of
the released internal StresS('<; wou ld tend 10 move at its free end. To prevent this
d is placement. three unknown forces Xl' X z and X , a re applied at the elaslict't:nter
(J which is considered to be connected to the free end by rigid brackels. Upon

the a pplication of these fo rces. nei ther rotat ion nor horizonl3l o r ve rtical move-
ment a t the free end can occur (Fig. 4j46a).
T o determi ne the un known forces Xl> X! an d X3 first a unit moment s)stem
Xl - ± I tm, the n a unit ho rizon ta l force system X~ = ± I ! and li nn lly II uni t
ve rlical fo rce system X3 _ ± I t is applied 111 the elastic centre.
As a further step, t he ro ta tion as well as Ihe horizontal and vertical d is place-
ments all' 0H and a3~ can be found successively upon the effect of these unit
force systems. Further the rotat ional a ol • horizon tal a n!, and \crlicaJ anI dis place-
ments c.-wsW by the externa l fo rces al the free end are determined . Finally, to
ex p ress the fact that the forces X h Xt and X, bring the elastic centre back to
ils origmal position, the followi ng expressions can be written:
- 0 01
0 n Xl + 001 - 0 from where X,= -
a"
X 2 = _- :"!
°Ot
a ..
- aOJ
o from where X3 = --c= (4.46)
a"
 '"
And since the load ing is symmetrical

QiU = 0 and he nce X3 - 0

The displacement fac tors elln be calcula ted by use of the virtual work equation:
• •
a OI - JM m l d .I' all! =J M (}m~ ds
"• , •
a]] - J, m; us and
.
a~! = Jm~ d.l'.

Where Mo desi gnates the moments produced in the stat icall y dctcrminOle cantil-
(4.47)

ever beam by Ihe exle rnal fo rces and similarl y mil In! a nd m~ are the moments
caused ther.! by Ihe fictive unit moment and the unit ho rizonla l ll nd vertical for·
ces, respectively. The momen t diagrams c!lused hy these unit forces a re illustrated
in Figs 4/46b-d .
The moment a nd axi .. ] thrust at any ,;cct ion then follow from st ru ctural nnaly_
sis as superposition of the above effects:

Moment: AI - Mo + XI + X,y.
Th rust : N - No + XI cos a.

When considering the external fo rces acting on the section no t o nly the earth and
wate r pressu res should be ta ken into ltcco unt. but consideration must be gille n
to the magnit ude and distribution o f the su bgrade reactions. The simplest case
i$ when ~e assu me tha t this reaction is a simple renection of the external load-
Ing, which in many cases, of course. is not tTue. 111 hard soils the reaction is morc
concentra ted and in loose or soft soils is more evenly distributed. But in any
ca~. this method enables us to de termine the moments on the staticall y deter-
minate beam for any reaction distribu tion and thus to obt:!!n the displacement
factors 0 0 \ , 0 03 a nd (I03 for the give n cast.
Fo r II closed rin g with a uniform cross-section the uni t d isplacement factors
a re give n by the following equallons;
The displacements ea used by t he unit fOT[.:tS acting at point rJ if y = r cos:z a nd
x = r si n 11, (Fig. 4/47).
.
ulJ=JI W=2rIl;
to
• to

u!, _
J ,W= f r"cos I1r d::x
Y =

• •
(4.48)
310 DtS1GN OF CIM C ULAR TU"NlL SLCTI(>NS

p P
II II, I , . ' I I " I ! "~I ' , j I ! 10' , I! I t I l ' " ., i

"
-, "
-X;

j! "", I ! ! iii ' !I! j I II

II! , "Ii, I "'" , I "ii' i
P
FIG. 4f47. The analysis cf FlU, 4/48. Momen! diagram for
the deter minat e system of the determinate system from a
a symmetrically luatletl rin!; unifurmly dislribuled ''en;ca ]
gir<ler ",Hh uniform "all load
thickn~"Ss

I. The stresses in a closed ring, with a uniform thickness caused by the sym-
metrical and unifo rm ly distributed loud llS ilh!strilled in Fig. 4/41 can be de ter-
mined as follows:
First, the moment produced by the uniform pressure p 011 the d~terminale struc-
ture will be calculated
pX'
111 0 --
2 -

The momen t diagram is shown in Fig. 4/48. The displacement factors:

• •
QUI = 2SMod~'= - Jpr·1sin~lld(l-
" "
_ pr
3
• ~[Sin2et + ;I = _ ;pr
3
. (4.49)

a U2 =0 and UUJ - 0 as t he positiYe and negative areas of t he 11l~ and "'3 moment
diagrams aTe equal. Consequently X 2 = 0
T!pr~
~+
2· 2rT!
The moment at any section
pr~
M = Mu + Xl = 4 (1 - 2 sin 2o:),
pr~
or e"pressing it with 20:; M = """"4" cos 2et (Forchheimer equation) (4.50a)
 APPI(OX[MATI! MIITIIOO FOR 1( ['10 SEC nO"!l

The axia l th rust of a ny secti on is

N "" No = - px S ill 7. _ - pr sin! rx. (4.50b)

The final moment a nd t hr ust diag ram for t he continuous staticall y indete rm inate
ring is illustrated in F ig. 4/ 49. Thc same figure givcs Iyp ica l values for momen ts
and thrusts which could be used in a pproximate calcu latio ns.

farost

F,<.i. 4.149. Momen t an d [hrU Sl diaw:ram of a

continuou s ring ocam

2. To complete t he picture, the stresses caused by the self weight of the ri ng

shou ld also be investigated. If the unit load on the de veloped sectio n of t he ring
is 9 a nd if we assume that t he soil reactions are uniformly d istributed a long the
full length o f the projectioll of the horilO ntal dia meter, Ihen accord ing to M AR-
QUARDT,4.4 in the top section. where 0 < x < 1(/2

J
Mo. - gr~ 8 r.-rxsmrx-(;cosa:.
, 5 ]
r
[
N r« = gr r.r.sinr.r. - - 6- 00"] , (4. Sla)

a nd in t he bOllom ha lf section where rr/2 < !J: < 7f

M~ . - grZ [(IT - !J:) sin x - ; si n~ II: - ! cos 1 - ~ 1,

, [, . ()' 0°"1
Nu« = gr If Sln-r.r. - 'It - II: smr.r. - -6- , (4.Slb)

It should be noted here that ex perience in subway construction in Budapt.-st and

other cities indicates that the greatest stresses are to be foun d in the top
section, as the sides and bOllom of the ri ng a ppear to ge t sufiicie nt elastic
support from the surro und ing soil, to counterbalance ring deformation.

1.1 M AROU.tl'DT. E.: Ifondbllch Fir Ei1t'nb.-loII/X", I X: 4]9 a nd 447 .

...
372 DESIGN O F CI RCULAR TU,,"FL SE<:-n o:<s

FIe;. 4130. The mOrnenl diagram of

the determin at e structure from Ih~
" triani:ular loading

3. The analysis o f the ring section fo r the hydrostatic triangular loading case
ill ust rated in Fig. 4/50 is as follo ws:
T he mlJmclIl~ 011 till.; dclclillinal\; sl rul:lu rc arc :

_ px(r _ y)2
6
p,(r - y)
p" =
2.
y = r COSIJ:,

Fig. 4/50 shows the moment d iagram o f t he determinate structure for this loading
condition.
T he relative movements of the elastic centre (1 (displacement factors) a re as
follows:
• • 3 P. , 3 r
""
~
2f Mods =
2J",r (1 -
12
COSr:r)3 da ~

6 l' - Jsinll+

"
+J (!
"
si n 2;( + ;)
sin IJ: cos~ <l
3
2j"Slna: r . , ~O
-

• •
+ 2J" p,~i( 1 - -rcoSlXrd7- T"f
P ( COSIJ:
, 12 ,
 APPROXIMATE MH IIOI> FOR 11.''<<'; Sl (; nO~~ J73

- J costa: + 3 COS' IX - cos4 1X ) dl = + p,;~ IS in :I - J f~ si n 2 11: + ;) +

si n IX C05 2 :I 2. ) sin IX • COS'IX

+ 3 (~,C- - ,C- - -3- sin 2:1 - -3,- ]'"" ~
3
+ ~ Sln IX
3
-
4 16 8 ._0
- 5
- 16- rrp. r
•

X l "" - - ". +
5rrp, r'
12 ·2rrr
~
+
5
24
fl. r ,
,
'"
ao~ 5ltp, r 4 5
X, ~

a~ 2
+ 16, 3 rr
- +i6 P,r.

The momen t at a ny section is: AI - A10 I X ,

p,r2 \1 -coslll J 5 •
M= + 24 P
16 '
rcosa:=
12
,
p, r
[ - 4( 1 1O - 15COS:I]. (4.52a)
48
T he t hrust N = 1"'0 - X 2 cos IX is:

p, r~ ( I - cos(Jf
N = pJl (r - y) . - X ~ cos IX = - - cos IX
4,
5 P16-
.' [
---p fCOSt). c OS IX 4( 1 (4 52b)
16 '

The t.rianguhlT loading a s wt:1I as thl: momen ts a nd thrusts produced by this load-
ing are ill ust rated in Fig. 4/5 1.

Thrust l1om~!7t

FIG. 4/S1. Moment alld th rust diagram of Ihe

con linuol1~ r ing beam
 1>f.Il1U" ot CIIlCULA Il TUNo,;t.L !>ECTIOSS

4. T he stresses d ue to a trapezoidal enrlh p~sure distributio n [(with p - 7 · i."

(t + r)] can be obtained by t he correct summation of cases I a nd 3 ( - I :lnd + 3).
For the sake of si mplicity the end results of this summatio n are given below :
The moment at a ny point I:et\\o-een 0 a nd 11" is

AI. __ y).• r2[, (! _Sin tl ) +2

f
rCOS(I [Si:~(1 (4.53a)

and the thrust is

r,c05~ Il+rcosa ,;0'

2 , - 8')] ' (4.m)
N Q= - } ' ).•
[ 1
.. here t _the dista nce measured from t he grou nd su rfa ce to the centre of
the rin g
.... _ the coeffkient of ac ti \-e earlh pressure
)' - the uni t weight of the soil.
Accordi ngly. the eart h pressure at the crown level will be:

(f - r)'l~ .. (",
a nd a t the invert level:

5. The stresses in t he ri ng d ue to w:lIer pressure elln be calculated by conside ring

first the streS§eS caused by thc unifo rm water pressu re actlllg al the to p le\eI of
Ihe seclion. and Ihen consideri ng the creS(.-cnt water pressure diagra m below the
crown level.
The waler pressure acting a t t he crown level will be uniformly dist ributed and
radial to t he section and from it o nl y no rmal axial strcsses will result. If the height of
t he water column above the crown level IS h, li nd )'".
IS the unit weight of the watcr. thc axial thrust in
t he ring will be N = "/" hr.
As a result o f the crescent pressu re d istribution
o f the water pressure below the top of t he rin g.
as indica ted o n Fig. 4/ 52, bending momen ts will
be produced in thescclion in addition to the normal
forces. Considering t his loading case alo ne the sec-
tion a ppeors to be labile, as it tends to rise as a
resul t of the uplift forces. T his. in fact. is resisted
by the dead weight o f t he rin g and Ihe soil reactio n
acting at the top plane. a nd is indieated by the
triangular pressure dm gr.tm on Fig . 4/ 52. However,
as the ra tio and distribution of these bala nci ng
force$ can Ix; q uite vari a ble the II l1 a l y~b i:; .:a ll leu
FI(1 4/j2. Trillnll utllr toad
ba lanCUllj (he cre..:elll waler out lirst consi dering the water pressure act ing
pru ~ ure a lone with an imaginary downward pointing reac-
 ArrROXINAI~ "'~lHOO FOR RIl'"G SEen o ' , m

lion al the invert, and then considering the triangul'H shaped pressure diagram
of Ihe balanci ng ea rlh reaction replacing Ihe upl ift fo rces with :I si ngle poin t
load at t he invert leveL The superposi tion of these two, or rather three, if the
sel f load condition is included, loading cases will gi\'e the correct answer. In the
5ummation, the vertical reactions assumed to be: ac ting at the lnven. will elimi-
nate each other since they arc equal hu t opposi te In d irection.
FirSI lhe: cr.:$Ccnt loading di~gr~m is COMidered, assuminll a ""nica t concen t raled reaction
DCling in the vertical axis.
The !;«Iion IS reduced 10 II determinate structur( b~ CUlling it Ihrough al the crOWn.
The: mome nt) and moment diagram of tile delerminatc struCl ure can be Clilcu la led u ~hown
10 !'il. 4/ H .

FI.... 4/ 53. C~enl loadmg wilh lhe concentra ted reaction aClinl al the m~ert Ind the
mOO1Cnt dialnun of ltoe determI nate ,lntCl ure

The elemen tary load on II d. elcment is

P. dJ = y, r (I - cos </» rdot> .. ).', r' (1 - cos 4» d</>.

The demen tary moment of this unil load about pomt ... is

dM. = _ ).',": (1 - cos ." d.r sin (7 - <1» _ - ", ""bin 2 CUS. - CQ!; 2 sIn -> -
- sin ~ cO!>'." + cus .. "n., cos ,,) d<l'.
The moment of a ll forces Rcti nw from the left of po int A is

•
M." - f •
y. "(~in :r cos." - co. :r sm -> - ,in 2 C()$'. + COS '" sin . cO!>.' d. =
••
= _I', rI ISinXSin.+ CO)7COS. - Slnl:t(~ sin241+ ;)+ cos 2 ~in;~ J::-
= - ,',"" [~in' ~ + CO'I' ~ _ ~ SIn' ~ cos y - ,• sin 2 +

=-r,"'lt-cOS2- ;Sin,].

The mom~nt diallram of the delermlnatc st r ucture is illustrated in Fill. 4i~3. Ha vIOH
plolle<1 the momenl <1iRgrBm, lhe relalive d;,placcment of Ihe cenlre of Ihc annular beam can
)76

be dctermmec'. t:or a nog of constant crost-Kelion the elastic coenl l"C' 0 coincides wi th the
acomel tica l cenlre of the ri na:.

0 ..... 2JM. d~=

,
"

.
"
- 2J}.,""(1- co<, - ; sin .l.d, -- ZY.~[ 2 - $io , -

2 (-'C{)s,+sin ~ll :- -" "' ''t.

" " "
2J, M. Ill. dt= 2.r\l· ' CO~J 'd' ­
,
-(:05. _

_ - 21' "lsin II
, _~sin
4 2, - ~ 16. f -20 CO! 2. + sin h)j"" .," _
2 -....:
1
4 ~;.<."'.

As I nut step the fict l "~ forces X, and X, are determined .

X,= - ""... ....

- )'.
~ =+
2,:1
,-
T)" ,

X, = .. - 4,'
- "On br' y.
:1
J
- + """4 .',••
And finally. the momenl at any section of the sta ticall y in dclcrmi natcd ann ular /)earn is

M - M. + X,"" +
.• X, m. = - ... ;', (I - cos II - ; sin' J - -
- - ,. I2 -<:05.-2>li" ,.).

T he var iatiun o f the moment On l ite ."" ular bcltrn is ill ust ra ted In '-'8. 4rS4 .
Rel urn ina 10 Fill 4/52, "'C no .... assu me t hat the di stribu tion of the soil Il!aclion oppoSinl
the up lift »ra,ure acti nl! on the section. is lrian8ular. To uti~fy the requ ire menti of ,.a tic~.

I -- 0-751.1"
tR-i,r' Jr 1"(1. 4/S4. Moment diallfa m of th" rillil 8i rder
 APPROXIMAn MEntOI) f OIl. RING SEnIO:-" J17

-{}JJJpr'
--"- +I- --t "---- r'l'-

R - IJ!'

FlO, 4, SS, 'I rlangular loading ",ilh t he baluci ng !;oncent raled fOrN (R) and the momcn
diaa:rpm of the dclelminale ~I rueture

the eqU Ilibr Ium of the sect ion is temporari ly ~sto~d by an imaginary re~Clion·for~e al the
bottom (Fill, 4",),
First, the moment diagra m ftIT the determinate lIirder is computed.
As the 10adinJi is nOI con t in uous. the momenl s will be expressed ~rmrale l y, fo r Ihe top
5Cction _ for "a illel of O' <" < 90 ' for t he bottom part ,,"'here 90' < ,,< 180 ,

P. x'
- ----
,
(I' -
l
P.)x·
-
(~ - xi _
.~_=~ sin~ ;
, -- , CO _ sin , ),

p':: ~in' ,
43 - .in,),
6

In Ihe bottom .eClion if

::.,12 < "< ;1

.'vf .. = -
", (' bl!l' -;l~
,,'
2
.. n ~ - l0 I .

The "I ria . ion of .he moments on the detcrminate annular beam arc 1I, ~en In rig. 4, SS.
,,",CAl. the rcla tl\'e d,splacements are determ ined ,
.,
all" L fMldS= 2 r-
->
p,'sin'2
6
43 - $Ifl ~),d~ + 2J-P;'(Sin,- ~ J 'dY-
-- l ,,'
l
l
4
sin h
•
+ -,-+
h COS "
l
sin' 'I: r..
•
+ -32 cos • . _1 -""'(-C05'-
'r .i.-
l •
•

- (; p.'
l
+
7
l
378 Ot'.5r()~ OF CIItCU.AI< I'UNN(I. 5ECTIOSS

"'p"'Sin' ~
".. - L. rM ,y d$= - 2.
•
r ,- - - Il-lin2)r':OS,rd,-

"
') rcourd2_1 ,r [S '"
. > ~- ~IU' ~ 1" ..
-2
J
.',
,r
2- (I'"~-T
3
-
4 • .,

- pr' [
.in' >
:1: _ ~i~3 J.' ._ p'
, + -~ -
'6
r ,,'
12
""
T he X, 11",1 X , fQ~s will ~

X ,_ - ..
'
'.
--~ ,,' ('4 + T') -+ "'(
(wo.,- ' ')
64+3,,'

X , ::

At any point the moment:

- -- ~
'n
""
,,'
12:r,' -" 12:1

irO<,< ,
111 , = p"~in'>
6 ,
O-sln~)+6 pr'r 4' + h' )+ 12:r
p" co. >=

,
,,' [ 2
4 ,2Iin" - J sin' 2 - , ,.", 3,. j • OM,

if
, <.<:r,
2

M,_ ,r
2 r ') ,rr' ')
sin· -
j
+6 4
+ h
-
12:1
cos" _

-- ,,'
4
[ 2,;nll_ l6
---
9, 'M'1 h

The final mornenl diaal1l m is silo .... n in FiA. 41St>.

The Siressess from Ihe crescent-shaped water pressure are delermined by Ihe
supe rposition or t hese two loading cOndilio ns Ir J1 is re placed by p = 'i, rr;r.

FlO. 4156. Moment t.Ilaaran1 of lhc annular beam for a

Cre5CCn! loadina
 Fo r the combined loadm g fo r X , a nd X~ we obtain:
'"
r. ,l
XI ~ "2 y, +
, 3 " c :'f

6 I; + 7 )
311 .. + 3 [; + : )
•
3 • 5l'; r~
X. = r y, + 'o r -+
4 12 6

The moment a l a ny sectio n if O <Il <

,
2
l' r~ , ~ 1 14
Af , .. - ~ (2 - COS IX - 2a sin IX ) - Sin ' IX - - - --
6 9r.

.,~ r~ , ,
4
121! s in~ Il - coscr. - - +
6 :) ,
a nd if rr:/2 < :x < n

. ,/,, ' , ( 5 If 14
(2 - CQSIX - 2<1 5111(1) - 4 hsi n o: - 6 -- -
9

= - y"4" ( 2:t$inlX - 21Z sin IX - T4 eosel- 5, ~) (4.54)

6 + 9 .

T he: moment dia gram is sho wn in Fig. 4/56.

43.13. The Hewt ll - Johl nJleJ51)D l'dethBd

In the previo us paragrap hs we have d isc ussed thc design of a n a nnular bea m
which was considered 10 be independent of Ihe surrounding soil mass and acted
upo n by arbitraril y assumed loads. The folio ....'ing method which w:,s dcvclopt:d
fo r tunnels built hy the sh ield method takes Ihe lateral su pporl a nd interaction
of Ihe soil into consideratio n b ut is q uite ar bitrn ry when assuming its dist rib ution.
It ass umes tha t its va lue a nd d istribution will be such t hat it will adjust t he centre
linc of the section 10 coincide wi th the th rust hne, and thus no mome nts will be
crt:ated in the section . It is o b\'ious tha t this mc thod, too. ca n be regarded only
as an app roxima tion lind its use is li mi ted to hi nged sectio ns composed of segments
such as. e.g. li ner plates.
The method rega rds the IlI nnel sectio n as a contin uous rigid str uc ture, analyzi ng
it for both the long-tc rm li nd the sho rt-te rm (i.e. du ring w nstruclion) cases.
". DESIGN Of' ('l kC UI ~II. n l NS[ L SECTIONS

Fig. 4/57 illustrates the loading conditions

assumed for the long-term casc.
T he loadings shown in the dillgmm are
the full eanh and wate r pressures of which
Ihe values of the Imeral earth press ure
alone are assume<! to be unknown. Upon
the effect of the eXlernal l oad in il~ Ihe
ring will undergo II deformulion: il be-
comes sho rter along its ve rt ical diame ter
and expands al ong its hOri70nl~1 diam-
FIG. 4{!J7. The final lood aclin, on 'h,
eter. This elongation. however. is coun-
rinll t II eWITf- J oH ...... NE.UOIo)
(c racted by the passi\c resistance o f the
earth. T he horizonta l carl h pressure, the-
refore. will have II value somewhere between Ihe active a nd passive cases. T he
coefficient of horizo nta l e!l rth pressure k will, lhus, be

if )," - t a n ~ (45· - tP/2).

The value of k is chosen to sa tisfy the co nd ition that there should be no mo menl s
in the section. Thus, for the long-term ClIse, only normal stresses wilJ be consid-
ered. Should the above condition result in thc value of k ixc:lming lcss th a n i'a
I
the n it is tll.en to be equal to J.. and simila rl y k _ ).~- js used on the calculat ion
I
jf its value is indicated to be gremer than Naturally in these cases the condi-
tio ns t ha t /If = 0 can not be satisfied .
'.
The validi ty of sueh lateral pressu re, IS, of course, not substantiated theoreti-
cally and is only justified by the fl exibi lit y of the rin g and as a result of expeTlcncc.
However, in case 01" li ner plates or cast-iron segments thc re is sufficient reason
to make these assumptions, as such sections tend to lu.:t as a tru ly hinged st ruc-
tu re.
In soft a nd saturated loose soils, the hori:tlmta l pressure is considered to be
equal to the vertical pressu re k '"" I.

Sollie t)p,cal loading conditions and the rc5ult;n& 5tn:..~ ...·ill be d'$Cus5ed bo:low ustng
Ihe followinl nomeoclat un: : (Filt. 4!.s8)

Il'" the radi ... , of the e:ttrad<» (m)

Il, _ the: radius to lhe ccnter ti nc of lhe ring (m)
b"" t he in,ide radiu! (m)
y', _ the unil w~illhl of water (tlm' )
i' - Ihe L1nl . weight or 5011 (t/m ' ). Ilclvw th" I,vum.l w"I~, 1~"le Ihe buoy.nt ",cilht
shou ld be cOI1&idcr~d
W _ th~ weight of the structure per lineal (oul
 '"
Flo .•{j8. The pcKlilon of tnc liner
pI,ue tunnel
I
'.

h,

p .. tnc uni fonnl y dinribut~d part of the verl K.:a1 earlh and ..... ater prenu,c <:akuiMtcd at
' h e lOp le"~1 ur I h~ '''""'cI Il/ mO)
Q .. the Hir pr~sull: in 'he tunnel (aoove at mospheric) (tim')
II , "" 'he .:iept h of water abo,'c the IIround surfacc (m)
II, _ the thicknC'ls of earth cover "oo.-e 'he ccntre II I1e of the t unnel (Ill)
k .. the eoclfi<;ien, of horilOnlal eart h prcnure
l ... the coefficient of ac, ive earth pre~."re.

I. Dead load cond it ion:

The talcula"on! con~idcr t he st rcS5CS produced by the weight of ' he tOP half only. at thc
oottom see, ion is supported di rectly by the SOI l and therefore tile moment, due 10 the ....eipt
of this part ca" be "eKleeled .
The final momcn ls in the indeterminate structure ..... ilt be ( Fig. 41 S~1

,\1 _ "111'",.
The value of II, in the upper .c<:t ion i~

II, .. J ,
+ "
24 ..,.
cos ~ - sin 2 •

, "
h
"
,,' '" the bollom seclion
cos' 2
•= ~in ,. ' .
II ,
." )2
• 24;>-

The t hrust al any sect ion can be computed rrom th: follo""i"II 'wo e~prcssi o=,s ( Fig. ~ 60):
For ' he upp:r h ~l r
_w( 20, cos,~
I , Sin,).
2:.
and for the lo"'er port Ion

N• = _II' (Si n .. +
2"
1. I he Verl11'H I unh pre,sur" is taken 10 be equal '0 the full aeostatic ~ressure. Tht pres~ull:
is cnlcu laled as tile sum of t he uniformly distrtbuted pressure allhe lOP le"~1 of the t unnel (~)
and the welsht of the lWO carlll-scKmc:nl$ ~Io.v (he crown level (marked 2 in tile dI3iram).
 l>lStG/O Of Ct llct; ..... R TUJ'lN(1,. S£CTION5

T he reactIon (5) a t the bottOIll i~i jSumed to be unIforml y d islribtu ed T he mome nt d ue 10

t he unI for mly d istr ibuted eanh P"'$.~ure is l i.-en by

M _ _,_ ",,( ,, -s in '~ ).

or. IIIOre sim ply.
- -

". = , 2
Val ues for the thrust ~r~ al so g, >en in FIll . 4149 .

-'. • - . ,."

,',' . -(}((;49 :t' "

" ·a~

•
If- ~.
.) ~
"- '''
=- "
F.u. 4/ 59. MOlllen ts d ue to dead load F lO. 4160_ Thrusts due to dead load

The stres.'leS due 10 Ihe .... c"hl of the ea rth bet .... ttn the crown and .he springi ng a re a s
follows ( Fig. 416 1. ):
In the lOp seclion
, ,
\f' -
[
ya' - _
4 9,.
)
n:r + . si n' '"
2 + • I§.In ~ smh+ ;Sin. + "... ,1.
)

.
in t he boll om 5C~t ion

.M~" "0'[, - -9;1:" + -32 - sin "

", - ". )Ur, Q' •

..... he'" If. is the upn:Sl.ion brl"'ttn IIle: bratkets. h-. 4/6 1b ind ica tes t he diagra m of the a.>l ia
Ihrusu. In lhe lOp hair
N "" )JQ~[ e~8" -si n' , + T sin ,Sill 2:r+ ; ~in'l] ;
amI in LIM: botto m hal f
 )83

J. rhe laleral nrl ll and waler prc!i.SUre dia-

grdm is assumed 10 have a lra~zoidal sllape.
It is further dls!IOlved InlO a uniformly diSlrib·
u(ed and triangular-shBpcd pressure diagram.
TI>c moment diagram for the Iriangular loading
<;;ue is lIliven in Fig. 4/50. Tile mallnitude of
(lie momenl is:

lII -i:(I,(I' II,.

where
, ,, , ,o===========6P.·~fI.f~\d
" ~
"' '''' 12- COS 2 -
6
(I-cos~)'.
e.
"
The axial Ih ru"t •

N = £D: (-=;" COS' 2 _ COS2)

, .

The "arill,on of Ihe normal forces is also

(hI;: , arne as given in Fill_ 4{50.
The mom.:nts and Ilirustii due 10 thl;: ulll- .',
formly distributed pari of Itt... laleral J'lr~! ure
are calculated in the ume wl y as for Ihe ,'crt, -
011 prC>.sun: e~ccpt Illat Ille values of Ille dia-
grams ... ill have to be .otate<! by 90 . /
Considcr,"~ all thl;: IWldinl conditions pre,-;-
ously discussed. Ihe fin~1 momen ls are gi"en
by Ihe equat ion: F'G. 4161. Moment and thnm diagraml

M = !.;a, 11';)11, + kalil , ';-'10, ... + + If. Y. (10, + h,) a, 0 -

II , y , (I, a' fl . u, uQ +
+ ". J'a, a' + If. Y.O, II' + '" Wu, + If.(? - Q)cI , II , (4.H)

In th ii equation 11K: firs! expression on the ri,ht-lI~nd side repraents the mOll1Cnl due to
the triangular la tcrll earth pressun:, Ille s«ond exprnsion the uniformly distributed lateral
pfCIsure. The thi rd aud fourl ll expressions are tile trianlu larly and uniformly dislribute<!
parts of the lateral wlter pressure. Tile fiftll expn:ss,on gives the 010111(:nt5 SCI up by Ihe hon -
t ontal compolKnlS of Ihe in(ern al air pn:5~Ure: t h.e sixth and seventh e~JlreMioM yidd the
moments produce<! by the weight of earth Rnd water below the tOP icvel of tile t unnel. Tltl;:
eighth exp",uion repre5C:nts the etT~1 of (lie $(If _i~ht and tile ninth l ive, the momcn's
due to the vl;:rtieal earth, water and air preMure components. Values of "" If " n., ". alld n.
ClIn be obtailKd from Table 4/ 11 1. In Ihe Cllculations tl1.e valU!: of k is assum.:d to lie bet .... cen
II'Ic ICllve and passi~ ~aSOl.'S. so that. 1U discus5l:d before, there ... ill be no moment III the
!trueture.

From tillS po,nt of 'lew wi ls arc di"ilkd inlo Ihrce categories:

J. dr~ 50ils. where ~ > 10 "'h' ...... lie' bc''''-«n 1/3 and 3'0
2 dense permeable soils: 30' > i/o > 19' , 'i, < k < 2
J, .on. sat urated soil~: <P ~ 0 and k = 1'0.
'" , , ,
, ~ ~
• • ~ ~ ~ ~ < ~ <
eo <

" " • " " " " " • • " " "g " ",
N N N N N O. N N N N N N N N

I
. ~ -
; -
; g ~ ~
-
~ ~ ~ ~ i ~ i
~

g
" , , 0

j
!,
-
• ~ g
~

, i -- - - ,- •- o. • - • , -• • ••
-
\I ~ \I ~ ; g ; i ~ ~ g g
~ ~

9
0 0 0
- ~ ~

~ ~ 0 ~

,! • • " • " " " " "

N N ~ ~ ~ 0
0 b b b b b b b b
I I I I I I I I I I I I I I I

- • , - - - , ,-
- - - o.; • ~ ~
~
eo ~ ~
~
~

" " ", , " , ", , " " , " •

~ ~
b b b
, •
"
, •
I I I • I I I I I

,, o. • • • •
eo ~ < < ~ ~ ~ ~ ~ ~

." , •, ", " ", ", •, " " " b, •, " "
N eo eo N N N N N N N N N N
b b
I I I I I I
- g
. ~ g< ~, i i, " i
~ ~ ~ ~ ~ ~ ~ ~

•• g g g g g g
,•
0
0
I I I I I
9
0
I I
9
0
I , I I I ,
!, ,
• ~

, . i, ~, 1: ~
~ ~ ~
;,I ;,I ;,I ;,I g ~ ~
~

g g g 1iI
I I , • I
0
I
0
I
0
I
0
I I
I I
,I
• - - , • -
- ~

-
, • - • , •
• • " • ~ " " • • " " " " "• l
• ·
~
N
~
N N N ~ ~ ~ ~
eo ~

.. ~ -- - - ••- - ~ ~ 1! • b •b ,-~ ~
N
~
N
~ < N
0 0 ~

, " " " • "o. , ", ",

• • ~
0

~
0

eo
0 0 0 0 < < ~ eo
• • b " " " " ~ •" "" "" " eo
N N N N N O. N N N

. g s
~
• " ~

;
0
0
~
0
~
0
1i g g g g
0 0 ~
9
0
9
~
9
0
9
,I b
" " " 0 0 0 0
0

•,•
, i
.
, g
~

eo
0
N
g g g g g
eo
g g ~
" " , • eo eo "• "- ~ , -
N eo ~ ~
0
~
0 -- i •
0
;,I
0

!
-- · - - bbbb<!:>oo •
~
N
0
N ~ ~

•
~
•• ~
~

"
" o
•
• " 0
I "
I I 1 I
I I
0
I
"I

," " -
, • 0 N
• , • • •• •
~
"
" ", • • " " " ~
~
9 9 N N N ~ ~ ~

• 0
, 0
I
b
I
" I
b
I I I I I I I I

.. ..
• • ,0
• "
," •0b ••
""
~ -.~ ~ 9
0
~
• ~
0
N
~
N

-
~

~
 APPIIOXI,.,ATf IIoII!TUOD FO~ RINe. 5t:CTlON5

For Ihue m<lin soil types t~ followin, ex "rc~,ons can be oev",!opcd.

I. For dry wih nO water pressure need be cons,dered. The upreuion for the mome nt
will be:
M _ ka , (II, yo' + II, Pa) - II, Q/"IJ + ". ,'/1, II' + It. It'a, + ",(P - Qw, a.
and if

Ihcn
M = O.

"Ihe value or Jr. lies belween 1/1 a nd 3 I~n for the lonll-Icrm case: no momenU will ha \c
10 be considered. If Ie is less Ihan Ifl or more Ihan 3'0 il is raken 10 be equal to If3 or 3.
respectively.
The followin, upUS5ion~ will give the thrust:
at the crow n:
N, = -b;.>, «()-61b + II , + II,) - leby (0-67b + II,) + Qb.
31 Ihe sprin,in, :
No - Po - 0'22 (y, + }.) ob - 0-15 It' + QIl,
a nd 1I the invert :
"'. _ - by, ( 1'33b + II, + II,) - kby (I-Db + II,) + Qb.
The cxact values for t he Ihrust for ci rcula r sections difTer from those gh'en by HF.wfTT
and JOHANNUSON: they are :

N, = - ay, (0'6041J + + II,) -

II, koy(0-625a + h, ) + 0'0210' i' + Qn + 0'0133 W
N, _ -Po - 0-2iS {y. + i') .... - O' 2, W + QII

N, = -tTJ', ( 1-3960 + II , + II,) - Jr.1I';(I·375u + II .) - Oo()2IIl' V + Qa - 0-01HW

2. In dense p< nucablc 50115 t he momenl i~ calcula t~d by Eq. 4.6 5. If

k __ 'I, ;', a' + n, Ii', (", + II,) - Q J /I +_ "_'_(;" + i') a' + ". It' + II,. (P =-,Q")~" ,
",;'11'+ ". )!"....
then
,If = o.
In Ihis case: Ihe moments can be IXlllecled for Ihe lon,-Ierm case: jf 112 < Ie < 20(1.
3.ln so ft or loose 5HIUrDted soils ",illl Ie = 10(1 Ihe moment is liven by Eq. 4.~S. Usina
this value for II.

M _ a, /I'll, ( )I" + )I,) + Q, QII, [yh, + )I, (h, + II.)) + Q, 11'11. {y + ),,) - n.", uQ +
+ II , W<I ,+ lI,a,a{P-Q).
imroducinE Ihe symbols
II, + ". - "'1: II, = m,.
". + II, = m•• )1",+ V-)I" ..
and assuming InRI
II, = 0,
386 DESIGN OF C IRCULAR TUNNel. SECTIONS

,"d
(y, + y) h, "" P

then the moment can be written as:

M= ",[m ,y. ,,'+ m, W+ m, (P - Q)U J.

The ~alue. for m" "', and "'. arc given in Table 4{IV:

TABU: 4{I V
-
Cro",n momont S~ l nlh'l, Boltom momon'
.., ,
"'0 .".01

..
M, M,
i>i"
I, ,
I I

--
M, M, M, M, M, M, m, m,

.10
0-75
-0'05
- 0'06
0-05
0-05
0-]2
0' 11
0'06
0'08
_0·06
-0-06
_0'14

- 0' 11 - 0-08
.m
.m
."
0-11

O·~O -0,08 O'OS 0-09 0-10 - 01>6 , - 0-09 - 0"11 003 0-09
O'~5 -0'10 0'05 0'07 0'12 _0-06 - 0-07 -0-14 .06 0'07
0'90 :....0·12 0'05 0'05 0-14 - 0-06 -0-05 - (rJ7 .06 0'05
0'95 - 0'15 0'05 0'03 0' 17 -M16 - 0'02 - 0'21 .06 0·03
\-00 -0'18 0.3 .00 0-21 - 0'06 0'00 -(}2S 0-06 0-00

For 0 circular section the above equation can be further simpl i/il:d, since

m. = 0 ,
thus
M _ a, 1m, Y. a' + m, WI.
HEWETT and JOIIAN l"ESSON n prns the moment in term s of the diameter

M - d(mi :.-. D' +mi W ),

where d is t he diameter meas u~" to the "," ut ral axis of the Stttion and D is the nu t~ide
diameter.
m,
m; =
The Ihrust for th i5 case; 9t t he erOwn:
"
N, = - Qy~ (0' 62~,,+ h,) + 0'0021 ,,',, + Qa+ O'O I BW

and wrilinll similar expressions for N , and N" N LoU' be written as :

\
N - ,,; ;.-, D ' +II; W - (P - Q) D .
1

The va lues of II, Dnd "f CDn he determined from Fill. 4/62.
 387

In the design the construction stage or short-term case should also be consid-
en~d. The: stresses created by the dead weigh t of the structlJre are t hen likely
\0 be thc most serious si nce the ri ng is not yct receiving lateral support. The heavy
weight of the erecting equipment could a lso cause I;onsiderable stresses.
t Tv .-a

/nrert
FJG. 4: 63. Oead toad moment'l
FlO. 4{62. Values of If; and n~ for IYlO kn,fe-«iae $UPports

HtW LTT and JUI IA/IoNLSSO'l analyse the slresSc:S due to Ihe dead weight during
Ihc: construction by ass uming that an isolated ring is support ed only on two
knife-edges each of which enclose 20" wi t h the vertical axis. This loading stage
is illustrated in Fig. 4/63.
W .
M -= - 2 u,(:I!smCl -+ cosa - I) - O·O I02Wo, + O·OS95Wacosa.
The maximum moment for both the positive and negative va lues is a pproxilllately

(4.56)

For most practical cases the maximum values cun he obtained from this equation.

4..33. TH E DESIGN OF CIRCULA R TUNNELS

AS SEenOI' S ELASTICALLV EM8Eomw IN THE SU8S0lL

The designers of Ihe Subway in th e City of Moscow developed the theory of

the design of circular sections fu rther. Their mOTe aI.;curate methods take the
elastic embedding of the tunnel into the subsoil into full account.
 38. O[sIGN or C I U·UU•• TU'IN[I,. SEC110N5

It is assu med t ha t the embeddin g soil material is elastic and in il the rea ctions
a re propo rt ional to pe netra tions, thaI IS, the eq uat ion of WINKLER- ScIIWEOLER
is vHli d, i.e.
" - Cy,
where p = the pressure tleliog a t rig ht angles o n the perimeter face
)' the rad ial defo rmatio n o f the circular s«tio n
C - the coeffiCient o f the subgnlde reaclion.
A fu rt her cond il ion is thaI at any poi nt of the subsoil the deformation is the
result of embedd ing press ure. T he reaction provided by t he soil is ta ken a s a
series o f inde pe mJenl ly Hel ing ela stic sup po rt s.
T hese a rc t he twO basic ass um pt io ns of elast ica lly cmbeddcd tun nel desig n.
The inaccuracies resulti ng from the lirst ILssum ptio n a rc, in gene ra l, smalle r
th:m t hose resulting from the second o ne.
Three: of the design met hods will be treated in the nex t paragfflphs. T he fi rst
i5 t hat o f BoDROV GOR U .IK, the second i5 the polygona l method. an d the third i5
that dc\'c1opcd by BoUOA\'EVA.

43.31. Tbe Mcl hud or Rodrov - Corc ll k

T his method ap plies t he theorem of least poten tia l energy in the SOlution o f
elastica lly embet.lded CIrcula r sections.

let lIS analy..e the cin:ular 5«'tions s.ho .... n in lhe illustration (Fi,. 4/ 64) .... hich is acted
upon by kno .... n ~xternal forcel. Whe.ne,'u the 5«tlon deforms " ..h·,,,J. cla.lic reactions arc
mob,li~ed, which will .... ork: as infin itely small independent supporlJ .... ho!iC magnit ude II
proportional to Ihe defor ma tion (C<.lmprC5Jion). T he deformation of an arbi t rary point <If the
tuonel will be resolved Into tWO <;omponents: lilt radilll ooe will be denOled by II , lhoe la ngenl ia I
unc by I.

,
FIG. 4/64. Ex lern al forces a Cli n~ Fla. 4J6S. Relation between radi al and
nn an elastically embedded ring tanao:ntial dlsplacemems
 U.ASUCAUY t:M8EOOlO St:CT1ONS

Neglcclini the deformation \;au~d by shearing and nOlmal foTCC1, the fol1owinll relat ion-
s hip exi$t~ between the componenl~ " o.nd I:

I = - f ,tdt/>.
The coruetncss of this equation can be shu"'n as follows (Fill. ' /65) : The clemen! "bed
of tho: tunnel seclion takes a new po$ition a'b'C'd .~ II ~onscquencc uf Ikfonnallon. lienee
the tangential specific deformation i~

'. - .,
u'b' - ub dl
.,.
+ lid",

.''''.,.
1'. = - - + -,, .
Assuming th~t the ~pedfic elol'lilation is ". ,.. 0 we obtain the following relationship
be"'~:n IIand I:
,
,'"
d+ - ,
I= f 1Id</l. (4·m
HoOROY and GOULt" apply the theorem of the lea)t potential enelay. The)' C~PTCS' the
TIIdial deformation of the section with the ai d of II Fou rier &ries:

L• (".cos mQ + b. sin ",.).

11 _
.-.
In the above equation </I is Ihe anile en\;lo§ed by the radius drawn to Ihc analyzed point
(4 .58)

amI by the dirr:<:tion X. whereas ",.,,~ ... {I .. and ",. b, ... b.. arc unknown conSlanlS
The tunnel 5(:Clions and external lo.adings arc symmetrical abou t th e ,"cMical axis in mDllt
caSQ. Therefore m the equation for II. the s«ond e),pn:~,ion ;s lero, hene.: Ihe nldiaJ deforma·
tion is
•
11= L
.-,
u.· COS nr</l , (4.m
and the tanacnTial deformation:
. .,
I=
• r
- L
.~,
o. cos nrIjo dill ., -
..
L -;;; u.. sin ",. .
I
(4 ,60)

The rull polenllal energy ([1) o f the IO nnel section consists of Ihr« ~rt5:

I. the work of utemal forces. T

2. t he deformational "'orl< of in ternal forces. Y,
3. tlte work of elastic reac tions. V.

n= T- V, _ V~. (4 .6\)
The work: of Ultma l rorces

T- ..
J 0. uds + f"0, IUZ.
"
where p. and p, _ the rad ial anu ta IIl1e 111 ial components of the e:..crnal pressures. respectively.
'00 DUION O' Cl aCULA. TUN'IEL Y.MIONS

By $Ub~l ilUlinl/. II and I we obt ain

T - f"p,r f. '<;OSm9d9+f'~,r f
", ~ L
Q __
.... ,
- '- ".sinm+dolo.
m
(4.62)

" "
T he sian of the work can be pOSili~'c Or nepl;ve dcpc:ndinll on .... hct hcr !he sisns of the defor.
mat io n and force are the .arne or nOI.
The deformation work do ne by the in ternal rOm:!!
..
,J'M' (4. 63)
V' =T EJ dJ,
•
where !If is tile moment uf the .",lernal fo.-ee, actIna upOn t he l un".,1 and .... h,ch can
pressed by t ile deforma tion of t he section

EJ(""
111 _ _ - - b
" dfol
). (4.64)

= . dll>
..
SUbslilUlin& into Eq. 4.63 and aJ dJ

V, "" 2r'. EJ {(' " d4l' + II). d9 .

•
Rep.acina" b:", (4.S9) and inlcgr1Uong

EJ:r. ~
V, = --:Z;;- 'L (I - ",' )' a~ . (4.65)
•• •

V, =
..
-+Jcutd.'. (4.66)

On sub.tit ul ing u frOIll Eq. 4.S9

..
C'J.
••

2
. L (.... ,
•••
cos m9f dolo·

The limits of integration 4>, nn d 010. arc sl ill unknown in the above expression, b<:cau.l e
(4.67)

il is not known frorn whe~ the tunnel section will move outward.
In the desian the l)O, il;o n of ~, and ~, must be e$trmated rn advance. Then, when the
molts lin: known, whether tlx: ddormatron, are eq ual to 0 a l puint~ <1>, and 4', must be
checked . If the di!oCrepancy is sillnifl\;:.nl, the calculations mu,t be rcpealed h)' substi tuting
new corrected imear.uion ti mits.
On thi~ basis the potenti:.1 ""era)' of the section can be expressoed in such II form thll t only
the constants a,. a, ...
0 .. are unknown. These can be: determined by applyin, the theorem
of least potent ia l cnerlY becaUiC if the panial differential quoljent of the fUlK'tion of the
potential energy is calculated and equated 10 0 the n /PI equationl an: obta ined from which
Ih" ""lI.t ll llb a,. "•... u .. , .. " be cJ<p ......cd

on '11
aa,
- - _0
. -- ~O
ao, -.
-afl. _ 0 , (4.68 )
 [LASnCIILLY EM . EDGED Sl:C'TIDSS '91
The calculations can be made wilh an)' desired accuracy. If Inore members are taken inlo
considera t ion. the multI will be more accurale. Generally, Ihe: minimum number 0( members
lu be collSldered is from S to 6. When a" cr •.•. cr .. have been determincd , the: dd ormations
of Lhe !leCtion ~..n be c:Qmputcd aL any point by Ioqs 4.'9 and 4.60.
The nu merical va lue of t he react ions aCli ng over a UUil le nBl h of rhe mn nel is

'.
q- - Cu_ - C
..
L, a.. cO$ "'1>. (4.M)

The bendi ng moment at an), cn, .\.-,;ection

EJ (d'U
M =-- +
~. d1>'
b ' . d' U
5u stltu h rlg d.,.' =
.L• , ",' a", CuS m~ and rea.ranlling t he equallOn:

EJ
M= - - '"(I -1II')a",cullll4>. (4.70)
.' '-
The shearing force CDn be obtai ned from

Q _ _dM
ds
EJ- d- [ L '(I
=-
,. rd 9 •
- ",·)a.. ·co.m~.I (4.11)

The nomla l stress ca n be determined as follo",'s:

Let the cxter nal acti"e a nd reactive forces a pplied upon an elementary se<:tjo n lis of the
arch be Pds. Its IlId jal con.ponem is Rd •. The equilibrium equal ion of all forcc:s act ina: upon
ds is (Fig. 4f 66) :

(. ")
RdJ-N SlnT 2-dQcos 1 _ 0. d,
d.> _ t"d~. R,d. - 1'0'# -dQ= 0,

H,-~Q
N=
d,
FurLl~nnore, $ubslitul ina Ihe val ue uf Q

EJ
N_ Rr. --;. I.... , m'(m' - l ).u... cos",,:,. (4.72)

In Ihe furlll ula. R denotes the radial cOI11I)(1nCn l of all external aCl ..·c and rcact ivc (orces
a pplied "PIIlst a unit lcngth of arch .
The ap"lication of t lLiJ me t hod is demonstrated in t ILe nut uample.

,,~
.. ". ,
-"
"

FLU. 4/66. EqUIlibrium diagram ur the cMcmal (orees

,"
-<"
'I
,
~
", DlSIGN OF C IR CULA R TUNNEl. 5OCTl0~S

Gi ven a circular tunnel :leCtinn (Fig. 4/67)

loaded by a uniformly dist ri bu ted vertical pres-
sure. The tunnel has a cast-i ron lining wi l h a mod-
ulu> of ela~ticity E = 10 ()()() ()()() I/m' and ils mo-
ment of inertia J _ 0-000144 m'. T he coefficienT of
s ub~nl.<.Ic reaction C = 10 ()()() I / m>.
AI ftrst Ihe ~um of the potential energy of the
rinl! is determined.
1. T he work done by the e~ternal (0«;\<5

T= J(",r "'~, acosm¢)d"+

FIG. 4167. The " s~mbols u&ed in the
numerica l example +- J(p,r L : "",sin m"'J M.

I n the calcu lation the number of members ;nthe equations shoul d be taken equal to: m = 5

pdx = pdrcos (ISO' - Q),

dsp, = pd." C05 (1 80 ' _ </» = pds cos' ¢,
ilip, = pd.~ sin (180" - tJ» = - p,b sin ¢ cos <1>.

In the work eq uations Ihe sign of the work will be either po~i l ive or nellativ'l dependina:
on ",hethcr the direction of 'he ,uovemcnt and the force is ,hc same or nol.
,."
T= - fpcos'~r(a,cos<p+ a,cos24>+ a.cos3~+ a,cos 4~+ a. cu55¢)d~-
. _ ...'1

-Jp cOO <:. sin ~r (a, sin 4> + +a, sin 2<:' + ~ a, sin J¢ + ~ II, sin 4¢ + ~o••in 5¢) u~
'.,'
T, _ - prfeG, cos' if' + G, cos'</> cos 24> + a, cos' 3¢ + G, cost </> cos 4</> +
." ,."
+ U$cos<<J>cos5<!>ld</>-prf(u, cos ¢.in'9+ "2' eos</>sin</>sin2</>+
."

+ ~~ cos ¢sin </>, in 3</>+ :' cus<l>sin<J"in~+ ~" cos9sin <J,sin S"'} d</>.

...·
Solvina: the intea:rals separately

J I l'·'·
.,'I
cos' <l>d<l> = sin <I> cos' <I> + ~
2 cos .pd<l>= son ¢ )cos'</> + ~
2 si n!/t 4 '
= - ~J
• J 3 3."
>Wi'
sin !/tcos'</>
r
• cos' (> cos 2<1>d!/t =
J r
CO"<I>d<J>-. cos'<I>sin'</>d<J>= 4
3 •
+ Tcos-<J>d",-
,,'
sin' <I>
4
eo~ <I>
- -
4
'J si n' <I> d </>= [~;n¢eos.</> + - 3 son

+ -16I5 ;112",-
4 16

'I'·" + "
8 _,,.
= ~
4
J <1>- sin' (> cos
. 2<1> + ~
8

'
. <I>

'
 ELAST'C"'ll.Y t.... BEDI>£I) SlC1"lO:-;S J93

r
- 3 cos' 9 d<f>""
• [ 4Sin4>CO!i'~
S
+
I
IS
2
sin ~ ~o.' <f> + - , sin.
I
"I"' •
. ,1
= - - , '
I
.~

JC05' 4> cos 4¢ d4>= Jcos' 4> d¢_ 6JSin' • CIl!;' <f> t.l4>+ fcas. 4> sin' 4> d4> =
."
.,
~in<;t>cos'¢
(> +
Ssio¢co.'"
24
lSsin2<;t>
+ - 96
IS . • I
+48" - 5' O"<.:O>¢-
'f" ' d
Sln<f>cos<f>oI>+

+
sin S<I> ~U$ ~
6
If
+"6 sin '4>d+-
[Sin <I> cos' <p
6 +
S sin <f> cos' 4>
4l +
IS sin 24>
96 +48+-
IS
, "'"
- sin'<f>cos'''-4sin"<;t>cos<p + 165in2~-8~+ - ;'C'"dze='"=,,,
6 ,
~ - -24- cos+~'n';' - I .•
" J ] ..... IS 3 .~
- 96 s, n 24>+ 48 .;. ... - 48 :. - 8" .... + ""i6 = O.
~

.rcos' +co~
.,'
S<f> d" - .fOOl' " d<f> - 10f~os' <f> si n' ~4> + Jsin ' <f>
S cos' ,:, d" -

6 sin 4>cos ' ~

=
5i09C05' ,;,
7
+ -7 .5
+ 24sin4>oo<;'~
)S x 3
+ 48 .
- 1i1O ';'- -
l OS
10
7
5,n
I
4>co,
.....
-

40f'
- , sm'':'oos' <J>d4> + ,
s;n'1> co<' ';
7
10
+"in'4>c054>O':'=
[Sin 4> eo!!""
7 +
24 48 IU 40 Si OI';'OO5'';'
si n . cos' ';'+- - SIO. - - siw "cm' ';' - -
JxJS lOS 7 7 S
40 X 2 si n' <f> , . 10 Sin'.]'O" 96 160 20 4
7 X , ) +T"n'<f>o;os'4>+ 7 5 0,-- 10'+ lOS -3f"" + l OS;

.,
~·
r.
sin' ¢ Cos <P d. _ [';", '1"'
3 .M
.. - -2 ;
3

J
.. f
cos. sin <I> sin 241 d<f>= 2 sin' ¢ cos'. d<l>_

- S'OI~COS" 2 I . <1> ] .... 3.... :. ....

= 2 - - - $10 2.;,+ - "" - - ""+ -4 ;
.r"
1 4 44 4 .,. 8 8

K;
cos 4> sin .;. sin 3t'>d<f>- r <f>~"'" ~4>
•
3 sin' -

-
f 4sio'<f>coso>d<f> = [ iin'<;/> _ "'" ']'"
S ,
. , " - 2+
• X2
.. -T'
2
 '"
I-,
~,

OOJ ~ si n 9 si n 4? dQ"".r4 si n' ~ OO!>• • d~- 4f~in' </0 eO!>' ¢ d~= : SIn'. cos'" +

+ 6- fsin'. co§' .;d'; - 4 5 i n~ .,cos';

P 6 - 4fsi n'. ['
6 d'; )" ~in' </0 cos'!j!> +

sin'';' cos ¢ 2 . ., 2. . 2 "'u~., ~in'dI

+2 - - . m2.+ 41 - - - 5m <$> C05<1>+ -
4 16 4 J 3 4

- ~ 2. (_ _I sin' dI +
6 4 4
!'J,_
2
J:"l _ :.
8 8
- -
2 -
II 3....
4 + -
2-4 = 0.
I "

,-,
.reO'>" sin (> si n S¢d.,,,,, J5 sin' </0 cos' 4<1. - IOJs;n•.;. cos' Ij!od4' .,.
-,
~i ll '. COS· ¢ , 10 x 2: .Iu· ,;. .in' ¢ "" .. 40 40 20
- 10
7
-
1
-
4>
+ 1.,.
= - [03 - lOS +3f+

SummariLinll the rcsull s, the work done by the external Forces :

2. The work d(lne by Ihe ;nler oll1 furces

V, = - / :-: . Lt., (I - m ' )' u!j,

. ", bst jlut;"!! th e '-a lues

v, = - 2'"
i:.J;r
{9a.
I I
+ 64<r~ +
J. The work done by the ruct ions :
••
V._ --:;-C'r'
- ...L, (....
.. .. ., cos.m)'ddl.

-,
V,. - C; rfa;OO!.'4i d</l+ 2n,/I,JCOS¢COS'Uddl+ 2a,,,.JO::Oj.COSl</od<lo+
., ., .,., .. .,
+ 20, u.Jcos ¢ cos 4<,/> d,p + 2a, a.J eos <p C05 S¢ d., + (I;J CO$ 24> d<;!o +
, ., ., #.
 + la, ...JCI» 2<1> CI» )<1> d#+ la, a,JC05 2# CI» 4 ", d#+ la, ...Jcos 2~ ~ S¢ d<l> +
+ ..: rC05' 301> d++ 2... a,Jeo~ 34> cos 44> d4> + la • ...Jeoll 3</> cos 54> d':'+
+ ..:J cos' 4¢ dol> + la, "oJcos 4¢ ~os 51/> d</o+ ":J cos':;", d4l> I.
soI";n, the in telVal~

Sin'~) ~in~ )
2 + la,,,, (Sill</>
! +
Jin3.
6
1+ la, '"
(Sin 2<1>
4 + 8 +

SinJ<I> sinS",) '" (Sin 4<1> sill 6<1» '['" S;n44»

+2.. , .. , [ 6 + 10 + '''' - ,- + - ,,- +"'T+ 8 +

sin <I> SinS<I» sin!", Sin 6t'» [~mJ<I> Sm7~)

+2<>.",-,-
( + 10 +2Q,Il" 4 + 12 +2.. , ... fi + 14 +

sin
12
6<>1. + '" . a, (~in 4>
- ,-+
sin 7.)
14 + '" ,... [liin42</> + Sin 84»
16 +

+ .[.
a, T+ sin10 II"') +2u'''o [ -Sin,-+
4> sin104»]"., .
20

..... ssum ing that the ddorm •• ion is ""'0 II' loca tions:

and
.
..,= -- : J:r
4 •• -,=+
h
2 '

and substituting these hmit s:

Bnd the potent ial eneray

[
II =pr 2a'-S" . + , a. - h 2 2) ---r,:o-i
Ha. toJ... + 64D.+ (0 <' ." .+
_5",

C.
- T (I'8S62a; + 1·88562a, ... - ",". + 0"1118360:>,", + 0'3333",,,. + 2"356 19..: +
396 DE5lGN OF C IRC Uu, R T UNNEL SECTIONS

Forming the parlial d ifferential qUOl ient of the potential energy a nd purting il equal to lera

_,
vII = lpr _
Cr
~ (2 X )'85619", + )'88562" , - a, + 0-188500 , + 0-3)33".,) = 0 ,
", 2
i}JJ EJ,. Cr
~_ =_ prX ]'17809 - -;::a 9a, - 2 (1-88562a , + 4'1 123rya, + H 313 70, -

'" _ 0'66667", + 0'26937,,:) = O.

-aiJ a,lI £J... Cr

= O'41'T - - - 64o , - - ( - a,
~ 2
+ 1'13137<1, + H)457u , + )-2 12180, - ".)= 0,

au
ou, =

£J~ C,
-.- ~ _ pr X 0'05714 _ _ _ 576" , _ __ 0_1311", + (0-211911" . - D, + )'57135,,_ +
'", " 2

Let ;r.£J be equal to D. Ar'er substitution and rearmngement the fol1o""inll: equations
arc gaine d :
- 3'7)2 40, - )'88S6o, + u. - 0 ' 188500, - 0-33330, + C4 = 0,
2-)562
-) '88562«, - (4'; 1289 + 18D)u, - )-131370. + 0'666711, _ 0'2693 7" . -
r = O.

'" - 1"13137a, - (5 '04 57 + 11HD)a. - 1'21218", + ". + c0-' = 0,

-0-1885&', + 0-66667", - 1-2121&', - (4'71289 + 45OD )0, _ 1'571350. = O.

0'11428
-0'333311, - 0-2698711 , + II, _ 1-5713511, _ (4'$1239 + 1152D)". - =0_
C
rom where II" G, • . . . 115 ean be determined:

...EJ 3'1416 x 10000000 x 0"000144

D _ Cr' - = 0'005585 .
10000 x )'

and the numerical values arc :

-)'7124<1, - 1"~H5&.. + " . - 0-1885&', _ O'3333u, + 0"00040 = 0,

-1-88500, - 4'81292a, - 1-13137°3 + 0>6666711, - 0"2693711. - 0-0002356 = 0,

0, - 1-13 1370 , - 5"760610. - 1"212180, + u, + 0'000080 = 0,

The abo,·e eCjuatloM arc sol'·cd by thc G auss ~lImi nati"n method . T hc end result$ arc:

"', _ -0·00016114

"'. _ +(H)()()()9282 "', _ _ 0·000038319

of. _ + ()<00001036.

T he momc:n t$ and reaction. call now be read,ly determined.

The equatio ns for the reactio ns are:

•
Q=-C
.. ,
L o",cosm¢ _ -2· 156 cos q,+ 1 . 6 1Icos2¢-0·928cos}41+
+ o· 3832 cos 4q, - 0·1036cos5¢.
The values of the reactions calcu lmed in the :loove ma nner are iIl ustrJted in
Fig. 4/68. T he magnit ude of the radial displacements is in proportion wilh the
reactions. Values of t he displacements a re also indicated a t places where no
reaction fo rces will develop and therefore these are mdicated with dashed lines.
The moment ~:ln he calc ulated from the following equation:
£J •
M - -~ L ( I - m~) Om cos mq"
, ",_I

and s ubstituting the nume rical values we obHun:

/11 = 0·07135 cos 2tjJ - 0-1 1882 cos 3q, + 0·09196 cos 44J - (}03977 cos 5q,.
T he resu lting mom~nt diagram is given in Fig. 4/69.
The ne .~ t step is to c heck whet her t he displacement ~I' the first assumed location
of ¢ = ~ II _ 135" is in fac t £ero o r not.

u = a L cos q, + Q~cos2q, + 03COS)¢ + a~cos 4¢ + a~cos5q,.

,,

i< "
,,
•

,,
F LG. 4f68. T he distribution of the F"J. 4/69. Moment dIagram of lhe
c.1eolated ~acLion5 c\ulically embedded rin\: lirder
 T !IIILl 4/ V w

., ., I ., ., ] ". "'ddi,"" ",.",ber M"I, j~ly inJ fact"'"

~

-3-7 1240 -1 -88562 + 1-000 00 -0- 188 S6 - 0'33333 +0-00040

2 - 1'885 61 - 4-81292 -]'131 37 + 0-66667 - 0-26937 -0·000 23~ 6

(r, • 1 + J'885 62 +Q0957 75 -0'50792 +0'095776 + 0-16931 -0·000 203 2 ~, = -U·S07 n
II - 3-85516 - 1-639 29 +0 '76244 - 0-100066 - 0·000 438 2 ,
3 + j-OOO 00 -1 -U I-37 -5-7 60 61 - 1'212 ]84 + 10{)()() 00 + 0·000080
,,
i:l

'" . I - 1'000 00 - 0-50792 +0'26937 - 0-050 79 - OilS9 789 +0·000 108 ~,= + 0·269 ,168 ~
fl, ·11 + 1-639 29 +0'697 06 - 0-32421 + 0-(l42 !i5() +0·000 186 (I, = O·42S 22 o
," 4-794178 -1-587184 +0-952761 +0·000 374 3
,•
•g
4
<> ••

p• . II
1
~O'IRR

+0'188562
56 2 + 0-666 61
+(}095776
- 0'762443
- 1-2 12 18
- 0{)50793
-0'32420 7
-7-225667
+ Qo(j{)O)
+ 0'130 79Q
578
- ]'51 135
+0'01693 1
- 0-019790
o
-0·000 020 H
- 0-000 08 6 78
2,= -01)50792
,,
,
(I, - 0· 19777
;.' , . III +1'587 184 + 0'52546 1 - 0-3 15 426 - 0·000 III 9 y , = - ()o33I()(i
••

~
'V -6' S39837 -1' ~89 663 -0·000 23102

, -0-333 JJ -O'26~ 37 + ] '00000 -1'5 173 48 -I()094638 -0·000011 43 •

<I • • I 1 +0-333 J3 +O'16930R -0-089189 +0-016931 + ()O029 930 - 0·00003591 ~. = - 0·08979
fJ). lJ +0'1001)66 + 0-042 SSO -0'019790 + ()OOO2 597 +0/000011 39 ft. = - 0'025 956
)" . HI -O'9~ 2 761 - 0'315426 + 0· 189345 +0·000 074 39 ;.', = ()o 198733
6, .IV + j '889 633 +0·S4S 994 +0-000 0ti6 7S ~,= - 0'288942
V _ 10· 178 SI +0-000 lOS 2
V.lu" nf~, . ~, • .. . • _, a« ob .. ined from eQuation. I. II • • ..• V by 'Ll«<Miv,Jy , uMh'"'i", tho ".Iu< •• I",.~~ «k"'.,,:<.I.
V, 10·118 11 ... " O'OOOIOH _ I),
IV. - 6 ' SJq U 7a, -1~8 q66Ja , - 0 'OOO2 J IOl o.
 U . A5TICALLY U'6U }UU) Sf:CTIOl"

Having substituted the appropriate: vlIlues we o btH in

'"
u " - 0·0041 em.
As Ihis could nOI be reg.1 rded liS 7cru the calcu la ted va lues for the reatlions a nd
Illoments can only be considered a pproximate. T he aecu mcy of this method
cou ld be improved by increasing the number of the ex pressions in t he work equa-
tion, and by correct ing t he assumed position of the locus of zero displa ..ement .

43.32. The 1'0lygon. 1 Ml'tbod

An a lternati ve me thod for the a nalysis of an elastiC'dl1y embedded continuo us

ri ng is to replace it by a polygun with a fixed pole and by replaci ng the clastic
bedding by elastic rods connected to the corner points of the polygon. The polygon
is Ihen considered lI. staliclI.lIy indeterminate st ructure.
The externa l fo rces arc considered to act as concentra ted loads at the corner
points of the polygon. T he elastic earth suppon is replaced by mdial rods wi th
hinge con nections at the corner points. The elastic properties of t hese rods li re
assumed 10 be: equi va lent to the elastic behaviour of the soil which they rep lace.
It is not difficult to see that Ihe more sides the polygon has, the closer il will
approach the shape o r a circlc. a nd hence the calculatio ns will a lso be: Irore acc ura te.
Generally a pol)gon wi th 16 sidn is considcred to give s ufficiently accura te
results.
(a) Fig. 4/70 illustrates the polygo n replaci ng the circu lar ring. The I'Olygo n
is considered to be supported al()ng ils entire perimeter. However, the anal ysis
of this structu re will indicate tension in some of t he supporting rods but since
the soil cannot tllke an y tension. the a na lysis must be modified 10 lhe el(tent
tha t in the revised calculations suppor1 is assumed o nl y a long tha t pan of the
polygo n where the firs t a nalysis indicated com prcss io n. Thus, the design must be
carried out in two steps lind the !i<:Cond shou ld
yield the correct answe r. T his somewhat lengthy
met hod can be simplilied where the length of
perimeter along which the polygonal sectIon is
not su pported hy the ground can be estimated
with reasonable aecuracy in ud vlIllce. Ho wever.
in Ihis case t he clld results have to be checked
and if the bounda ries of the support were nol
assumed correctly. the ana l),sis must be repeatcd.
To illustrate Ihe t."a lculations both methods will
be demonst rated.
Th.., li"'t ~lep of the first method is to determine
Ihe stresses in all thc members of tile pulygona l ring FIr.. 4/70. The polYlio n
which is assumed to be elastically supported a lo ng replacinl the rina I)f,am
its full perimetel. For an arbit ra ry luadmg Iheslabilityof the regula r polygon illust ra·
led in Fig. 4/70 is secured o nly ira t o ne of its points a ta ngen tial fo rce (Y) IS a lso
ap plied. Wit h symmet rica l loading. however. there will be no st resses on t his
rod Y, a nd the rero re in t he analysis of most of t he lU nnel sections it can be ignored.
The /I· sided polygona l ring is a sta tically indetermina te structure with (n + I )
redunda nt forces. We sta rt the analysis by cutting t hc structure back to a statio
cally determi nate stale. Each corner point is substituted by a hinge a nd also o ne
of the supporting rods is cut through (Fig. 4/71).

FIG. 4171. [Xtcrm;nlilc S)'~lcm or the FIG. 4/72. Symbols used in lhe
polYII:onal ring eal,ulat;on$

T he milgnililde of the mo ments MI - M ;. Af t - M ; .... M~ - M ; a pplied

a t t he hinges. and t he axial force Xl - X; acting on the supporting rod which
was cut t hrough, have to be such t hat no re l ati~e movement sho uld take place at
the points 1,2 •... 11 as a result of these anctall--external forcc:s. /I + I equations
can thus beestabJlshed from whIch the fo rce X I and the mome nts .H ., M~ ... M .
ca n be computed. T he uniformly dist ributed external forcc:s, of course, will have
to be re placed by concentrated fo rces acting at the comer points.
The prohlem is usuully solved in two steps. First. t he stresses caused by the fo rce
XI in t he statically indetermina te hinged polygo n are determi ned, and only
then is t he ana lYSIS elttended to the solutio n of the statically indeter mi nate struc·
ture wi t h n + I redundant forces.
T he calculations usually ignore the elasllc deforma tions in the bars of the poly·
gonal ring but Ihe deformatio ns of the supporting bars. since they represent the
elastic earth support, must. of course, be taken into consideration.
The symbols a nd notutio ns used in Ihe calculatio ns are shown in Fig. 4f72.
T he uial fo~s on the bars of the polygo n and in the supporting members
o r Ihe indetermina te structure a re designated by Ihe letters SI>"" SI :md
R ..... , R , respectively. T he index 0 is used to designate the stresses in the cut·
 ELASTI C AllY EMOEVVEV SE("- TlUNS 40 1

back or statically determinate struct ure due to external force s, e,g. SOl' SO" R Ot.
whe reas the stresses created by the a rbitrary force X t are noted with the index I.
e.g. SII' Su, R tl . T he second index refers to the location and the first one indi-
(;ates the force responsible for the stresses.
On lhe other ha nd, the st resses In the indeterminate structure with one redun-
dant force only, are designated by a bar drawn above the leners: Sw,'" RiI •.•

FIG. 4/73. Slre~~s in lhe polygon with one

redundant force

A is the cross-sectional a rea of Ihe individual bars, and £ is the modul us of

e lasticity. The elasti!; properties of the supporting members are designated by
the letter D, a nd since they represen t a st rip of soil of length S
D _ CS, (4,13)

where C = the coefficient of subgrade reaction.

The usual symbols 00" 011 , a ik are used to indicate t he rela tive displacements.
The red undant forte XI is given by the following equation:

X, --- D"
a"
(4.14)

where
• SO/~II • Rl)I R )/
l:, + l:
D., ~ (4.75)
£ A, '" D

• Si l " R;I
a" ~
l:, EA,
H l: D
(4.76)

The stresses called forth by the unit force XI = I ton are as follows (Fig. 4/73):
At point I the force Xl _ I ton is balanced by the internal forces SIt and Sl"

SII = 2 sin 1/1/2'

 ., DUKlN or CIM CU .... II 'r UNI'«L ,,",CIIONS

Extending the: investigation 10 points 2 and i, generally. it becomes evident tha t

becllU5e of the constant va lue of q, the thrust SII will be equal in each rod, and
t ha t because o f the equilibrium of each joint the axial force in each supportmg
li nk must ~ equal to I Io n.

(4.77)

Rli - I \011 (4.78)

and neglecting t he deforma tions due to the ax ial forces in the polygon:

(4.79)

The forces called fort h by t he external loading P are determined, sta rting the
analysis similarly at joint I. If the external loading is vertical the thrust is

P,
SOl "" lsi" 41/2
a nd 31joinl i t he 3)(ia l forces are us follows: The tange ntial and radial components
of all the forces acting at joint i are determined and because o f the equilibrium
they art: equal 10 leTO.
The radial components (Fig. 4/74b) lin:

(4.80)

and the tangen tial components are

(4.1:\ 1)
from where

(4.X2a)

This equat ion is then used to compute all the other forces. The expression fo r
the axial forces in the su pporting members is :

(4.82b)

T he d isplacement factor can now be calculated.

(4.8])

a nd the value of Xl is obtained from Eq. 4.74.

 <OJ

The forces in the structure with the one redunda nt force wilt then be:

(4.84)

(4.85)

NC.'l1 the indetcrminme structure with thc " + I redundant forces will be con-
sidered.
The M I' At! •.. . , M ~ moments arc calculated fro m the foll owing equat ions:

(4.86)

aUk - - '<- --
'-
D / .. 1
R~iR M
tJ
'<-f -
+ - .- '-
I_ I
M o, M kf d.., (4.87)

(4,HX)

To determine Ihe unit displacement factors GAo. one has to know the internal
fo rces due to the unit moment which is applied at the joint of the indeter-
minate structure to Ihe first degree. But lirs\ Ihe stresses in the determinate struc-
ture must be determined.
A lInil mome nt applied a1 joint i Will produce the follOwing har stresses in the
statically determina te structu re (Fig. 4/74) :
The s\ress.;':S in the bars S ,' ... ' S~ of the polygon will be equal to ze ro si nce
the ro tatio n of the joint will be balanced by two reactions at the Ildjaco::nt hinges.
Consido::rin g the individual bars as simply supported beams the reactions due to

'J

FlO. 4174. Rellctionl eaused b>· 11

unit momrnt applied at II join!
404 DESIO:' Of CI MCllL"R TU1< NlL 5oc:TIOSS

the 1m momen t a pplied at the joint i

1
RII _ I = R /I + ! = - -.,~,~o,-."!,,, - - -C'~'i-C".' · (4. 89)

2 coSt/!
RII _ -2RII + 1 COS¢= . . (4.90)
r Sin tjI
There will be no stresscs produced in the other members by this moment.
From the strt:sses called fort h by t he M I = I tm moment in the structure
which is indcterm inateofthe fi rst degree.lirst the force Xl has to be determined :

1
(4.91)
I il'

Substituting the ex pressio ns given by Eqs 4.89 and 4.90

Xl - - - 1
n
('ro,.
r sin tjI
- ')
rsi n </I
... 2
nr sin </I
( I - cos q,). (4.92)

Having deter mined XI! t he stresses in the supports o r the indeterminate st ructure
a re:
RII _ R()/ + X l' 1 "" -2c05</1
.
2
• + -"::-.. (1 - cos 4» ""
r Sin 41 nr sin ill
2
- - -=-, [1 + (n - l) costjJ] . (4.93)
nr si n ¢
1 2
. +- . ( I - cos 41) =
'1 Sill 4> nrA Sill 41
1
"" . [2(1 - C05 </I)-n],
nr Sin '"

in the o ther supports only X I will induce stresses

R1_ = -
,
';;.:-7 (1 - cos tjJ). (4.94)
nr Sin.
Irrespective of the particula r joint a1 which Ihe un it moment is a pplied, the stresses
aroused by it will always be the sa me ( Fig. 4/74).
 "LAST[CALLY E"'BEDDED :\I'N IOSS
."
Of the facto rs ab, for those for which m =- k + 2 o r m _ k - 2 the second
part of Eq. 4.88 will be equal to zero, since the angle cha nge laking place is caused
o nl y by the rotalio n due to the displacement of the support called forl h by the re·
acth"e fo rces at joint s k + I and k - I (Fig. 4/15).

D
I [ '
Ra + -,
2Ru 1 + (
II - J R4I
)-, J+ I 21
£/ J ' (4.95)

- fl. k· I = DI [ 2RH
- R- UT' + 2R- u _ , R~ -' J + 6£/
- I + (n - 4) Rkl ' ' (4.96)

(4.97)

T he displacement facto rs flo", as 11 resu lt of the loading P arc as fo llows (Fig, 4/19):

1(4.98)

Wi t h t he aid of the above exp ressions the factors aO/< a nd OJ''' can be calcu lated
a nd by solving Eqs 4.86, also the moments in the Structure.
All the above calculatio ns represe nt only t he fi rst step. So fa r, it has been assumed
that Ihe ring is elastically supported aro und its entire perimeter, but since the
support cannot resist tensile fo rces, in the second step the calculations w[1I have
10 be revised so that there should be no te nsile fo rces in a ny of the supporting ba rs.
To achieve Ihis, conce ntra ted loads ~,p - p', y - '" - y' a re uPJ'llied successively
al the points 1,2,3,2',3', elc. whert tensile forces have been demonst rated
in the fi rSI analysis. The magni t ude of the forces is so chosen that at points

D ,1I1:::11:! '::[I'll ~,oll::[d:t

l tim

FlU. 4/7$, Rca<:lions due 10 the extern.1 forces, Dod to the ~la)tjc di5pla~mc: nt of tile
iU ppOrts
 [>(SION OF CIItCUU.1t TUN-':(' Sf.c-n o..;s

I, 2, 3, ..., elc. the reactions should be equal to ze ro ( Fig. 4/16). This condi-
lion will yield the same number of equutions as t here were supports in lenSIOI1 .
From these equations the forces a, p, ., etc. can be computed . Return ing wit h
these values 10 the solut io n of the fully su pported ring the co rrect al1swer is
obtai ned. The equations ex pressing the condition of zero reaclion are

for rod No. 1:

(4 . ~)
fo r rod No.2 :
(4. 100)
for rod No. 3 :
Rl + R. ,a + R'l P + (R.,., - I»' = o.
In the a bove equatio ns R I ' R1 , R~ rep rese nt the reaction in bars I, 2 a nd 3, res~­
til'ely. for t he case of tbe fu lly suppo rt ed ring. R.,. Rd. R. J • •• SITe the TCactions
due 10 Ihe a _ I I load. and sim ila r ly R,I. R, •. R" and R. t> R.~. R.~ 8rc reac-
tions caused by the un it loads P "" P' = I I and)' - y' _ I t, respect ively.
The values of 2, P and }' are de termined from Eqs 4.99 and 4. 100.
Ano ther remark remains 10 be made. For t h e lasl su pporting bar, which 15
still in compression, the value of D has to be modified since in the expression fo r
D _ C . j the val ue of s is smaller owing to Ihe faci thai the ring is not fuJly sup-
ported alo ng t his section. Usually this value of D is assumed \0 be 1/2 D.

,,

FlO. 4/76. Virtual forces to eliminate reactions

alo ng the roof !lCCtion
 ~LAS1"CALLY ("~~DDlD 5I.CTIONS
'"
(b) II is common practice 10 assume rrom the beginning the length of perimeter
along which the ring will move away from its bedding and analY1.t only
this partially supponed ring. In this case the calculations can be carried Olll in
one step. However, if the assumptions prove to be wrong, the computations
will have to be repeated.

Si.1Ur Ii~':;:::j:Jl:~:r~~;:;c
.5tNdJ;1'
"

,
FIG. 4/77. I)arliall ~
embedded pol~· n. 9
aonalrin, ~am and ils detenni nate
5IruelUI"C

A polygo n wi th 16 sides, a nd which replaces a ci rcula r ring loaded by a uni·

fo rmly distributed vertical load. is shown in Fig. 4/77. This struct ure is statically
indeterminate to the 14th degree. However, as both the loading and the struc ture
are symmetrical only 8 of the unknowns have to be determined. It can be reduced
\0 a statically determinate structu re by replacing 14 joints with hinges. Then the
moments At, - M ;, AI! - M ; , ..., M . - M~ arc applied at the joints so that
as a result of these moments there will be no movement at the fictive hinges.
(See left·hand side of Fig. 4/77). Writing the condition of no movement for each
joint .....e obtain 8 equations from which the 8 unk nowns can be calculated. In the
calculations for the exterior panel the value of D is taken as D/2.

T he solution of the problem is demonstrated by a numc::ria! example illustrated in Fi,.

4/H.
It is assumed that as a muil of the deformation of Ihe struclun:. Ihe rinll is not supported
alona the lOp quancr of the ring scllment. The rina is then transformc::d to a delerminale
structure b~ instal ,,", hinaes al joinls I. J, 4, 5, 6, 1, 8, 9 and at the correspondi n, !ymmc::·
t rical joints 0 ·. J' . etc.). To delermine the relative movemc::nt5 at these poi",! onc has to
calculate III<.: inlernal stresses of the str ucture as a resull of both the eXlerna! forces and the
phantom unit moments apptied al the hinges.

r = 3'O m: J oa O·(X)()t44 m': £ _ 10 (X)() (X)() tjm' ;

C _ l0"gJcm~ _ IOOOOtjm"
." DBSIGN Of CII<CULAIl "l'Ur-l'lL SU;TIONS

tile width of the investigated ring = J m;

4J - 22' 30': J = 2sin rt>j 2= 1'l7m; 1= rsin4S ' _ 2-12 ;

i= r(1 - cos4S 0) = 1F88m; y = r{cos4> -cos2!f>J = 0'65 m;

,= r(sin 24> - sin 4» = 0"97 m.

By reducing the uniformly di stri buted loading to single cone<:ntratcd Forces acting al the
corner points We oblai,,;
P,= 1.< .,05",2_ 1"151 ;

The calculation of Ihe Sl,U5CS i, started wilh Ihe ana lysis of It><'- J.hinged arch, form ing
the lOP pari of Ihe ri n g (Fig. 4/18).

v.= e,
2 + P, - 1'631-

Writ in g the mome ll1S about poim 1:

II. =
,
7(V, ,-P.,il) = 2'561,

s., _ - H. cos ",/2 _ (V. _ P,) sin <1>/2 "" -2-62 I,

s•• = - H.C(5) ·54>- V,sin ]-54>= - 3'041.
M .. ""' _ 2-56' x 0'65 + "65' x 0'973 = - 0-015 1m.
Next the stresses in Ihe hinged polygon are determined. The tangential compo.wlHS of ,.11
forces ,.eli'll: al joinl 3 (Fig. 4/78) are:

- (P. + V.) si n 2<1> - H . cos 2~ = I .. cos ~/2,

1
- ,2
eos I
[(P.+ V.)sin2<f>+ H.cos2<1>] = -3'621,

F lU. 4/78. The three-hinged lOP section of the

polygonal ring
 ~LAS n CALLY U'ft[DDED ~~ CT ' ON5

rp-J:/m
and Ihe radial ~omponcnts or t h~ $arne rorc.:s
arc: ""'11 """ ""II'iifH" "11"1;" II l iI"
R.. = (I'.+ V,>cM I., - H.sln14J-
".. sin .,/2 0;: _ 0-7117 t •

The s,resse, in the ot her membe rl\ are

calculaled simil arly from lhe condilion of
equ ilibri um of all forces aCll nl al t he joinl s.
In Ihe remaining membe rs Ih~ slrene, are
all Ihe ume Ind equal 10

0;: 2s.. ,in ,,/2 .. _ 1'621.

Summarizin¥ !he Slrc,~ Ind momen ls fro m
the eXlernal load in8 (Fill. 4/79): FIG . • {79. [nl erna, foras

Axial sr' UUl arc :

S. , _ _ 2- 62 I R .... _ 00787 1

S •• O;: - 3'04 1 Roo .. - " )2

Suo< - 3'62 1 R .. _ _ 1'S'1 I

S o. = _ .'OJ t R .. "" RO' .. R .. -= R . = _ ,-62 I

s.. = - 4' ' ' 1

S .. _S..,=S.. '" _~-' I

For t he cal~ulll. lion or Ihe Inrr",ulsrrusn diU' 10 Ih II~II ,,,omfnl.' firsl ' he 3-hinlOed arc h
secl ion i, .na ly~ :
v=0; H _
,_ "141 .
y
S" _ Il cos.!2 .. + 1-121,
.t ll _ H cos 1·'4' ... 0-9S I _
Mt = H," + 1- ,4 x 0-6S = + 0-74 1m .
To ,hr u"alysis 01 1M 1If1lJlt'd po/)/IO"; 'he Ilnlcnl;1I1 componen l,S or lhe fOKes aCl ina 111
join! 3 8re,
H CO$I¢ - S .. cos . /2 = 0,
2.,
a nd the radi~1
S,. -
componcn u arc:
H cos

H SiM 2</l
=.
/ l " +0-82 1 I,

+ S ,~si n . /2 _ R ... O.
HI " If sin 21P + Susin </l/ 2.., + 0'96S I ,
:' ,,=S .. _S .. _ S,, _S,,_ I 0- 821 1,
RI = 2S, .sin .,/2 .. + 0-321 ,
R. '" R. + R.'" R. _ R• .. + 0-32 t ,
 or
'" D L~IGN C IRCLJI.AR TUSN[1. SECTIONS

/" - :i~

, 1

FIG. 4180. Stresses a lld reaclions caused by uoit mOlTlC'nlS applied at different joinu

The inlernal stresses produced by the unit momems applied at juints 3, 4, S, 6, 7. 8 and
9 can be found in a similar manner. The results are indicatc tl in Figs 4!SOa- d . The ~I W\.<;eS
due ttJ M •• .'vi, and M , are idemical with t ha t p rodu~ed by M , _ Next. Ille factors u,. an d
(1.,. are calculated:
R, R"
D

D=C ·s= 10000 x 1' 17 = 1l700t/m',

EJ _ 10 000000 lim' x O-OOO 144m ' = 1440l m'.

The strai ns d ue to the a~ial forces are neglt!C led ami for simplicity the t,'JQ<k. terms are
calculated.
Thus:
EJ
L R, R' D
EJ
11 0 R.
D ;
EJ 1440 =0 '1 23.
-- ~
D II 100
 ELAIHICA LLY ~"'''~PPFIl ~rCT IOl'>S ...
n o. 4,8 1. Work diulP1lln du~ 10 the rotat ional displacem"n t
of the three-hinp:d a rch (for l h~ calculation of a,)

Thl! t"u/ue of lJ ' is u su mcd 10 be D/ 2 ~I t lte tif11 45 ~uppOrt an d hence

EJ
"" ()-246.
D'

Thl! caI<;U/UIWn of a " (see the moments and axial forces indlCat~d in Fil- 4179 :
lhe momCnt diallra m (or m; iii ill ustra lcd in Fig. 4/81):

" "''', +
o"=T "['
6 1+4 fm"+
, ' I EJ X.,, + V£J
2 '''''j' +m"+----r;:-2 1JR"• ..

.. ~ 0-548 + ~ (I +4 x 0-7S6 + ()-S48) + 0-246 x 2 x 0-96S' +

+ ()-121 X II x ()-n' ,. 2-111.

Th~ niL and "'. mo ment d iagram s used fur the cal culation of 0 " Rrc given in Fig. 4/82.
Determining Ihe all'as of the mOn,..,n! diagrBm~ a nd addi llj: 10 them Ih~ products
EJ
L R, R' D '

2.< £J £J £J
a'I- TF' - """jy"2R' I R"+D2 R"RI'- D

+ o·l n + 0-192 + 4 x 0-233) - 0-246 X 2 x 0- 965 X 1-836 + ()-n X ()-4 19 _

- 0'123 X 2 - 0-32 X 4'53 X 0-12) X \I = - ()- )09 ;
a \l = 2 x 0-965 X ()-l!71 X 0-246 X 2)( 1-6 1 X ()-32 X ()-12] +2 X ()-87 1 X ()-]2 X
X ()-12] .. + 0- )55 ;

"
FlO. 4/82. Momenl dillirams of a mixed di~placcmcnl
faCior <"I.)
 .IV -()o189 +(H)21 -0'0 14 0 0 +<H>O, _ 0-179 '" = -O-014S
.V +0'277 -0-030 +0-20 0 -<>006 +0-261 . .. '" + ()O1096
I
VI + 2'S27 -00278 +0- 187 - o-M' + 2'388
7 +0'010 - 01)14 0 0 +0'1H7 - 0-298 + 2'7S8 -0-296 + 0'O S2 + 2'293
.1 _0'010 +0"001 -<H>OI 0 0 0 0 0 + 0'004 - O'O(M 2 - -0-003 S6
. 11 +<HllJ - 0-002 +0'001 0 0 0 0 +0'084 +0-016 ~ = to'OO346
tim <H>OJ 0 0 0 0 0 + (HlO3 ~_ 0-001 I S
.IV - IHJOI 0 0 0 0 0 -0'00,
.V _ 0-]117 + 0-03' - 0-014 0 + .... -~176 1 "

,~
.VI +0-271 -0-031 +(H)2 1 -<H>O' +0-263

VII + 2'71 3 -0'277 -O'04S +2-392

<

•
,I
+ 0'005
- o-oos
_ 0'007
0
0
0
0
0
0
0
+ 0'18 7
0
- 0' 298
0
+ 1'28S
0
-0-02 62
0
+ 1'146
-0-003 ~ = -O{lOl 78
!
0 ••
, II +O 'Co07 -0-00' 0 0 0 0 0 0 +000. a = +0"001 73 0
, III +0«:12 0 0 0 0 0 0 +0-002 ,~
1HJOO76 0
,.
,,•
,IV 0 0 0 0 0 0 0 0
,V 0 0 0 0 0 0 ,~
0 ~
,V I - 0-181 +0-02 1 -()-O]4 +000< - 0' 117 2 _ - (H)74
2VII +0'217 - 0'028 -D-OOS +O'24S ~ = +0-1023

VIII + 1'24) -0'023 + 1-221

n.. M " M , •.. '. M, •• 1........ 0 ........... r.... "'I",,'Ion. I . II •.• " VIII bnullo. I",,1q .~.dr IM\IOO".,"~I",

VIII. \'2() M. -OOll _ 0 , VII . 2'71l "'. -~ln ". -IHMJ _ 0:

VI. l 'J17M,-o' nl .W, + O"II1 M.-f)'G4I 0 ; v. ~n1 ". - 1.1, 00111 M '-O-oSJ 0:
IV_ 2"" M . _ 0 27. M, + 0"111 M , + 0"0111 M. - O'OJ , _ 0:
III. 2" 11 lot, _ 0'111 M. + O"lh M. _ 0'00) lot, - (I-001.'of, - 0"001 lot, 0' 191 _ 0,

-
II. J'761M, _0'619 M, + O·17JAf, _O"O IJAf,_ OOIJ.'of,_O'OI)Af,_0_O(i M,+'IQ1 0:
1-110 AI , - O'lffl M , + O'J" M, ~ O"l)IU M , O'GIOM, + O'OI G lot, 0"010 M. + 0'00' .'14, _ "16' O.
•
'" a , • _ 00123 x 2 x 0-32(00871 X 2 - 1-61) = + 0-0104;
",. = a" = a " _ + 0'0104 ;
a" = + 0'005 .
The othe r <II< a lld a ... f atiOTl arc calculared in 1\ sim il ar way. the resul l$ of which arc as
rollo~:
..... _+3 ·797 II" _ + 2-7S8 /I .. = + 2-57 '
" ,. = - t}J09 <1. , = - (}- 658 = - 0-298 a.. _ _ 00298
Q u

"" _ + O'HS a.. _ + O'I72S 11,. = + 0- 181 u.,"" + 0'187

a,. = + 0'0104 a.. = - 0'0 145 "If -
u., ..
0
".- 0

.-
" " - + 0"0104 a., = - 0-0145 = 0
+ 0'0104
"0 a,.

01 " = u.. "" _ 0-01 45

"
" .. = + (l-() 104 Q ,. = - 0-<101
"It - + 0-00 52
u.. = + 2'~7 1 u" = + 2'57 1 a .. _ + 2'758
Uf> - - 0'298 a,. = - 0-298 u .. _ - 0'298
a.. = + 0- 187 0,. _ + 0-187

a.. _ 0

u .. = - <HI46S

The cqoal io ns fOT Ih e mo rrn.:"t s ar~ as ru ltow$:

II" AI , +" u M. + a" AI, + au M. + ",. M.+ u"M,+ au M.+ II, . M. + ao, = 0
Q" A', + Q.. ~+ ~ ,A' ,+~M. +UM A/.+~, Af, +~A~+~M. +~=O

Q"A,, +Q ,. ~~ +a., A/ ,+"~ M. +Q .. A~+Q. , Af, +u,.Af,+u .. A/.+~=D

~.,M,+~~~+~M ,+ ~» h,.+~~~+~, ~',+~~+~a ~~+ ~= D

~,~f'+~~~ + ~ '~', +~u~+~~'.+un A', +~.AI.+~. M.+~= D

u" M, +u•• ~+ u"A' .+a"M.+a,.~~+a"Af, + ~.Af,+~A4+ ~=O

ut, ~f , + a~ M. +a.,A f, +u •• A~+aK MI +a •• AI,+u. A'.+a.A~+a~=O

u", AI, + .... M 3 + 0" M, + a.. M . + a•• M . + ..., AI, + .... M, + u,. M . + ~. = 0

The equalion s)'stem IS solved by the Gau " el im inatio n prOCCS5 (Ta ble 4/V I),
And fro m t l>e abll\'C' $et of eq uat ions "I' ubt.in II>e follo .... ina values:

+ 0-0 185
M . '"' M. _ + 0-0225 MI = - 0-331
M. '" + 0-0 185 M . "" + 0'0133 M._ + 0-1 265

.'II, _ + 0'0197 M, __ 0'0735 AI, = + 0-388

 The fi nal mo ment diagram is
U..AS'nC.o. LLY LIoIB[DDlD SECTIONS
'"
sho wn superimposed o n the ri ng
in Fig . 4/8]. These results are no-
tably differen t from those o btained
by t he BoOROV- G ORELl t< met hod.
Only t he sha pe of t he two diagrll ms
is similar and also the m a .~im u m
values of the positive mo mcnt al the
crown are in good agreement (see
Fig. 4169) .
The presen ted numerical eMa m-
pIes have well demonstra ted the u-
tensive a nd eJabomte com putatio n
wo rk necessary for the a pplie.ation
of t hese dimensiuning me thods.
lknring in mind tha t good rcsul1s FlO . • /113. M o....,n~ diaV Am
may he expected by sUl:Ccssive ap-
proximation, i.e. by repeated computations o nly, when the ri gidity of lining (£J) a
coefficient of elastic subgrade (C) arc grad ua ll y relined, we m1ly fi nd the reaso n
wh y t he application of these mct hods was rat her restrictC<l.
But as il was pointed o ut by D UDECK (cf. 4] .391), the variation of these basic
p1lmmeters (cocOieien! of subgrade reactio ns. fl exibility of lining ra tio, of lateml
pressu res. etc.) may ha ve a much mo re ma rked infl uence on the magnit ude of
!lending mo ments, t ha n a ny refi neme nt of computa tion me thods. T he refore it is
advisable 10 ca rry out the computatio ns with several alternating pa rameters va ry-
ing withi n assumable limits. The burden of this repea ted calcula tion work was
no w essent ially re<iul."Cd by the ad\ ent of digital com puters. The polygonal met hod
is very well suited to matrix calcula tion programming. Prof. D "U5 VlLl has wo rked
o ut a matrix solution fo r t he pro blem in which not o nly hinged but rigid jomts
and the elrccl of insened pads mlly he also co nsidered. u

43.33. Boagl yen 's Me.hod l .•

For the design of the elasticall y embedded n ng, BoUGA YEV" developed a simple
method which provides an a pproximate but q uick solution .' ·7
The met hod ta kes the elastic t=mbed me nt into account by de termining

1.1 O.o. US\' IU. A . P . : Mal ri,,·melhlXl for tlte comput atIon of elastically embedded tun nel
li nings ( Matridmiy mel hod r llJCiw:11I obd;do k lonncley mclTOpoH1Cnov r uprUjlom src:dyc,
Russ.). PrOf. M fIfO·COfl/fU1ICf. & Jw<)n/iiud JII1Q !97.
I .' D-oCG ... Y~v.o., 0 .: Raschoti lonnel ni kh obd)·clo k. k. rulo,'ovo Q-Sl;h~ rtan iya (Com putati on
of ci rcula r tun nel li ni ngS) / ,:<"esl i )"Q Gidm lfkhnik l 19S1.
I .f Z UII.ABOV, T . Bnd Rouc,.o.v r v .o. , 0 .: Gid rOlekh niche~ k.i~ T unnel i (Tun nels for hydra ulic
puw( r phuIIS), Gosen.erllizdal. Mo-J("Ow 1%2 352.
'" DfSION O f CI RClJ l ..... T LJ!<NEL SEcnONS

the approximate va lues of the

c lastic reactions so that they
satisfy both the cOlldi tion of
eq uili hrium a nd the condit io n
which states that the d isplace-
ments of the structure and of the
embedment at t he spri nging li ne
are equal. Th us, only a t these
two diametrica ll y opposite poi nts
is the magn itude of th e elas ti c
re.1ction correct. At any other
poin t the ma gn itude and d ist ri-
butio n of Ihe reaction a re a rbi-
tra rily ass ume d values, whic h,
howeve r, are dose to t heir real
va lues.
F,O. 4/84. The distri bution of soil reactions The distribution of the sub-
a..ordin~ to BoUGAYEVA grade reaction as a result of a
uniformly distribu ted vertical
loadi ng is ill ust ra ted III F ig. 4/84. Typical val l.les of Ihis di agram are gh'en
by the followi ng ex pressions:

if <! < 45° t he reac tion IS zero:

if 45" < <! < 90" : Co = CODcos 2<! :

if 90 < <! < 180°:

Q
Cb = Co, si n2 <! + COf COS 2 <!.
T he st ructure is a nal yzed as a statically indete rminate structure to the thi rd
degree and, therefo re, furt her two equati ons a re required to de termine the un -
know n values of CJ~ and COJ' These are: the eq uation eJ(pressi ng the eq uili brium
of t he forces, and the equation in which the horizo nta l de nection of the ring is
equa ted to the comp ression of thc soi l a t this point.
T he ana lysis for a symmetrical and uniformly dist ribu ted vertical load (Fig. 4/85)
is camed out in the us ua l ma nner. First the rin g is reduced to a d eterminate
strucl\Jre by cutti ng it through at t he crown. Then by the a pplica tion of the mo-
ment Xl and forces X~ and Xa at the elastic L't:nlre, the reduced structure is ma de
to act as thc continuous. inde terminate st r ucture.
Because of symmet ry t he force X a will be equal to lero. X. a nd X 2 are deter-
mined from the condi tion of ze ro d isplacement at lhe crown.

(4.10 1)

(4.102)
 p
'"
F IG , 4/8S . Detuminatc 51T\IC IUI'I: (If l he r lllg
girder " '!I' ,ii .,• • l ,!,!, . w i

,
- X,
,
-x'

8ecause of lhe symmetry the displacement factors are calculated for lhe half
section only :
"
" ~ fm~ds_..!:!.....
£J £J '
11
,
" -f" m;ds 2f" , 3cost q, dtP ---
u 1::)
=
EJ 2£J
• •
The coefficients DOl> 0 02 ort expressed as functions of C. ~. and 6f .
The moment diagram is dete rmined first for the statically determinate girder
from the external loading. T he half ring is divide<! into t hree sections and t he
momen ts for each arc determined sep..1f11lcly ( Fig. 4/86a),
There arc no reactions within the zone where: 0 < q, < 'I!/4.

•
!of ' "" - f, P'Ic cos ~(r sin q, - '1 sin ~) d(' -

and adopting the nOlu ti on

, (4.103)

the moment where 1f./4 < q, < :t/2 ( Fig. 4/86b)

•
M; - - ~ P'l ~ sin 2
tfi - J Cor sin(t/I - (') 'k d(' =

""
418 OESION OF ClltCUlJIJt TUNNEL SECTIONS

FlO. 4/86. T"'" ~alculDI;on of Sl re~'Ie'l in the r ing heam aI

p~ I typical sections
Wi , ,1 I H ,' : III!~

+ G5 0 ' i:
,,14
•
r Jcos 2o! sin(rP - <!) do! "" - + P'k r.,t; 5in~ rP -

- Coo rot r [+ cos 2tjJ + 0-47 14 (sin q, - cos 0$)] (4.104)

and in the t hird section where nl2 < rP < 7t the moment can be computed as
follows:
The fo rces t ransmitted from the upper sections are represented by the res ultant
of their vertical a nd hori7.o nta l components and a moment
•
M o" = M + Pvr(1 - sin 4» + PH' COS <! - f CJr sin(q, - {)'k do!.

In t his expression ""

Af =

PI' = P'k + J""

CD cos <! 'I do! "" ,~(p + 0-1381 CQo).
".
 E..... H I CALLy flolll[OOEO su; noN:!l

."
PH ... f.,. C.s sin ~ rlr d~ = 0·47 14 C.s» ,~ ­

Substituting these values into the expression for M; and integrating

M~"_ - ,~ ' [MSint/J + O·S;.: - I) + CdJ- 0·4714 cos t/J - 0'1953sin~ +

+~eoS2q, + ()oS) + C.s,c0·5 - 0-1 667 cos 2q, - ()'6667 si n t/J)]. (4.105)

Then writ ing t he expressions for U UI a nd D O!

(/01 -
f Moml d S =
EJ
f - M, d .f
EJ
~" ~I. "

U~I = ;J ff M~ dq, + JM; dt/J + JM~" dq,l:

II " I. .oJt

and making th e a ppropriate subst it ut ions

,~ ,1
Uu = - t:J [P(1- 178 1 C1-0-S708)+ 1·0899 Co. + O-11875CJr ) :

Q~u - - -
"f
EJ
M ocos,p d q, =

,,~ ,,/1 "

- -;: [JM~ g
eos4J d~ + J."f;cosq, dq, + M~" coSt/> d rjl] :
" It
J
,, ' I

Writing t hese val ues of 0 0 .. uo~, a LL a nd 02! into Eqs 4.101 a nd 4.102 we o bta in:

x. = 'k'[P(0·37SCI - 0'18 169) + 0·34694 Co, + 0·03778 CJr]: (4.106)

Xl - 'j:{P(O· 21221 ol - O' 3 [83 [) + ()'52427 Co, + 0-07073 Cor ) . (4. 107)

To determine O. a nd Of' two addit ional equations must be establ ished :

(4.108)

and the ~ U fll ur 111c ~cnical components o r all rorces is equnl '0 ze ro

l'Y = O. (4. 109)

'20 OUto,," OF C I RCULAR T\)NN~l S£CTION5

In Eq. 4.108 the value iio.' is the displacement of a point of tIll:: statically de ter-
minate structure 10(';31cO at the horizontal diameter and caused by the external
°
loadings on the structure. Similarly 1• and Qt, represent the displacement of the
same point owing to the action of the unit moment Xl _ I 1m and of the unit
force X~ = I 1, respectively.

(l\# = E1 J' AI.m, ds, where nil - I tm, AI. - - r cos t/J;
•
0 1> = -EJ,2
1 Jcos rp dq. = + EJ" '
."
02. = ;JJM,m!dS,m= = - rcosrjJ:
• l
O~, =
'1'32
+ EJ. r cos t/J dq, - ttr
4EJ :
." •
0",_ ~JJMoM. dS= - ;:5 M~"cosq.drP =
r ,a
~ - '- [Q-Sp (1 - ex) - 0-82807 Co, - 0-11111 C(il).
EJ
On substituting these values into Eq. 4.108 we obtain

co.( ;J
r r~C
+ 0 '(6937) = p (0-06831 + 0-04167 IX) - 0'01778e,)" (4. 10)

and Eq. 4.109 becomes:

•
P'" + 0-J38 ICo"" + SCrk(J .,si n~~ + Jjcos2~)eos~d~ = 0
." 2
P - 0·1933Co. - ),Cof = 0

Writing the above equation into Eq. 4. 10 a nd rearranging it we have

CO._
_ 0·04167(1
00646
m+- I
P,Cof -pI5
+ IX) _ [. _ 0-0122(1
00641'
m+-
+ IX) j
From where the e)(pressions for Xl and X ! as given in Eqs 4.106 and 4_107
will become
0-014(1 + 1:1)],
Xl = pr.' [ 0'375D! - 0·125 + (4.11 I)
m + 0·06416 '
X2 - P'" [ 0·21221 (.% - I) +
0,02 1(1 +
0641. '
IX)] (4.112)
m + O'
 LLAS'IIC ALLY ["8I!DDED st:CTlOr-S
'"
Knowing Xl and X l' the stresses at any point of t he ri ng can be calculated
At - ft.l o + X , - X 2 r costjl, (4.113)

N _ Nu + X~costjJ . (4. 114)

Writing into these equatio ns the \alues of XI and X~ BoUGAVI!VA derived for the
momen ts lind norma l fu rces al an arbitra ry point of the ri ng the following expres-
SIons:
At - pr~r(A.z + D + C 111(1 + II)] ,
N _ pr.. [D:x + F + G,,( I + :I)J.
She a lso gave ta bulated val ues for A, D, C" D, Fand G:

,, - I
m + 0·{)6416
m =
EJ
..3
,~ C

, , ,
1 I c, G

~ = O 0--1628 0'0872 - 0'(1)70 0--2 122 - 0--2122 (}o02tOO

:014 - (Hm O
- 0·1250
0'0250
- 0- 1250
-""""'.
0'iJ082S
~I>OO

0-0000
~J>OO

H,OOO
(}OOJ485
(K)()jH
' 12
l..,f2
,
O'02~0

0-0872
- 0 "i)25O
0'1 628
0>()()()22
- O·{)()~ J7
- O'ISOO
- 0-2122 """'"
0--7122
0'01380
(}O02240

If we now calculate the mo ments for the previously solved numerical exam ple,
we obtain t he mome nt diagram indicated in Fig. 4/87:
r '" 3·0 m _ ' .. . IJ/ _ I0 000 000 )( 0·000 144 () 144 _ 0-00178,
J _ 5·000 144 m', 34)( [0000)( 1·0 - = 81
£ = 10 000000 t!m2 , I
- 15'2,
C - IO OOOt/ml ,

01 = I M _ 9[A + R + 3(}4C 1 J
b '" the width of the ring = 1 m_

These results indica te that the approxima te val ues of this method arc in good
agreement with those obtai ned earlier. T he character of the moment diagram is
Identical with those determined by either the polygon o r by the BoOROV....(jORCUK
mClhod (sec Figs 4/83 a nd "/69). The va luCt; for the moment at the crown Ron lhe
upper quadrants are wi thin 10 % of the momenls ca lc ulated by the BoUROV-
GU1l.[1.1K method, and become negligible in the lower half section of the ring.
422 D($IO'" or C 'R(: UlA R TlJNN(1" SEC110N$

In the following we shall demonst ra te by a few examples the eXlent to which

the moment at the crown is affected by the coefficient of subgrade reaction .
C = 50 kg/crn 3 .'Ifrna< = O·033pr2
C _ 10 kgfcm 3 M ..... = O'034pr~
C = I kgfcm 3 M _._. = 0'079p,'
C= 0 M = 0'25p,'

As shown, with a n increase of t he coefficient of subgrade reaction there is a

decrease in the momen t but this tendency rapidl y diminis hes if C ~ 10 kgfcm 3,

(}150

Q{]iY o-~(I!J

""~'~;;=========;; C

•
Fla. 4/87. Momen. diagram FlO. 4/88. Varia tion of the crow n moment as a
function of subgrade reaction
The above va lues, and the diagrammatic represen ta tion in Fig. 4/88 hoth
illuslra te tha I even a sma ll value of subgradc reaction considerably decreases the
momen ts a nd stresses in the st ruc t ure as compared with t he case of no lateral
s uppo rt.
The maximu m val ue of t he moment is
M",.: = pr~ [A + B + C,211 j (4.1 15)
when neglecting t he di fference between inside and outside diameters.
By substituti ng the constants we get

M mu - p r [0'25 -
2
0'(XJ1X2 - I
m + 0-06416
]_pr [0-2S_ Z
m
0-~~6].
+. I
The var iat ion o f the term inside the brackets as a function of m is iliustr.Hed
ill F ig. 4/ 89. ( F ur I:u mplu ison the vlI lues obtai lK-d by D AV ILlUV'S meth od. as will
be discussed in the next section . jlre also shown in the same figure.) An inspection
of Fig_ 4/89 also indicates tha t the maximu m moment inereases fro m 0-032 prz
 423
I
FlU. 4189. Virlilion of t he crown It.
moment u a function of Ihe rigid- p r' ot~......__--";;;:;;:;;;;;;;;i
it)· of Ihe ring and the suhlilrade I

n:attions
,i
"J7~)
,,,
(/).2J.1) /Jwik;r

to 0·25 pr, i.e. about 7 or S times while the degree of lateral support ranges from
£1
full restraint to no support. Whe n the Ilalue of m:= er' is increasing from 0 to I,
the mom~nl is a lso considerably increasing. T his increase of the moment is quite
rapid for small Ilalues of m, thcn tapers 01T gradually and becomes unimportant
for 11\ Ilalues greater than 1'0, and while the Ilalue of no changes from 1·0 to 00
the moment increases on ly from 0·237 to 0·25. Tha t is, cllcn a smull lateral su ppo rt
cun considerably reduce bendlOg stresses in the structure. !-I owellcr, the bene-
ficial effect of the subgradc section is felt on ly up to a certain puml, beyond which
a further increase in the coefficient of subgmde reaction will have no pr-.. ctical
effect on the magnitudc of the moment (see also Fig. 4/88).
For all praCTical ,:urposes one can say that if the val ue of m is greater than 1·0
then :he df«t of la.eral support can be regarded as insignificant. However, for
cast-iron segm~ n ts and li ner plates even if C = 20 kg/cm 3 the value of m is less
than 0·05, i.e. it is in the range whc rc the mome nt varies rapidly with a small
cha nge or the subgrade reaction (see Figs 4/88 and 4/89). According to the fore-
going calculations the moment will range between O·OJpr! and O·05pr z.
It may be mentioned here, t hat according to the experience gained with the
dimensioning of the various circular ~ctio n s of the Budapest subway it is always
the top section without subgrades where the maximum B.M. values a re acting.
Thcse B.M. ~' a J ucs will aCl o n the crown sectio n and its wl ue may be computed
with sufficient approxi ma tion in the following way :
Let us 5ubstilUtethc circula r ring ei ther by a hinge less arch with a central ongle
of 120G or by a two-hinged a rch with a central angle of 90G (Fig. 4/ 90). When these

,
"'\ ,
/ \
,
"

•
FlO. 4{90. Scheme of equ illatcnl ar-
.. lies rur rapid determination of max.
B.M. "
./
,
424 DI:SIGN OP M RCUl .... R T llNJ<n st:cnos~

equivalent girders are of the same radius and loaded by the same un iforml y dis-
tributed externa l load p, lhen the computed B.M. values will be about 0·03 pr'
a nd will correspond well with the B.M. values acting in the case o f an enti rely
rigid embedment. Should the section be elastically em bedded lind churn cterized
by an elastic subgrade coefficient C, the upper limit of which cannot be more t ha n
20 kgfc m3, t hen

I0'014) 0·014 ) .2 I
M", .. a!:pr 0,25- m+O'Q642 ;;;pr' 0·25 - 0.1 172 :=:-0·1 27pr (4. 116)

where t he value of m is taken according t o l)c:l1J(iAYEVA'S method (cf. Eq s 4. 11 1

and 4. 11 2).
II IIIUSI be noted Ihat (n both methods (41.11 and 41.11) an)' rffec/ (if the palen-
tjally present aClire Imeral earth pressure is no/ cansidered and praritle Ihus for
all Ol'en/lle safety, when II,e IIIobili:alioll of this actiLV! pressure can be also reasonably
expected.

43.34. D.vldov's Method

For the analysis of circular tunnel sections DA VIDOV also dcveloped an app rox i-
mate me t hod in which his assumption as to the distribution of the ground reac-
tion is similar to t hose made by ZURAOOV tl nd BoUGAYliVA for horseshoe sections
(Section 42.2 1).
The varia tion of the ground reaction is expressed as a second degree trigono-
metrica l fu nction, so that the condition of elast ic cmbedment is satisfied only at
the points of the horizo ntal d iame ter.
For the case of a unifo rmly d istribu ted \'ertical load the external forces acting
on Q circular ring section are shown in Fig. 4/ 91. For simplicity the late ra l acti ve
earth pressure diagram, et is assu med to have a similar shape to the distribution
of t he lateral earth resistance, et •

Th t calculation is carried o ut In the fol1awi n,l ~re",:

t. The llresses in rhe rin g are determined. Ilellle<:tinil the effect of the lilerat nrlh reaction

p
t,,·,·II·I· '·!", , " "

III I' III III I • i , ii i 0111II F,o. 4/91. For~es a~tinll on a ring btaOl (O ... vrPOv)
 lLASTlCALL'o' ()ofDI:DO[I) StCl'lOSS

and also the defle<:lion II lhe horizontnl diamet~r

where M . _ the ml)fI1ent due to external 10ld

AI II _ the moment caused by the load 11 _ I I.

Th~
,,,
" .. 12EJ
(4.117)

2. The 5Irc;;SI!S. due to the horizo nta l load t , are caleuillted, ~ nd the horizontal deflection
II, of lhe structure is determined for Ih is I~d condil,on:

11. _ __
101 -
,. (4. 118)
- 1440 J:.' J

J. N ut the comprenin n of the soil II,. causc:d by the initi~1 horizon tal pressure c, 15 clIlculatcd
a l the line of the horizont al diameter ;
,H, (4.11 9)
", ~ -- .
E,
The value of c is thai "alue of the hori zontal loadins by ",hich lhe compreS$ion of the
soil jusl bo:sins

II,+ "' C=O, '-- -". .

"
Suhst ilulinll the ~a lues of II, and II: '...." lei
t_I· 19p.
4. Then r, is determ ined, utitizinll the e~prcssion that the dencction of Ihe structure must
be equal to the compress-ion of the soil:

". + ... ",-11, ..,

,,,
' .. ~-~~:;;.
II,
,
".
II, EJII,
E. +
J2
101.
1440 r
(4 120)

Havinll determined r" all exterlllli loadS a n:: knO""n a nd Ihus both the mo ment s and
the axial forcl'1l in the structure C'an be: calcu lalell.
AnOl h~r noted differenct: bet""""" OAVtDOV'S and other mc:thods considcrins the dhlic
embednlCnt of tile tunnel $eCtion i$ that he does not usc: the coefficien t of §ubsrade r<"actinn
10 uctcrm ine the compression of the soil but calculates it in HlC w ay IS stnlement analyses
Ire ca rried au\.
The compression of the ~oiJ
rll ,
' ,- --
E,
(4.121)

where e i$ the I~dins. H , i~ the thickness of lhe UTlh co lumn co.uidercd to be comprc~$Cd
and £. is Ihe modulus of compll'ui bil;ly or Ihe wil,
· 26 O ES10,", or C lItOJ1.A Il TlJi'lN~ L ~(M"ro",s

When delermin inlt H I _ '1', he assumes an .";ve wnc limited by rhe C()ndlhOll rhat there
the maxi mum value of ,oil stresses due to lateral prenure just ana ms 120 ~"~ of the overbur-
den pressure
(4. 122)

The correSpOnding •• Iues of '1 and A Ire labulaled by hi m. Thus O,,\"OO\' dlminates
(be: use of the: coefficicn! of subgrade reacl ion.
Subsriluringlhe num er;':;,.1 valu..,s of the previous e~a mplc (see Fig. 4{67),
r = 3 m. p = I 1m

if
EJ II ,
- - _ =
~ E,

II,
1, ". =
0'0835
I + 0'07
<H>8JS
- O-08J5
1~7
= 0-078

if E. - 0'1. t, = "" 0-49

0'1 +0'07
"
The resulli n, momen! ,:
po'
from Ihe Joodinll f': /H' - T I I - lsin' ¢),

and f rum the loadin&: rt : M,

.,'
= %(2 1 - 48C05' ~ + 8 cos' \II ).

Al rhe ero"'" fo r the combined effect:

M =- - -

and 5ubslilUling Ihe numerical values

pr'
4

M _ C)o2)4'"
19
96
."
t', " . ": (!. - ' ><' j.

Com pa rin a lhe resulls w,th tho$e C".I lculatcd by Bou('.... YFV ..:s met hod we obta in:

M """,a,

., ,
- ~
-,-
(1-237,'
On.",,",

0'21 4""
~C

EJ
- -~ , 0' 1 6~r' 0-1 5k'
,'C
EJ _ 0-01 O'062r' JH)«,'

--.
,'C
EJ
,'C
O'03!r" 01)1.5,'

T he ".J U<e5 calcula ted by O", VIDOV', met hod are consisten. ly lower, bec. uloe he considc:" .he
b., ~"oJ supllOn to be aCtlll1l al ona lhe full hciShl of the section, while Bo\JC.",VRV ... 1lC,.C(:IS
th e IUpp.lrt on the upper quadra nt. The deviation betl'een the mlulll becomes in.:;rcasinlly
larllu wit h the riaidi .)' of It,,: 5u ppO n.
 !I..A.'ITIC.o..LLY o."" :I) Onl St C'fIONS 421

The morm:m diallram i$ symmet rica l about bot h UC$, and Ih u$ it docS not Il:llecl what
e~pericnee an d olnc\'Vll.tion In d ka t~'S, namely. that the momen ts in the top part are larger
than ;n the bouorn part. Therefou I:k)UCi,WEV"'S method i$ considered 10 be more aocullI.lc.

43 .35. Virga's Oen:lopml.'ol

By develo ping a nd sim plifyin g DA VIOOV'S assumptions, L. V"RG"u a rrh'ed

a t a vcry simple approximate mcthod for Ihe Solulion of an eJaslically supported
n llg section.
He assumed Ihe distribulion of the suhgrade reaction to be triangula r as indi-
cated in Fig. 4/92, which would result in abo ut 3 %- 4 % inaccuracy onl y according
10 his nume rical estimates.

FICl. 4f92. T he la teral

IUpport or a rinl hearn,
accordinll I" V" ao.o..

When calculating lateral displacements, instead of considering t he coefficicnt

or subgrode reaclioll, he com putes with the compression o r the soil. He does
lhis by considering the IWO triangular loadings acting on the vertical tangent or
the ring, us unirormly distributed vertical pressures. from where he calculates the
horizontal st resses and the compression of an mn _ 3'5r thick laycr, using the
mod ulus of compressibili ty of the soil.
The dcrived values fo r t he doubk triangula r lo:tdillg are:
For the uppe r hair

the reduced moments a re

M~ ""~(O'248613 _ 0·378155 cos 0:). (4.123)

q' J
The red uced thrust is
N, 4
- - - 0·378 155 COS:l, (4. I 23b)
q' J
ir 45" :S ~ :5 90 0

... VAMO'" L. : Szimmet riku~an lerhell :1l1ando ~astalls'lIu tOrbol tozat"l.;" lo.. "I~t ny6
alagut(alak mCrete~ (Di mensioning of symmetri cally load~d CIrcular tunne l 1inln~ of
constant wall thio;I:nns). tKMOE Tud. Kli:l. 1%1.
428 D U ION o~ C IRCULA R 'JlJNNlL SECTIONS

the reduced mo men t is

M'
II'; ="24 [0·165280 - 0-024601 coS(!:- (4.124.1)

the reduced thrust is

N' 3
-!. - - cos 01 (0·024601 + cos III - Jo:5 I:OS
2
12:). (4 . 124b)
" 4
In Ihe lo wer half
Ihe red uced momen t is

M. 4 [O· 165280 si n~ p
~ = -
qr 3
+ 0·024601 sin p-
2
Ihe reduced thrust is

!!..t. p
4 . [
qr - 3' Sin P sin p
2-Sin
2 - 0·024001 ) , (4 .125b)

the ho ri70 nllll displacemenl is

(4. 126)
t he displacement facl o r is
- 0·1108896 (4.127)
(where v = the wall thickness).
The approximate ~'a l ue for the compression of the soil is

1·75q -
,
,
E'
from where
£,
(4. 128)
1'75,'
whe re E, = the mod ulus of compressibi lity of the soil.
The method enables o ne to take into considenu ion the initial \'oid h, left be·
tween the structure and the su rround ing ground d ue to improper grouting.IOn t he
basis of the identity of displacemen ts we get
"
..1 -~ LPlh, = h+ 1'7Sq - , , (4.129)
E~lr E,
where PI is the ex terna l load ing o n the ring, a nd 05, is the corresponding displace.
ment factor at the springing, which a re either known o r can be calculated. T hus,
from the eqlllllion for a given va lue of p, q can be calculnted nnd the design of
the ring completed. To facilitate the calculatio ns. in his pa per t he author is giving
t!1bles fo r the values of M and N.
 eLASTIC " U . V E M Hrl) l) ~ l) Sf.ena",!

43.36. Meissner'S MNhod l .'

A furt her simplification in t his method is that both vert ical and latem l pressures
are considered :IS uniformly distributed. The author is on the safe side. when con-
sideri ng that the o ri ginal vertical pressure acting upon the nexihle tu nnel with
an articulated segment lining is eq ual to the overburden pressure. whereas the
lateral press ure is equlIl lu the earth pressure at rest. As the coefficient of lateral
earlh pressure ). < I. the horizontal diameter of the a rticulated circulnr ring will
elongate under the l:ombined ac tio n of these o riginal loadings. This displace-
me nt will mobilize lateral subgmde reactions and in turn decrease the ve rtical
loading. It is assumed that th is pressure change IS entirely symmetrical and the
distribution of addit ional pressures is a lso unifo rm (w hich llssum ptio n is highly
det)lll uble). This add itional loading due to the interaction of soil a nd ri ng defu r-
mation is dctermi ned (rum the condition that soil deforma tion due to the reac-
ting pressures of the loading p. _. is equal to ring deformatio n d ue to the
ori gin:l~ eart h pr"ssure lind to addi tinna l loadiniS. Thus. the assumed loading
scheme is shown in Fig. 4/93.

FIG. 4193. A$~umed loadini fiil,l!"e of ~ircl,lla r rinll

afler M [lS~N["

-It MEISSSE II.. H.: Zur 8cmessunll deS Au sbaues von Tun neln im Lockeraestti n dit i11l
Scbild~·onricb aufllCfabrcn werden. lHr 8a"ingnrl~..r t964 4.
'30 D ESIO),! or C IM C UU R T UN!'I~L u c nol<s

On the basis of the t heo ry of eJastil:ity he is deriving t hat the soil d isplace-
ment at the crown invert and at the springings will be of t he same absolute magni-
tude:
I I + }.l
I LI. I = "3 . p , "'.. . r,' E . (4. 130a)
,
On the other ha nd, t he daSlic deformation of Ihe ring und er the action of the
above mentioned composite loading:

p = - ,.". I2 I-).~ - 2p, .... ) cos 20:

"I . ZA

will be
(4. I 30b)

From the equality of the two d isplacements L1, = Ll a it may be derived thai

(4. 13(k)

a nd the coefficient of lateral pressure - decisive for the dimensioning of the li ning
rmg

I. =
y . z,j . }. + Pu"., (4. \3Od)
with
' k = external ra dius of ring,
, = rad ius of t he line of gravit y
th e o lher annotations being indicated in the figure.
The bending moment in a ny sect ion x

2p, "'.. ) • cos 2a

"I . ZA

a nd the maximum bending mOmeni at the crown with IX "" 0

"I . ZA . 'k . ,
Mm.. "" - 4 (4. 13Ot:)

and for a n infinitely rigid lining, where

£~ · J ...... oo P. "'.. = 0,
suhstituting this va lue to Eq. (4. 130e) we arrive indeed at the FORCHHEIMER equa-
tion (cr. Eq. (4.50a) derived for a rigid circular section.
 '"
43.37. The M ethod of Duddeck and Schulzc'·IJ

T his method is ba sed on Ihe theoT)' of cylind rica l shells and is takin g into consid-
era ti on t hat the surrounding soil does nol offer a con tinuous su pport a round
t he ..... ho le circum ference, but the re: is a zo ne o f separation a t the roof section.
where the deflection o f the li ning is directed no t towards but off the embedment
(Cr. Figs 4/ 76-4/80 a nd Sect ion 43.32.). DUDl)[CK concludes that a ll practical
requirem e nt s a re sat isfied whe n t he ce ntral angle 2fi of this section 2(1 - lOOQ,
i.c. P is taken for SOQ,
The d ifferent ia l equations util ized are derived o n th e basis of the clashc eq uI -
li brium
R' N'_ M ' + R1·p,_ O
M" + R . N + R~ . p, = 0

(with p, = PII +P + C' w)

D .
M_ N - - (v
R
+ w}+ -MR
a nd concl ude o n the fo llowing general fo rm

M~J) + 2M"" + 0 2 R' ( p, - p') _ 18K· 2 sin tP

• 11" _ (4. 13 1)
B
wi t h

This differen till! equation of the fi ft h grade will be solved separa tely for the
embedd ed zone (2). when this origi na l form will be maintained a nd for the separa-
tio n zo ne (I), whe n the member containing t he coefficient of su bgrade reaction
(Q~) will be omitted.
The results of the homogeneo us soiUl ions are give n in tabu lated values, wh ere
term s are give n fo r the determi nation of the rad ia l d isplacements W I resp. 14',
R'
fo r the re lated bend ing mo me nts B .M and for the re lated shearing force
R~
If . Q. At last the central thrus t is given for both zones by the equat ion
N - N o + Nwhere
No = - R· Po
- ,\1 8
N=+/i"- RJ- O-·8o-R
4 J• pz ·dtP

•." SCH lJl..r.1l, H . all " OlJDDtCI: . 1-1 .: Span nungcn in •

schi1d~orgel riebentn Tunnel n. BeIU~
" . Slnhlb~lot.hm' 1964 II.
 DESIGN 0' CIRCULAR TUNN~L Sf.CTI ONS

in which No e;l.presses the constant ring fo rce a nd N is the additional part d ue

to bendi ng.
T he merit of this method is tha t it has pointed out the effect of fric tion (tan-
gential com po nent P,) upon t he behaviour o f t he tunnel structure and th at it has
made an attempt to make use of the wcll-developed theory of shells. [t is poin ted
out that in cohesion less soils bigger stresses may be e)(ptcted. because of the
smallc r laleral earth prcssure values: ).; altho ugh it is stated t hat when the shield
has passed by. the rest co ndi tion wi ll be soon re-established.

43.38. The Metbods of Orlo," and R{l7,sa

It is known that th e coefficient of elastic subgrade reac/iOIl is no t a typ ical soi l

cha racte ristic, as it depends also on other factors (e.g. o n t he width, sha pe and
other palameters infl uencing settlements). A ste p forwa rd to eliminate this defect
of the very flOpular methods described in points 43.31.-.43.33. was made by
O Il.LOV·_ ll whu has cump uted th e di~pla<';<';[J":1l1 uf the embedded <.;ir<.;ular ring in
his theo reti cal model instead of the li near compression of the elastic subgrades,
with the elastic tangen t ial and radial displacements of the perimeter of a circular
cut in an elaslic medium. 1n addi tion, he has a lso considered t he effect of friction
hetwee n lining and soil , wh ich 1e.1ds to the devt:lopment of tangential for<:es
acting in opposite direction. (T hus the co nsideration of tangential components may
lead to a stress decrease of up to 30---35%.) In th is way the forces acting along the
embedded perimeter of the circular ring will be inclined to the normal byangle
¢ and thus the fictive elast ic rods representing the elastic embedment (cf. Section
43.32. and Fig. 4/81) must be also considered accordi ngly ( Fig. 4/94).
Th us, the basic feature of this method is that the displacements around a ci rcular
cui in an elasti c medium are com puted o n the basis of theo retical elasticity in-
stcad of t he theory of elastic su bgradcs, th us implying the fo llowing assu mptions:
a) the soi l, surro unding the tunnel lini ng is-f'C rfectly elastic, homoge neo us and
isotro pic. .- .-
b) the tunnel lies under the surface in such a de pt h, tha t t he e;t;; tension of the
surrounding medium may be conside red infinite in any diredion,
c) any tu nnel secti o n is subject to the same loading and as no deformation is
I,;o nsidered possible in axial direction, two dime nsional stress cond itions may
be considc rcd.
The solut ion o f the problem was effected as applied with the polygona l method,
with un known reactions of the suppo rt ing rods. It was lina!ly given by OIl.LOV in
the form of Fourier Series. Its practical a pplication may be cumbersome and
le ngthy, howeve r, Oel:ause of the rela tively sma ll converge ncy of t he Fourier

'_Ll Ot<LUV, 1'1 .. R d."lL~( ~V"~(I "hiy l".£lL,,~lL(.h jh "" "UII h"" ~ . u¥" "ovo .j,eza f plo.ko.,i.
(Computalion of plane SITuelUTes lying along Ih e perimete r of a circutpr cut) lsd~d. po leorii
fooru,·hem'y Vip VI. Musco'" /954.
 u ....mc... LLy U I 8((}I)(0 $tenoNS 4lJ

.J

.J
I
, I
I -
J>:=--1' - 7 T

~
,

FUJ. 4/94, Assumed embcddinll foru:s and FIG. 4/95. Radial loadi nll expressed
~ u bstitutinll stru ts afler R6zsA by lile stress function
Series. R6zs ... and KovAcs··t : ha\'e improved this method giving the solution in
a closed form, where the reaction forces of the embedment were ploned from the
superposition of stepwise unirormly distributed loads.
T iley consider at first a radial loadin, q'~ actin, on the inner perimeter of a ci rcular cut
in the infinite mass, which may be liven by the Fourier Series

1/" - L• o• . cos II fI,

M

.... R6ZSA. 1.., KovAcs, G. and KOHlJoI ... NN, L : Stresses and deformations due to tanlen.
tial forces actin, alonll the perimeter of a circular CUt set in an clast ic plane. Aero Tulon.
Arod. Sri. Hlmg. Dudapcsl 1962. 4 1 J-4.
KovACl!. O . and R6l-SA, L : De termi nation of stresse s in tunnel linin, considering friction
bel"cen rock and tunnel. AClQ Tuloll . Ar Qd. Sri. HUllg. Dudapesl 1964 oUi J- l.
." DESIGN O F CIRCULAR TUNNEl. SECTIONS

The stresses produced in any point P(I}, OJ of Ihe plane duc \0 this loading may be expressed
by the mess function (Fig. 4/9S )

/f>«(!,0) = hoT' • /" (:) + b,,(!fJ sin {} + b,TI;! . In ( : J cos Ii + d,r'(! - ' cos (J +

+ L• ,(b"
.. r". (.>_'+0 + d.·""+O· (I-oJ cos ,,0. (4.132)

Wilen the stress function ~ is known the stresses o . ,,,~ and T may be expressed wilh the
basic equations of elasticity
0=_" __
1 a</J I
+_' i}'<I>
__
~ !! 0 iJU'
• (t'

a'~

This SlrU5 componen ts have \0 satisfy the equalion

( ~+
Oij'
..!....~
ae + _1 ' ~l
(! Of}'
'(Or +u~)=O I}'

and the follo,.,ing boulldary conditions

"i" It) = _q(O)

0/00,&) = 0
11~(OO,O) = 0
r(r, Ii) = 0; T(OO, fj) _ O.

The correlation bet"'«n stresses and strains may be expressed by the physical equations
of ciasticity
.• ~

I + I'
£

I + I' 12r]
£
and the rad ial, rcs~clivcly tangential displa~""'nts of the points in the plane may be pined
on the basis of Cauchy's differential equations

,• --'" B,

·,=f(!;+u)
,"d
f t, = ~: - : {" - !; J.
 fUSTICAl..l..V F.M8£DIXI) 5U,"TII):<>S

R6zSA nnd Kov-",cs are examining now the case of a mdinl symmetrical uni-
formly distributed panial loading ncti ng along Ihe periphery of a ci rcular cut.

.<
Ttle boundary conditlon§ of ttlis case
o , (r, f/) _ - q if P
0l', U) ". 0 If < f/ (~ Fi • . 4/95)
'"' (0.(00,11) _ 0;
"
T(,,9) = 0
(10(00, If) _ 0: , (00, i ) _ O.

Makina use of OIl.l..OV'. Investiptions, the cun&tanU of &I. (4. 132) will ha"'e Ike followin.
values:
, q'
b, _ - - -
1-21' ~ in fJ
;r 2(1 - /.)

b, =- - sLRP
. "• d, -
,,'
.,
1-
4( 1
11.
p) ,inP

q' sin nf/ d _~. sinnJl

b.= -:"I · n(n + I)
; • :"I /O(n + I) .

Substitutinl these values into the applied stre~s fU!lclion ~ (Eq. (4.132»), it may be wrilten
in the foIlO"'; nl form

.
~~, 0) _ !!.... ( _ , •. /I ./,,!!.... + (-
,
,,
,./},j . sin 8 +
J - lj.
+ 2(1 _/1)
· , ·/! In _ ·cot ll +

- 51 n nft . Cot nO
+L (,... ,,-"-IJ. - -
.~. ' 11(11 - I)

-"'-'.!t. sin"p· Cot

n(n I)
"fI)1 .
Wil h lhe use of the closed form of the
expmi!if:d in _ closed form :
S!~$S function the stresses u ,
a
(I. and l may be atso

o
'
,..:!.... .IR[ _R./J+( I-2 R' . 1-2p
;r Jp
_

- 2) sin fJ· COS II ] - [0 - R"')· C, + 2C.1}

t _ ":r .(I-R·), [R
_ . 1-"'.
Z i p
·sm/f·cosO - S.
I
1 (4.m)
436 DESIGN OF CIRCULAR TUNNEL SECTIONS

In a later study'·" R6zSA has laid down the principles of a limit design. He is
suggesting that the dimensioning of the circular ring may be effected for two sep-
arate parts. The IJPper part is that surrounded by the zone of separation which
may be considered as an arch supported by excentric hinges. Whereas the Igwer
part is embedded in the surrounding soil and may be considered as a curvilinear
girder supported on elastic subgrades and attacked at both ends by bending mo-
ments and by nonnal forces .
The dimensioning of the upper part may be accomplished as that of a three-
hinged arch with a central- plastic hinge and with lateral hinges situated at the
boundary of the zone of separation.
In the case of hinged joints between the lining elements the limit load will be
defined by the load transmitting capacity of the joints themselves, - excentrically
acting loads being presumed. (It must be noted, that the formula of the support-
able normal force by an excentrically compressed cross section is subject to some
slight modification according to the authors' investigations as

with d = wall thickness.) From the limit stresses the resultant force QG and after
dividing it by 1/2 the limit load qG may be also determined.
In the investigation of the upper part the following assumptions are made:
a) No tension stresses may be resisted in the bearing joints, where frictional
(shearing) stresses are also negligible.
b) Plastic hinges may develop along the joints only and not in the lining elements
themselves.
c) Limit load will be defined by the development of two symmetrically situated
hinges in the separation zone one on each side of the central axis.
d) No change in the relative ratio of the loading effects will set in during the
gradual increase of acting loads.
It must be borne in mind however, that not only the single elements can break,
but the whole system can kinematically fail, when loosing its stability.
The limit design may be appropriate until a perfect freedom of cracks is not an
indispensable requirement.

43.39. Critical Conclusions as to the Various Dimensioning Methods of

Circular Tunnel Sections
Tn the foregoing points 43.31. - 43.38. several dimensioning methods of circular
tunnel sections have been presented based on various theoretical models. It was
shown that in what directions the various methods have been refined. With regards
10 the fact that the main point in the dimensioning of tunnel sections anyway is
,
d.l~ R6zSA, L. : Die Bcmcssu ng kreisformiger Tunnelwandungen nach dcm Vcrfahren dcr
Grenzbelastungen . .Der BauillUf!lliellr II 1963 .
 ELASTI CALLY EMBEDDED SECTIONS 437

that both the acting loads and the bearing capacity of the tunnel structure are
governed by the properties of the surrounding soil (rock). Therefore it may be
concluded, that the main problem is not posed by the increase of the exactitude of
the mathematical or by the belter assimulation of the statical model, but by the
thorough and just consideration of all influencing parameters and of the loading
effects constituting the computation base.
Some tentative principles are suggested in the draft : " Empfehlungen zur Berech-
nung von schildvorgetri ebenen Tunneln" (DEGEBo, 1968) where loading assump-
tions, calcu lation models and stress determination methods are contained.
Lately H. DUDDECK,·14 has given a critical survey of all parameters affecting
the dimensioning of circular tunnel linings. .
43.391. As to computation methods they differ from each other in the
assumption of loads and of the degree of cooperation of the surrounding soil.
The following groups may be discriminated:
a) Circular cut in all elastic continuum stiffened around its perimeter
These methods yield somewhat too low bending moment values. The all
round embedment has got an effect similar to a reduction of roof loading because
of arching effects.
b) Elastically embedded ring resistant against bending effects
Most methods dispense with the supporting effect of the embedment
around the roof section because of the inwardly directed displacements. At the
same time, full external loading is taken into account without consideration of
arching effects. Unduly high stresses will be resulted. The polygonal method is
very suitable for the calculation with e lectronic computers and its program is al-
ready worked out by DAusvILl ., ·15 Still the applied linear relation between pres-
sures and displacements is but a rough approximation and might be improved .
c) Limit design is a sound perspective for dimensioning by successive approxi-
mation. It is however applicable only until crack-free lining is not required .

43.392. The effect 0/ various parameters upon the magnitude 0/ sectional stresses
a) The effecl 0/ embedment
The assumption of a zone of separation around the roof is essentially increasing
bending moments. This increase may reach the value of 47 % under usual condi-
tions. On the other hand, the consideration of full roof load simultaneously is
well on the safe side (Fig. 4/96).
b) Effecl o/Ialeral pressure
This is a very sensible factor, the preliminary determination of which is however
rather uncertain even when the most careful soil explorations are accomplished.

_1. lt D UDDEC K, H .: Kritischc Hinweise zur Berechnung von Tunnelau sklcidungcn . Prot:.
KOll/erellz tiber TlIIlIlelauskleidungell ill Bratislava 1970 .
• . 15 DAUSVILI, A . P .: Matrix-method calculation of Metro-tunnel s embedded into elastic
substances (Matrichniy metod rascheta obdyelok tonneley metropolitcnov f uprugom srcd ya.
Russ.), Proc. Metro COil/. Bala/oll/iired, 1970297 .
4J8 Of.SIGN OF C lRCULAR TUNNEL SJ:CTIONS

fJ · t• .r·/EJ
U
f
• 'I: (v'p·,r'

- - - sflu 6ug~,u
- - - - .Ito,. !r!lulu-Olldtltrlt
(sl~rlli#" III"""" ,t til, r~W" -Ullt)
- - - - IftU roeUmg ) (,,,,btdd,d i"'~ltit
----- ,n u Wi"dtfS e'lItr"ullm)
___ llh,. HtiSSlfU (11["" prtlsu,.,
lSSIJ",et/ )

H --- ~
lJ ___ -----
O

, ,, , , - .,
,
m •
,
" U
,
'" -•
FIG. 4/96. B. M. value at the crown in function of the subgrade <;ocfficienl
rigidit), (£J ) {o r , -ariou$ embedding a " u mption l
(e.l and st ructural

To illustra te this effect, the bending moments at the c rown are subject to a varia-
tion of ±23% when t he coefficient of ea rth pressure ).is ranging from 0-4 to 0-6
as compared 10 the ave rage value oro-so The varia tion of the normal thrust values
ra nges between ±7% only (Fig. 4/97).
H,- r.p;

P,'/rr V P, ·C#~11

"
",
II

He---+-- FIG. 4/97. InHuence of (he lateral

, pressure coefficienl i. upon norm a!
lhrusl and B.M . al lhe crown
 4)'

c) Eifect oj emMdment-Sliff",'S$
The magnitude of the elastic-subgrade coefficient C _ EJ r exerts a very
great influence upon the bending mornCIl! values. Figure 4/98 shows that a more
compressible silt embedment with a compression modulus o r E. _ 200 kg/em!
will lead to a B.M. value 50 % superior to that, whit:h will be prod uced in a more
rigid soi l embedment cha racterized by a compression modulus of £, _ 500 kg/crnz .

.,
"
""f"::~~J.L
" =---+--C:-±::-r
FlO. 4/98. Innuencc of soil-riaidity {i.e. 0
5ubllrade coefficient) upon
CTown_momen ts (M,)

(/) The influence of the langel/rialfoolling components is (/ebaroble

Sho uld the specific·fri ctio n between soi l and lining su ffice to transmit stresses
into the lining then tangen tial stresses would exert a reducing effect upon a.M .
values. Should this not be the case they would however lead to a considerable in-
crease of the B.M. values.
t) Efftn of parallel tunnels
Parallel tunnels lying in the vicinity of each other will alrc:ct both B.M. and no r-
mal thrust (N) values. According to MUSKEISHVILlthis elrect is not very consider-
able and wi thin the practical dis tance range - which is defined mainly by the
applied construction met hod - B.M. values may decrease by about 5-8 % whereas
N values may increase by about 6-11 %. These amounts will but slightly be affected
by the va riation of compression modulus (E,). laleral pressure coefficient 0.)
a nd rela ti ve depth (tl_ ~ J values. The soil however lying between the two tun-
nels will be subject to overstressing both in vertical and in horizontal directio ns.
Inspite of this, the combi na tion of AI and N values will not be more unfavourable,
than for single tun nels. Certainly, this does not refer to the prevention measures 10
be taken against unfavourable deformations eaused by a second \Unnel when
passing by a previously driven (first) tun nel.
f) Secondar}', nonlinear effects
Whereas Ihe axis of a flexible tu nnel lining will adjust itself to the thrust line,
leading in turn to a very considerable decrease of bending moments; a ll deflections
and deformations will increase excent ricit)' and thus lead to a n increase of bending
mo ments too. T he lime-dependent secondary deformations of R.C. linings such
as inhomogenity, creep, plastification and excentricity of joints and other non-
linear effects will also lead 10 an increase of bending moments of an o rder which
440 DESIGN OF CIRCULA R TUNNEL SECTIONS

should not be overlooked any longer. In the case of relatively thin linings the de-
formation due to axial-thrust should also be considered.
g) Safety considerations
The safety of a tunnel may be judged from several aspects.
~) When will its waterproofness fail ?
(3) When will it fail because of excessive deformations?
y) When will the danger of collapsing set in?
The number of aspects already demonstrates the complexity of the question.
This is however still essentially increased when considering the great variety in
the assumptions to be made in dimensioning and their possible deviations from
actual conditions. Limit conditions can be obtained in several ways, e.g. by the
increase in loading or by the decrease of soil rigidity. These parameters do affect
safety. however not in the same proportion. Tn other words, a 30% smaller rigidity
of the soil is by far not of the same consequence as a 30% higher loading. As a
matter of fact, the possible range of each parameter which is of any influence upon
dimensioning should be considered by a separate factor of safety corresponding
to their importance and to the possible scatter of tbe assumable values. It is but
clear that the calculation cannot be effected on the basis of separated safety factors,
because of their great number. It would be more justified to get on with probability
calculations, during the course of which a probability curve could be plotted from
the scatter of each important parameter and then with the chosen decisive values
the probability of coi ncidence of unfavourable conditions ought to be determined.
I n this latter case the safety values of the parameters should be considered in the
probability calculations with their relative weight.
DUDDEcK is thus advising, that the general safety factor vought to be calcula-
ted as
V 1 . gl + V2 . g2 + V3 . g3 + ... + Vi' gi = V
n
with g, denoting the relative weight of the parameters and thus Lg = I.
i= l

It may be concluded that it is of greater value to dispense with elaborate, lengthy

and tedious dimensioning methods while using strictly assumed loading, rigidity
and embedding parameters, but to use rather approximate dimensioning methods
and repeal the calculation with several combinations of the assumable basic values
within their probable variation range.
Finally, it may be stated that with the advent of electronic computers, the use of
the polygonal method is essentially facilitated and its application may be advised
although for preliminary and quick approximate and repeated calculations the
methods 43.33 - 43.37 may be also advantageously used.

4.34. DESIGN OF TUNNELS WITH DOUBLE LINING

Tunnel linings are often divided into separate rings by the interlying water.
proofing. If a resistant waterproofing is used, it might be beneficial to make use
of the strength of the : waterproofing in the design whenever possible (see also
 DESIGN OF TUNNELS WITH DOUBLE LINING 441

Sections 46.22 and 46.26). ln the case of press ure tunnels and underground gas-
storage tanks subject to inside pressures a certain ·percentage of the load will be
ca rried by a natural second layer develo ped in the surrounding grou nd . Because
most tunnels with double linings are circular, thi s discussion will be limited to
circular rin g secti ons.
The following design methods are based on the theory of elasticity and o n
a number of assumptions, such as elastic ground, el astic pipe and uniforml y
distributed radial pressu res (this last is true in most practica l cases).,·16

43,41. Soviet Specifications (Based on Galerkin's Theory)" "

Aqueducts constructed in solid ground are usuall y lined with concrete o r only
plastered with shotcrete. The radial strain in an elastic, isotropic circular flng
embedded in a homogeneous medium and subject to an inside pressure pis

which ca n be rewritten as
p
u= -k '
where
Ek
k = --:---
r + I'
is called the coefficient of elastic ground resistance in the Soviet Specifications
with Ek and Ilk modulus of elasticity resp. Poisson's ratio of ground. For a ring
with a radius of I m the value of k becomes ko, i.e.

Ek
k o = -"'--- '
I I + I'k
Note that ko depends only on the elastic characteristics of the gro und.
Monolitbic concrete linings embedded in solid gro und and subject to a uniform
radial pressu re p shall have a minimum thickness of

v = rb[(A IT." + P)-!- _

aM - P
I], (4. I 34a)

where r b is the radiu s to the inside face of the concrete lining, abh is the allowable
ten sion in concret e and

,1.1 6 CABELKA, J. and MEN CL, J.: Hydrolechllicke SlOlne ( Hydro lechnicai tunnels), Slovenske
Vydatelstvo Techn. Lit., Bratislava, 1960272.
4. 17 GALERKIN, B. G.: Napryazhennoie sostoianie cil indritseskoi lrub i uprugoi srede
(Stress cond itio ns in cylindrical tubes embedded in an elastic medium), Sbornik LIIPSZ 100.
'"
where £. _ the modulus of elasticity of the concrete
I'. - the Poisson ralio of Ihe concrete.
(Negative I' values indicate thai the full strength of the concrete section cannot
be utilized and the thickness is governed by other structural considerations
(waterproofing) : the th ickness should be not Jess than 6-8 in.)
The tangential stresses in the concrete are:
on the inside face

{~r + A (4. I 34b)

(-'.'. )' - A
on the outside face
' +A

If there is 8
(1

(:: r-
k - P. T '-.'.-"- .
A
(4. i34c)

reinforced shOlcrCIC lining (v, thick) inside the concrete lining

(Fig. 4/99) there are 3 cases to be dis ti nguished according \0 the Soviet Sped.
ficalions:
I. If -0'-,::0',-,':c;
-k. > .::
p a,
where £, _ the modulus of elasticity of the shotcrete
0, - the allowable tensile hoop stress in the shotcrete
t'. V, (concrete thicknesses) and!. (area of reinrorcing steel) can be kept
at a structurally sound minimum because tbe allowable stresses
cannot be utilized completely.

, Ctmcntt Ilfliflg

~.{

FIG. 4/99. Circular double ring 5e(:lion (shOlcrele + concrele) (0) SUbjecl 10 inlerior
pressures; (b) laminaled lunnel lining
 DESIGN OF TUNNELS WITH DOUBLE LI NING 443

0·0 I E, ko 0·01 E,
2. [f --'- > - > - -"-
ut P Uv

then v and/" are governed once again by practical considerations and the thickness
of the shoterete is
p ko 1
v, = 0'92" [ -;; - 0.0 I E,
and sho uld be between 5 a nd 10 cm.
ko 0·01 E,
3. If - > --'-
P <T,
then the thickness of the conc rete lining can be taken at the practical minimum
and the thickness of the shotcrete ring is

v, = 0·92" (L - 0·02 E, 1
<T,
ko (4.135.)

and the area of reinforcement required is

lOOp ko 1 (4.135b)
1st = ', [ U
v
- O'(x)()l Ev .

43.42. Design with Steel Plate Lining (Design after Miihlhofcr)

Both steel lining and concrete ring, with thicknesses of c5 and v, respectively,
may be designed on the basis of equal radial deformations with reference to the
interface. A similar relationship can be established between the concrete ring and
the surrounding ground. The problem of a steel plate lining and a concrete ring
embedded in an elastic medium has been solved by M V >lL>lOFER, ·18 for a variety
of strengths of the component layers (concrete, reinforced concrete, shotcrete and
s teel plate). The effect of cracks in the concrete, which prevent it from working
in tension , has been also investigated.
Assuming an uncracked concrete section, the hoop stresses in the steel lining
a re (Fig. 4/ 1000)
(4. I 36a)
where
E, (j [ Q- 2 m. + I J
V = E• . " (ki _ I) ; + I + 111. '

Q = E• . _1_ .
C '3
m.- mb
I and k ., =
·'2
2

+1.18 M OHLHOH R, L.: Ober die Inansprllc hnahme vo n Drucksto llcnau skleidungen, Ball-
illgell ie llr 1923 8.
... Dt:$1G!<I Of" C . .. CU ..... TUNN[L SECTIONS

and the ra dial compressive stresses a re:

al the interior face (1,. _ - p,
at the exterior face

. ["]"
11,. = -+ lJ V I p.

In addi tion 10 the nOlations used in Fig. 4/ 100,

(j = the thiCKness of the steel plate
E. and Et = the moduli of elasticity for steel and concrelC:, respectively
1111> = the Poisson rat io of the concrete
C = the coefficient of e lastic subgrade reaction.
The hoo p stresses in t he concrete at the face in contact wit h steel are

(q + I) ; - I
ti,. - ~"-~ (4.I36b)
V + I 1.:, Q
(.q - 1) - + ,
2
and at the face in contact wi t h earth

G,t -
,
V
[
+ I k;
I --,'Qe--
Q
(1.::- 1) - + ,
2

, ,
,
, "'
/
X. "- , . ("
. ..... '.
/
,
/

• 'J
-
FlO. 4/ 100. SHe$se$ in the sl«1 plale lining
 DESIGI' OF TUNNELS WITH DOUBLE LINING 44S

where
r.
kl = - - ,
r,
and the radial stresses are
I I
(J, b = - V + I J:: P and CT;b = - --;-;--,-
V + I k, Q p.
(k; - I) 2" + I

Finally the compressive stresses in the surrounding ground are

(J'k = - -;-:----,- ----::--- P ;

V + I k Q
I (kl - I) 2"+ J

Assuming a cracked concrete section the hoop stresses will have to be carried
entirely by the steel lining:
W fl
(J" = W + I {) P (4. 137a)

and the radial stress is CT rv = - p where

W=E, .~[-I . - 1 + _I_ lnk,].

'2 C 'a Eb
These hoop stresses will be many times higher than those shared with the concrete
through composite action.
If a certain amount of tension (hoop stresses) is permissible in the surrounding
rock, this will also make quite a difference, Prestressing the concrete lining by
press ure grouting will also have remarkable effects. In the latter case the hoop
stress in the steel lining is
( I - ), - 6)
Ur v= P " (4.137b)
(J

where 6(%) = the portion of the ·stresses carried by the co ncrete and the rock
),( %) - the external pressure due to prestressing by press ure grouting
expressed as a percentage of the inside pressure p.
c ca n be calculated after K NA PP:" '!

6 = -
([/I;

P E,
-::-----::-;--
r3
- In - + -
Eb
E,
' 2 Ek
R
In - +
'a
l I
_::_ - - - -....,--,- -
IIl k +
m
1 j ,A

where R - the radi'us measured to the borderline between so und and crac ked
rock

4di Proc. InSf. Civ. £ lIg. 1955 July 549.

446 DESIGN OF C IRC ULAR TUNNEL SECTIONS

mk the Poisson number of the rock (usually about 6).

R may be calculated from the following expression by trial and error

where C1 t = the tensile strength of rock.

At first it seems to be ha rd to believe that the surrounding rock could take any
tension worth considering. Because of the substantial prestressing, however,
it becomes obvious that, as a result of geostatic pressures, tensile stresses not
exceeding such prestressing could be carried even by materials having no tensile
strength at all. It has been demonstrated by measuring stresses on actual projects
that most of the hoop stresses were carried by the rock and that tension in the
steel lining remained low even if thin plates were used. Larger diameters and
higher pressures will, of course, increase the stresses in the steel lining as well.
For the steel lining an empty duct subject to external hydrostatic pressu re
represents a more critical condition. In a buckled section, like that illustrated
in Fig. 4/ I00b, even the yield stresses can be reached at point A; for a given spacing
of anchor ties (2 . ,) the critical external hydrostatic pressure (Pk,) can be calcu-
lated from the formula given by DUDAS :'.'0
b'
Pkr = Ukr 2a: 2,2 = (If (4. 138)

for the value of a (half central angle of the buckling length) (cf. Fig. 4f100b) he
finds that
' c-----,

where C1f - the yield stress of the steel

J
a= 6 · P ·'·'" ,
b·E

, - the radius of lining

b - the plate th ickness""

43.43. Design of Tunnels with Laminated Linings

Consider a circular tunnel section composed of rings of different materials and

different thicknesses. Assuming that each ring is uncracked and is supported by
the adjacent one, the stress components for a ring denoted by i and with a radius
, are given as
(a) radial stress

C1 ,= Pi - l - PI 'j
-;;-
2
_ If;
2
, - ,
, ' -':';- (4.139)
'i -
MO JAEGER, c.:
" rj_1

Present Trend in the Design of Pressure Tunnels and Shafts, Proc. /l1sl
Civ. Eng. 1955 March .
Ut AMSTUTZ, A.: Das Einbeulen von Schacht- und Stollengrenzungcn, ScI,w. BZlg. 1960 9
 DESIG N OF TUN NELS WITH DOUBLE LI NING 447

(b) hoop stress

+ PJ - 1 .,- PI (4. 140)

,- 2
'j -
2
'j - 1

(c) longitudinal stress

(4.141)

At the same time, tbe unknown pressures Pj' between the rings, can be deter-
mined from deformation considerations of the contact surfaces. Narrow, uniform
gaps between the rings (aj _ baj ,ai+V - due to shrinkage or waterproofing -
can also be taken into account. For a lining consisting of three layers, such as
those illustrated jn Fig. 4J99b, the equations to be solved are (i - 1 = J, i = 2,
i + I = 3)

-EI ' " , [ (l - 1', - 1',)(Po'u

' " ' + (1 + I'J(Po - p')" "] = 0,
- p",) +
'1 - '0
+ -EI ' " , [ (l - 1', - I',)(p'"
2 " - p",) + (1 + I' ,)(p, - p,) " ' ] ; (4.142)
2 ' 2 - '1

I,., [ ,) , ' "

+ -E , - , (I -1'321'a (p' " - P"3 ) + (1 + !(3)(P, - P3lrJ]; (4.143)
3 '3 - ' 2

-I " ' 3 " [(I - 1'3 - 2JlD(P

'" , " - P3' a) +( 1 + Jl 3)(P, - P3H] = 03 +
£ 3 '5 - , ;

+ _1_ , '3 " [(I - Uk - 2JlD(P3d - Pk'Z) + (1 + !lk)(P3 - Pk),Z] , (4.144)

Ek ' k - '3
In the la st equatio n Pk may be taken as the initial stress (gcostatic pressure) or
as the tensile strength of the rock and ' k may be taken as three times the radius
of the excavated section. Because I'k and Ek are known (physical properties of
the rock material (p, and p, can be determined from Eqs 4.142 to 4. 144 and then
the stresses can be computed for each ring from Eqs 4.139 to 4.141. Experience
has shown that the gaps (marked 0) average around 0·0015 - 0·0040 times the
diameter.
Hoop stresses in a single concrete ring completely supported by rock can be
calculated approximately as

<1 = -Po '1 + '0 - --:0-- - - - - (4.145)

I 2'l - ' 0 Ek 'l + ' 0
+-
E , 2(" - ' 0)
'" Hoop
DUIGS o.

stf'tSSt$
C r~ C Uu.~ TU"'''' Et. IUCYIO":!

Flo. 4/101. HOOp stresses in an

underground au tank
.'" L
"'"
~

•
~
...."'"
~
"'"
~ "'"
) '",.,
..
""
""
,
Stress measurement s carried out in conneclion with a pressure test o n an unde r-
ground gas-storage tank as shown in Fig. 4/101 are used to demonstrate the effect
of gaps on the stresses, particula rl y on those of the innermost ri ng.'·~ As long
as the deformations were smaller than would be required 10 fill the gaps of inac-
cura te: construction, the hoop stresses in the steel lini ng corresponded exactl y
with those of an unsupported cyli nder (section a). Once: the deformations reached
this stage. however, the increa ses in the stresses gradually slowed down in pro-
portion to the support afforded by the surrounding rock. It is interesting to no te
that the maximum Stresses occur at the crown, i.e. at the place most difficult to
be grouted (zone of separation cf. Fig. 4/76); and that the mi nimu m stresses
occur at the springing, obviously because the modulus of elasticity of the rock
is lower horizontally than verticall y. It can be concluded, then, that the distribution
of stresses is nOI uniform throughout the ring section even under unifo rml y
distributed inside radial pressures (cf. Fig. 3/86).
C raCking in the ring lining will a lso c hange the stress pattern. The uncracked
c)(teri or rin gs will be subject to increases in load s as well as to greater inside pres-
sures. T he effect o f the composite action of surroundin g fissu red rock has been
investigated by K OVACSHAZY ,U'lb
. _w KOV,;,C$HA:I!V, F, :
K <5l~U)f: ~ elcpitell &bt&rt6k (Gas Te$erYo in embedded in rock),
t p . IJ KlJ:l. Tud. K{j:I. 1960 IV 4.
..... KOVACSHAZY, F.: Ikrecltnu n& von in Gcs~ ein &ebenelen Druckrolt ren und Be ltlil tcrn,
ArllJ Tu n". Arad. Sri. HUIf(J. 19H XVIII 3-4.
 DUKiN OF TUNS(U W I TH IXlU.Ul LlIooING
'"
The effect of grouting must be considered , however. under gi ... en conditions not
only from the point of ... iew of insulation and of void-filli ng but also that it may
considerably raise the strength properties of the fissured surrounding rock, In
addition, grouting is an effective tool in making precast concrete block linings
watertight and in introducing a statically favourable pretensioning around the
annula r ring.
In order to make the best use of grouting around a eireular pressure tunnel
lined with precast R.C. lining segment L. GEORGI[V3.'l·1 advises the following
procedure.
The possibly large size precast clements having been placed in a lengt h of about
two to three times the 5 m long unit sections, grouting may be started in these
sections. In o rder not 10 obtain prematurely a watertight filling of the back space
between ground and lining the lining segments will be directly placed in a coarse
sand and gravel bed or the back space must be filled with this material previous
to grouting. Subsequently the grouti ng of 5 m long sections witt be proceeded
with. Arter the hardening of the grout. holes will be bored through the grouted
mantle into the rock and a secondary grouting effected with a liquid cement sus-
pension under hIgh pressures up to 17 - 40 aIm (400-600 psi) for the sealing and
solidification of the surrounding fissured rock (Fig. 4/ I02A). In this way a eylindri-
cal solidified and watertight mantle will be established around the tunnel lined
with precast elements offering sufficient resistance against internal pressureswilhout
any loss of exfilirating water. The success of the procedure depends primarily
on the effectivity of secondary grouting, the safe method of which must be possibly
ascertained from previous labonttory and in situ tests.
The dimensioning of the lining elements must be effected by t he known methods
(cr. Sections 4.31-4.33) against the action of rock-pressure, of own weight a nd
of grouting-pressure, while the internal water-pressure will be resisted by a solidi-
fied rock-ring. the thickness of whic h may be determined as follows.

I- 51-
(ff)

FKl, . /t02A. Pro:caSI tinina seaments placed in a soLidified embedmcnl

0.11 GW ... OIH .... L. : Ober die An .."endun& ~on Belonferli&leiLen im Wa~rsloLLenbau. Proc.
Coil/. R. C. "mll~IIi"ill(ls Bralls/Ql:Q, 1970 142.
 or
'" OUlIO " C llt CUlAlt T U !'oISU . su::TtOS'l

Let us assume. that the internal radial water pressure p Heling upon the inlier
tunnel surface will produce a radial contact pressure PI acting between the solidi-
lied and untrea ted zones of the surrounding rock (Fig. 4/ 1028). This unknown
pressure P I ma y be gained from the equality o f the radial displacements of the
solidified and untreated zones.

FIG. 4{I02B. Annmalio ns of G l OllGIEV for the

ca lculation of the double linin,

The radial di splacement of the untreated rock zone may be written

mil + I
.1r'" - -
"'0 '
,,
\I
' " . P I( I + fI) -

(4. 1468)

On the other hand. the radial displacement of the solidified ring in the contact-
ing joint under the action of the press ures p and PI may be expressed as

et' P I ' - P "',+

M I' «(!~ - I) + --".:0,,'-
p, - p 1 (4. 146b)
" I
with the annotations as follows :
Min mo resp. At h "" the derormation modulus, resp. the Poissonos number or the
natural resp. stabilized zone,
r, radius of stabilized l one,
p ratio o f plastic deformability of natu ral rock,
"'/) + I
e- " ; JJo- - .- ;
m, I',• -
"
From the condition, thai the radial displacements .dr;" and .dr; must be equal

- _M' " /) - r, - P I - (1 + P) _ - r, - ["

- , o"
0:
p, _ p + " ,' °
P' _Pj
"j- ';-
e rl
0
Z
.M . I M, I
 DF.sIGN OF TUNNELS WITH DOUBLE LINING 451

we get the unknown contact pressure PI as

2p
P, = - - - - -- - -" ---;--;-- - - (4. I 47a)
(1'1 + I';) . e +2
(I + fJ). M 1
• 1'0 . (e' - I)
Mo
The wall thickness d of the solidiJled rock-ring may be gained from the condi-
tion, that the tangential ~tre~~ at. the inner c ircumference should not surpass the
admissible st ress of the solid ified rock, i.e. the condition must be satisfied that

2(/ IJ'!. + I
< ,
at = - .,
e- - I ' P1 -
e- -., I .p = q
aam
.

from which the ratio

e= '3
-- =
,'!.
J P - 2Pl
p + if. dm t
+ aadm
and
P +
'3 = '2'
J P- 2PI
G!dm

+ t
Gadm

and the requested thickness of the solidified rock-ring

P + q~d'"
d = ' 3 - ' 2= '2 ' [J I
P - 2Pl + Gadm
(4 . 147b)

As seen the deformation moduli of solidified and natural rock and the tensile
strcngt of solidified rock constitute important parameters of the dimensioning
method of precast lining. These va lues may be gained from tests only. The defor-
mation modulus of natural rock may be gained from radi a l jack loading effected
in situ on the freshly excavated rock surface. On the other hand, the deformation
modulus of the solidified rock may be tested in laboratory on core specimens
cut out from bored cylinders. The tensile strength of the solidified rock mass is
tested also on bored core specimens exposed to kentledge loading.

43.44. Design of Laminated Linings for Non-radial (External) Loads

NOD-uniform radial and other loads will result in much more comp lex stress
patterns which are difficult to analyze because of the combination of membrane
action and bending moments. 4.'!.>1
Generally speaking, external loads a re not uniformly distributed and thus are
bound to develop bending moments. It is customary to design the ring th a t is
constructed first (usually the exterior one) to carry a certain part of the load by
itself and then to consider the support afforded by the first ring in the design of
the subsequent one, as di scussed in Section 43 .3 1, also assuming a certain gap.

U~ OW-KiA-WANG: Th eo retica l Analysis of Perforated Shear Webs, J . Appl. Mech.

1946 A 77- 84.
452 DESIGN OF C IR CULAR T UNNE L S ECTIONS

With a double lining the loads cou ld also be distributed directly between the two
rings, at least approximately. The hoop forces may be distributed in proportion
to the cross-section areas and the bending moments could be distributed in pro-
portion to the rigidities ; the resulting loads will cause compatible deformation s.
As an example, the author considered a circular tunnel section with double
lining, subject to uniformly distributed loads, p, at top and boltom. Each ring is
ass umed to ca rry a certa in part of the total load and these will a lso be assumed
to be distributed uniformly and denoted by PI and p" respecti vely. The radi i
(measured to the centre cfeach ring), thicknesses, moduli ofeiasticity and moments
of inertia wiJI be denoted accordingly by flo 1' 2' VI, V 2 , EJ, £2 and J ], J 2 • respec-
tively (Fig. 4/ 103). From the above assumptions it follow s that
P2 + PI. = p. (4. I48a)
The tota l load has to be divided in such a manner as to cause equal deformations
at the ends of the horizo ntal diameter as well as at the ends of the vertical diam-
eter. Now

12£J,
and if both rings are of the same material
r;
PI = P2 - , ~
JI
= a. P2
rl J;!.
substituting into the equation of equilibrium

hence
P p'
P, = -;l--'-
+-~- and PI = -;-'- - (4.1 4Sb)
I +~

With the loads determined the moments are

, .,
, p,....',
PI ri pari ~ P'!. '2 -- -cc'-~-c-
MI - ~ 4 - - 4( 1 + a) and M 'J -
- 4 4( 1 +~) '

and the stresses due to the eccentric loads are:

for the inner ring
pru 1
= -- +
(I + ~)Vl

parf6 pru] ( 3r 1 1
+ 4-( I-+-~-v-n - -:-( :"'+---'c
~ )' -"-1 I + 2v I :
'I " "

for the ou ter ring

pr,
-,,--'--'-,--- (I + -3r.,- 1. (4. 149a)
(I + all', 2v,
 " -,•
" 0

~
~

••
~

•0
••
~ ~ -,
•
•
...
~ ""~
-,;;
0

++,~~
"
,• " ,
~
•
,- . "•
'-~. ~
,- i,
< \..-"
~

~
-,
~

:;
~

~ ~

~
~-
2
~
;;
-•
-~
,
E

•<••
-
'£
~
c

~
"£
~ l.l
41'

For an initial gap Q between [he ['01'0 rings (due to waterproofing, unfilled voids,
inaccuracy of construction) the equation of deformations becomes
•
.1~=d l +a

and similarly to th e a ixlve d erivati on

~(Pi-+'c':q)cc
' - q, p+q
( 4 . I 4 9b)
P, - I + <:I P·-l+1'J.
where
12t:J
q .. I O.

T he bending moments are

'.
,\I , _ q, ~
4

,\/ , _ (p + q)r; (4 .150)

• 4(1+2)

lInu lhe stresses call be calcu b:lIed in a simib r manne r (N L= P"I a nd ""2 - P.,.'-l)'
Fig. 4/ 10) indicates the load percentages on the oute r ring as a funct io n o f Ih""
radius li nd the ralio of wa H t hick nesses. It is nOle<! that the ra diUS ha s lill ie cfTl-"C1
where the wall thickness is the basic 0·20 m. On the other hand. a relative inc rease
in "t increases Pi rathe r sharply a l first and moderately thereafter. There is hu rd ly
/" C
an) lood al all 011 the inne r ring for "allies Of _ I exceeding J. WlIh t < I.
/", t·,
how~\'C~ r.
the loads carried by the outer ring will gradually disappear. Because
of the lapse of lime that is required fo r euTlh pressures to dc\'clop. the d ia-
gram shou ld a lso gh'e an indlcatioll of th e re lief to the outer ring [hut will be
offered by t he inner ri ng after its completion.

4.4 DE.''iIGN OF C ULVERTS ANO CONDUITS

Somewhat different methods hll~e been developed in the design of culVe rts
lind conduits, alt hough theo retically the methods already descrihcd for u nd er-
ground structures wQuld be applicable. The main differences appear as a res u lt
of the differenl'eS io shu P<!' a nd construction of these 5trllClu re.~, from the diffe re n t
longitudi nuland translierse loads and also from the greater influe nce of bed d in g
cond itions. AsHley are closer 10 the grou nd su rface, live loads seem to hu,e un
increased etT~t. These d iffe rences are p.1 rt icularly Importan t in the desig n of
culverts, where the large number of fa ilu res has resu'led in an exte nslw resea rc h
programme ove r the last two deca d es.
Th e infl ue nce of laleral eart h su p port and the fl exi b ility of the Slruclu n:: on
Stress distri bution in tu nnels has alrea dy been dea lt wit h. In the case of c ul verts
 DESIGN or CIII: CULA II: CULHII:TS

and cond uits, in addition to these, bedding conditions and the manner in wh ic h
the fill o r backfill IS placed also play an Lmportan t role. II has bcc: n demonstrated
by M EYERHOP that a tho ro ugh ly compacted an d ap propriatc ly chosen backfill
ma y perform a com posile aClion with II flexi ble steel culvC"rt. The la tt er acts.
in fact. merely as a reinforcement for the forme r.

4.·-11 . DEStG"'II OF C IRCU LAR CL LVt: RTS

,U .II . Ikh.'rmiDlltion of Vtrtical Ear tb Pre!isurt US

Accordi ng to Y .... ItQSH£NKO, ue underground cond uits should be reg.uded a s

structures work ing together wi th th e mass of soil su rround ing it, and eac h eleme nt
of th ese conduits should be designed in such a way that the fo rces acting on th e
struclUrc be kept 10 3 minimum. To ach;eve this, the sections should be Hexiblc.
the head"alls shou ld be free from the pressures of the embankment, the beddi ng
~h ou ld be flexible rather than rigid and, further, the deformati ons and ~pa ration
3t the Joi nts should remain within tolerable limits.
Y AkOSHENKO desc ribes the internc lion o f the cul\'cn a nd the emban kment in t he
foll owing way : A s a result of the ea rth pressu re on the culvert its crown settles
by a n amount of - Ah due partly to Ihe flexural deflection of the SCClion a nd
partly to the co mpre s~i on of th e supporting soit. Consequen tl y, the eanh colum n
above the culvert att em ptS to settle to an eq ual degree. Howeyer, the movemen t
of the earth column IS opposed by the frictional ful"Ces crealed bct~cen the i tA-
tlunary and moving earth masses. Thus, part of the weight of the earth column
above the culven will be transmi ued 10 th e adjacent soil, and thc prl:"Ssure on
the culvcrt will be less thun the va lue of thc geustatie pressure of pH . 011 the
other ha nd . it is also possible thilt th e movement of the culvert is I!;ss than the
settlement of the adja!;"ent soil. resulting in II rela tive upward movemellt + dll
of the cuhert. In this ease exactly the opposite will occur ( Fig. 4/1 04 b). Owing
to the downward movcmen t of the adjacent wi l mass addi tion al louds will be
transm iued by (riclioll to the carth colum n above the structure. lind the resulti n g
press ure will be higher thun the geosta tic one.
T he frictional fortx'S would only be dis tri bu ted along the full height H above
th e culve rt, if the carth column above the cu he rt "ere incompressi ble. However,
as it settles Itself. frktio nal forces will develo p only a long that part of Ihe height
a long which differe ntia l mO\'ementll takc place. This height will be equal to the
height of tha t earth !;"olumn which will unde rgo a tota l settlenll:n t of All. If we

. ... RMUV CU. IlKE. N. W.: , 'he I..,,,js imposed on condui lS laid onder cmbankmenls or
vaJley fills, Pro~. /lrst. Cit·. Eng . 1907 Jan. 63 .
. ... YAllosOlr " Ko, Y. A .. ANOII.Uv. O . v . and PIlOKOI'OVA. A . G . V",kproplUkI, I.,,/n· {HId
'''rf~:noJo.odmmi ",,,up/om/ (Cu l,..,.r ~ for d ischarac of .... !et" untkr rail .... y fmblln~mcnl $).
Tranzheldorizdur. Mo-scow 19S2.
4>6 D!S!G~ OF CULVERTS AND CDSDUIT'S

, FIG. 41104. Force~ acting on a

culvert
,
•
,,
,
,.

.t, 5
!Jr/g;~1 paM/Dr tJf
;a" of "".iI',~~,

call this he ight H,. then there will be u zone a bove iI, Ite depth of which is equal
to H< wilhin which no relu!;"", mo~en!en l between the soil panicles and hence
no redistribution of the stresses dlle to friction occurs. This plane, drawn at a
depth of He> is called the plane of equivalent settlement.
From what has been said above, it is obvious that if the culverts are rigid ly
construCled (stone. concrete, cast-iron, etc.) or are supported on rigid foundatio n s,
the senlement of the adjacen t soil masses is likely 10 be larger tlnd conseq uently
the earth pressure on the culvert will also increase. On the other hand, wit h
flexible structures and bases the eanh pressure will be less than the geos ta l ic
pressure, Expe ri ments cond ucted in the Soviet Union also indicated that the
pressures will reach their fi nal value in about 4--5 n:onths. As the deflect ion
at the crown is dependent on the degree of lateral support, PF.o: U7 suggests th at
conduits th ro ugh embankments should be constructed as shown in Fig. 4/ 105.

I. First the layer A 1 is plal:cd, I:onsistinl! of a uniformly compacted san dy

gravel, wh il:h also serves as a d rain.
2. Next, the I:ond uit is I:onstruct~-d.
3. Then II thoroughly wmpllded la)'er (B) is placed on both sides of the con-
duit, for which p urpose a dayey sandy soH is the most suitable.

' ..
'

..
D ~,,,,Ml.;d urI"
',
M:'

Fro. 4.'lO~.The COIlSln.tClion of

~mballkmcnls around culvcn~ (after PE{;K)

• " TSCHFROT ,"RIOFF, G . P. : S"I/ MerhaniCfi and F(Ju",iari(J~ SfruCf"rts. MeG ra w H itl,
19~1 ~31.
 DBKl~ or CI RCULAR CUL\,lkTS

4. The material placed on both sides and designated by A ~ should be of the

same ma teria l as the emban kment proper lind also cOlllpllcted to the Mme
degree.
S. A loosely compllcted layer (C) is placed d irectly abo~e the crown.
6. Onl)' after these procedures should the embankment be constructed.
Y AROS IIDoIKO determines the magnitudc of the pressure increment or decrement
on the co ndui t by the fo llowing reasoning;

Fi ... l. he as..<Un\CS Illal the friclional forces are direclly propor!,nnal to the act iv< unh
pressure. Accordinil)'. the frietional for1% at a dept h: is equal 10
;:: ).. tan ~.

where ).._ the c~fflcienl of RClive unh pr ...,urc

.:. _ the angle of internal frict ion.
Wilh the ~oovt D." umption, the unh pressure on a rigid coody,! carl be obtained in the
follO",inll manner (Fil. 4/ 1(6):
(a) if II . "" 0 (sec Fil!.. 4,'106a)
G= i' HB+ 25.

where
G _ i'IIB + ), H'i.. tan ~, (4.1$1)

G -""t il' [ -" - + -H.'

R B·
1
... Ian" .
On introducing the notation

C' - T" [ t + 8).'

H tan 4> • 1 (4.152)

G _ ),B' C,;
(b) if H , > 0 I$CC Fil!.. 4/ I06b)

G=""t H B + 2S•
, If . 11.
S =), II"o!an"' T-), H,,,- tlln 4r 2 '

, ,
I
,.,
,

1'''.1. 41106. Fur~"t!S aClins On a

risid (ulvcrt ~tructure
45. OEStG" Of CU LV£RTS AND CONDUITS

H
G=yB' [ 8+ 8' 1..1811';'- B'
H' . H; . 1
~. Ian ¢"

and if

O[
C;=8 1+ ;.• 1,," (H H'JJ '
¢ -8 - -8H

G_ C;yH'. (4. 153)

In .tltlalt.. r case the value of H , has 10 bcdetcrmined separately. lis ~alueoblaincd b y

fin d ing the depth of t he loil ~lralUm H" the senlcmc m of ..... heh is a result of the ad ditional
load., wi II "'IUallhe dilferent ia I ,..,ulemen t bel"""" the cotlduil and Ihe em bank men! mea s u red
ai''''' crown le\.1.
LeI us denote this d ifferential !enlcment by Ih.
Tbe comple!ision o f a soil particle al " depth 'Z ,~ a, follo ..... s (Fi&. 4/ 107):
T I,,, load On un dOlrent ,I. from the friclional forcc~ is:

p = )!zl. tan .J, 2 " 2;

the uni l compression

P
dh =
£8 d z .

where E is the modulus of d"'ti~;IY "r Ih e soil.

Now
tan 4>1' z'
,,= :~;
;'-ZI•• H,
dh=2
2EB
dz; ----
, H

,,).. tan ~z' Ht

dh = 2
2£8H ".
" )I;'. tan ¢ H. r i,. Ian ¢ H, H '
( 4.1.54)
Llh - Jdh = )EN
EB H
o
imroduciOIl (he term
Ah3EB
ri.• l~n 4>

from where

To determine the ~alu" of H o one has 10 \(00'" the differential so::nlemcnt ~I" octween the
emban kment and the clll ~ert at the elevation o f (he crown.
 I)~SIGN OF CIRCULAR CULVERTS '59
F,G. 4/107. The calculation of the •
planc of cQuivalent "'Hement -,-T-r,---,----

~fiL--- I====f

Llir Can be exples.",d (<.ee hH. 4/ 101b) '"

~lh = .til. + ~ II - 10 - 10.

wilere J r = th~ ",ttltlTlent of the embankment
II = the s<:lllcment of the .oil below the tlnban.ment
d D' -= Ihe dcHection of tile culvert .
_W _ the sett lemenl of Ihe sOIl below the cut,"crl.
Introducing the 'alu~

0"=
, I/'
11r=~ I/'.

"E ,II) ,

where aD ... the projection o f the culvert above Ihe nalural grollnd.
,,= )i H .
,H
dl ' = __ .D.
E

. Ih _ as
,
)i IlD
(4 .155)
."bsl ituting th i, inlo the eQual ion for "

, __ _C 38 M/
"C'"'O'CD" , _ ar )' H B JED _as (4.1S6)
;",)' tan if> EA,}, tan q, I.• tan ",' .
I" case of circul a r ""ction~

~ = as
", tan q,
In this expression only J is unknown. for Which the foltowinK empirical values al"<' uscd;
Rock foundation and rigid .tructure s = 1'0
Rigid strUCIu rc. founded on den"" soil J'"' 0'7
Rig id structures founded on elastic soil s = 0'3
f1c ~ ible ~nuct " rc on any I~pe of soil ,~ 0
'60 OEllGN Of CULVlRTS U;D CON DunS

Ii
0

i'\
" V
1

,- j'\ 1-5
V
w
1\ V
~!4 Y

;
I;
I
r
, ,
"1
~

, • s.,
;,
FIG . 4/108. Graphi,al SolUlion of the plane of equivalent s<:ulcmcm (after Y",aQSH£I"KO);
I/> _ 30· and Ian q, . '-. = (10 192

K nowin~ " the va lu es of H , . H , and C; can now be determined. A graphical solution for
the values of rJ.J as a fun.:tion of H./D "'as worked oul by YARO'''£NKO and is given in Fig.
4/l08. In this :;ollil ion ..p was assume<! !O be e4 U<l) 10 30 ' (Ian 4>}.• = 0 '192).

The fmal expression for

_j'Ii
G = , If'
H
l - )"tanc/>
I" "'1]1
B - H~ . (4.157)

To determine the additional loads o n culvens, a simplified and approxi mate

Solulion has been worked out by KLEll'>u~

+ t.
+~ J.
H
(4. 158a )
"
where 12 represents the deplh, mea~ured from the crown elevati on of the ~ulvert,
to which the ri gidity and thus the com pressibil ity of the soil strata below thl;:
emhankment and th e cul vert is eq ual and therefore no differential movement
between the soil masses will take place. The value of H~ can be obtai ned by a
reduction of the upfill hei ght H from l'o KRUVSZ KIY's equation :

H• = HJE,E Y. - (4.158b)
.y,
, .,. cr. Yaroshcnko', work. qllolcd above.
 DESKi" OF CUI,CU ..... R CtIL\'llI.TS 461

~ In . 4/109. A.,.umptions or PRlI!KA

where E, and E~ is the modulus of compressibility and y, and 1. the unit weight
of the soil under the embankment and the culvert. respectively.
A somewhat similar assumption was made by r'RUSKA, '.:It when considering
lhe settlement difference in Ihe embankment, resp. in the terrain leycl (A H) after
baekfill as a measure of the add it ional load acting upon the extrados of the cui·
VC r! (Fig, 4,1(9). Assumi ng a conSlant compression modulus and using the known
equations of elaslicity for stress propagation in Ihe semi infini te cont inuum he
concludes Ihal
I Y·lI·b( H ~-Jf1)
P= q t Pl - }', H+ 2 - - - ...!.,-"Cr"r"""--'-'"-;,"'C+
;:-H""- (4.159)
H .arccotg -, + b· ln

is the total maximum yc rtical pressure acting upon Ihe eXlrados of the culyer!,
"
In Ihis ex press ion the second me mbt:r Pl is expressing the addilional load -
Ihe other annotatiou being indicated in the figure. This expression holds for all
ca!'es, when the thickne~s of Ihe upfill is al least four limes the height of the cul-
\'ert (/l ii: 4D).
It may be noted. Iha1 GU[RIN has suggested on the basis of practical observa-
Ilons that the maxinll' m add itional load may not uceed 50 % of the geos tlltic
value.
Thc additional weight decreases. however. when the culyen is un derlain not by
II rigid bUI by lin also compressible sublayer. Should the addilional weight be
fou nd e.\cessiYe, il may be we ll reduced, when some - ve ry dcnsely compacted -
laycr is backfilled at both sides, which would practically not perform bigger de-
formalions, than the culvert itself.
The loading conditions will be more favourable If Ihe culvert is not fou nded
011 the surface of the nalUral soil bllt is laid In a trern:h eut into the natural ground,
There will be no additional loads transferred to thc culvert from the weigh t of
Ihe embankment. as the compressibili ly of the natural soil will undoubtedly be
I,. PM uiKA, M. L. : Pren ion exercec par un remblal ~p.iJ Jur une conduill! riltidt. Ann.
In.\!. Tl'rh. H. T. P. 1963 n.ars·avril.
46' DLSIG" OF CULVERTS AND CO~DUITS

• smaJler than that of the embankment. There-

, -r•
]I j ~~/IIJ<f J!
fore not only the IO!-=ight of the embankmen t,
but also part of its Ol'>'n weight will be ca rried
"1-- j""
~
MJd~
____ --t
Iby the trench walls. In facl, the case will be
similar to the loadin~ conditions fo r sewers and
conduits. If there would be no frict ion and/o r
settlement. the weigh t of lhe backfill would be
,- ,,. _ fully carried by the conduit. However, owing 10
FlO. 4/ 110. ro.-cs I",io& on a the settlement of the backfill. fric tionlll forcl:s
conduit laid in a tr~nch will develop between the trench walls lind the
backfiJl, and part of the weight of the bucklin
will be transferred 10 the soils adj:lcenl to the trench . The loading conditions
on conduits can be expressed as follows:
The equilibrium of a dh thick layer assumes that

G+dG+2)'a ~ tanodh=G+1Bdh (4.160)

or that the upward and the downward acting for~e$ arc equal to each other
(Fig. 4/ 110).
By solving this differen tial equation we obtain
I _ , _ <H 2.1.. tan 0
y B' -."cc-'-c~ , with" _
~'a tan u 8

G
If tan 0 = tauq, and p ... -
B

then

which is similar to Tt.RZAG Hl"s expression fOf rock

- , . pre~SUTe .

_ :;"<an4- }{

2;,u tanti>
If now

then p = "lDC" and

(4 .16 Iu)

The value of C" does not increase beyond the point where the height is equal to,
o r greater than, nine times the wi dth (sec Table 4!VII), In three-dimensional
analysis the ~alue of C" femains practically the same if the rati o of height t o
depth e;o;ceeds 3·0. 8 is alwa)'s the width of the trcm;:h measured at crown eleva-
tion and increases the ading pressure at a progressi~e rate.
 m :SIGN or CIRCULA R CUL~[RTS 463
T ABU 4 { V IJ

Valu .. of C.

,,- "' 11_. ro.0 ....• ..,"'"1.........t..o.

_
",h~
.... fill 11)0.
No.
Ih1loor"" .. h
.',,,,,, -.I
";d. h ."~ woou/.J.-
I)ry eo",
,r""ular IG...

" 0-'6'
"
w .. ",",,,,
.,~
.,
111ft.. , Ia~
0 -00
"" .. <la,
V · 0-1(10

......" ...,
.Ion)
o In ..

., "
, ,-,
0-455 0-46 ' 0-474

, ,-,
•• 30
1- 140
0-852
1- 183 1-20~
0-861
1-242
0-8911
1-278
4
,
,. 1-395 1-464 ,-,.. 1-560 1-618
,-, '-006 1-702 1-764 1-8)8 1-923
,-.,.
..,-,
6 J-' 1-780 1-978 2-0S3 2-1 !.I6
1 J-' 1-923 2-013 2-161 2-298 2- 44 1

•
9 ,-,
2-G41
2-136
2-221
2-)44
2-329
2-469
2'-487
HSO
2-660
2-856

..
2-798
" ,-,
2-219 2'448 2-590
2-69)
3'032
J-I90
" N86 2-H7 2-926

"n 6-'
2-340
2-386
H I2
2-675
2'782
2-859
HilS
)- 117
J.3J 1
)- 458
1. 2-423 2-129 2-nS J-221
" )-51 '

" ,.
1-' 2-454 2-775 2-982 J-m )-613

" ,-,
2-479
,-"'"
2-8 14 ]-031
)-07)
)-)66 )-764
)-S4 5
" 2-847 H24

" 9. 2-5111 2-875 3-109 )-.76 )-918

" 9-' 2-532 2-898 3-14 1 H!I H8)

'" ". 2-543

,.,.
20918 3- 167 ]-560 4-04 2

"22 ".
".
2-'61
2-573 2-972
J-210
)-242
3-626
3-676
4-1 4 1
4-221
23 n. 2-58 ' 2-989 3-266 ]-715 4-28S

" ". 2-587 '"'>00 3-283 3-745 4-336

" ". 2'59 1 J-009 3-296 J-768 4-378

" above 2-599 )-030 3-333 3-84 6 4-S4S

J.. - tu' ('" - .Il' ~ .h..... .r. 111& UII. or ...... naI f,,,,-- f _ ta~ • 10 b. cooflic"o, uf r.",tioD_

A si m ilar expressio n was deri ~cd b)' VOCU.MY ",,-hieh sounds

P - 'I-
Ir -
Sr
86
cot tfJ+
8~-y I _ e- U ...... ", (4 _16 I b)
4, .I.. - ta ntfJ
.... Df.SKl" Of CULV[ RTS ""0 COloDUITS

wifh

,,' II' _ 11- -B, -

, B -, _B'_ cot iJ " .30

44. 12. nCiermination or T rafHt Loads

T he loads on the conduits from Ihe traftic on the surface or from unifo rml y
d istributed surcharge loads can be determined in the folJoy,.ing mllnncr:
For a un ifo rmly distribUled load according to TERZA(iHl (see Se(.'tion 32.2 14):

G= l'-: ..... ~. ~ qR _ C, qB (4. 162)

and for concenlrrt led loads:
(i ... C; 1't.:,
where k is a dynamic factor, the va lue of which is dependent on H. If H ... 0 then
k - 1'5, and if HIB> 1-5 I;: = 1·0. C; is obtained from BOUSSlN!:sQ'S equatio n
and can plso be ohtailled from Table 4/VIlI.

TABl.-E 4, VIII

..r (".

1~"'·,,<,,"'
'1.1....

"
" ... , I/>am '0> w.. d.),

,.,.,
0<> '<)0 '<)0 ,-00
~" ~81
~,
~"
~" ~6J
~"
0<, ~61
~"
2. 0-35 0'''' ~"

..,.
2·j 0·)2
). ""
(}<2"i
~"
0-35

~"
."
.. .n
0012
~"

8.
0<>7

"'"
0'02
...
01'

00) ....
008

10. 0.' 0'01 0","

.... VOfLIMV: l:inJl'f:bc:lICI~ Kohre. /I1ill. I~sl . Hllumll!k l:~rH Zurich 1~J7
••
 DESIGN OF CIRCULA R CULVERTS 465

The following expression is given by the Soviet building code to determine the
pressure from a concentrated surface load on a conduit constructed in an em bank-
ment:
K
q", = .-..,cc-.,-..
0·5H + 1·25 '
where K = the concentrated load (t)
H ... the depth o f cover (m).

44. 13. Effect of the Bedding

The Soviet experiments mentioned above indicated Ihat the radial and tangen-
tial forces acti ng on the condui t depend on the fle~ibi1ity of the conduit, the
physical properties of the soil and, to a large extent, on the method and degree
of compaction of the till. If. for instance. the pipe is laid directly on the ground
wi thout shaping the ground to the form of the underside of the pipe. the pressu re
d istribution on the pipe will be non-uniform and also unfavourable. With cin:ulur
sectiom, for example, at the "one of ~o ntac t between the conduit and the fo unda _
lion material the radial forces wi ll be "eTO and the force s in the vertical axis wi ll
be significa ntly increased. Whert':as the stress distribution for conduits with cradles
will be similar to the case of strip foot ings, Le. the maximum val ues will be obser ved
unde r the edges.
The carrying capacity of a pipe increases with the width over which the base
pressures are distri buted and also the mo re uniform these pressures are. The
MSZ 15300 ( Hungarian Building Code) shows in its Appendix how the ca rry-
ing capadty of a circula r or egg-shaped pipe section increases under varhble
tcdd ing conditions compared with its knife-edge beari ng test strength (e.g. for
180" embedment it could increase to 2·5 times of its lo .... est value).
The ratio of the horizontal to vertical pressure ~ = ~ ranges between 0·2
q
and 0·5 depending on the method of construction, the properties of the soil a nd
the degree of compaction of the backfill. and l could be as high as 1·0 for flexible
pipes. However, this wi ll only be reached in the final ~tage, afte r all vertical and
horizontal deformations have already taken place. Tberefore fo r nexible pipes.
it is not the fina l loading condition which is the most ~riti~ul but the one imme-
diately afte r construction, which eventually may l~lld to an overdue vertica l
denection or buckling of the pipe. The accompanying increase of its horizontal
dialf:eter and the associated increase of horizontal pressure constitute the la teral
~u pporl counteracting these da ngers.
According to V " "IOSHENKO. the ho ri zontal earth resistance increases li nea rl y
with the im:rcasi ng size of the horizontal pipe d iameter (Fig. 4/ 11Ia) :
(4.163)
where C, the coefficient of subgrade reaction, is a functi on of the soil type.
466 [)ESIGN Of CI RCULA R col'oIOuns

FIG. 4,1 111 ,Pressures a~li ng on a

conduit
(II) according to YA ROS II EN KO,
(b) 30C(1rding 10 H AROSV

The change in thc diameter size is

.1 do = 0-18 -"'('
' ",,~-'1)
EJ
hy substitu ti on
e=A ,+C· Q·18 - ( I - ).1.
a EJ '
",
;. =
,
and Sillce
q
C
A. + £J O-IS,'
(4 . 164)
C
+ - - 0'18r 1
EJ

The resulting pressu re distri bution is shown in Fig. 4/1 [l a, an d values for C
an d lu are given on page 469. As fo r th e pres~ure distribu ti on arou nd tunnels
H AROSY'·~1 suggests the loading scheme shown in Fig. 4/l11h which, according
to him. results in moments similar to tho se: caused by the partial distri butio n of
the vertical pressure. Ta king into consideration the void An left between thc lining
and the soil aft er co nMmclion, he arrives at the following equation:

when:

where C is the coefficient of suhgrade reaction.

For rigid pipes it is suggested th at either RANKtM'S horizon ta. l ea rth pressure
coefficient .t g or the relationship defi ned by Poisson's ratio -,,-'"'-cc = i. be used,
I'
neglecting the deformation of the pipe.

,." 1" ~IIO/lY, T. : BetooaJallutak tuvczese (Desillo of concre:c tunnels). UTA 0111. kUz/f'-
",b,y~k 19S8 XX III .
 DESIGN or CIII.CUI.A R CULVERTS 467

44.14. Cross-s«tion.1 1>esiga of Cul'-erl 5«tioltS

4</>'
If we accept that the value of 'I around the lube varies as follows: '10- q(1 - ..1.)--::T
then for both the flexible a nd rigid sections the following etluations can "be
written. For the moment a nd lI:lOial compression at the crown :
AI _j 2 - - O'144r ~q( I - ).),

The elongation of the ho ri7onlal diame te r

,.. q(1 - ;.)
.dd, = - .ddf = 0·18
£/
from which the ap proximate value of the bending stresses on the basis of the
equation M. 12 - O'ISr!q( 1 - ~). would be
- ;.) (4. 165}

(with K denoting the section modulus) to which the compressi"e stresses from the
a.\ial load must be added.

(1". -
N
F ..
"I' --;(1 - A)l
,
A .. (4.166)

From the alread y mentioned paper by H).lIosy and arxordinjJ 10 the appro~imatcly
equivalem pressure distribution d iagra m shown m fig. 4/ 1I I b, the stresses in any
section to the left of the point of discontinuity 'I, 'At obtain

M I - [( 2~o - IJ + cosifJn COSifJ] q( I _ ..1.),1,

,vI - ( I - cos4J~ cosifJ) q(1 - A}r + ..1.q"

T, _ 00510 sin t/J q(1 - ..1.)r,

and to the right of the pomt of discontinuit y

M1I .. r2: 0 - SinifJ@illifJ]q(1 - ;.)r~,

Nil - sin1osin¢q(1 - ;.)r+ ..1.q"

Til -= sin t/J" cos 1q (I - ).) r.

%. DESlG~ OF CU L VERTS AND COr>DUITS

The above: statemen ts and prac tica l experiments led to the construction of
articulated culverts in the Soviet Un ion. Hin ges were inserted o n the sections
al fouT poi nts, i.e. at th e crown , the inve rt and the springings, hy reduci ng th e
cross-sectional area at these locations. (Fi g. 4j I12 ). Experiments have show n
th aI the defonnation of the hinged sections took place more rap id ly than tha t of
continuous rig id sections. This was true only to a certain point beyond which a
fu n her increase of the load led to a cessation of the deforma tion of the hinged

t
F IG. 4/ 112. Section or a conduit
arlieulalcd by plastic hinges

soclions, while rigid sections showed a con ti nuous deformation. so that the
ultimate load on the Ikxihk stcti on ~ was twice as large as that on thc rigid
sec tion~ of the same dimensions a nd cross-seclion. The reason for th is was that
fro m the very negi nn ing the late ral sup port for the hinged sections was large r
than that for the rigid ones and Ihe value of A. increased from Ihe initial value of
0·18 to almost uni ty. On the other han d, the va lue of J. was nearly equal to 0 for
rigid sectio ns, and increased only later when, as a result of the o ... crstres~ing,
plastic hinges dcveloped at thc crown, the invcrt a nd the springings.
From this it follows that whenever the deile<:tion of rigid Sl:(;tions is sma ll
(or before plastic hinges can develop), the passive earth rcsistance is small. and
the tube dO(:s not obta in sufficient lateral su ppo rt to !;ounteract deformation due
to vertil:al loads, resulting in considerable bendi ng moments. whereas in the
hinged tubes plasti!; hi nges arc present and a!;ti ng from the very beginning, and
secure ade4uale lateral sup port and redUL"C the mome nts in the sC\:lion. When de-
signi ng hinged sections, not only th e stresses but also the deflections of the struc-
ture have 10 be I:h"'""I: ked. The limiting load againsl bu.kling was given by LEVI as :

(4. 167)
 Dt'.!iIGN or CUICUU.I CUI."EIU

At the hinges the Stresses in the reinfof'(.'ement should be: at the yie ld point
!lI,d the co ncrete secti on shou ld be so proportioned that it ca n safely carry the
lixia l loads. The design could be ca rri ed ou t by the followillg steps:
(1) At the location of the plastic hinges, the cross-sectional area sho uld be
large enough \0 transfer the normal forces lind, in additi on. the section mod ulus
should he able to pro\ride II safet y faclor of 1·S against bending stresses. i.e.
I·S AI,,,, ... <:: K,f, where!. is the anticipated yield stress of steel.
(2) One should in \resti8ll te ... hether the reinforcement is sufficient to withstan d
the moments ... hieh could be crea ted in the hin ges:

.M llm - KJ,.
(3) The amoun t of the de formati on should be checked by the equation dd ..
q(). - ).•) ~ .
- C lor which the values of ,t. and Care tabu la tcd below and ,t is
take n equal to its maxim um value. 0.9.

C (t-,<:",')

Sand. san dy day

Cla yey sand

COmr>;lCI

dense
O'J~

~"
0-;0
..."
ptast ie
Miff ~"
"'-I
Cla y plast ic
hard
~"
~"
"
,-.
The deformati on. as u re sult orthe plastic hinge. will be:

... here u
-- the length of the pseudo-hinge in em
~

£" th e reduced modulus of elasticity of the ero55-scction

J"
E~J~
- the mOlltent of inertia of the cross·section
the longi tudinal rigidity of the pipe sectio n at the plulle of the
hin ges.
This deformati on should not exeeed 1/ 100 of the tube diameter.

44.15. I..ongitudlaal Design or Cuh"erls

Culverts a le structures which are likel y to undergo dille ren tial settlements as
8 re sult of the ~a ri ah l e loads acting on the structure aild of the non -uniformity
fro m stress sllperpn~it i on hrought about in the underl ying strata.
470 Dt:SIG:- OF CULVUlS Ai'oD COl'o'OUITS

To avoid the de\'e!opmenl of fissures a nd frac·

j, lu res, II IS customary 10 construct long culverts
from separate li nd short unilS. either precast
or Cllst in plllcc. The funct ional purpose of the
culvcr! is th en secured by providing Sirong an d
watertig ht join ts. As a res ult of t he different ia l
\ settlements lhe cui lien tr ies to lake the shape o f
,, a trough, thereby ca usi ng compressive st resses
, III the lO p li nd tension al the bollom,
Following TSCIl EBOTARIQFF'S suggest ions Ul
and assum ing ( Fig. 4/ 11 3) thaI the ra di us o f
curvatu re of the longitudinal axis is R Ihe re-
sul ting moment according 10 NAVfflt'S h)'po-
no . 4/ 11 J. SimplifH:d rMlOOd for
tht sis is
Ihe tongilud ;BII' design or £J
cutvcrt1l (T'lrll FIIOT," ' OFr) M=
R
and
"'111 tIn
a - 2) - 2R
if R _ L'
~ where j is the maximum deflection al Ihe cenlre, then (J -
8.
1:;)11 .II . h' • •
- ~ 4. AssumIng that 11K: !:1Iet.: tl\'1: mner leve r arm is equal 10 2/3 of the
L-
diame ter (/1/)
£J 2
/II = - R - , ni H
from where
EJ 12EJ-d
/I ... -
Rill ... ""ii-::-'c
Lim
is the tensile force on which the lo nl!ilU d inal des ign of the sect ion should be b.1sed.
RL" UULIC C)\ pTesse~ the longit udina l tensile foret: as the sliding resistance aroused
by the weight of the overbu rden IIcting liS II normal foret:

where " the height of the embankment above the tube

B the WIdth of the culvert
)' _ the unit weight of the bac kfill
I/J - th e ang le of inner frict ion.
' ." cr. Tsc" F.!IOr ... ~ IOFP. C. r .: Soil Mull(mlrs 1I111! £orlh SI,,,(/NrU. McGraw Hill. h~l
HI.
 O[SlG' or CUIClJUI CL LHln 471
,
He:;. 41 L1~. Lonli ludinal -
duia" or a c\llv~n (SIKh)

.,
•••
••
In the Sovi~t Union the following empiricul values are used 10 determine the
longitudinal fo rce ac ting on small diamt:ter culverts:
-;-
Hela'" of em"'~km<'" (m)

• ,
.,.,, ,.,,.., ,...,., ,. ,.,". " "
11 .. ~"Ie folU (II

12-0 2<KI

'·7 17'0

If H is k.nown, the longitudinal reinforcement or the conncctions belween the

precast units can be designed.
A simple but accura te method has been work.ed OUI by A. SI"O·'» for the
longitudinal design of culverts, who considers them as beams on clastic supports.
The same method CQuid also be applied 10 condu ils.
From the relationship established by W. NKL[R for elastic foundat ions y = ~.
M d2 y
nnd from theslrenglh of materia ls Ihc measure of curvature y . ... - l:.' or d~" -
2
d y ' Instea d 0 f solvmg.
M f rom ""'here ,., = - EJ"(i\T
... - EJ . he moreJ comp rIcal-

ed differenlial equation, one could use the appro"imale method of GOLD and
L[v."r (5Ce Fig. 4j 114b) based on finite dlffcrenL"O.
, .", 5IKO. A. : G)·lkorll.i mOd.zcr rul!alma~ alilamaslUis' cllh"ek l ib. merele'~re (Prae-
lkal melhO<l ror Ihe d"nc,,~ioni na of ela,licaily $upportcd tulxs. elc), V/lii(Jyl KOzl. 19S8
J - 4 203.
 DESIG~ Of eULY1RT5 AND em'DUm

The related d ifferences of the fi rst degree

iI)' _ ),,-),, _ , (Inddy l _ )'H' - )"

ilx . , .1x ilx .x,. , ilx

and co nsecutiyely the related differences of the sttond degree

* xi " -

dx
~; L- )'H\ - 2)"
dx'
+ )'1 _'

Substituting these yalues into the equlltion for M. considering that y _ p

<
r:J il z p
AI = Cd Xi'"

Diyiding the total length of th e culyert. L into n segments each .dx long. Ihen
.:Ix _ L . Al each dividing perpendicular as well as al the ends of the lube con-
"
laCI pre5sures of unknown magnitLlde will be generated in the soil. However for
each seclion 0111: CIIn wrile:

Mj = (4.168)

.... here Mt is the sum of the momenlS of the external forces and lhe unknown
COntact pressures P" about lhe stttion i. For equilibrium the momen t calculated
from the d ifference equation lind the momcnts due to external forces (G, weight
of embankment + p, contact pressu re from underlying soil) must be equal at
each section ( Fig. 4/ 114a)

!of, _ £j Z (PHI - 2pI

C.dx
+ P, _I) - L c." 9 - p" .dx (i.dx - 2f3i1x)-
2
X
d [i.1x-T
dxl -P'T
dX I(/ - I
-PzT I)ilx - 23i1xJ-

P, .d.-(Z .1x
- " , - pl>l .1x 2/3.1.{- 2 3' (4. 169)

A similar equation could be wnllen for any intermediate dividing perpendicular,

thus yielding n - I equations for the 50lution of /I + I unknowns. In case of
symmetry the number of unknowns will be reduced and in case of lIsymmetry
the required two equations can be obtained from MatiC5, namely the sum of yer-
tical forces 2"p.dx - 1:(; = 0, and the moment of these forees about lIny con-
venient point is (Ep .1x)a - 2' Gg _ O.
 D!lSIGS Of CIRCU LAR CULV~RTS 413

Having thus o btained the pressure o rd inates p" a catenary polygon with the
forces G and p can be eonstructl'd, and the design moments dctcnnined graphi-
cull y.
Alte rna tively, the values of Pj ~l' P I_I can be ~ ubstituted mto the equlltion

a nd the ordinates obtained from there.

The accu racy of this method can be jm pro~ed by increasing the number of sub·
divisions.

T,,/}I, C"mporing II" , ..I"I ..d 8 . M . "lid A.tIQI Foru Vol....~ ani"" 011 I' Ci'~"'Qr Co"d"U
Fully Suppo",d Q/Qng /u l..n~"" Huli

\I,,,,...,,, I • 0 I«OW"O~

Hem 1--""'---- --. --

1'1".....1 rom.
N "
Dead load M lllr +()-)448 + 0'2725
o
, IOlemal ,,'ater pressure
N,'g r
M iy,"
- ()-1667
+()-1724 - 0'1163

, E~ l trnal waler press ure

N,')'r
M ly,r
- O' ~ S]J

+()-220)
- 0'5000
+ 0"1363
Nr/r +()-5I1H + t·SOOC)
• F~c""s waler pressure in conduil M
N

, Un,ronnly distributed '-c nkaJ earlh "'1"1"'" .,,.., 0'2213

pressure "'IV" 0 <HlBO
6 Horizonlal unh pn::ullrt M/)'· I...,' ( - 0-25001 +
0-00417, )
IfapelOidal distri but ion "'/),';. ., (I _ 0- 3H,)

, Uniformly dimibutc:l hori~o"tal Ali)';·"" ." 0'25

unh. Pl"l'Ssun:: ,'111)').,// 1-00 1-00

Non T h. abo .. lo ....... (00 boOb bod~i •• <_d",,,,,, w.,....... def,",' by M .utQ~"OT. lor ,Ite cue of pan",'
c,.bod ...." .
474 DESIGN OF CULVEltTS ~ND CONDUITS

".41. DESIG ... O~· C IRCULAR CONDUITS

The d ifference in the d~i>ign of unde rground conduits a nd the cu lverts d iSCussed
a bove are mainly due to the d ifferent loading. bedd ing and lateral ca rth pressure
conditions.
Regardless of whether the condu it is laid und er a river-bed. Slrl!l:l or structure,
the ve rtical pressu re is always assumed 10 he equa l to th e I!i:oslalic press ure.
Surface loads do no t playa significant ro l.::. However. both th e external li lld internal
hyd ros tat ic pressure must be taken into oonsider:llion with their full value.
The design proced ures of conduib lire: discussed in detail by E. MARQUARur M
who construct ed a tab le, based on the theories prese nted in Section 43.3, in which
different loading and bedding condi tions aTC compared. The loading an d bedding
Lvndltio ns on which Table 4/1X is based lire shown In Fig. 4/ 115. The lable con-

TABU 4fiX

• . 10 ... _ "".01)
•
" (~pn.p..)
• Ul (O~." .. ""'~,) • 110' (11.,110""

" " " "

Ikddi" . Il.~d.".
,-I 8 .ddi •• 1ko!~1 . .

+ 0'033' +0'0100 - 0'3\127 - 0'2981 - O'O}" +0'0100 +~- +O'17lS

+0'417~ +O'H,S4 +1 '57Q11 + l ·nOll +1-133 4 + 1-%96 + ... 667 +,"0000
+0'0168 +0-0050 _ 0'1 964 _ 0'1492 - 0'0168 + 0'136.1 +Oo()O~O +0-1363
- (}4277 -0'3687 - 0'2146 - (}2 146 - 0'7868 - 0' 3687 _ 1_4147 -()o5000
- 0'0168 +0-0050 - &1%4 _()o1492 +0'0168 +<HlO50 +()o Ln 4 +()o1363
+ 1'2131 + 1'6313 -l'1854 + 1'1854 + \'5723 +1-6313 + 1-41 67 + 1'5000
'. '. rtJ
.--::r In
',-,. '.
Ih r"u~houl -
11K enllre rina

- P. ' 0 or + P.'. th ro u&!t ... UI Ihe enlire rina

o -0'0072 - lHSOO 1 - 0'2 197 0 OO()141 IH500 I ()o 1967
0-'" 0-5375 1'000 HIO 0-500 0'7662 1 0 0'5836
(0- 0-2<J5,) «()025OOJ ... 0) to + 011295.) ( _ 0'2SOQ1 -
- (H)II7, )
«()05 t -
o
O'SO
(H)8(W,)

0
U'SO o~"
o
0'25
o
«()oSOQl
o
0"0
+ 0'884.)
0
0'50
- 0' 25
, .
(t - 0'37SOr)

tains only those )pel:ial cases of bedding cond itio ns 1 lind JJ when the pressures
are projected o~er the entire horizon ta l diameter (01' ... ; ]. M ARQUo\RDT has also

.... M AROUA'UlT. 1:.: R oh'le'l"nl~n und I~KhIOSKnc Ka mile, H<II"Jb~c" fur £iJrN~lon­
bou, W. Ernil_ 1933 XII 425 - 699.
 THE SBU-GRA'HICAL DUlCS OF ~OO·SHA.ED CULHIlT$

"

;
-
? _ ,,'C·,;:lr)..
; t U'/ _ ___.

,
1I·1f'

worked out the cases fo r partial distribution of th e bottom reaction as ..... ell as
the cases of two and three-edge supports; however, these problems are beyond
the scope of this book.

4.43. Tlt E S~: \tt .G R APutCA L. DE$ tG", OF EGG-S HAI't: tl Cl:L.VE RTS

In the previous pragraphs we have d iscussed in detail the mo~1 Te("t'm theories
in the design of rigiJ and flexible circular sections. However, should the section
be egg·shaped ruther than circular. the analytical solution of the problem would
be 100 cumbersome. and therefo re it is more practical to Jesign the statically
indetermi natt structure by pu rel y graphical or semi'graphical methods.
The load q should be det ermined in the manner diseussed in Section 4.414 and
al:Curalely plOlled over the section. Nex t the section is di vided into elements wilh
lengths .ds lind the elastic .... eights ~~ are computed.
The centre of gravity of the elastic weights IT is delcrmim.-d by drawing a hori-
zontal and verticlll funicular polygon considering the eilistic weights as forces.
Having cstablbhed the elastic centre. the section is reduced to a sta tically determi-
nate structure by a fictive cut at the crown. ApplYlll8 a unit moment XI = + ± I
1m and a UllIt ho ril o ntal force X t >= ± I t the um t displacement factors 0" and
U u lire determined. T o expedite Ihe computation, the .ds lengths and the y di~tanees
are Sl:aled from lile drawing.
476

1"10. 411 16. Scll1i_M,a ph ical <olulion of flat bon o",

sections

Then a j 1 _ L .:Is 11m, and Q 01 represen ts the d isplacement of Ihe clasti c ~nl re
EJ
as a result of Ihe ex te rn al moments: i.e. laking the sum of the products EJ {IX
.,
(F ig. 4/ 116),
aUI , o r the i..
The quotient --' "
. - px Ax : "L £.:I t - X, expressIO
.:Is . ns. wll l give th.:
all EJ J
internal moment AI I as a re~u l t of the uni form ly d istribu ted load fl. The d isplllce-
men! fac tor an is dClermined similarl y. taken as the sum or the: moments of the
elastic weights : ; aboot the horizonta l ax is th rou gh th e elaslic centre f7. The
,. . U ln
X 2 = fI fo rCI: i s obtainC':d from Ihe quotlcnt
' . . Owing to Ihe symmetry, the

vertical internal force X3 _ V equals zero. Thus. when calcu lating t he internal
fo rces onc hus to consider only the momcnlS M - M o - Xl - Xu' and the all.ial
ror<;esN - No - X2 cosa

NV" ERtC.o.L EX.o.MPlE. Given the rcinfo=d concrctc te""u pressure main wilh lhe dimen.
"ons and IICCIOOIlS sho ..... n in ri ll. 4/ 117.;t;s "'qu;,,,d 10 determine lhe reinforcemcnt for
a com bina tion of Ihe foll owing load in" cond itions,
i . dead ",'eilltl + vuti::al eart h prcnure (Fi,. 4111h)
I1a.laleral earth pressure ( Fi• . 4, 118b)
li b. t he IIIteral ...... Ier pressure (rom the position of lhe ,mum!>... le, lable al elevation +
+ 6-0 (Fill. 4f 118c)
III . the inlernal water pre •• "re al a magnitude of 7.0 tIm' (FiK , 4/ 118,.1).

Owin. to Ih: 5ymmel,,·. thc calcu lalions are made for one·half of th e Kel ion only T he
«nlre line: of the half riq b drawn midway between the contours of Ihe M:"'er seclinn and IS
divilkd ,n lo II! Is lenillils,each ...eas"rinll SO em. The d,sl un~ of Ihe elaslic «"IRS from
both the u;s of sy mmetry and the horizont al hne drawn to the extradoJ al the crown Ire
~a1ed from the drawing lind are tabuluted in F ig. 4/ 117. Simil arly lhe deplh, (r) of Ihe secl,on~
are .Iso sc~lc:I h~ refrum.
 TilE s nU-O ..... HIC.. .." OUI01'O 0' ~OO-S " AI'U) CULVUU'S
'"

it
E
••
•
.~
•
1,
~ 0

.,-
<•

1l
,
"•
""'"
OJ
§ ,
0•
•
~
Ii
••
,,•
,,•
•
"
~.

-.,
III
•
•
C•
" •
~

~ ;. ;; ~ I ~ ~ ., .," ; ?
~
~ ~ III
" "" " "" ~
~
• ~ ~

'"
'> '>

l',l
'" ~ "!- ,
~ ~ ~
. .
~
'" '" I
..,
'il !l
~

" '"
~ ~ ~ ll<, - '" '"
~ ill ~

- ~ ~

" '" '"

~

I
~ ~

" " " "

•• ~
" ~ ~
 ". P ~5IGS or CULvEus ;'No CONDUI TS

The calculations. based on Lhe measured dimensions are carried out in labu latcd form. deter-
mining first t he position o ro a nd Ihen Ihe un il di.placement faclors "" a nd a,,_ Next. the
d isplacement duc to Ihe e~ ternaJ loa ds for each loading condition is ca lculated (0. , and 0..).

FIG. 4/118. Load in g a nd moment dia grams

With the ai d of Ihese factors the unknown internal reaction. X,(M) and X.(H) c a n be cOm-
puted (!ieC T a bles 4/Xa- f). In the last table (0 all forces aCl ing on the red uced section have
been summarized using the equat ions

M =M. _X,_X.y
' 0' N=Psin~+ X,C052.

The nnt slep is to combine the /If a nd N values for Ille dilferent loading conditiom amI
Ihe required cross.sectional area of the reinforcing is then delcrmined for the ",onU combina-
lio n of Ihese uo;es. When combi n ing the different cao;e, one h a~ 10 consider the possibil ity
of such a combination as well. As shown in the e~amplc, the m ax imum value o f the moment
is o btained from Ca~ I. a nd Casc III usually gives the maximum axi a l thrust. T he effect
of la tera l eart h and wa ter preuures is relatively small. J n the preced ing calculations the latera l
passive earth resistance was not ta ken into a ccount, but the active case can be considered
by combinin~ Cases J and Ila.
U"i/ D/,<placn"",,' Ftlrtors (pu ""II le"9Ih' 1m) T,,8U 41X.

II,,,,
.-
Ikplb..r (

1.'
, '.
,
,. ,
-
" ",
.,, I " ',~, r ,
4 d1 ,.' 1 ... ,.
,

I 43'75T 3
."."
0-40 00()()5}4 0°010 0°534 so 93'7 0'" 3'75 0'6a3 0-467 0

75

,
2 0-41 0-00516 O'OJO 00'76 50 86-7
,., 16'411 0'5J) 0'285 24'72 68°47 "
=
,
,
,
0'44
0-49
0'56
0'0071 ~
1XlO984
<Hl1470
00 ..
00 ..
0'010
0011 S
0"1184
1-47
50

,.
50 50-8
34-0 ..,
.n
2")038
36-60
'30'
0-003 ... ".
01>92
."
'00
14°90
74'90
"
~
;;
:
,. ,
35-70 -0'327 0'101 18-54
•
, .
0'02410 001' 2041 .", 2. . .
,.
()066 20'15 _ 0'71 7 D- SU 89-22
" 68 Q
0'84 (1)41115 00 .. 101)5 r

8
, 1'10 0'1 114 0'010
4'975
I I -I 4 ,. 4-49
"
2-25
18-SO
10- 12
-1-117
-1-527
I -247
2-)]5
12052
10'48
101°74
I IN2 ~
,-96,
. 1'45
1'41
0'2545
0'2342
"00
0'010
2S'45
2N2
50
2-llS
2°71
N.
")2 _ 10987
_2_477
]095 7'76 II 9'98
a
=
o

...,
50 6'83 6°12 1)1)7 13)O()S "
" ~
1'63 0-3620 0-010 36-20 50 1-38 )-70 5'10 _2_977 8 S6 IN2 145'27
,.,.
0

"
"
2'10
1'80
0'7750
0'4815
0'010
0'010
77-50
48'1$
50
50 1'02S
4 17
4'4S
0
2'6Y _ )_447
-) -721 ....
11·113 I n'1l7
~

,.,.
"J< 14° }7 16H4
<4 I'SO 0-2820 0'010 28°20 ,. 1°772 4'53 •• 2 -H07 14°35
"o

~
2NO 193'14

" 1'26 0'1675 0'010 16-15 2-98] ,,'" !Jon -1'877 ISO()2 44'78 237°\12
:;
" 1'12 0"1175 00" 11°75

." ,.
4'2S 4°65 19 770
- 3'921 15°44 65-60 lO)'S!

"
18/2
1'04
10()()
000941
0'08lJ
00 ..
00 ..
5-31 N'
4-70
24'90 -)"1167 1S'76 83'65 387'11
8')3
" HlO
!' _ 3\l4'OH
14'10
1: _ 284' 4 5
-3-977 IH2 47'46 434°63

Tile """'ioa of
1., . S
_ft, •. I. _ )9-O'''l O'71J
1"' _ _" _ 1
, "..ll 119 70f> I
.,, _ .on _ 2 " '.).4-') ~'1~
~
Di~pltlum~It' FIlfl/N6

1 Dead load + urlh lad

aw '0 £",ult:.1 L'HI:ling

P, = (9-SO -
p, = ('I-SO -
f..slll I-SO'''
)-IIS) I-SO<"
+ 1-40)(
+ 2-70 )(
2-4<-" = 8-60 t im
2-4'·" = 16-60 tim
T""LL 4{Xb
-
A

COIls.iderinl the bol1om ITIlclion contact ~ssurc 10 N uniform ly distribolnl_ (Fi._ 4/ 11b)

[[ .... I
"
,
" • M,
" M, _ ••,
I , M, ••, , ••,
M, _ ,
Ir "
M. , '

•
2
,,,
0'0
0-495 ,8'"
. 4-58
4-16
0 -25
0-74
."
0-29
2-25
9)-, ~ 27-2
86-7 19-5 46'7
0-58}
o-nJ
18-57
".,
18-!7
2lHH
0

~
..,
0-455 11'09 ,U9
H,
6"16
'" 431"0 417 '0 0"303 130"7
.."- 159-67 <

--
0-420 12020 1"57 12'00 609'3 IOB7-}
,, .39 13-21 1-95 ""
,,~ J743-}
<>003 161-51 ~

....
19-J 1 M6"0 - 0-327 -214-5 52-99
14-1 J n
OJ' 4"n 2'26 26-88 20-75 558-0 2301-) -0-717 - 452-99 <
,, '30 14-92 2-5 5
.,...
3H2 .00. JS4-o 26SS-) - 1-117 -395-5 - 8411-49
••"•
.... ....
." 15"ffj 4"16 2-845 4-49 202-2 2U7" - I-sn -J09'<l -1 157-49
.26 16'36 1-48 3.3 ' 1-98 1-96} 102-1 2959'6 _ 1-9'7 -202-6 -I J6()-()9
10 -0-13 3., 52-74 2-1 J5 I I 2-' JOn' J - 2-477 -278-2 < •
12-60 -J6J8"29 0

" -00' 12-60 _ 1-61 3-01 51-50 I-J8 71-65 JI4)-15 - 2-977 -lit"} -I MiJ-59 B
..""
- O-tlS 12-60 - 3'28 2-87 46' 21 29-S2 7
0"645 ll72-97 _ )'44' -102'9 -1951'49
- 0"26 12-60 -6'05 1-46 n-QJ 1'025 n "M4 n05'8 1 - J"n7 _112 "3 - 2074-79
g
-0"38 12-60 - f.-l 7 1-99 18-69 1'772 B' IO 323S'91 - 3-807 -126"0 - 2200-79 3

""
- 0-49
- 0-4'1
'260
12_60
-6"17
-6-24
1'49
0."
7'54
- 0-4.1
2-9SJ
4"25
21'$0
- 1'83
J261"41
J2S!1-S8
- )-Sl1
+l"921 + ,.,,,
-87-2 -2287-9<1
-2280-79
_ 0_24 +.".,
"
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-0-495
-0-495
11-60
INO _ HS
0'"
• 12.>
- HI
-6-69
'-31
3. .
-21-65
-20-70
3231--9)
1211-il6
-)-967
- )-977 + 7'>90
-21 70'89

-""""
a., _ 2 )( 321 1-86 _ 6423-72; n.: _ 2 )( - 20'J0-99 = - "181-98 :

!If, _ 6423-72 _ 418 1-98

7~-706 - 8-1 4 1m : H, - 869-26 - - 4-81 I-
-,,
•
I [a LtJlno/ Carr" Preultrl

The ,urch a rgc load is assumed 10 be 1000 kg/m' ..... hich is eqlli~alen{ to Ihc action of an carth colum n of heigh! h' = - - = O' 60 m
The coefTic,enl of lateral eanh p~5sure i. 1.. = 0-) (Fig.4/118l»
T AHlF. 41Xc

"'"
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,
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1, -(0-60+ ) -12)1 -8 X 0-]= H\I

F=4-70
ZO(} ] = 4 ' 55
_ 15-4 I
/, = (0'60 + 9'50 - ]-6g) [-g X 0'3 = 4-55
, ~ --
4'70 2 X H)J + 4-55
- _ 2 1)4",
2'01 + 4'55
,
> 7 3

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0-58 0'42
0-72
(}o 115
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43-25
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0'79 0-558 Zlj-]5 0-003 5-19

, 0'89 2-49 0'9 3

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[ -aS ]- 198
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20-75
40-65 83'9() -0')21 13')1 ~-12
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199 -40
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41' 50
87 -27
128-17
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9 2-47 )'34 ['70: 2' 71 91)34 1'963 17'13 217-tJ -1 '987 35'20 163'97
W 2'95 J-61 ['&7 3'20 131)5 1 H3~ 27'83 244-96 _2_47] 68-90 232'87
)'46 2'01): I H1)~3 269-9 1
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24 '95
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307-02

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2l15-23
313'6)
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35'1-1\7
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4'44
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-195'1 - ('w'97
,.",
4 '51 4-48 29-967 2-983 89-40 454-25 - ) '817 _346'2 _1007'11
~
4-63
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4-51 0'12, 4-65
4-69
30-7 45
31-356
4-2 5
5-31
130-70
166-30
584-9'5 -)'927
-)'967
- 513-0
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- IS2~ ' 17
- 2180-17
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1lI1! 4'70 4-55 o 4-70 31-471 ,.,'" 94 '41
751-25
845-66 -3'9 77 -375 '3 -2555-47

aOlll, = 2 X 845-66= 1691'32; aOl/' = 2 x - 2HS-48 = - 5110-94;

169-132 - 5110-94
Mill. = 789 -706 '" 2-141",; H - ciiic.iC
869'26 =
/II . - -
- 5'89 1m,
~
Ilb Adt/;tkma/ Laa(Ung fram External Wal<"r Prrnuu TA~L~ 4iXd ~
N

As for loading case Ita the uplift press ure has been nejl[ecled; only the excess pressure will be considered; porosily: n = 21 % ;
coeflk ient of lateral earth pressure, A, = 0-) (Fig_ 4/118c)
I- ~ = I - 0-27 = 0-73; ~ =(6-0 - 1-(8)( 1000(1 - 0-73 ) 0'3 = 3-38;
Ihus the pressure increment for] lineal metre is 0'78] t

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a-56 0-14 0-(189 0·"" 5<>8 0-2.03 0'023 0-003 O-OUI-
0'89 0'4<) 0'19~
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-
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-
0-411 ~
•
6 ]'25 0'68 0'326 0'1~3 20-7~ 3'18 4-643 -0'717
7
8
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1-84
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0-851
U)-US
4-49
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3-82
8'683
12'503
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- [-527
-
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4'51
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"" 2'96
3'46 2'40 1-30
"20
3-70 4'774
2'13S
1'38
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2~'54] _2'977
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- 19'63
- 34'8~1
- 54'461 ~
"" 3-96
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2-80
3 ' II
3,22
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1-18

0-217
4-11
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4'B
7'133
8'871
~'402
0'645
l'OlS
1'712
'·60
9' 10
16'68
33'143
42-243
58-923
_ ]'44 7
- ]-727
-J-B07
- 15-87
- 33-94
- 63 '50
- 70-331
-104'271
_ 167'771
~
"" 4'57
4'63
3,27 0-198
0-)67
"60 9'884
)0'237
2'983 29'50 88'423
13 1-923
-3'877
_ ]'927
_114'20 _ 281'971

""18/ 2
3'32 4'65 4'25 43"50 - 171'0 - 452-971
4'68 3'36 .067 10'531 S'31 ,,~ 187'923 - 3-967 -222-2
" 69 - 615'1 71
4-70 3'311 0 4-70 10-600 ,.", 31'80 219' 723 - 3-971 - 126-) -801'471

0".,,1, = 2 )( 219'123 = 439-446; "",,,:. = 2)( - 801'47 1 = - 1602'942;

439'446 -1602'942
#". = 789-706 "" O'~56 1m; 11".- +869'26 = -1'85 t.

•
 THE SEMI-GRAPHICAL DESIGN OF EGG-S HAPED CULV ERTS 483

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484 DOION OF CULVEUS ASD CONDUITS

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Tabu/aiion "I Ih~ Cril/Cu/ fI/{)nt cnt ~N" She,,' V"/,,,,. in t"e Criticul Sfcti{) ~. TARLE 4 /Xf

N - P sin2+H'cO$"; H _ 4'8, ; ,\{ __ 8·14.....

,
C'ou--,kn,
M , I ., ., I • ,
" • ... _. "
Load I (own we,.hl + ~..rth)
o
..
1
0'H3
CKIO)
-1-117
0
+ IN)
+H'22
-8' 14
-8- 14
_11'14
+ 3"28
+ 0"0]4
4-86
+ )0874
0
19'19
4'8 1
4'81
•
38-20'
0
0-62024
, <lOOOO
0- 711442
4'111
".... •
"
i=
- 5-36 +2 1'12 JN7 4"81 6(1'00' 0-86«13 . >0000 '1<)6
10 -2'417 +.'52'74 - 11' 14 -11-90 +32-10 38'78 4'81 93 '00" 0-99M3 0-05234 38'9.'1
14 -30807 + 18'69 - 8'14 -IS'30 - 7'7$ 22"27 HI 111 °00 ' 0-1 .'5643
o
I 0-98 769 11' 24
_~,~._ -3-997 - 6'69 _8 '14 -19" 10 -B·n 0 4"81 180' 00 1-00000 4' 81 ,•
Load III (laler.1 ear1h prnsure)
n

,•
10
....... .
0'003
-1' 11 7
- 2-471
o
o-5S11
HS
13"051
I -2-14
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1'75-
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3-82
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+ NO
9'23 171 "00' 0-98 769 9-11

~
31'411 -23-40 9-1 1 180"00' , '-00000 _ 9'71
load IIIb (external ""aler)

,,
0 0-68)
- 0 0-556 + 1-262 .roo 0 l'U ,...,., >

.,.
1'85

10
0-003
1-1 17
2'417
."'" -0-5.'56
0-402 -0- 356
2-918 -0-556
+
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2'1 62
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+ 2-694 -
-5"02 00 0'987118 - 4'69

Load"III (inlernal wiler pm,urc)

10'600 - 0-$56 - 7-35
3-977 , -$-4S
'" 00 , - $-45
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48. OESIGN 01' CUL\'1:RlS AND CO "DUm

...·u. FLEXIBLE /'oU.' AL CULVEM1'S O~' CORRUGATED STEEL S HEETS

11 has already bee n pointed out. when dealing Iliith the dimensioning of circular
tunnels, that an effec tive lateral earLh su ppo rt may essentially reduce or even
com pletely eliminate bending SI ~S in th is type of tunnel. The degree of la teral
support depends on the stiffness and IKISSII"C resist anC'C of Ihe surrounding soi l,
and as the mobiliza tion of this is a function of d lsplaccment, the IIc)(ibility of the
secllon i§ of funda men ta l importance. T he greater thc la teral elonga ti on of the
tun nel dia meter. the greate r the passilc earth resistance. I.e. thc la tera l pressure
(scc Eq. 4.16] and Fig. 4/105).
1 his concept is real i1ed in the de sign and co n>lrudion of the "Armco" otype
corrugated steel- plate culverts (Fig. 4/ 11 9). whe re a uni fonn soi l su pport a round
the eul\'crt is obtained by "ropely compacted back-fill of appro priatety chosen
SOi l ma terial thus re nd eri ng bending stresses small compared to luial st re5-SCS.
T he malumum rad ial de H~tion of a circular cul\'ert is

0·1 67 pr~
M- EJ + O{161 Cr l

where p = average ve rti cal pressure at the to p of cul vcrt

r ra diu s of culvcrt
E mod ulus of elasticity
J = momen t of intertia of culvert
C = coefficient of subgrade reacti on,

Smce Ihe flex ul3T rigidity. EJ, of flex ible culve rt s is generally small com pared
to Ihe second term in the d enomina tor. the former can safely be ncglcrtcd a nd .
th us. the maximum deflectio n obtained approx im!ltely is

.d _ 2,7 P
C
Field experimen ts on corrugated stcrl cuherts unde r fills or sand, Slit and da y
with heights exceeding the culve rt diameter have shown that the venical soil
pressu res vary between 50% and 90 % of the overbu rden pres~ure at Ihe top of
th e cu lvert. The ho rizontal soil pr~surcs on such culverts we re generally grea ter
th an the vertical ones and so metimes exceeded the overbu rden pressure. It wa s
also found that the method o f backfilling a nd compaction as well as foundation
co nditi ons a ffected the load on culve rt s. In this respect Mt:ytJUlo~' then WHIU.....,l
stated that soft foundal io ns under thC' culve rt. wit h ha rd support al eac h side,
sen'e to decrease the load on the structu re , Stiff fou ndati ons underneath. wi th
sort SUPPOTI on the sides. tend to increaSe.' it ; und a un iform roundalton Vtz. su ppo rt

. ... WHITE. H. L. : Lar!l¢SI M~ t~ t Culvert DeS'lIned by King COn1pft'~.ion Theory.Am,

0.·. I-JriJ. t%t Jan, ~J,
'"

•<
~
•
.!!
>
•
488 DESKl' Of CUlvUn At'D COSDUITS

underneath combined with com pa.:tion ~[ each side to such an eXlent Ihat de-
flCX:lion amoun ts to a minimum l~nds to make the load on the st ructure equa l
10 the height of cover. or the column of material plus supe rimposed live loads.
for heights of 11.11, exceeding about 3 m (10ft) under highway loading and in ex-
cess of 9 m (3Of1) under milway IOl,lding. the til'c load is negligible when taking
the dead load equallD the full on:rburden pressure. Flexu ral rigidit Yof corrug;ued
stecl-sheel cui verl s is required main ly during co nstruct ion stage, when it has to

F lO. 4/ 120. Pr'"-'~u,.", diSlribUlion ass umpt io ns .round variou<ly shapeoJ corro.l lP'led SICC
pl.l ~ (ul~rts

mist the forces of handling and com paction o f the canh against it, whereas aner
co mpletion. compression resista nce is the gO\'crning factor. Compression wi thin
the ring may be determined by multipl yi ng its radiu s by the normal pressure Pu.
and this product may be kept constant around the whole perimeter. Accordin g
to this assu mpti on, the corre spondi ng soil pressun: on the st ru ctu re at any poin t
may be ta ken as inversely proportional to the rnd ius and may be given as

p ... por,/r.
Corresponding soil pressure distri buti on figu res for flexible culvens are repre-
sented in Fig. 4/ 120. and uta l co mpress ion forces may be o btained. 10 general,
from the simple formula
N - PoD/2
liS indil:ated for circular and ell iptical seetions in Fig. 4/ 121 and for pipe-arch
sections in Fig. 4/ 122; with Po denoting the uniformly distributed roof pressure
or the culvert resulting fro m ove rbu rden pressure and li\'c load on the surface.
A limi tatio n of axial compressio n Stresses is thllt they cannot exceed the cri tical
value owing to buckhng. With some all owance made for accidental eccentrici ties
and imperfections of culvert s 10 practice. the critical stress (CTb) can be conve-
nientl y ex pressed by
 f1...EXIBL! lIoI~" AL CUlHlTS OF COllUGATEO STEEL SHE£TS ...
where GI _ yield stress of cuh'en material or joints
Gk "" buckling st ress of curved plates bearing against eompact soil to be
determined from elastic theory as

u _ 2 [ C£J )'
l F 1 _ 11=

with F denoll ng the unit croSlH;ectional a rea of culvert wall, ~ I)oisson's ratio,
beyond the already Introduced annotalions,

K
K

FlO. 4/ 12 t, Ca tcutalion of FlO. 4/122. Load assumptions

normal force N for n flm·bullo", culverl

As to be seen in this correlation, Gk is ind ependent of the culvert radius which is

holding, however, o nly for the practically important case when the ratio r/L is
bigger tha n 2. with L - f (I E~1)C JI, After substit ution we get

u,
a., - ,-;--;:,,,,CT; ,
+ (" { f ;12) 1( 1 - II)/CEJ r

provided tha t the embedment of the culvert is of uniform stiffness and the heigh t
of filJ exceeds its diameter,
Roccnt investigations and experiments (see MEYEkHOF) havc shown thaI all
plain sheet cuh'cr!s fai led by buckling at about one sixth of thc yield stress of
the ma terial, while corruga ted sheets fa iled generally by crushing at tbe yield
stress of the steel. Except near the critical section. the bending stresses in the
sheet.s were small and amo unted to about o nc quarter to one half of the axia l
stresses at failure in the central portion of the shccts. While th e distribution of the
490 OLSIGN OF RECTANO ULA R Tl' NN(L SI'CTIONS

soil pressure on the sheets at fai lure WllS simi lar to that of the radial deflections,
the observed coefficients of soil reaction (ratios of soi l pressure 10 radia l deflection)
v3 ri ed considera bl y around the sheets (de<:reasing with the inc rease of radia l
deflection).
According 10 the experiments of ~ , K , W"n:INs1.:.e the modulu~ of ~oil react ion
(M) may be determined trom the compression index or directly from the triaxia l
compression and from th is the coefficient of suhgrade reaction may be obtained
from the following formula:
M M
c
where 1', = 0' 5, Poisson"s ratio of soil.
EAperiments have also shown Ihat the deformation characteristics (C. M ) of
a loose fill may be assumed for one h;lIf of those of a compacted till.
I n pract ical ca lculations only 50 9<; of the theoretical culvert stiffn ess is assu med
wilh rega rd 10 Ihe imperfections of joints.
Rased on the beneficial inl'lutnce of soil support on the statical behaviour of
embedded culverts, Mn'FRHOF and F ISHER' ·~ ; describe some examples how the
compositt action of und erground steel-soil structures can be advanta£cously
secu rtd an d uti liztd .

4.5. DESIGN OF RECTANG ULA R TUN:\EL S~CnONS

In the review of the typical tunnel sections (see Section 22.3) it wa~ mc ntiom:d
that subway, pedestri an or other utility tunnels, which are gencrully l:onstructed
undcr roadway decks, at sha llo w depths an d in open cuts, are mostly fe<.:13ngular
~nd arc built of reinfo rced concrete.
This nO I only makes an economical design possible, but also means that the
cross-sectional a rea of tunnel space can be uti lizcd to the utmost. To speed up
construction the recent trend is towards the inc reased use of precast units, rC5u lt-
iog in further reducti ons in costs which, in turn, exp lains lhe growing po pula rity
of rectangu lar sections.
The rcinfon·cd-concrete sections are designed ~s dosoo frames. and th eir struc-
tu ral an al ysis should. in fact, be be)·ond the scope of the present discussion .

• . WATK'NS. R. K.: Influence of Soit Characteristics on Deforma tio n of E m~dd. d

Fle, ible 1"1'" Culverts. m "hw,,)" R~uar~h Board n"l/. In, Natirmal Academy of Sciences
Washington 19~9 .
• •r. M EHRHOf. G. G. and r'SHU. c. L.: CompoSite Dclign of Undullround Stcd Struc-
lures, E"". J. Call. 1%3 Sept.
MfV[RI!O f. G. G.: Some Probtem. in Ihe lksiKll of Shat l(>w Ru ried Steel Structures.
hoc. Calt. StruN. EIIiIII. Com/. Ultiv. oJ/Torolt/o 1968.
M EYE ~ ttOF, G. G .: Some Resea rch on t: ndcfSfound Flex ible Ar~hcs. PMC. Mff'" Coni.
Balatolifii"d 1970.
 OS[-BAY UCTANGl>LlR SlCTIOS ON .IClID fQUSDATIO:-lS 49'

However. because of the specia l found~tion nnd bedding conditions involved

and for the sake of completeness, in the following paragraphs y,e shall discuss
the struct ural dl!Sign of the two most common cases: ngidly supported narrow
sections. and wide. two-bay sections on elastic founda tions.

4.51. O NE-DA Y ItECfAI>oGL LAR SHC Tt ON ON RI GI!) fOUN I)ATtO I>oS

For simplicity it is assumed that the stiffness tI) of the roof and base slabs
of the n.."Ctangular frame dcpictt"<l in Fig. 4/123A is the same and the stiffness of
the twO walls (J~)diife:rs from that ..altle. The: elastic weights which play an im-
porllUlt ro le in the defo rmation of the: sections can be reduced hy the factor

t .. J/ J o .

~ause of the symmetrical arrangement of the relative Sliifnesses, the clasti\;

IXmrc of the frame (1 is located lit the point of intersection of the a~es of symme t ry
which, especially with symmetri<..l.1l loading, greatly simplifies the calculallons.
Using lhe well-known method of analyzing statically indeterminate structures,
the frame is cut at the centre line of the roof slab. and the mo\oemenl of the clastic
centre (1 is investigated while assuming il rigidly connected 10 the end of the frame.
The movements caused by the external and inlernal forces should be zero.
In the determinatIon o f the InOll1cnl diagrams for the lauding conditions shown
in Fig. 4/123A, both the uni! disp lacement factors all and !he movements due to

" • ,, " 'f'

~
t--". i1 _
. , f->- I, •
f- ,
,c J t ..l. 'I'
I
1"
'--- ~
"
", ..:.I:'" ,
" " .N

® ® "
I
1
FlO. 4112JA. Loadini; and mOment diagrams of a ~intle.bay ri, id ly sUPf'Ortcd dosed frame
and il5 5t.lic 5lrOCIure
492 DESIGN OF H cr~ " G U L ~ !!. TUNNEL SECTIONS

the loading a Ol are obtained from the work equations.

Accordingly. (he unit d isplacement coetlkients arc.

sec Fig. 4/ 123c:
'm; us = ul ~
U ll = j , , 2
see Fig. 4j 123d:

, t ds b [-H b' [ b 01
a~~ =
.I m. - ~
, 2-
2 1 = 2 3 + ,.
see Fig. 4j I23e:
. d,
u3J-
f m5~- 4 + 21T'. b _ IT'" [~ + b ) .
4 2 3r

For simplicity, only one loading condition will be discussed: the case of a
uniformly distributed load p, on the roof slab and an eq ually uniformly distributed
reac tion of the same magnitude on the base slab (Fig. 4/ 123A). The displacement
ractors rrom the above loading conditions arc:

po' 0 I
12 [ t+ 3b )J'

As the areas of the m. moment diagram are symmetrical and o pposite in sign
the ir su m will be zero.
Similarly, ror the !l bove re!lsons

And from the cond ition of no displacement

whence
 ONE-~"'Y Il F.CUNGULAIl SEcno'i ON RIGID FOUNOATIONS , >3
,
lljlLm j iil

'". D

., •i I.I
, ''-:;'
HO. 4/ 123 B. SI.li~ally *lerminal~
•
sY51em and KJ.[I'II.oGEL '5 annOlalions of Ihe rectangular
dosed frlme

T he Inome nlS at the poinls A. B, C an d D ca n th en be determined

MA - M il - M e = Mn - /11 0 + Xl;
as a dO!;kwi s~ rotati ng momenl, by COn \·ention. At 0 has a negative sign.
T hus

p.r(: +3b)
MA = - -- +
pu'
8
,,[:+,)
- - 12(a
pd'
~ bTl

The l!.xilll forces in the vertical walls will be No _ P; and in Ihe roof and base

slabs N = o.
The momC lll at the cen tre line of the roof and base sla b§ Will ~ AI -
• •
- PO,- - 2 po' b and will have a un iform villue of Al A in the walls.
I (a + t)
The second. most common loading cond ition IS lhe l"lise of lateral earth pres-
§ure which, st ril"liy speaking. would give a trapezoida l louding diagmm, in which
case neither a~ no r XI would be equal 10 zero.
!-Io weller, no serious error is made if one assumC3i a uniformly dislribuled pres-
sure diagrdm bused on the lwerage pressure intensi ty. in which case the analysi~
would be similar 10 the one j ust d iscussed.
On the other hand. it is II more frequent case that the rigidilY of a roof slab li nd
that of the oottorll slab are differen l. Consequeo tly. XI will not be zero. li S poin t
(1 will not be in the ho ril'ontal axis of symmetry. The di splacement coefficien ts

Un. tlo\< U~2 and a o~ mu st be calcu lated again from the energy equa tion s for the
determinati o n of the unknown X, and X l valu~s.
Wjlh the rotlo"inll annOlal lo n§

T, = ,'.• . 7, _ '. and

~

'. '0 '" '.'. - 1

•
". DlSIGN Of IIICT"'''GULAI!. TUS"[L 5lC'Tl0N5

"c act dIu Fi,. 4/ IlJB the ""rt;cal 1<....,.1'00 of .he point 0 . 1 lint

o b+ 2 .'
2
h. = ',- --"c0
o
+ 2b+ , ,
." b. _ b_b,

"
oo +2" _ " (
- + r, I + -I +
" " ~,

,., 0
a., - l:M. m, -_
...
T
2_
P.
8
. U +2 ""'-,0,"C + 2---- _
(H, IIr.
Q'
8 6.,

- -,4.-' ( --
0 •
6., + -t . +

,
ItI
• _Is b:·" +-
.: - .: -
-- ', --" -
, 0
a .. - L .
,
. ·--
" }'. }"
,1
= b, · -"0 + -" -) - b."
3r. '1 0
T.
+ "
Jr. )

II .b,) _
In th i, w,y we may set the unknown hypU 5tBticaJ qua.ntities
'"
0 ..
X, _ --- ~

0"

"d

X, _ - 0 .. _
0"

Closed formulae rcady for uo;e were dtrh'cd for this case by KUtNLOGEL· ·.. lI.mel)' for
the corner momenl.
p . (J'
M~ _ M,,_ tK. - t,k,)

.
4F t

M .= M e:"' -
, -"
F (K, Je, -
, Ie,)

.nd fIX any cro~_oeclion alona the lop. respeo.:l,....,ly bottom sl.b

X , ·X,-
"'f.,_ p -
,
.,,;-,.~,
M. , _ P
2
+ M, 2 +M. ,

,.:11 Kl.UN I.()GEL, A.: Rahmcnformc:ln. W. Ernst. Berlin 1937.

 TWO-lAY IIOX SECnO' ON ELASTIC fOOJo;DAnOl'S .,>
and for (he side walls

p. a'
max M, _ muM, _ +
•
,·0
M.

.v, ~- N, _
MA - M.
N. _ ~,-

• '"'
J, t, _~.!!... ; K,,,,, lk . +3; K._Jk,+lk ,
t,=
J, J, 0

K. _3t,+ ,
I _ k,
K, '" ~' + 3* .;

F, "" K ,· K. _ *:: F, = I + k, + 6*,.

4.!\2. TWO·HAY HOX SEcnON ON ELASTIC FOO~DATIONS

The section sho .... n in Fig. 4/ 12411 is the most commonly used section in practice.
The support at the cen tre line can either be Ii row of columns or a continuou ii wall .
In view of the relatively thin sections as com pared wilh the overall dimensi ons
of the Slructure, the individual members sho uld be regarded as flexible and the
structure designed as one on elastic founda tions. In the calculations it is assumed
that the struclUre is supported on independent elastic subgrades.

';

Flu. 4/124. Eta",i<.:ally emlx<ldcd Iwo-blY tunnet

It ru'ture
496 D£SION OF RECTANGULA R TUNNEL SECTIONS

The e1asticilyof the soil is rep rese nted by WIN KLER'S coefficiellt of sLl bgmd e
reac ti on according 10 the equation

11- Cy,
where C _ the cOI:fficient of subgrude reaction
p = lhe load ing
y _ the deforma tion of th e soil.

T he ideal frame used in the design is shown in Figu re 41124b).

T he calcula ti ons are complicated by the fact tha t t he base sla b is suppo rted
on elastic fo undatlons. Before discussing the design of the whole fraille the case
of a simple beam on elas ti c su ppo rt s will be investigated as derived by PASTE R-
NAK.~ ...

T he princi pal equnlLon for elastically embedded beam< is

L' d'M
4~- +M=O, (4.170)
whe re
•j 4EJ
( 4. 171)
V be
and where E = Ihe m~dulu! of elasticity
J = tile mom:nl of in "rlia
C = Ille coefficient of subgrade reaction
M = the mom : nl at poim x
b _ the widlh of the $,olion,

The so lution of the d ilTercnlial c:{ualiotl .ound.:

.\1 = C, cO. ~ cosh {+ C, sin ~ sinh : + C, cos : sinh ~ + C, sin : cos ~ .

• 1><"
,
~ = L (4.172)

and C" C, . C. and C, are con,tant., depen d ,nll. on the b[lundar\' conditions.
T he shear Can be ex p ressed as t he derivali"e of the moment

Q -
,
L [ - C,(.", ~ c[lsh { - cos {oosh ~ ) + C"~in { co<h {+ CII.< {sinh ') +
+ CI''''' { co,h { _ s in { sinh { ' + C,(cns { cosh { + sin : si n h { ,], (4.173)

and the so,1 reaclion n the second derivative

q = ~, [_ C, SlII , .,nh { + r, 00. ' cosh ~_ C. s in { cosh ' + C, co' ' Slllh {].
(4.174)

.... PASTUNAK, ".: O ie bau~tatische T heorie b iegeFe"er Balken u. Planen auf elas t'SI'he'
R/:uung, He"'" u. £is~" 1926 ll.
 TWo-B.lY BOX SECTION 0' EL.lSTIC fOUI-IlAl10'S 497

Forming lhe Ihird dcri'·;l.l i~c. [II~ eolernal rOiaiiOM arr ob[. ind a~ beine proponional "';111
III" loadine 1/.

I( _ :. [ - C [(!.in ~ <;osll {+ cos {sinh CJ - C,,!.in (cosh ~ - tO$ ~ linh~) -

- C,(sin ~ sinh ~ + ~'Q.: co.h {) + C,{CCIS (c",h : - sin: sinll {) l. (4.11S)

The dilferelll lOl.dine cO lldil ;On_ Cln be d:du«d from Ihe simple elUe ",hen I sin&le poinl
load P, and a mom:n[ /11, arc aCline alone end of Ihe bum. Thc: rrforr. Ihis case ... ill he:
invclIlgatcd IirSI (Fill;. 4/IZ~).

,
FlO 4/ I2S. Clastically su pponed beam loa ded
I
al '1$ end

SUbSlIIUlinll; Ih e boundary cond,l;on.' and Ihe load s of the beam inlO Eqs 4.I1Z 10 4,175
""c obUlin ; .... ' point 0 fron. the condition Ih . , M _ 0 iI follo""~ Ihat C, _ 0: and from
Ihe tondilion Iha. Q _ 0 \Ole obtain C. +
C, _ O. R)' inlroducon. lhe symbob C. _ ,(.
and C . _ - (', = A , Eqs from 4.172 t" 4.17S be=ome

\f "'" A [ ,;n ! si nh ( - A . (s;n ~ C[Bh ! _ <;0. : sinll {) .". A, y , _ A , y, . (4. 176a)

Q _ ~ {A , (,;n ( co,h ( + cOS ~ ,in h {) _ ZA,.in ~ sinh: ) = (A, y. - 2A , y,) ~.

14176b)

q - t, [A, cos ( cosll { - A.(s[ n { cosh {+ cos ~ sinh O J ... ~, lA , y. - A,y.]. (4.1i6c)

2 . 2
~ _ y. ( A,(SII1 (cosh { cos: sinh {) - 2A , cOS {cosll :}= L' (-A,,,, - 2A ,".J
(4. 176d)

T he value of A, un·j A . can b: determined from the boundary conditions. ",. Y. and y , y,.
<;3n be calcillaled as f!lnclio:u of~. Th~!iC values c3n also be Obtlined rronl Tabl~ 4/XI .
2 2.
The mOlYK'nl.' {= L should he: equal to M , .nd Slm,larly Q - I',. If L '5 replaced b y;'
We c)n writc the foU""';"1 equation;

A, sin }, sinh i. - A,/s,n } cosh} - c(>s}' sinh i.1 _ ,If,:

A ,(sin)' cosh;' + cos ;. sinh A) _ 2A, s; n }, $;nh;... LP,

From til: '1010 c':!uations;

sin }, ,mil i. ,;n i. cosh ~ - cos l sIIIh ;.

A, _ 4 _ _ . h2' + "'-'~ 2'~ - -,- LP,_4!!,M, _ 2a. LP ,;
cosh U + "'-',
J. _ 2 "', -2 COl ~
(4.177 )
A. _ 2 sin }, cOlh ;. + cos} sinh 1 sin }, sinll i.
M,- 2 . -,- - 1.1' , = 2(0 ••\1 , - Q,I. P,).
cosh 2/. + cos 2! 2 cosh lJ. cos 2~ -2 + -
{4. 17111
498 DESIGN OF RECT.o.NOULAR TUNNEL SECTIO.'<lS

TAULH 4/ X I

, D ill". Oiff. lin ~ co.h

I + «,. l
"
l
""h ~
+11
Doff.
c ."
Y,
~ Co'" l I
D iff_

----'---+ T , '0000
"0000 0-0000 0 0-0000 I()()() o
"00
0'05
0-0025 " 0·0001) 6 0'[000
,"'" , '0000
•
" ,"'"
0-10
"""" '"
0-0006 16 0'2000 "0000
0-1 ~
0 '0225
'"
0-0022 32 0-3000
,"'" 0-9999
2
,
,·ro "()400 2!S 0-0054 50 0-4000
,"'" 0-9997
,
{)-25
(Hlti2,
27S
o-OI{W 76 (}'5000
"'. 0"m3
()o9987
"30 """'" (1- 1225
m
m
(MJ180
0-0286
106
141
O' S99H
0'6996
'98
()O'l'975 "
0 ' ]5 ."
0-9957 ""
"'" "'''''
0-()427 l SI 0 '7'»9)

0 -45 (}2024 '".,. O-()6()ll 225 0'8988 '" 0"9932 n

0'208 0'0833 276 0-91179 '"98. 0-9895
0'50
0'3022 '"
m 0-1109 330 1'0%7 ()O9847 '"
63
"" '"
""'
Qo35\J5
622
0 ' 1439 390 \-1'M9
'"
()o9784

..",
"-
0-42 17 0- 1829 44S j'2'}23 ()O9703
"" 0-4887 '" 0'2284 524 1'3888 '"
"" "'"" '" 0·2808 598 1-4842 '" 0" ~73 '"
'"
"" 0-6371 '''' 0 '3406 678 [-57H2 ""
on ()09JI8
'"
"SO
0-118) ""
m 0'4084 761 1"6704 9<>3
O"9lJ l m
"" 0'$041 0"4845 849 1"7507 on ()O8908
"90
0-8943
902
0"5694 ~I 1"8484 .S) 0-8645 '"
30.
""
" 00
U-9HS9
,."
,., 0 "6635 Ion 1"9335 6), 0-8337 m
1'0876 0 "7673 1138 2"0151 0-79f!O
m
1-05
I ' ) C}(I)
1027
0 "8811 124J 2-<1929 m 0-7S6S '"
... 0
1-2968 "'6' J-(l054 lJS! 2"1662 0-7097 '"
S36
I-I S
1-40')6
110]
1-1406 1464 2"23 46 ''" 0-6561
606
1-20
1'15 1'5202
113)
1163 I-U70 1578 2"2972 '"
562
o-5~55
683
1'6365 1-4448 1696 2"3534 0-5272
1-30
1'7554
1189
1"6144 1815 2"4024 ""
"" """"
'"
1'35
)-8166
!l12
1-7959 19JR 2"4423 0-3646 ""
1-40
r '45
,."" 1230
1-9897 2%2 N7S1 ""
". 0-2710 '"
2' 1239
1243
0"1664 ''''
1'50 I Im 2- 1959 2186 2"4971
'" 1152
l 1
 499

T".LI> 41X I (ronl ,)

, "
.In.sinh{ Dill' "
"n « oo~' +
f "'" ( • •nh (
D,'

l'~S 2'24~1
1254
NI45
2JD ,."" (1)512
1265
, '60 2'3745
12"
H4S8 2437
2'5070 ,.," - (1)135
D8}
1-1>5 2'49% H8'il5 2'4921 -0'2136
1'70 2'6236
1240
301456
nfl]
2685 2"4638 '"' -0' 3644 '''''
1'7S 2-7457
1221
}'414 \ 2-4198 '" _ 0_5284 '''''
,.., 2-S6S!
1195
Jo6947 "'"
,,,. 203577 "'" - ~""'"
In6

HIS 2'9811 "'" )'981 . 2>2177 """ -0'8980 '"''

"90 HW27
Ill S
4·mS
JO"
2'1776 """ - 1-1049 "'"
."
IOS9 JI46 1214 2224
HlS )'1986 4'6054 2'0562 - 1-327l
'9) 3247 238}
)-2979 - 1'S656
"'" ]']893 '"
4'\1301
3346
1-9115
''''' -1-8205
250
H}S
2-10 J'4711
." S'2641
H)(178
3431
1'7425
1-'410
1955
_ H1923
2718

,.,,,
2-15 )'5436 '" 5-9587 "'" 1-32.5
222)
250
_2_3814 ""
JOO8
H036 "'"
OM
6"3162
J58S
3638
L{)7(l2
28S0
-2'6882
_ }_O IJ I
3249
2'25 3'6501 6'6700 0-78 52 }431
J" 3667 JI81
n" )o(.81S
}'6962 '"
11>457
J6" ~"'" 3S3S
-}-H62
-}-7177
3615
2'jS 7'4 146 <l-1114
2-40 H922 '" 7'1842
J6%
3682 - &2772
J900
,,% - 4{)9 76 ""
3985
2-45 }-6678 '"
." 8'4524 -&7068 4102
_ 4_4961
4167
2'50 )0620'} ~'SI10 "" -1-1770 _ 4-9IZl1
2'55 } '5494 '"
,"J 8-8737
3S87

""J - 1-6900
SOJO
5572
-5-1411 ""
4526
<)-2260 - HOO}

."
} '45 11 ))90 - 2-2472 4698
1272
2-65 }-3219 9-5650 -HSOfi "''' -6-2701
2'SO } 'LbS)
'50' <rl!tl'll!
JU'
-3'5018
6512
_6-756S
JOn ~2J
2-75
,.., 2'9729
1924
2287 1001970 286! -4'2024 """
7516
- 7'2588
527 1

as
2'7441-
2-4166
2676
1()o48)2

10'7446
2614
_ 445~

-5'75110
."'" - 7'77S9
-8-}067
S}08

"90 2'1675 "'" 10'9772

2326
-6-6 158
8578
-8'847. "'"
5568
H' 1'8141
3S24

"""
11-1766 ''''
1617
- 1'5284
_8-.969
9126
%<0'
_ 9-4039
5630
- >""
"'" ]'4137 II'DS}

)2 '
500 DESI GN Of RECTASGULAR TUN ~ El SECTIONS

The rOlal ion and the soil reaction al lh~ IWO cdg:. of Ihe beam are

2
q'''V A , (4. 179)
and al
= I
>:, =
4
~
~inh 2/. + si n 2,.
_~
,
to + co'! 2A 2 Af, - L'
cosh U

=
,
L' g,M,
2
- -L' ".P, (4.180)
~.

2 cosh 2A - cos 2). 2 .inh H - .in 2i,

L' cosh 2A cos 2A +
2 MI + -L co",'ii"i-;;;;'CC'-"
co~h H + cOS V. 2 P, -
2 2
= -V~,M'+Lf!·P " (4 . 181)

PASTERNAK has tabulated values for (". Il,. Q,. ~,.~. and e. as functions of I,. Wi t h the aid of
these tables (Table 4rXII) &Is 4.177-4. 181 can be wived. The tables co",ain values only for
the rang<: of l between O'S and 2'15. Namely, if i. < "
4""' the deformation of the girder is

negligible and it can be considered 11 rigid beam: if 4.' < .

~<" Ihe beam belongs to Ih"
category of shorl beam. fo r which Tables ,,"XI and 4,!X II Can be used: if I. >.-, the beam
can be considered inli nilely long.
Returning to Ihe inve.tigation of Ih e ,0,aUed short beam,. lei u. con,ider the case where
Ihe load is appl ied somewhere arOl,lnd the middl~ of the beam (Fig. 4/ 126). By emling throl,lgh
the beam at the line where Ihe load is applied. one obtains N·O beams. which eQuId be analyzed
,n Il,e way di>cu~",d before. The va lue of Ihe imaginary forces Q and M applied al the cUI
could be determined frQm the condit ion thai the di.placements and the rotations at the eods
of both beams shoul d be equal.
If the ''''g/e of rowlion caose<J by JII, _ I 1m al point I is d.nOled as and Ihat caused a,,,
by P,. as a". and simi larly adopting the notalions a" and a" for the di,placement s du e 10
.\1, and p,. respectively. the followi ng equations can be wr itten:
(a" + a;,).M - (a\ , - ,I,,) Q - a;,P, + a;, M, _ 0
(4.182)
(~ , - a;,) M - (0'" + tI;,1 Q - a;, r, + tI;, M, = 0, 1
on solvin8 these equations for M and Q the problem beeom:s analogous wilh the ca,c of
beam, a~l ed UP''" by forces appli~d al line end onl)·.

n,
iT'
..
t I ~
r r i
I'!,-y'1
,., FtG. 41126. Elastica lly embedded beam loaded
fl'" 3t its midpoint and Ihe equivalent loading

1.., condit ion

TABLE 4/XII

, • 0;"_ . D ,II'" ,. 0,' ,. DIll'"

• 0,'
• D,""

()-so124-18661 1 12 "02662 4«1HZ 2"'19592 .99904

O-H 18-23SOI
5"95160
4"12393
9"94857
ZO()780S
1°57786
3-63937 ,.,,.
0") 63 15
2"47461
0052 131
39682
()O9081l
O"1l'JO')2 ' 11"96809
7743 8"98051
2"98758
2-074 37
()-60 14- I Jl08
2-~"1S70
8")707 1 1-22584
J-B747
25530
2-07779

"""
()oSJI69
..." 6-9061 4 I "4SSM
~
•
Qo65 11-16538 7"14481 3-082 17 1-7f>1180 ()O167 16 3-42049 1-09222
Qo70 9"00598
2-15940
6-11362
0-<:17125
2-86362
21855
1"52305
24575
()O7 1181 "" 4-32821 ()O1l2011 <
Qo75
Qo80
7-)8927
6-"609
1-6 1671
1-23318
0"95610
5-)9210
4-75460
78 152
63750
S2B?
2-67468
Z"m76
18894
16492
14519
1"32459
1-16204
19846
16255
13514
1r66359
0"62124
""
42J'
J748
J-507SO
2-87836
62894
49050
~
... ,"" ~
0"85 ~"I9999 4-22923 2" 36457 lo()269Q 0"58386 2"38806
75133 11RS) 11343 ))47 39014
0-90
()09~
4"44866
3-85079
59787
3-7~~23

3-4 1~11
)7012 2"236Q.t
2"12150
11454
()o91J47
()OSI 7 1l
0-09634 0-S5039
0-,2(127
,." 1"99792
1"68s<X1
_
2524~
2
48081 31396 10159 8246 27H ~
1"00 )"36998 39030
3-10415
26836
2O()1891 (Kl9 227 ()o7.l467
712a 000292 2490 1"43M2
"',,. •
~
l -o~ 2-97968 2"83S19 1-92664 Qo66339 0-46802 1"22912
31949 23077 UJ6 620 S 2289 17119
1"10 2-66019 26339 H0502
",... I-S4328
nS2 Qo60IJ4
'''''
0-44513 2 108
I-oH33 14369
1"15
1"20
2-39680
2- 17824
21856
NOj5~

2-232)8
17J2(I
1-76776
1"69912 ..625]" ."'"'
0"49898
4798 0-42405
1r40453
19'2
0"91)1>4
O"1V2S3
12 111 g
,
18233
'''''' "" IHI8

","'"...
10292

. i
1"25 1 -99~91 2"08139 1-6}659 0"456)6 1r38635 0"6891>1
15286 13209 5708 3~OS O-oS805
1"30
1"35
1"40
1-84)OS
1"714)7
1"60566
"'
10871
0-09209
1"94930
1"83340
1"131 46
11590
10 194
QoOl983
1-5795 I
1-52731
1-47950
"'.
4781
4381
0"4111 )1
0"3841 6
0"353)1
341S
,."
,,,.
00 36931
1r35331
IrlJ818
1513
1433
0"60156
0"52376
0"46(1)9
"".
M67
~722
1"45
\"50
1"51357
1-435 36
8821
,,,..
1"64 163
1°56233
793.
roo,
1-4JS69
1-}<)S48 .."
38"
0"32547
0"30008
2539 0032385
IrJ I026
1JS9 0"402Il7
00352111 ....,
"'"
1"55 1")6882 ,.., 1°49225
6 197
I-J!!858
H89
0"27690
231S
2 126 0029726 """
124 1 1r201179
3888
, 'W 1") 1213
...'" 1°43028
5484 1"32469
311 0
0"25564 1955 0028485 1193 0" 2699 1
"'., ~
'02 OBION Of Itf.CfA-.rOUUII TU " "'Et SlCTIOSS

x
•

- ----- ----------- - - - ---

,•
••
----- -- -- ----- - - --- -- --

,
----------------- - -
 TWO-B,.y BOX 5(CTION 0" [LASTI C FOUNDATIONS '03

In 111~ a nalysis of 1h: fr am~ OnC h~, 10 know Ihe magnitude of I he an,le ellanlle artd d i,plactl_
m:nt al Ihe 1""0 end. uf Iht beam caused b)' Ihe ,mil moment (.H, = 11m) and fur« (P, =
_ I Il ( Fi,. 4/ 12.:1)_ Oenolln,lh ~ angle clRngc<, b; a". a" and lhe: displacements b)' a.,. "'n
Ih(n frunl E'I' 4.180 and 4. LHl

Q,, " •
U t',.
,
a,," e. L
,
If ~ < i.e. the beam is inllnilcly ri!lid. Ihe values becOnle
•
a" _ "
,
p
OI,,- -"'
If.l. > ... lhe bum can be regarded u infinitely lonl. In Ih,s case A_ OJ is used in lhe
calculallOM. and 1:'15 4 .172--4.11j can be rcWTiI«:n as

C, .. -C•. C, " -C, ,," cosh'-sinh~ .. , •

.\1 .. C, ,,-. cos': + C,,-' sin.; = C, 'I, + C. 'I •.

,
Q - L I -(, .},
. + C.'1').
,
,- L' [C") . - C,'1,I,

(4.1113)

Ifor values of '1 ' " Table 4 IXIII ).

If Ih~ load is applied al the ed&" nf Ihe b: am CFiI. 4/ 123) and SUbsl ilulinllilc: buundary
conditions. then
AI, ,, C, 'I. + C,'l: " C,.
u { = 0 an:! Ihe1
'1, - "'COI O' - I; 'I, = ~. sin 0 "" 0,
,L I-M,+ C,I.
Therefore IIICe valllC' of the IWO conSlanl...

C, "" M,.

and the displ lCerMnl

•
C, = M,

,
~~ , ,+~ M ,.
L'
.
+ LP••

L'

2M,
-~-

L'
On Ihl1 basi s lhe rOlatiun and displacemen t from Ihe UI"[ mOntCnl

1>1, "" 11m and unn force P, = I I

•
a" .. L'
,
Un - L
 U
I

,
,

~ g~ ~ ~ ~ r.: $; ~ ~ ~ ~ flO ~ ~ '" ~ ~ :

- -."
, I - - •" •• •" -6
••
• •
•

I
!::'O ....
...... ~~~~~
00'::'06600
• • I I
.., ........

I I I ••
I I

,, • -- • • " ••" " -"

"- -•
"
~ " •

•- -
0

u.•••
---
•~
.......... ,• " "~
• " "
• - ••
~ ~ • "
-
" ",• " •" -- • 8

r§~~n
~i!'l"""='"
•
~06=Q= ~~~::~
,, < i • -
• •• & • ,"> ,""
~ -
I
, U
-
•
.ON
-• •••
--
,• " 0
ilg-o "......
0
""

-
0

~ •• • • • ,
" " •
• •• •• 0

•
 50'

, u
00

•
, u§
•••

~:~~~i~~~~I~i~~i
•," I-c<Ie.......,
---:-l o,---.- .- .- -
_ -c- ..- .- .- .- ..--"-,'
_ _......,..,.., ...
, ,

, ~i
,, u, , <I"
~, , ~,
 00101< or RECTAI<OU L,U TLN>;EL SICT10-':S

The calclllations will be demonstrated hy a nllmerical e~lImplc: Determine the

mo men ts in the frame shown in Fig. 4/127. The frame is louded on the top by
II uniforml y distributed load and on the sides by trllp~.widal earth pressu re

diagrams.
J o _ 10- 3 m' , £ - 2·4 x 10' I/m~, C _ 500 t/m 3 , b _ 1 m.

I._ ·14£J .. ' { 4x2'4xlo-XI8xlO 3

- 4·32m,
VCh V SOO
and thus:
1 4·bO
J. = - = - H>672 .
. L 4-31

The bottom slab of the frame belongs to the category of short beams. In view
of the symmetry. the fmme can be a na l)'7.ed as a statically indetermmate structure
with three redundant forces (Fig. 4/ 127b).
The section can be modified to become a statically determinate ~tructure by
cutting it through ut the top centre.
The condition of no moveme nt can be e~ p resscd by the following equations:

"1I,\" + aa~2 + a,~X3 + a~, = 0, 1

" tI XI - a~! A 2 + a13 X , + Qo: = 0, J (4. 184)
a, \X I + au x, + a33 X, + aOI - 0.

, ~ J: ~. from which X,. X, and X, can be

.. Ii ',,' , I ,
calculated. When calculating the unit
displllL"I,:ment fllctors. the displace-
ments resu lting from the elastic
bedding shollid also be taken int o
!£ consideration:

m i fll.
a ll - ~ ds ql J'. d.J.
I
, .. I '"
<4.185)
m.Mo
uOk- ~J d.J - yoq"ds.
\
where the second part of the righ t-
hand side of theequation is the prod-
uel of the pressure (q) on the bot-
tom slab and the displacement (y)
cuused by a unit force act ing in the
sume direction.
F'G. ~1I21. T he tw<>-bay. elasllcally emhcdded
fram<:. analyzed in the I'Il.1mer;'a t example:
Fi rst, the bollom slab will be
(a ) its la_dina di_aram; considered, regard ing it as a beam
(b) i , ~ 5IW',c . 'rUCI\l~ Oil an elastic foundation acted upon
 TWO-BAY !lOX Sf-eTION 0" H.ASTlC FOUNDATIONS 50'

-,
r-
Flo. 4/ IZS. loadml ca..:, on lhe ela~ticall~ ItII}
embedded beam ~
'"n, "'"" {
I

, -I

,:'"
;a
, r,
I
r
.., _..J
t

"
'f ~

c
by the loading d iagram illustrated in Fig. 4/ 128. Taldn~ the centre of the slab
as orlgm, then, because of the symmetrical arrangement of load ings, the con·
BtllnlS C3 and C. will Ix: equal to O. Taking lhi s into account

M _ C.cos~cosh~ + Cisin ~sinh ¢ = C I)'I + C,y"

.... = Ct yJ·

from the boundary condit ions

C. = 2(). M I; C:I - 2!!,M, .
Tlu:sc: "alucs be<:C)m~. on uur enmple:

('._ 2)( 0'16060 ,. 0"32 120 ;

(the ,.tues C)f y. y,.,...)" arc luken from Table 4IXI). Substi lUlinll Ihe: y "alues at tiM: elBhlh
pOinu (Fig. 41128<1). we: ublain Ih e momenl diagram ill u ~lra ted in Fig. 411291. The moment
1:tn 11m

r "
>[~I ~I ~,I-"L!I '"-'ILL1.1I ] ®

~ ~ ' -n
"I.,'''cC<' j"
FlU . 4/129. Moment diagra mt due 10 unot cun~~ntr.-
led toads a nd momenU ap plied a l Ihe Iwo edges o r
tiM: beam (!'"nu,;",,)
"" I 1
"l.J . _
1(-llJY
' .-'\---r-.--r7 ®
H
 OOIGJoI OF lIECTAl'oGUU.. n : ... StL SECTIOSS

- : · 4..:<!} FI(,i .•, 130. Oia~ms of Ihe mornelll effeci

II Ihe ""cl ioll below Ihe Hnlle col ~ mn

diallram for Ihe IWO C(lnC(:ntrltcd oni lloads acl inll On the lWO ed~~ un be obl.;nd similarly.
In thisCllIC
c. .. 2tJ.I'L.
C, _ - 2 x 4'31 x ~221'\ .. _1-92924,

C. " 2 X 4'3\ x &IS660 _ \ -34989,

M _ _ 1'92924),. + I·J49R9y,.

and by Jobst; ' ot;"g the apprupriule lab ul aled )' values II>c momenl dia,ram shown in rill .
• / I 29b CIIn be drawn up.
T~ ,"~uenC(: dia,ram for the mid sectio n can be ploUed a. the sum of the mo ment dia-
vam s o f a ()o5 (load aelin, a, the en d poOinl ~ of the: IWO half sc:<.:lion, Ind from thai r~ulti n,
from the: e:nd mornen l (hll 411:10).

,. I 4-!,0
L .. 4'31 - 1-0672:

4.31 2'7S64
M_ ""p=
,"
L
4 N6Y~
= I 'OJS 1m .
 TWO-lAY 110)[ 5ECl1O'I ON ElASTIC f OUl'DAnON5 lO9

In lC'~ral:

from Eq. 4.176.0. IIf _ A,y,_A.y ••

from &I. 4.1 110 A , _ 4t>,M, - 2(>. LP"

from Eq. 4.161 A,_ 2(>.,\1, _ !lI LI',_

IfQ _ 0-51
fIf, _ O.
Ihus

,.d
At " -2(> , LP , _ 2 X ()o6421 X 4·31 X 0-5 _ -2·1675

<Ihe values of y, an:j Y. can he obl ained from Table 4! XI, and Table 41XII could hc used
for (».

,.,
"f,_O
1If, _ - 0·1422 1 + 0"0360 _ - 0'1062 1m,

M, '" _0"$653 + 0'281 7 ., -0-28)6 1m.

M ... -1'2649 + ()o9440 .. -0-3209.

In Ihe casc of IIf _ 1-{1l5 tm loading P, _ 0, Thcrdon:

A, '" 4!l1 IIf _ 4 X 0·6421 X HIJ5 _ 2·658;

A," 2!!. Af .. 2 X 1'1707 X 10()35 = 2·42JI.

U<-inll alain [q. 4,176, M . _ 0 and M, _ l'OlS

M, " 0-1575 _ 0-2461 _ Oo-SIOl!:

M ... 1"(,950 - 00-8265 .. 0-11685.

Combininlltl>e twO cascs ",e ~hall gel t he innue""e tl ia,ram shown ;n Fig. 4,/ 130.
Ut us calculate now the displacement o f the frame. takinllthe clailK: nalun: of the bonom
l u ppOrt into CQn~idcra. iOf1. Fint t he un,. d"place~nl faclon an: cak:uJalcd for the loads:
X, .. I I, X, ,, I 1m and X. " 1 I. Ihen Ihe displaceme"l due 10 lhe uniformly d,Slri b uted
c"temal I~d p. The momen t diaifam for Ihe load X, _ I I is Iho",n in Fia. 4/ 131. Th"
momenl dia&/1lm in the bott om slab " ... calculated by muitiplyinlllhc ,,,nucocc: dial1l'm ~·.I ues

.."rilblc. r can be delermmcd from the up~~ion

,
of FiK. 4/lZ9n by the 5·05 1m COrner moment. As £ is conSIInl Ind only Ihe value of J is
• and the M'' ' of Ihe moment diag" " "
m'd' '.
i, calcu lated rrom Ihe expression a" -
f 'T :

1· 15 X 2+
"" ""
4-H' + 4·226' 4-226' + 4- 114'
+ 2x 18 1·15x 2+ 2 X 18
1·15 X 2,. 26·739.
lIO

no. 4/lJI. Unit moment diall;rams of

Ihc s tatic ~truc(urc

Fig . 4/13Jh illustrates {h~ moment diagram for the X, = I 1m loadinll; case. Ulilizins the
influclKc dilS.am of FiB. 411293 10 caicul;.lc the moments in the bouom slab. From the figure
mids
the u,'" 'li$[l lacemcol ("<.10' a u _
, f '
can be: direclly determine.
...·;th the corre'ponding ordinates of the m, dililram, the value of
. d an deoy mu ' IIplym8
"

may be obtained. Without g;"ing the details:

U" = + 3'233:
The mOment diairam from the load X. = 1 is a lso given in FiB. 4/ 131. The moment
nn the bonom slab is thc resultant of the three forces illuSlraled (!iCC Fiil 4/ 129a- b and
4! J30a-b).
 rWO-IAY BOX SECTION OS ELASTIC FOU'OATIO'IS 1lI

Knowin& fII. We can ,.I",llale Ike

un il dispIU"'r!M:nl (;Klan " .......
and " .. :

". -J"'. ',', ds _ - 13'6J I,

".. -J- -,
momo dS

The moment (I<allfa m of Ike reduc·

ed. ~l alk.lIy delerminale frame, from
tile loadln& ",ndilion lI"en in ri,.
41127 i, illUSl ra ted ,r! Fig . 4iJ32. The
mo~nts in t he bottom llab lire c~l_
cul~led apm from t he comb,ned o;as-
U o( Ihe verl ical wall react;on and
momcnl$ (~ F ill' 4/1J2.a _b).
Ttx. loadi"l0 r.ctors ean Ihen Ix
CO"'ptJII:<! from Ihe momenl d ialOram
whose ordinate, are the producls o f
lhe I"npoxt ,,,., moment dial>/1lm or-
..Jin~ l C5 M . and "'. using t ke erneral
relationship
.
".-J , - " .
M . "'l

FlO. 4/1)2. M O~"1 d iaa" '" of Ihe ~Ia l ic Itruc-

The diavarnl. ind,cati n, Ihesoe prod-
UCI$ of At ...... a,e illustrated in Fil. lure eausc<I by tke ute,nlll load ina
4 /13], HIld from Ihe summation of
Ihe llreas the required values are obtained :

a.. _ -1 148'4.1; ." ".,_9 11'41.

The equalio:ls e~p"'l<'n. the condilion o f no dispiaccmmt :

""X, + "" X, + a.,X, + a•• _ 0

6-89X, + 3'B A', - S'90X. - 41H·n _ 0

-IH~3X, _ j-90X, + 12'46X, + 911'4 1 _ 0

From Ihese: equations Ihe ~al ..... of X,. XI and X. can be determined

X ,_+14'J8t; X , __ 42-()!! 1m and X, __ 77.4 1 1.

112 DESIG'I Of RECTANGULAR TUNNlL srCTtON:'!

With the aid of 1M kIlO"'" X" X.

Ind X, vallK'l 1110: moment and uinl
(DIU" a' any poim 0( the fnlnC' Ca n
be compUlM usin, the e.pmsinn!

M "", M.+ X . + X,y+ X"",

or In lhe hori~QntaJ members

N_ N. + XL'
and in lhe vertical column,

N_N.+X._
• :46(l
The final 8M valves are I,,'cn in
Fi, _ " / 13-4.
A. ~own Ihe p.-..sc'nlcd method o f
I'AS , n'''AIt in which Illied, st nbUlion of
Contact p,,,,,ura il bailed on the thc_
ory of elutic subgr1lde relet;on. rc-
quiln ••aIM. exteb:§,vc • ad claborllc
compulalion .... ork an d is nol devokt
of t he ' nherem dd~11 of Winkler's
basic theory. A.I 'he factor of elUtic
.IIbgrade reaction (e) derc:ntls not
on soil c ha raCieriJlics only bUI i_~
II. funcl ion of the d 'rTlC:l'I$iorll of the
superimposed structure as well M .
I{ ~,y has ...·or ked OU I. compUlahOI1
mellwd for be:ams on daslif; found-
al ion in .... b,eh Ihe modulus of du.
liei,)" (Youn.', modulus( or Ihe mu -
dulus of ~"Omp,"",sibllil)· (C.) of JOil
FI(,l . 4/1 H . Combined moment dialnm of the ao'·ern soli der<H m~hOns and the
sialic s l ruclu", dcforma,ions of Ihe Mlrroundlngs are
a l", taken inlO aceou nl . In a Il'ccnt
!l ud~~ ·" h" has worked OUI Ihe di·
"",nsioninll of clhtl~.lJy supported
two· bay subwa ~ framC:1 on th i. h" .i~
and marlc il suitable aha for el,,:lron-
ie di(Oilal computers. T be compula-
tion proaram is comllt"lscd of 4 sec-
lions bc:<.-ausc of ilJ lreal extensl ~ny.
In ,he fi rst ph~ ti">f; ulerna' load-
in as .... ill be: fed inlO lhe ~ompuler and
...·ilh ass umed dtmensl ons lhe n>Odcl
of lhe load beannl lorder S)"Slem
and tlte rna"mum a~erap conlact
pl"C$$ure <kilned .... b,eh laller IS dec.·
riO. 4/ 134. Marnell! dial,am of the si,~ for Ihc delcrm inalion of ~l1lc­
clo~ r... me ,nents.
.... Dr. I{~ ... y, M .: Die Berechnuna von U- Oaltnqucrschnittcn mil Sohlplall"nbercchnun~
nach dem Sicifeuhlverfahrcn, V"rI({jnllllrh''''fln, dfJ Gnllldbtwlrrsrlwr.rr- du lJayt'riHhUl
Ltmdgu~h~·rrb<-QnJlall 9. I J 1%9.
 COMPOSITION AND STRUCT UR E OF TU!<. NEL WAlLS 5ll

In the $Ccond phase the deformations of Ihe 51alislically delerm inate Ijlround Sy51(m will be
de lumined under the &i"cn loads (0" and 0", "alues) on Ihe basis of the canonical equation
' y'len, ba~ed on 0 diw1acerne,,".
In Ihe Ihird phase the deformations of Ihe boltom slab will be defined throUIl" the solu tion of
Ihe equation system. (It is possible 10 consider non.uniform;.y of sail s"atilkation and Ihe va·
rialiuns uf rigidily in IIH: ..ari ous members )
In Ihe lasl phase the ",suits of the I,revious pha'" will be uti lr>.cd and Ihe """lion~1 r"r.;;es
due 10 various loadinljl df~l s dC lermi ne<!.
On hBOd of a numerical examples Kan y dcmonslra,,::s Ihal no practical difference is
sho"n rn the rou f slab. bul u",ing 10 Ihe m"re exact deierm inm;un uf cUnl racl-prcss ures. a
considerable savini rna)' be oblaioe<! in Ihe dimeru;ions of the OOllom slab.

4.6. DESIGN DIRECTIVES FOR ANCILLARY WORKS,

SERVIC ES AND INSTALLATIONS

In this section I wish 10 outline briefl y certain aspects and design details that
are not concerned wilh Ihe proporlioning of the shape and dimensions (s trcngh!)
of the se.:;tion and yet are most important from the point of view of COnstfllC-
tion. stability, durability and maintenance.
To cover all the details of the above ancillary wor ks would go beyond
the scope o f this book. and for that reason the following diSClission will be limited
to thei r ap plication in the construction of tunnels and to certain spct:ial provi-
sions and specificatio'ls.

4.61. COMPOSITIO N AND STRUCTU RE Of TUNNEL WALLS

Tunnel wa lls can he cons tru cted of iron, steel, concre te. reinforced concrete,
brick or stone. 4,10 The loads ca rried by the walls are typica])y permanent in nature.
unlike t he live loads ca rr ied by oth er SlfllClu res ~uch as bridges which also display
dynamic characteristics. Fo r this reason permanent deformations have 10 be
considered in bot h steel and concre te. T hese ca n he all th e more signi ticaOl because
more often than nO! th e walls are constructed in part.~ and , thus, are not mono-
lithic. The joints between each section undergo certain deforma tions themse lves,
changing in time as a function of th e ambient earth pressure. From the poin t
of vicw of loads thcsc deformations are beneficial because they help the st ructure
to adjust itself to follow the thrust line. However, the same deformations are
undesirable when it comes to clearances and ope rational safet y as they may
increase from inches to fcr t in time (see Section 72. 16).
The walls, then, should be dcsigncd to have joints that will not become a source
of detrimenta l derormations. The joints in vaults. for example. shall be tight and
radial in direct ion, with a minimum of mortar (abou t 1/ 16 in) and/o r waterproofing
between the aJjacent bloc k.s or units. Concrete, reinforced concrete and stone

..... DAWSON. J.: Tuon~ llin i n g~ TUlIu . "'Sf. Civ. £Ir{/. A m. 1956-1957 83 I7~H. 113-122.
 roll.
'" DESIO" DIItECTIHS ANCllLUIV WORKS

blotks shall be chamfered when subject to he.1VY thrust : bolt co nnections shall
be such as to allow re-tigh tening.
I n II design using stone blocks. the layout and the arrangement of construction
shall be such as tu allow the ke~stone to be placed from the front, unless II specia l
unit wit h increasing wid th toward the cent re has been provided to faci litate placing
from the inside. (This is structurally undesirable, however, as it is liahle to drop
out if anyth ing goes wro ng with the connection .) Since in the case of radial join ts
the kc~slolle cannot be placed from the inside. the resulting gap wou ld have to
be lilled with concrete cast in place. T his is II great drawback, particula rl y In shicld -
drhcn tunnels, lIot only because o f the delay involved in the concrete seHlng bu t
also because of poten tial deformations. It is similarly undeSirable to make no
allo ....ance for latera l pressures. in the deSign of walls.
When designing concrete or stone blocks, the method of eonstrul1.ion would
be borne in mind so tha t the weight a nd sile o f the blocks can be handled by the
transporting and placing equipment. T ransportation and pla~ng a re some of
the most importan t and difficult problems in o rganizing thc whole job bcl"uuse
of the limi ted space and illumination. This IS why pumping and pneumatic pipi n g
of concrete is gaini ng inc reasing accepta nce; thcy take a minimum umount of
space and deliver The materia l fight to thc spot of placing (sec Fig. 7/16). With
the above methods concrete can he convcyed for hundreds of yards lind CAn be
lifted as high as 80 ft. It is not devoid of disadvan tages, howc\,c r, that ulllike blocks
the poured concrete requi re§ formwork and It cannot carry loads immediately.
These drawback§ can be eliminated easily through thc usc of sliding forms (Fig.
7/ 22) and hardening accelerators. It is worth noti ng that the KelilallO tunnel in
Canada, one of the largest aqueducts in the world, was made wllh prl'paC"t
~()ncre,~.Ul
Tun nels, in general, having a hnear type layout, particularly lend themsehes
to co nstrucllon wi th re-usable formwork and 5(."II.ffolding. To control the placi ng
and the alignment of steel segments and rcinforced-concrete panels, all that is
required is a po n a l fa bricated to the true dimensions and acti ng as a 'Iemplate'.
These po rtals can consist of dismoun ta ble rigid ri ngs, made up of steel rp i l~ o r
rolled sections and shou ld be spaced 10 match the width of the pane ls and/ or
th e blocks. About 4-5 panels should be braced togethe r to form one unit.

4.62. WATERPR OO FIN G Of Tt:Nl"ELS

Waterproofing and dra inage are the most important supplementary works in
tunnel construction. G ood "''!Iterproofi ng is es~ntia l not only because of opera-
tional co nsideratio ns, but a lso because of structural protection and to weatheri n g
of the surrou nding rock. While water seepage from tile outside will interfere wi th
the safe operation and usage of the tunnel , water seepage from tlte inside -

.., cr. 8a1l"l(Iml~lIr t 959 /0.

 wAnIlPROOfIl<.G Of TU,""tU lIS

as in the ea§c of aqueducts - will result in losses an d im paired efficiellcy. At the

same time, water seeping through the wall li nd the jomts is the most common
initial cause of future troubles (see Fig. 7/6).
11 follows. then. thllt waterproofing is nOI only to SlOp IIny groundwater seepi ng
into a tun nel and con~eyed water seeping out of an aqueduct. but also to limit
all surrounding s~"CJXlge in order to IIvoid any detrimental wllshouts and soakings.
This is why any waterproofing has to be supplemented by an elaborate drainage
syslem. u :
Of thc two types of waterproofing, namely intCTlor an d exterior. the laller is
definitcly bell..:r from II struetuml point of view (Fig. 4/135). The ("(11"(0' type
has the ad~amage of keeping the water out of all layers of the wall lind allows
thc wall 10 carry the h),drosta tic pressure wnh its entire thickness. On the o thcr
hand. thiS type may be difficult to apply. dependmg on the method of tunnellmg,
and it is certainly difficult to repair (see Section 72.21)" [n the case of clasSIC tun-
nelling methods th e exterior type waterproofing is applied from the overexcava\ed

• --

1"10.41135. Interior and (xterior " 'lIc rproofinl

'" Bod". I.: Villl/lltltll, D mllY;I','Is~1f h ....:'6Iot;:agok ri:::drtUD (Walerproofinl or

cnlinttrin, structllns alld of dIlatation joint s). Mllszaki Kiado. 8udapc$1 t95~.
Lllfnv. K..: Hil"milf~ iJauM"uhablikhmng. T(ubnc:r V"rlaK . I.ripZtl 1951.
M"":WII.I ·COO K: S,ructurol WOlnp'(J(}/ing. lJulierworth·, London !%7.

J)'
'"
side, parallel 10
the walls a n d with numerable con5. rUClio n join ts a nd u n der .cry
un favourab le working con di tiOns: " bonded type ""lerior waterproofing could
not even be considered for shield-dri ven tunnels, because such repairs as might
be necessary would be even more difficult [0 carry out and would require special
adits (see Section 72.32.). The only ideal exteri or type waterproofing for shield-
driven w ontls is pressure grouting, which ean be done from the inside and ('8.11
be extended and repai red at Rny later dille; it is, unfortunately. not absolutely
reliable.
The ilr/u;or (t'pe H"Ulerprou/illg, on lhe other hand , C',m be a pplied from the
inside and fastened 10 the inside face of the ellierior wall, which. while not capable
of carrying hydrostatic pressures, sho uld eefta inly be able 10 carry the earth pres·
sure because it had been completed earlier. The waterproofing on the inside face
of the e,,-(erior wall Coln no l transfer the hydrostatic pressu re to the laller, unless
a nu mber of measures have been taken to provide sufficient adhesion or some other
fo rm of ancho ra ge of adequate strength. (For example. fibreglass.cpoxy resin
waterprooftng o r sheet metal wi th ribs an d anchor rods.) I n lieu if such mC3,ures
the wa terproofing will be unable to carry the hydrostatic. pressures an d will have
to be suppo rted by a second wall or lining, built inside the first one ( Figs 4{45
and 4/ 135). The outer ring will carry the earth pressures and the inner one will
take the hydrosla tit: pressures. In Ihe tilse of impervious units (cast iron, rein·
forced concrete. concrete blocks. elc.) the problem is o ne of waterp roofing the
joillis and connect ions: this will be discussed later in Sectio n 63.23.

The ma terials for waterproofing afe:

I. impervious plaster
2. sheet lead (soldcred)
3. bituminous tarpaper o r foil
4. thermo plastic mate ria ls (PVC)
5. welded steel plate
6. miscellaneous grouti ng:s.

( Waterproofing types 2 to 5 ca n be rega rded as fl exible a nd types I and 6 can

be considered britt le.)
In the ea rl iest wnne ls watc rprooling consisted of either plain plastering on the
o utside face, or - in t he titse of special impe rm eability requirements - of sheet
lead, protecti ng the ou tside face. While the single layer of plaster, applied in a
limited working space roon crac ked. wea thered and lost its impermeability in
most cases. thc a pplicatio n o f sheet lead is to be limited to small a reas bccau>e
of the high cos!. Practicall y spe.lking, neithe r of the two types is eller considertll
todll)' and so there is no need fo r 8 discussion o f details.
 46.ZI. 1'11"lIi_h.,."r ~I .. ~ IHin g .... d ShO' ''' '''I ''
'"
Muhi-Illyer plastering and shotcrete arc both used as waterproofing loday. The
first is used mostl y as an interior type Waterproofing. rcqui rin~ careful preparation
of the surface. mi.'(ing and application. Plastcrings of this type a nd capabk of
resisting hydrostatic pressures up to 2 aIm ha~'e 10 be made up and applied as
follo ....'5:
(a) Base. The prepared concrete surface is to receIVe aboUl 1}4 in monaro applied ",Ih
II rounded tro"'cl and then lert unscreeded and rouEh (I : 4 mi~, ....aler<ement ratio Il'Sl.
D .... , .., S mm).
The limin of each layer ha~e 10 be CuI ofT alon~ a skew Slraillhl line. after !lettin, Nl
begun. Outside the cui lines the excess malerial has to be scrapoed off and the surface hal
to be cleaned.
(b) A "'''ilk luy~", about 1/4 in thick. suctteding I~ base in aooul 24 hours. I.e. alilimt
whcn the 101ler can slill be scratched with lhe handn:lIl. Two hours afler placinlt - inilialltl -
il ~hDIl be tinlshed smoolh wilh a ""ootlen Irowel (mix I : 3: watcr-Ccmenl rdtio 0'4!i, D_ '"
""' 2'!i mm).
(c) Bfffdinll lIJYfT. Al w after 20- 22 h, appro 3/ 16 in Ihick. 10 be lini~hed smOOlh ~ i lh
a wood~n Irowel. Mix I : 2. w/ c ralio '" 0·3!i. D,.,.. = 0'8- 1'!i mn> .
(d) emlf lt' pflY/f finiy}" aboUI 1/ 16 in th ick, I pari cemc", 10 1 pan of waler, 10 be apphed
aflcr48 h. fini<lled ~Inooth with. ",oodcn trowel and re_flnish~::I with a small wooden tm'lt'el
in 8 hours and again in another 3 hours.
Finally, anolher cemenl paste layer is to be added. about 1/6( to 1/32 in Ihick, and il to
be fin ished ""'Ih a steel Irowel after I hour.
The finish may consist of a sin.:ie layer if tll~ o.:=nl paste i, applied ....·;Ih • round brulh
directly over layer (c) - just abuut re~d)' Iu .sct sl il1 ~ofl - Mnd ib tlni~hcd afler I hUUI "ith
a steel \ru""cl . If "",puscd to fresh air fn:Qu~ntly, Ihe ecn,Cn! pasle layer may be replactd by
a ~erncnt blurry finish of I : I ",ix, !i/ H in th;c~ and tinished Wllh a rough wooden Im,,~ 1
and th~11 ""ilh a s l~cl tro ...·c!. !The selli ng times bel"'een subsequent layers can be red!ICed
by up to !i0% under favourable conditiOns.) Cunng is mOSI imponant: reltular sprayinlillall
be kern up for 14 days. Tile completed plaster is considcred aco.: pla blc if thc amOUnt of WlII~r
seepa8c docs not exceed 0'5 fl. oz. per f,'
wilhin 24 h.
In addition to the aoove preparatiun methods t he following rulc~ shall be obscr.-ed:
I. The Ct.:rncnt ~hHIl hll"e high tcn~ile Slr~nllth and low $hrintallc ~h.r.~terisliC8 .

2. T he tcmp~nu"rc of ooth cem~nt and water &hllll be around 7!i_1!0 F at the Lime of
pla~ing.

3. The grading diagram of the n ncl shall be continuous

(a) Coarse 3i:l1rl:J,:ale (D •• , = S mm) "I,
0'0 to 1)-2 mm ~rain Sl~~ IO-I!i
0-21u I-() mm 8rHin , i ~ 2!i-30
1-0 10 Z-!i mm grain size 2!i_30
Z'5 to !i-() 10m grQin si7-: 40_2S
(b) Fine aggregate (0.,... '" 2-!i mm) )<
0'0 to 1)-2 mm J,:rain size 10- 15
0'2 to I-() mm ICrain sill: 25-30
I-() to 2'5 mm J,:rain siZ! 65-55
4_ Imperm eab le pla sterin!: can b: applied only to con~olidatcd StruCtufCS, already lo~d­
bcarinll·
 bo: carried 0'" in u .pace . "o'e.::'~0.1 (.-om ,I>c ~ u". prac,jc Mny ("'~ f"'nI
j . F j "i ~ hin • • han
dr.r,,,. wi,h ",ud)' " " """rature It"d h ... ",idi' y ,,<>,, <lot'ons (to lee!, u""",,.ion a"d s hrink·
mge ~o • minimum).
6. In order '0 • .,o.d cr.ck;na lhe: tl ilfe",oce .n temperature bc:t-,r,een conc"'te ...... 0 and
pla.ler sh.n nOI exurd J5 F.
7. The ideml le mperalure for pla~ leri ",! is around 50-70 F.
8. Pllmerin" on RC",l y COM.rueled concrel" ... al b ~ hlll nOI be: commen~-c:d ... hh ln I. I!
Ind 16 d;,ys Ifler SHippin, PO F, 50-70 F i nd 40 - SO F) and ~hl ll OO~ be: nmtd
on under 40 F.
9. 11lc conerCle shall be thorouJ!,hlY cleaned of.1I dirt (du~l. OIl. soot cIC.) - i..-
~urfllCC
cludiuJ!, any calcium emort$U!nce _ and shall be rouiJhern:d . The dust shill! be elealltd
wilh ... ller under pn:nure prior 10 plasterin". ~ tha t t he "ill "ill nOI ab!.orb l ny
waler from the pla ~l er.
10. Honey<ombcd a re.o ~ shall be: chiselled Oul a nd made ,oad with concrete ha>,nll
hilher ~-.:menl conlent (200 _ 250 Ibj)d' mOle thnn In Ihe "-all) SmHllll r,,~ ca.n bcfTliGc:
~ood "j.h morlar of I : J mix .
lIere If(; rom" of the most common m i.\ lakes Ilnd errors in [,Iastcrin, "'ork .
The Surf~ I~ not clc"no:d prop::rl y.
A cerucnt sl uti') basc IS ulocd , reducin, t he: Idlle>ioo of pllsler 10 concn:lC.
Ory cement Is applied ' 0 t he ""all surfa« Ind lhe properly milled pl. ~ler has wattr
surp lus to transfer 10 the cement (hli~racks ",ill de>c lop).
The 5urfac.: is oyer· rubbed with a Ited lra,,'cl (I he fine cemenl , rains "'ill " 'ork lllrm·
selV6 up 10 the surraa: and haircracks ...iII deyelop IS I result of $hrinkast).
CunnI u inadcqUIIle.
T ile work i$ done: by unskilled la bourers.

More tha n three layers of plnstering arc hard ly ever required. In over·thick
plasle......'ork the diITcrcni thermal and shrin kage coefficients of the individual
layers made of diITerent mixes ha\'e undesirable interaclions.

46.22. G unite "lllslerH.:I

This can nlso be used fo r inlenor type waterproofing. Basically, it consi!ls of

plaster shot at the wall by air preSSUN:. There are two methods of mixin! and
a ppl yin~ :
I. Sand and very fine gr... yo;:] (smaller than 5 mm) arc mixed with cement in
a dry condItion in a pneumatic mixer (see lliso Fig. 6/ 157) lind then forml 11)'
ai r pressure thro ugh a ngid pipe system and Ihrough a connecling fle;'llble rubbtr
hose into a spray gu n. T he spray gun is also conne{'lcd 10 a wa ter pressure system
thro ugh II regulahng val\'e, connolling the rate of mixing water with the dr)'
mil. The ;Imoun t of lidded WIlier shall be such as 10 keep rebound lind plaster
los.'ieS 10 a minimum .
• ~ GII,IIIr H,,,,dtxwA . Conen:.e Proul1n, Co. Ltd .. London 1914.
K~f IN, R . GrundSftldichn ubc:r TorkrCtarbe:.lcn im Tu nnelbau, Elst"ooIrMuA"iJtllt
Rum/sr/",,, 1~ ~2 449, Spr il"tbcton im Tunn~lbau. :"r-h... BUll . 19$6212.
 W~TU'lOOFlNG or TUNI"lLS '19

2. In the othcr method. also Dtw!

called the "wet method", d ry ceo
me nt and ~and a rc lIl ixed in the
upper drum of a double barrel mix_
er (Fig. 4/ 136), then mixed with
wate r in the lower dr um and finally
en ter the spray gun under ai r pres·
sure and a lready in II wet conditi on.
Gunlte plastering may consist of
one or severel layers. None of the
layers shall be too thic k, nor shall
these be a pplied at less than 8 hours
intervals. Prio r to applying the suc-
ceed ing laye r, the cement crust of
the previous one shall be blasted ..... ith
dry sandy material. If Ihe ovcrall
t hic kness of the plaster is more than
W
20 mm (3/4 then a win:: mesh shall
)

he fastcn .."<i to the w~1I in order 10

assct adhesion and reduce shrin kage
cracks. Ho ri..::onlal surfaces do not
lend t hclllsel~es to guniti ng becau~
most of the plaster will splash off.
Gcner&lIy speaking. gunite pla5tering
rcsul!.s in high imper meability by
.'.. , ."

virt ue of the compaClio n effected

byth~ guni ting pressure. T his imper·
meabili ty ca n be increased fu rther FIO. 4I1J6. Section Ih roullh a con~rcte gun ,
by finishing the lOp laye r, mak ing .... i1h ~tajb
usc of its own moisture. Because
of the approximately 30% loss on rebou nd, the remai ning pllisler wi ll have
II considerably highe r cement content than thllt of the original mix. Since
lhis wi ll increase shrinkage. the placing of a I'>ire mesh 15 justified on this
account. as well as the elastici ty of the gllnite plaster is also incre~ by the wire
mesh. Thi~ i ~ e,en more desirable because of its Stnsit i\'it y to slIbscquanl settle-
me nts and dc forma tion5.
Epoxy fibreglass wllterproofing has rece ntly been int roduced fo r interior surfa,-'es
(see also Section 72.21 1).
In addi tion to its origina l purpose, the wate rproof gunilc ring also servcs as II.
structuralloadbcaring member, partic ularly in pressure IUnnds (sec Sect ion 43.4).
,w

Honded type: waterproofings placed while hOI are more sUi table for mleriOTlban
for exterior use. Not only arc the wor king conditions much mo re favoumbJe in
this case, bu t ttlso t he surface pre p:lfil1ion (cleaning. fi nis hing) and dryi ng, all or
whic h a TC essential fo r sound hal placed ..... aterproofings. can be completed much
more thoroughly a nd safely. These items are undoubtedly the most inlpolU.nl
factors in wa terproofing. Tu nnel ....."lIs with no wate rproofing will be mois! not
only b eClHl SC o f Wllte r seeping th rough fro m the outside, but also because of the
condensation of wa ter precipi tated from the humid atmos phere that is inevitably
present in all tunnels. Bituminous hO I-placed waterproofing will ad here only 10
dry surfatts. Collector drain groo\'c$ Shli ll be provided throughout t he enllrt
lHea of the walls to coilel;t the seepage wate r into a subdraUl (see ll iso Fig. 718).
Bt: ron~ applying the first layer of wa terproofing. the surface has to be dried Il·ith
infrJ.~ lam ps, gasoline lamps or Harne-throwers. Cold bilUmen emulsions can
also be a pplied 5ucccssfull)' instead of usmg t he d rymg process; the hot bi lumen
will read ily bond to wate r rc p<:l lcnt rmlte rials of th is type.
It is common prJ.l; ti<;c to use 4 layers of gauge, 120 sheets in the design of .... ater·
prooting. F or intenor type waterproofing a supporting wall IS also required
Inside. Once the laller has set, the drain grooves can be grou ted eit her with hot
bitumen o r wi t h cement plaste r and bemonite. Adeq uau~ grouting ducts have 10
be provided in the su pporting wall in IIny casco T he design, spacing and placin,
of the d UClS requ ire special !;are because all joints and connections can become
potential sources of !ro uble.
For exterio r t)'pe bonded water proofing. the drainage, drymg. bond ing arlll
fimshi ng of the outside face are a much grea ter problem. An e~en fimsh is panic·
ularl)' Import an t because the wate rproofing IS likely to brenk and fail under the:
bending moments caused by u n e~en sup port.

46.24. Reinfol"CC'cl Bituminous Wl tcrproofi na

Bitumi no us wa terproofi ngs reinforced wit h for i (lI lumi nium, zinc) ha ve been
used on a nu mber of occasions because of their im proved bending strength. The
a pplication of materia ls of this type did not prove suCtt'>Sful in the fie ld of tunnd
I;onslruelio n. ho ..... ever, because of the long te rm settlements and ot her movements
th~ t the materials were unllble to fol low. Also, (he bi t umi nous I;ollting has !eft
a 101 to be desired beca use it has failed to protect t he foil ma terial from corrosion.

46.25. I'Ve Waferpto nfing

The use o f I've sheets for wa terproofing tunnels appea rs to be much mort
promisi ng. The abr lity of the rmoplastic ma terials (Opanol, Dynogen, Isofol) 10
stretch to man y ti mes their original length is most helpfu l in overcoming tile
 W"TU~Il00'- IS(I OF TUSSEU
'"

Fn; . 41131. Pta~li<; "" ~Ierproofinl pl..c<:d on the ~ll1Idos

o\'erstresses and Slress concentrations caused by settlements and lack o f local

support. ·' Isofor·, for example. has a tenSIle strength of 190-250 kg/cm! (2700
to 3500 psi) and an ultimate elongation of 280-340 %.
PVC type waterproofing has been used with good results in Czechoslovakia.· '"
A number of admixtures (softeners. stabilizers, lubricants, fillers) ha ve been
added to PVC powder in order to im prove impermeability, reSiStance to heat
and corrosion and also for e\:onomic reasons. The sheels were 1- 2 mm (about
1/ 16") thick and have stood up well against corrosion and chemicals. They are
sensitive. however. to gasoline. kerosene. O Il. acetone and elher. It is recommended
thaI prolonged exposure to the sun should be avoided.
Because o r the lack of bond the structure procticall y has to be wrapped inlo the
above waterproofing sheets (Fig. 4f I37). Provided tha t this is possible, the finishing.
draining a nd drying of the surfaces can be dispensed with, which is a tremendous
advantage when it comes to exterior type waterproofings. Owing to their ductility,
the sheets can span over surface projections without being damaged. Another ad-
van tage over bituminous sheets is the fact that there is no danger or rotting or

. ... H .. p~, l .: lsolovani ~l avebnkh konSlrukd foliam ; z mekeneho pol)'vinylchloridu

IWal~rprootln, of buildjnl~ wilh soflened polyvinylchloride sheets). lI'l. $IIJ""I 1959 4.
 ''''''',,''' "' ''' C I ' V" _ "NCI ........ Y WO"KJI

loss of ducli lily (aging) . No. wIlnSU.nd,nll the abov.,. whe~e good .... orkm .. n.h,p
is " factor. Ihe sheelS a..., usu"lI y aLued (hOI or coLd) 10 Ihe ...·all. Th,s can be
d one with hOI asphalt. various epolly resins and other special bondmg agents.
Prior to the applica tion of such wa terproofing the surface shall be cleaned tllor·
oughly lest the soft ma terial be damaged by dust or other rough panicles.
The sheets can be spiked both hot and cold. Cold splicing is similar to [1Jbber
patching; the bonding agent, as a matter of fact, is rubber ccment. Hot splicing
con be done either hy ironing or with high frequency d ielectric heating, melting
toge ther the abulting o r overlapping sheets nt 180-200 ~C (350-400 F), wiLho~t
using any foreign material. Both facto ry lind field splices have been made in
Czcchoslovakia with very good results panu:u larly with overlapping shccts. u ;

46.26. S tft:l-sbcct Watl'" rproo£ing

Altho ugh the use of thermoplastic waterprooling sheets is promisi ng, thm is
no absolu te proof of durability because of the limited period of time since t/l(lr
introduction. The only absolute waterproofing to da te that is completely $3ti5-
factory in all respects is the steel pia Ie, welded frolll inside. H owever, for cconomlt
re.1S00 S, its u~e can be wa rranted only in special cases, such us uqueduets, under-
ground gus-reser~'oirs, engine rooms a nd electrical cont rol centres. Used exclu-
sively as an interior type wate rproofing, the steel lini ng is unable to carry hydro-
static prcssu res by itself because o f ilS thin cross-section. It has 10 be supported
by a reinforced concrete ring., requirin g an e."(pensi\·e and l ime-consumin g process.
For this fCason it is advisllble 10 use stiffeners on the outside fnee of th e steel
lining in order to take the hyd rostatic pressures, or, better still, anchor the .MJf-
fenen> into the oUlilde concrete wall a nd take advantage of the resulting composite
aCllon with the stccl lining acting as reinforcemen t.
Stiffeners are always required at the spikes of the steel linint;. These may con-
sist of rolled steel scctions(" ,L o r [) ",dded to the lining and embedded in tile
concrete (as in Fig. 4/ 139 and 6/185). Considerable saving can be obtained 11I"ilh
suffic ie ntl y closely ~ pu(.:ed sti lfeners and anchors by developing composi te netion.
I.kx::luse of corrosion consideratio ns, the thickness of the stccl plnte elmnot be Jess
thnn 6 mm (1 /4') in any case: t his means an a rea o r s-teel of lis _ 50 cm1/m(J-OO
in t/ft) of usable reinforceme nt. The inevitable ga ps between steel lining and COD-
crete can be press ure-grouted unerwards (cement grou t o r bitumen) : this will pr0-
vide structurul strength and protection againstl'orrosion at the same time. It sllould
be realized , of COUnie, that grouting Will be rendered more difficult here because of
the sLllTcncrs.
Steel lining is particularly important in the waterproofing of pn:ssure tunl1(ls
leading to the t urbines of hydrodccuic gcne rol ting plan ts. The relia bility of the

• to5n ... I1:", J .: Fliidalan , epilmenyek ui~'cl(sfnck helyu.e Csehv.lo~~~iAbAn (Wiler·

prnofina of underaro ll nd Siruciures in CZ(choslo'·... ki~). M~/yiprlll/. Szr",l~ t960 Sept.
 m

walerp roo fin K a nd protection ".",ns! d ama.!!" arc partocularly '",por""" .n tho
case 10 preve nt the lou of WilIe r , II must be n Oled Ih nl the: walerproofl n g may be
c;ltpll!led to conside rable pressu res. II is true that In beanng the internal pm-
sures the wulcrproo fi ng is supported by lhe surrounding concrete and rock:. but
it is also we ll 10 remember I hal the d istribution a nd Imnsfer of such pressures will
also sci up addi tional stresses in the lining.
A continuous con tact between steel lining lind concrete is 50 importan! thaI
mllny a Ul ho ril ics have suggested Ihe omission of all stiffencrlI and anchori as
th~ may present serious problems in the making of solid concrele and in pressUR
grouling. (The usc of expand ing cement may be recommended.)
Slee! shee ung as waterproofing is applied mostly as a son of inlerna l lining
although recenlly in the waterproof insulation of underwater caisson-units it is
advantageously used as external sheeting offeri ng simuhaneou~l)' a certain pro-
tet;tion for the concrete face against impact effects.
Let us present two examples of internal waterproofing of thc B ud apest-S~b­
waf·~ -u
A relatLYt'l) thin (J 4 mm) steel-shet:IJIlg ~'8S applied first , which was an<:hored
by welded flat-steel cl;mlps inlo t he external concrete wall. The anchoring clam~
are welded on the internal face of axially running flat steel strips (80x 10 mm).
The external (oulside) face of the sa me strips offered a suitable place for the In-
sulation-sheels to be bu tt-welded o n.
This type of waterproofing came to application only inside a completed concrete
tu nneludnillting the placi ng of the prefabrica ted Aat-steel-strip network on pLectS
fitted With welded a nchoring clum ps reaching into pre-bored holes a nd lealmg
an interspace of about 5 em clear rrom the concn: tc-faee ; embedding of anchonlL!
d a mps being effected by subsequent gro uting. Insulating sk. in-plates were then
\\oeJded on the nat-steel s keleton and the interspace filled out with cemen t momr
under pressu re. This type of waterprooting was built in merely for the exclusion
of w"luer-seepage a nd ils strength was not sufficient to withstand .l.trcsses due to
water-pressure. Agatnst this action an inner monolithic R. C. ring was to be built
in order to perform IIdequn te su pport against the pressure of excluded water. The
loadbearing resistance of the conSiderable nmount of steel in this case was appar-
ently not utilized. ( Fig. 4/ 138). Contm ry 10 this, the seeond amtngemrnt is
providing for both. insu lnt ion and load bea ring as well. This arrllngcmrnt is
composed of a welded grid of small T-scctions (50 x 50 x 5) sp3ced a t about SOO
mm cent res being solidl y ancho red by welded fla t-steel clamps. This prefabricated
grid IS placed on t he inner face of Ihe Shuttering and embedded in the cast in
situ concrete hning. Afte r the remo\'al of the formwork shuttering haunc hed ~ttd
sk.in plates 4 5 mill thick will be welded on the ("te mal face of the T-s«tions
constituting the grid. the sha llow bays or which will then be subseq uentl y groote<!.
The trough-like shupe of thc plnte permits t hat only tensile stresses \\;11 be

.... R6~SA, I. . and SAkQ5I, A.: Eine neue wauerdrur;k hahende Dichlunll rur Uotenqc-
ballleo. IJsl"~. 11l/I. Ztll~ehr. 10 t 961.
 524 D£!iIGN DJR E[' nl'~ S FOR ANCILLUY WORK S

!./e,- lbN Ie b.
J~~q~,11/1f gtNt,d

f7~ , r o-o- ,....,

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s.,,,,,,,rllllf [
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FlO. 4/138. Lalcr a pphed 'YI'<=S of slee l- plate insulation

FIG. 4/139. Simultaneously applied steel-plate insulation

present and a powerful anchorage ensures that the retained water pressure
will be (reverted) transmillcd to the ex ternal concrete wall ( Fig _ 4/139).
The re is still a more fa vourllbk possibility when the cooperation of the t)(tcrnll l
steel-grid is secured by powerful an<:horagc to such a n C);tC lll that a (,;ompusite
action between this rigid reinforcement and the coo!;rcte may be taken into ac-
count. The isolating steel ski n must be rcasonubly fa sten ed 011 a stiffening grid
com posed of a rec tangu la r netwurk uf T, L u r U (tee, angle and channel) sectiuns,
constituting ribs. offering suit-
able faces for the affixing the
anchoring damps and for the
fillet-welded spikes of skin
plates (cf. Fig. 4/1 40).
A sufficiently dense spacing
a nd powerful anchorage of
the stitTening sections con-
siderably increases the con:·
posite action of the skin plate
with the concrete. resulting in
an appropriatcconcretesaving.
With regard to the corrosion
susceptibility. the minimum
thicknes) of the skin plate
must not be less. than 5 mm
(3/ 16 ins), corresponding to a
reinforcement area of F = 50 FlO. 41140. View of the: skin· plate insulalion sheeli n,
in I he dod_yard of prefabricaled eicmen15 al It cnd sbu 'll
cm~ per lineHI metre. [t must
be borne in mind however.
tha t the grid-like arrangement of stiffening ribs will be a disadva ntage in grout·
ing, i.e. in the production of a tight and void-free contact between concrete wall
and ski n-pla te.
An exemple of an extcrnal skin plate insulation is represented by the precast
dement of the vehicular-underwater tunnel at Rendsburg.·· ' 7 The 20 m wide
and 140 m long R. C. unit of this double tunnel was precaSt in a n adjacent anifi-
cial founda tion pit and after the removal of the separating earth-bank. floa ted
into position and submerged on the dredgcd canal oollom. Construction was
started with the placing of a oollom skm plate. 6 mm ([ /4") thkk, followed by the
immediate welding on a t both sides of the vertical skin plating being used at the
same time as external shuttering of the R. C. walls. T he ski n plates on the top
of the section have been placed after the completion of pouring all the concrete.
the eventual cavities being subsequently grouted. This Sled plate insulation was
not considered as a load-bearing element and therefore an adequa tely powerful
anchorage and composite action was not aimed at. merely simple anchorage
damps being provided for holding the whole skin in position and to otTer effective
protection against eventual mechanical impact during floating and submerging
operations. T he section on the left side of Fig. 4/ 141 represtnts the usual
conventional bituminous insulation amlOgement applied on the approach.ramps
constructed in open-pit.
Special importance is to be attributed to steel plate insulation in the case or pres-
sure tunnels adjoi ning to hydraulic power stations. [n this case the construction of
'.Il VOOf.~. G.: Abdichtungsm.s~ n.hmcn bcim Slrasscntunnei Rcndsburl. Blllllu littlk.
1961 2.
526 DESIO" DIRECTIVES FOR A~ Cr lLA~ Y WORICS

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" perfectly nCling " .. d uflobject,on,. b1c insulation is ind ls pensRble h<!c/lU"," or the
reqUired prevention of waler .."fihration lind resi stance "gainS l 'cry hi g h imcrnal
pressures. T hese inside-pressures UTc 10 be: resisted JO cooperotion with the con-
cret" walls and surrou nd ing rock masses 115 .....ell. The possible failure of the rtla·
thelY thin sleci skin lining due to the 8Cling e.\ lrcmcly high h)drau]ic pressurtS
will be most safely prc\'ented, when not uposlOg it to Its direct effect. bul by
pro . . iding II safe and undiSlurbcd tran smb~ion of the produced stresses \0 thr
embedding concrete lining and 10 the surrounding rock masses. Thai hOI',tler,
may be allamcd only, when these toad-carrying shells arc lightly bearing on one:
anothe r without any unfilled inte rs' ices or voids. E:\perience has shown, that II
is by far more ad va iliageous 10 omit the ribbed o utfi t a nd pov.crful anchorase of
ski n plates because Ihey muy lead to honeycombs and unfilled ~oids In the em-
bedding concrete as well liS III Ihe groUling. (Unde r certam circumstll nces the appli -
ca tion of sv.elhng cement Illa y be a lso considered.)
It is a lso clear that su~quen t grouting must be TCS!arded as an indispemablc
completion of a ny steel plale insulation regardless of the applied arrangement.
G roUling llppears 10 have II parlto play wi th all types of wa terproofing because
of t he importance of continuous contact be hleen t he Sirueturallayers. Groulinr,
in itself, clln also be used as a type of waterproofing. The structu ra l significance
of grouting in shield-driven and olhe r tunnels will be di scussed in Section 63.225,
where mechanical equi pment and methods of .he tim and second application
ure also dea lt with. As will be seen there. the first low pressure grouting is aimed
at filli ng the voids tllld the second, high-press ure groll.;ng is applied for waler·
proofing. The most sui table materials for grouting arc cement-bentonite SUSjl(D'
s ions and hoI bi tumen.
Gro uting has been men tIOned here only 10 com plete the list of wuterproofing
met hods. Reference i$ made to Section 63.225 for funhe r de tai ls.

Effet'lh'IY or srou linlJ m81crials lind IfOUli!l8 IKhDlquc~ in ICMral tu. ,·c been WIPY
dIXlISJed lalcly on 11M: Sl:cond Internll tional Confc~n~ on Rock Mecha nin in Be\vldt
1970.' " AtLhoulJh the queslion was deall .... ,t h prima rily .... il h n:fe~nl"e 10 Ihe IrOUILnl pO$-
$ibihlle§ of fiuured or Join lcd rocb still Lhe iC'nc:r.tI "8lemcnls hold ~Is.o for soils. Sl,ICh In
importa nl itcm is tha i the use of ""menl lrouls ca n not be cifecliv(:. in join ts belo .. 8 .. ,dlb
of t ~U /. even wh<.:n plas lifyinlJ lind ,urfacc·aclLV<:\ substances sU1;h as bentonite a rc ad0t4.
By the UK of fUTIln-r<:sm Krout of extremely low viscosity opcnml!-S up 10 0- I mm could w
efrectivdy sealed. An Inlcr~linll elforl IS 10 nl ablish pcrmu.biJily Icnsors In Ihe a nisotropIC
fissured r<.>Ck 8'1

I Ii>z . Ii",. k"

Ii _ Ii ••• lin. k"
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.... Pro<:. II. /nl. (.(,,1/. Rock Meeh. II , Gell. R~p.ltJr 1Rt"'~ 6.
 DES.O..- D ••••C . ...•. . . . 011. .... C.LL .. . V "...."".

Thi. ,,,,,.0. m~~ lIiyc 'hc ""~"o" ~ . ",~cn 'he ''''''' 0< o f ..,cpa..., vclO("l1)' .nd ,ke hy4'.~I;';
y.ad'en' IU

'. I k.. k" k it'

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= k ..

k"
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k. 1
k"
,.
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where Itle ~omponents or k can be ~"lIlculalcd rrom the conslanu describing Ihe P'_II')'
of 1M: joinl !>CI
Also Ihe apphaolion of 6.;",'e permeabih t) codlicicnts has bftn ad~istd . For in;lIl1t'r.
for a rock inlel"OCCled by ooc 5O:t of jOlnls ..... ilh Op!:1tIngs of 0·1 mm and spacing of 2S till
~ ficll\'C pumeabllily I'OC ffi C;Cnl of k .,. 0'3 . 10- ' cm{..ec has bct"n derived.
Fissured rock Wllh a pCnnc~ bilit)' oodlkienl k _ 1O -I l:mjsec cann(lt be ~roulcd 1\>,th lilt
hupe of SUCCL'$s. A lIempl$ ....e .. e slw m a d~ 10 develo" some ~lhO<J ror !If"Oul·take prediclioo,
All these efTo"$ Kern 10 be at I Ilromisinll but ''CI')' carly sialic.
T M: "arious possibi lillcs and I~hnolog~ uf waterproofinll road l un!>Cls "".e rl:CtD~y
described and ctassifi",d on 1M X I Yl tI Con¥fCJS of Pcrmanrnt InlernallOlUIAswciallOllaf
Road CongresS¢5 (Technica l Commlllu·s R, "'porl , Prallu"" 1971).
Before underlaklllil any walerproofing il is alwa)~ lI..,.;elisary to COU~IIIS ",idely u .,.,.siblc
local infiltrations of ....·a l ~r by pipes leadilllllh"'rIl alonlllhc e~cavatl(ln towards Ihe 11)II1i1u-
dinal OUI let PlpC.
From thc m« hanica l pollll or view il is Ihe "'ultrpnxJjing al lilt ull"(l(/(}S ....·hich is advNd
as IT\Q!it rational. On the other hand. from the POlnl of yj.e,.. of future mlol1llion thIS 111M
leasl prllCl.c:al melhod as it prewpJXlSel a t leut pa rtially Ihe demoli tion 0( the CQn<.:rctt h~.
in,'O F ' 10 ii,
Thercfo~ the li f~ of the subst an<:es used for walcrt illhtne55 is CS5CnlUli. If _,ns ttlal on I~II
poin l one can h u ~e ~urrJCienl confidence," Ihe modern synlhellc (thermoplutlc) mat ~r .. lj. ll
is al so an advantage. that in Ihe case or l hcsc plustir m"nbrr"'t~ it is nOI n~essar)' for the rock
to be absolutely dry 10 lay the walcnillht membranes. Wal"f"I'O!luy<'rs <'OflSl,u,'/rd.,
sprayi"" ~n: made of bit umen Of syn l helic mate ria ls. .. ben applied in shct:ls Ire made of plI51it
membranes I 10 l mm Ih,c " _
Inlrrpoltllrd ",aur/Noo(lng is uJldcn;tood ",·he n a ... aterproof II)Cf is placcd bctwecn Iti1I
Yllults or succcuj,'C coocrcte rmp_ Biluminous thects reinforced ",'h Ilbre &:IaSll:, plaUle
shutln ll and eJXl~y resins may be u~d for this purpose.
Wall'rprlJ(J/i"ll dirclfy til I~ Imra<i1>1 ca n on ly be used when Ihe "'Plcr pre:.s urc doel nl)!
exceed I 10 2 kg/em' and when there is no risk of frost .
Hcre- varioUl tyll¢" of mull i·laycr plaslerinS (d. pOint 46.21) 0. cOllinp made of synlhttic
produo;u 21:m (l,d·) I hic ~ rcin fOr\."Cd 0)' p-ids offibre,las may be u!icd .
An cllicicol melhod is oft"crcd by Ihe use of secondary lininll. "hen coocn:le plastic matt·
ri/lls or steel ~lInK may mll~e up the 1it:h t 'lIl1ltmK mean! ather 10 aotry walerproo/'inl
or 10 C(lnSlitule il in itKlf.

4.63. OKA I NAGt: Of TUNNELS

The 111>'0 majo r eom pone lllS of t un ne l drai nage syste ms a re the lr.l nSI"trsc
collecto r sys le m a nd the lo ngi tud ina l gattery. Aparl from t his. t he design will
be basica ll y d iffere nl fo r t un ne ls i n m o unt lt in s wh e re d ra inage through gra\'ily
is possib le a nd for s ubllq ueous tu n n els o r t hose passi ng under b uil t up areas
wheTe either 'nterm,ttent or .:ominuous pumpinll: , s required for the relTlovlll or
inliltrllt'"~ "'"ler.
As already mentioned (Section 3.7), tunnels, in general. can also be regurdell
85 oversize galleries collecting water from the surrounding ground and nd
(Fig. Jf9J). As It is almost impossible to di\crt the seeping water, the problem is
how to kee p it out of the tunnel. This can be achieved either by completely imper.
mea ble waterproofings or by providing an interceptor blanket behind the walls
which is no t susceptible 10 wash-outs. softening nnd hoeing, and from where the
water can be drained directly into II sep.1rllte longitudinal drainage gallery or inlo
the tunnel itself.
\Vhcn excluding wa ter from the tunnel without providing for its drainage. the
Iming must be able to resist cxlernal wa ter-pressure of the full hydrostatic head
(cf. Fig. 3/92), but we gel rid of the 1C0ubies of the disposal of infiltrating wattT.
011 the other hand, when the entlancc of wUler is deliberately admitted through
a properly a rranged and constructed dro.Linage system into the tunnel, no hydro-
static loading will act on the lining. bu t thc constant rtffio\'al of infiltrating
water must be cared for by the m.. intenance sen'ice.
The provision for a sep..1n1te drainage was attempted earher by delibenlt!y
leaving an interstice betw~ ll the wall and the surrounding ground and applying
wa terproof plaste r to the outside face, about 2·5 5 cm (1'~2") thick and thorough.
I)' finished. The space behind the ....·all, obout 20 30 em (8'-12"), WIIS then bad·
filled snugly with dry. hard stone not susceptible to frost. Thus. the water could
not n:aeh Ihe wall at all, for the w.. y ...-as either blocked by the finished plastt'f or
the ....ater was intercepted and drained in bet .... een the stones. It was then coll«ted
e\cry 8- 20 m (25-60 ft) and directed through Interals (leads) into the 10ngitudill.11
gallery. However, m.. inte nance problems hnve proved this method to be unsatis-
factory (cf, Sel:lion 72.21 J). T he outside plastering was of course by no means
a perfm waterproofing and while il did retard and localize the devclo pmenl of
Oaws in thc wall. It did not stop them. The steady stream of water towards the
tunnel. on the other hnnd. is contmually leaching. washing lind \o\.eakeninl: the
surrounding ground. T he above mentioned backp.1cking of the space behind the
wall proved to be 11 great evil for the maintenunce because it sClIled partly il~lfa$
a consequence of the percolating action of water <lnd in addition ils voids admit·
ted the infiltralton of the finer particles of the surrounding ground which allied
to additional loosening and thus to a further increase of rock pressure (cf. Chapler
7). It holds now therefore as II general ru le tha t tunnel wall masonry must be cast
quite lightly agains t the surrounding earth foee to anticipate any di~locemcnt.
In mountaincous te rrain the amount of seepnge water is in proportion to the
infiltrating portion of preci pitation and is thus.a function of the seasons as weill.
The collected water is usually drained through longitudinal subdrains (ilso
called dr.un galleries). which can be located:
I. under the centreline of the rood or of the track.
2. next to the wall b.1SC.
i." BnlJ)PI.: J",,~"i""rflroIOflI~ \I $11 .

J4 5'0,10, The A" "f Tou ......

530 OUIGN DI~ECTIVES FO~ ANClLlARY WORKS

tecliOlJ b-f;

,
Jecilofl a-a

Dtop
drJIn

It crntrr
FlO. 4/ 142. Tunnel drainage ~chcme

In the first alterna tive the concrete or Slone drain gallery is conSTructed over the
inverted arc h. This arrangeme nt has one drawback: any repai r or cleaning of
the gaUery necessitates the removal of the pavement and therefore interferes
with continuous operation. In the second alternative the gallery is made pan
of the wa ll. Although easier 10 clean, it does weaken a critica l section. Any crack
in the cantilever-type gallery will resu lt in water gelling under the wall base,
softeniog the suppo rt ing gro und an d cllentually leading 10 settlement, ti lting of
the walls and cracks in the arch. This design, then, should be adapted only in the
case of water-resistant soil an d rock bases where the above problem would never
arise (Fig. 4/ I 42).
In upgrade hcading~ the water in the galle ry may be removed by gravity drainage
\0 the porlal or 10 gathering sumps, in which case it will have to be pumped out
(continually or intermillenlly).
In case of a heavy inflow of water the dra inage problem becomes more compli-
cated and special drainage adi ts have 10 bt: provided parallel to the tunne! (see
also Seo:.:lion 72.333). Frequently, under such drastic measures an underground
pocket which has been tapped will be drained off an d exhausted or dimin ished
10 a trickle; in this case the draining adits become vents drying the tunnel. Such
ad its, however, are seldom designed in advance without a thorough geological
su rvey and are used rathe r as emergency measures to stem a sudden inrush of
water(Tanna, Mom d'Or, Grea t Apennine tu nnels, etc.) or are constructed later to
facilitate main tenance. Chapter 7 discusses this poinl in detail (see also Figs
7/13 and 7/ 26).
Recent ly F. ScHEIDEGGER" 5o) has pointed out that it is practically impossible
. ... SrHEIDE(;f1f.R, P.: l)ichlunp"crfahr"n ffor Slrass.enlunnel s. Dn Tiel/"", 19107.
 III

10 exclude water en ti rely from the tunnel, main ly when a co nside ra ble hyd ro-
~Ia l ic head is to be taken into aC(.'Ou nt. Some weeping wa ter is pcn;olali ng even
through the most carefully caSI co ncre te !Lning, main ly at the dila ta tio n or othe r
str uctural joints. T his is followed by the extilt ra lion and Icac hing of free-l ime
leadi ng soon to a n unpleasi ng appea rance of 'he tun nel-facing. Some attemp ts
are made 10 COH~r the structural lining by an add it ional non-Slrllcturul secont/ary
fining. i.e. precast elements. lcaving a frcc space in between fo r the collection of
seeping wa ler and \0 d rain it olT into the drainage canal system of the wo nel.
which cannot be dispensed with anyway because of the unavoidable collection of
clea ning wale r, elc. T his dOl/ble lining is very expensivc of o:.:o ll r5e and therefore
it is the he tter solution ...... hen we not only adm it but promote the entra nce of water
inlo the tu nnel dra inage syslem, under cont rolled and safe circumstances. ~I is
suggested new syslem should consist of a si ngle structural lining provided with
a resistant in ner wat erproof plasteri ng. The infiowing water must be collected
and drai ned off in cu ts encroachi ng the arch all aro und and a rm ngcd al 8- 12 m
(27-40 0 ) distances. [ n orde r to increase dralllage activity incli ned holes will
he bored radiall y from Ihesccuts loa depth of 2- 5 m (7-[7 fl) at the end of whIch
small cavities (chambe r) wi ll be blast out with very modera te amoun t or u: plo-
sives ( Fig. 4/1 43Aa). Fro m these small collecting cham be rscmcks will spread oul
into thc rock, facilitating the collection of water from the affected zone. Thc
cuts are urranged at the indispensable dilata lion and sepa ration joi nts and will
be covered with litting and pleasing co\cr-plates from the inside co rresponding
wit h the inner face of the tun nel-lining. T he about 0·40 m ( 16' ) wide interstio:.:es
may be d ivided into two compart ments. Ihe oUlside space se rving water eollct"1.ing
and drain ing pu rposes, whereas vcn tilation lind lighting devices and service
cables may be housed in the se pa ra ted inner compartment (Fig. 4/ 143A b).
The advan tages of drai nage ga lleries have bee n pointed ou t by J . C. SHJl.R P·· 1
Illt ~I)' in Belgrade. The o pti mum location of a gallery is gO\'erned by the following
parameters:
a) The ga llery should be located so as to dra in effectively any possible zones
of failu re.
b) Ge nerally the gallery should be located as close to the face as possible.
c) For access a nd frec drain age rell~ns th e ga llery should nor mally be located
al the same elevation or greater tha n the toe o r invert of the tu nnel.
T hese basK: rules have rere rence priman ly to slopes bu t may be reasonably
applied ali>O 10 tunnels.

Some Ih~orcl icllt <;:on$idc ral ions have bc~n Ikvctoped for the determinllln)n of Ihe approll;.
""'tiV<' amOllnl of ",'ater lMfiltratina into a tunnd··.... This computation method is blsed on

'-01 SHJl.a .., J. c.: Drairnt.,e Chal1l<;:terislics of Subsu"&« G aHeri~. Prrll". II. Iltl. CUll/.
ROt:k M uh. fleillrade, 1970 III. 197 .
•." NUOUIW, I. S. : Computation of the amo~ .. t o f water infiltrlltn& into D IUnflCL
(Ra'K hot pritoka vodO f ton neli. Russ) Trunsp. SIYlJi,~I. 196 1 , .
m Of51GS DIRECTIVES FOR ,-,'CILLAII:Y WOllt::~

FIG. 4/ 1431\. Effidenl wa ler ccl-

ICC'lion and dOlina"" ~~I,.m
lSc";HflD(OOU.)

.)

rIG . 4/ 1438. Scheme of " ll1er !o«P"P' inl O • )hld d Hannel

,,-ilh di>charge dial'am
 0..... '....."'.. 00- "'''''''''_LII
'he .. "Rio,>.)'be,,,,,,,,," [)..
n:)" ~ I.w for ~'o"n<1 ....-a'e' .IC'C,,",F QO\d Oh m'. I. w fo r ,he pr<,,,",p"""
'"
of "'ee ' "" " urr~n' . , ,, co....,I " .km 'h " di.tribll.ion o f " ' '''''';c po'e,,' i.. , in , hoe eI~ ' "e mood ..
in CO" e>OpUn d,,,.o< wi ,h ,he di>!ribu' ;oll o f h y dr.ulic P'e.I$O'''' In ' he "",epin• • round ..... er.
As !he ol»cr\"a l,on and lTlC'uun:lTl\!nt of ~Ie.:[ ric potenl;'ll on moxkl, is much moTe' 101m""
Iha n Ihal of hydra uhc modcl$, lhe former may be measun:d ~nd IIpplied for lhe dclerminl-
lion of h)drauhc pl"Hlure dislri bu tlon a nd of around .... ,er dl!oCha,..e.
The diKha~ of ,round "Qler In' tl A lunnel con5lilulcs. Iliree dimensio nal problemlnd
may be lIained from Ihe foll o", nll eq uallon:

Q _ k<]HT = /I, kHT

R. T '"
wilh Ie _ flCrmeabdlly coefficient of so,l.
t} - specific elcctrical rcsi~I Q nCe of the modd,
R", _ full dcclric rc:siJlllnce of model.
J( _ pinomelric pressu", hc:ad,
T = lhick nl:'l' of ..-ater-bean", Ilyer,
T .. '" IlIickncll o f wa ter-benin, I.yer in model.
/I,'" dime n. ionlen codficie nt CKp",S$Jng Ihe ","o und ..... lI ler dlKhllrge enlenn il Kl05S
Ihe lunnel-f~co wMn k _ I. H ... I and T = l. In homoilenco us soillb\: YlllIe
of II. depends only o n lhe fllce :a",a and is independent from k. II .nd T

Expcrlmcn ls we", c. rried 0\11 in the: institule t K OA for . he determina tion o f lhe /I, 11.hltl.
The resul ls of these experimc nU a", 5hown in Fi•.• , I ~ J U .... here /I. ,."Iu~ are indicated In
fu nClinn o f the al T ~nd n iT \-al uei t""lh ,, _ thickness of overburden, D _ diameter of
tu nnel and T "" full Ih ic kness of w~tcr belirjlli layer),
In horiwntQlly laye",d soils Ihe mean , .. Iue of permeability coeAk iem may be p illCd IS

", + h,+ . .. + h.
", h,
k,+/(,+ "· +T.
II.
"'lIh
" • , /0.

Ihe rC$(l«ti>"C .hid ness of su ~q~n l layers, The lmounl of ..... l ler ~Jlinll Ilirouch !be
tunnel ..-ails is usually nCllh .. ble as compared 10 the quantuy enlerin• •hrouRh the ri!«. II
mll~ be approxima tely pined ho ....,vcr from lhe (ollo"''"il equltion :

Q' - 1
2:0
l
· flf 1&
"1· k ,·IIL
,..{4t -J))
8T
".DI'
..:otan -IT

,,·he", L _ lenilth of tu nnel and ",Ie, uprnscs the resi~l a n~ of the lunnel ... QII "1IIIIUIIn·
lillration, .. hieh may be C"'j)rcj~ed 11$

a,·k, _

..·i th Ie. pcrmeQbilily coemcient of conc rele, IJ~ = external txcQvQl io n diameter. D, = inttmal
diH ITICte r of !unnel , d _ Ihick neH of lunnel wall and, = dcno les the di st ance bctWttn rjl'l!r
bottom li nd lunnel IX, S IKe Fi • . 4114 38).
II mu§( be noted 1M . Ihe U:le of III ,s fonnula is restricted 10 IXInSlanl piezomel ric h Cl(! aDd
to Ihe f1IHlc of T
D
:ii !)Ol~ and n, ;s ()olS.
 In o rde r <0 a void pu mp'ng of proh ibiti ve p ro p onio n s. seve re interference with
traffic "nd " ra pid d e teriorat ,o n of the IIn'n g. t h e ground water s h ou ld be kepi out
o f subwa ys a nd subaqucous tu nne ls com pletely, using the highest grade to 'Io'81er-
proofing. Although the collector drainage sySlem may be dispensed wi t h in Ihis
case, prOVISio n must slill be made to drain a cerlai n amou nt of infiltrating and
cleaning water. The foll o wing information is given here as a guide fo r estimating
purposes:
During the le mpo ra ry (8 yea rs) halt in th e eo nilruClion of the Budapest Subway
the wa te r seepage amounted to 20-25 l/ m~/day ( I' 7- 2-0 quarts ft!/day) for concrele
lining (no walerproofi ng) and 1·3-1 ·5 I/m~/da y (0·10-0·12 ql/ fl ~/da y) for cast·
iron lining (fi rst grou ling com pleled); bolh sections were located in TOrlon day
and were 20-30 m (65- 100 0) below the water table. In an other type ofelay the
wate r see page am o unted to 0·9- 3·5 Ifm'/day (0- 1-0'3 qt/ ft 1/d ay) and in fiiSured
cha lky clay to 48·5 l/ m1jda y (4·0 qt/ fe/day) has been observed. After grouting
these values were reduced to 2- 5 (0·2-0-4), 0·2-0·6 (0'02-0'05), 0·02-0·5 (o-C02-
-0·05) and J4'8Ijm 2/day (I, 2 qt/ft~/da y). respecli vely. Ano lher 50 %-80% red uction
was obser\'ed upo n completion o f the waterproofing of the co n ~rete lining. Inci-
d ental water Seep(lge at joints a s a result of tramc vibration cannot be a\'olded
eve n with the waterproofin g !.:ompl et~d. The slime applies to condensation water,
ho wever good the ventilation ma y be. Sti ll. none of these see pages can be pre-
dic·led o r estimated . Thc drainage system of the Budapest Subway has been de-
signed for the am o unt of wate r required to clean the inside face of the lining,
usua ll y done wi th hoses. This vll rits between 1 · 0~ 1·5 I/ ml/ week (O'OS 0·12 qt/
ftIJwee k), according 10 data compiled wi lh reference to the Moscow Sub,,·ay.
I.n t he Budapest Subway a longiludinal drdi n-olf canal is located under tbe ties
which are embedded in co ncrete. SUbaqueous high wa y tunnels can ha\'e tht
gallery either under t he centre line or under the cu rb s. Adequate gradi ents must
be provided in both cases to dra in the water into sumps located at Ihe subwa}'
stations or in the ve ntilatio n sha ft s on the shore, as the case may be (see Figs
6/272 a nd 4/ 155). Draining very lo ng 5e(:tions by gra\'ity liio ne would be imprac-
Ika l because of the excessive fall in height th at would be required. In such ca>cs
a number of sum ps musl be located at regu lar inte rva ls wi th a series of pumps II>
lift the wate r at eaeh sump.
Because of the relati vely hi gh silt and dust comem of the seeping a nd rising
water there is a distinct danger of t he laterals and the gallery becoming clo~d
throu gh sedi mentation, owing to changes in ~'elocity and discha rge. All d imensions
must be establ is hed keepin g au:essibiliIY, cleanin g a nd m3mtena nce in mind.
Washrooms and sanitary faci lities must be provided in all sub ....'ay stations for
the employees and for the general pu blic. (sec a lso Section 63.45). The sewage
to be disposed of am ounts 10 a pproximately 50 I/ head (10 gal/ head ). i.e. about
1000 I/day (250 gal /da y).
 ".64. PMOTECTI 01'o "GAll',S"!" CORROSIO ....
'"
In ndd, tio n 10 the dangers of wilIer, f ros t and atmospheric pollu llon, mentiollN
earlier, the greatest cnenl), o f concrete and steel underground structures is corro-
sion due to wa ter a nd to soii. The prote<:tion against such corrosion has 10 be
prcvcnti ~'c in nalUrt because the a n"e<:lcd areas, i.e. the outside face of the lininl
in contact with soi l and water are practically impossible to inspect after construc-
lion. This is why such protection should obviate the need for ma intenance and
re pairs and shou ld serve as wa te rproofi ng al the same lime.

46.41 . Probll'ms of COI"rtIsjon b)' Soil u,

Becau$C Ihis is an ionk corrosio n it does not depe nd on the presence of waitt.
although the latter will certainly stimula te the exchange o f ions caused byeleanc
potenti:.l d ifference. Specific tkc tric resistance a nd ele<:tric potential \'ary "'llh
the Iype o f soil 10 start ..... ith. Variations in oxygen and ..... ater content add tothis
natural d ifference in the ele<:tric potentiul of soils. Thus, soil corrosion is o f nalullIIl
origin and is accelerated or retarded by other factors. It is particula rl y hard on
metals, because IIny metal conductor connccting two materials of different electric
potentials will iniliale an electro lytic process. In the case of iron, fo r example.
the loss of an electron and its negative charge will io nize the iron molecules arid
cause them tn move o"cr from the anode to the cathode. The chemical reactions
are :
at the a node
Fe + 20H - =< Fe(OHh + 2e -,
at the cathode

and the total reaction is

Fe + 2H., O _ Fe(Q U), + H~.

The ch:ITncteristics of corrosive soils arc : low ca rbonic IIcid conlent, high
de gree of acidity, good conductivity and high salt and moistu re content. Soils
that are ric h in carboni c acid are normally non-corrosi ve, but t he difference in
t heir oxygcn o r ai r content will stimula te the potential difference as well as COf·
rosi"ity. (The difference in oxyge n content is also referred to as diffcrenctial venti·
lation.) The oxygen content and porosity of the ground above the pipe or tunnel
arc of particular importa nce to corrosIOn. A steel lining, for example, paSSIng
I hrough soil slr.un \\ollh variable oxyge n conte nt, will de\elop a potential dlffertntt

, .U BAcs K",,,, G Y.: A lalaj Ioltal O.ozolt korrozio {ColTosion cau!iCd by wil}, MI~". T{If.
XfPZtJ 19S5 J 4J6.
Ln<O$AY, M . and ArrLrGAT[ . M.: CQlhodlc l"Oltrlio". Me Graw Hi ll , t960.
Io!.O," "'NOfF, M.: Underaround Co rrosion. NBS Cfr r. No 379 19~7.
'" DEStGl<! DIR[CTIVl..'l FOR ANCILLARY WORK S

and thus g~ner!lle corrosive eI(.."Ctric currents JUS! as in a galvanic cell. Disintegra_
tion of lhe metal begins allhe origin of Ihe current, i.e. al Ihe anodic areas (Fig.
4/144). VCrlical shafts are particularly exposed to the dang~r of differential venti-
lation because the soil near the surfaL"t: will always have a higher air content than
deep below, and so corrosion will inevitably develop even if soi l conditions a re
uniform ill every other respect. Another factor in corrosion is grain size. Wh ile
o)l.ygen supply is low where th e tubi: is in contact wilh large lump~ or boulders,
the o pposite is tfue where tile material is fmer and so corrosion pits will develop
under the lumps.

f!",lr.lll~

FIG. 4Jl44. Scheme of wi] eorrolion

Chlorides, sulphates and sulphides increase corrosion as well as the corrosive

act ivity of soil bacteria. As is the case with variable o)(ygen content, any difference
in the moisture content will also generate potentia l differences. O)(ygen content
in water will stimulate corrosion. While 'black rust" is characteristic of soils with
high moi~lure conlent, 'red rus( can be observed when: such moislure content
is low.
Corrosion is also stimulated by bacteria in the soil (aerobic and anaerobic)
in more than one WII)':
(a) The vel(X:ity of the anodk or cathodic reaction is affected.
(b) Ini tial resista nce of the metal may be impaired by metabolites.
(c) Corrosive pockets arc created in the soil.
(d) Electrolytic concentrations are formed through growth lind prolificacy.
Sulphate reducing bacteria in particular may a((elerate soi l corrosion. The
chemical rea ction is

Corrosion also depends on the qualit), of steel or iron. Cast iron, for exam ple,
is much more resistant to corrosion than is alloy steel. In fact, alloy and iron
particles can generate potemial differences themselves in so far as the first will
act as cathodes and the latter as anodes. However, the rate and speed of corrosion
 '.OTtClIOS AGAISST COU05l 0~ 137

will depend much more on the type of soil than on the type of nlloy. Scale 0 11 the
steel surface could afford some protcctioll prollided it form s a continuous lind
uniform cOlier. Because this IS not (he case. howe"er. potenti:lI differences will
result between iro n and scale at every crack in the laller. Because of the difference
in electric resistance of the two ma terials the electric current will be concentrated
al the relatively small anodic arca and will cause severe pining on t he meta l.
(l ocal potential ditferences elin Ix: observed also in welding "hen the hea t treat -
ment of succe!\Slve zo nes is nOI unifo rm.)
The corrosivity of soils is mensured by thei r resista nce (ohm cm) and is dj"ided
into five groups:

..........<e
ti'o~p No. (:0",•• 1.;'1 (oh ... em)

----
"'w S; 10 000
2
,
l
Normal
A"re>.~i ' e
2000
'000- 2000
''''00
, H"h
Vc ry hilh
>00- ' 000
0- ' 00

The followmg mformation should give an idea of the pace at which corros io n
progresses th rough an iron plate [0 mm thick:

Oroun No.
L ,-,.", " _ .... of .. me
or <""O"~"
(y .... )

2
"'w
Normal
M orc thin
10-2' "
,,
l AIIlInSl'C
Hllh
S- IO
l _'
Very hiih '-2

The process in soil corrosIon is similar to thltt artificially utilized for electric
soil slabihzalion. II is brought abou t by Itn ('"change of ions, but what is pri mari ly
aimed at there, it is the source of damage in Ihe latter.
Protec tion against soil corrosion can be achie~ed by the application of miscel-
laneous coati ngs. Tar is not suita ble for this purpose, ill fact, it may be detri menta l
(because of it s phenol content). Bituminous talcum mix can be used successfully
if applied over a pre liminary ferro-fixol coating..
Soil corrosion can be boosted greatly by strQy ~u'rt'nls in the ground. Origina t-
ing from uninsulatcd conductors such as the rai ls of street cars or tramways (trans-
mitted to thc gro und t hrough the steel tunnel linilli!) they can be a source of consid-
crablc potcntial di ffc ren~"Cs resulling in ra pidly progressing soi l corrosion.
 DESIGN DlR ECfIVES FOR ANCILLARY WORKS

Anodic areas will be created where the current leaves the tunnel lining, develop-
ing heavy co rro sion, and cathodic areas will de\'elop lit locations of re-entry
(Fig. 4/ 145). Stray cmrents can also affect the reinforcing bars in the wllI:rete,
as reported by a number of autho rities. Because of the expansion arising fronl
corrosion the reinforcing bars can even cause the concrete cover to spall. In some
cases, concrete stresses due to such expansions as high as 2500 psi have been
reported.

G/'alHld le~1
'. \ i -~-r'fl
Palt' \ \ \ \ I I I I

, '-'" /
." ./ ./
I" I

J :::: 5 ..

Aflod/c ?0fI1'
( /

='\
h~;vy corr(JJ:Orl
FIG. 4! 14~. Elcctric corrosion due \0 stray cu rr~nt s

The corrosive adion of $\ray currents does not depend on oxygen supply,
moisture content or soil type, an d is a function of current intensity only. 11 varies
with different metals.
In one year an intensity of I A can disintegrate

9· 128 kg (20 124 Ib) Fe+ -

20· 770 kg (45790 Ib) Cu · +
10·390 kg (22906 Ib) Cu ~

33·866 kg (74662 Ib) Pb++

10·665 kg (23512 Ib) Zn + +
40·000 kg (88 185 Ib) M g++

The answer to corrosion by stray currents is cathodic prOiection!·1-l Artificia l

electrodes are driven into the ground in the vicinit y of current leaks. These are
more anodic than the lining material of the structure to be protected and thus
transform the latter in to a cathode. The electrodes ~ aluminium, zinc, carbon or
magnesium - disintegrate ill time as they protect the str ucture. It is surprising
indeed that these remarkably low potential differences (even unable to ring a
door bell) arc sufficient to protect iron pipes and linings for miles. The electrodes
can be located far away from the pipeline jf connected through a cable. This pro-
cedure can be regarded also as counteracting the local effects of galvanic action .

• oM LI NUS ... }·. M. and ApPLfGAU. M .: CUlh<Jdic I'rOin/;on. M e Graw Hill t960.
 ')9

Fig. 4/ 146 indIcates the rcadion laking place in the ~·iciniI Y of the Mg anode.
Free H · ions stream towards the cathodic iron pipe and cover it with a
protecth'c cOllling while tbe anode is being oxidized. Any local effcct due to
im purities in the pipe will also be checked by this cathodic protection.
Spl.ocial bedding should be provided for long life anodes, consisting of granu-
lated coke. coal and graphite with some alkaline admbnu re Slll;h M lime. The
alkaline admix t ures retard the electrochemical process and are clrccli... e in:

J. reducing the electric resistance between soil and anode ;

2. prolonging the life of the anode by providing reEef throughout the electro-
chemical reaction;
3. increasing the electric capacity without reducing the life of the anode.

There are oth er methods of preventive protection against stray currents as well,
.... hich concentrate on reducing the opportu nities for the current to escape, such as :

(a) butt joints between full sections of IItljacent raits. i.e. welding (inadequate
connections are the main causes of stray currents):
(b) connections between separate sl.'l:tions of steel lining or steel waterprofing
to prevent current eseapes (e.g. connection between two sections wiTh steel
lining separated by one with concrete lining) :
(c) careful insulation of the roils lind complete current return through the
rllils:
(d) milking the structure cathodic and using corrosion resistant materials for
anodes ;
(e) alterna ting the locations of poles daily in order to reserve the dIrec tion of
the current.

fN/J'''!;'' 1M
N° ON - ,,,,,Is t~ t-
t{nl~"J

FlO. 4/ 146. S~htmc of clthodic

protection tMI
'" DESIO» DIUCTIVU FOR AN<:ILl.AIlY WO"K5

Soil corrosion may affect concr~te linings as well but only if accompanied by
changes in the grou ndwa ter table or by unstahle grou ndwater conditions. Unstable
groundwa ter is bound to dissolve the calcium or magnesi um sulphates (both are
detrimental (0 concrete) tha t may be present in the ground and deposit the salts
alo ng the concrete lining. Developing .iUlphafe action and c('l1/em badIN will
I! T3uuaJly corrode the conc rete. T his pl:enomenon is very common in sewer
constn.n;tion, particularly with fluctuating water levels. SailS will be filtered Ollt
ag<!in ami again by the concrete lining al a cerlain waler level and accumulated
over the yeaTS. Rising water wiJJ then dissolve the salts and fo rm a solution nfhigh
cOllcentration that will become detrimental to the concrete.

46.42 . Ground\\"ilter Corrosion

Corrosion by groumlwalt:r. i.e. the rusting of undc rground steel strllctures is

a phenomenon of ferrohydroxi de formation and can affect concrete Slfuctures
as well. Sul phate action, mentio ned earlier, can also originatc from remote areas
via seepage flow. Because of its low lime <:oment soft wate r can be j ust as danger-
ous for it may dissolve the lime from the con<:rete, and thereby gradually remove
its binder. Even heavie r dam age can be expected if the groundwate r is allowed
to seep thro ll gh the concrete. either along construction joints or beca use of exccs-
sive porosity. Damage of this nature is not confined to the surface but affccts
the concrete lining t hroughout. Waters with a pH lIulue of abou t 6·5- 6·7 (i.e. less
than the neutral pH _ 7) alreauy can be detrimental. The hot pro tection possible
is to ma ke the concrete rea lly solid, using plasticizers and other suituble fillers
and admixtures. Fa iling this a complete waterproofing system can still provide
adequate protection. No water mllst be allowed to escape tHldl'r any conditions.
Decom posi ti o n of iron sil iphide in clayey soils can cause just as much trouble
as can sofl wate r. Once exposed to the air, the iron sulphide will form a sul phate
solutio n with the seeping gro undwater and, thus, will attack th e concrete. Excalla-
tions in clay ma terials wil h iron sulphide content must not be left open for a long
time but must be lined as soon as possible. Another reason for keeping the exca-
vatio n open on ly as long as is abso lutely necessary is the fact that exposu re to ai r
hc lps to dCllc lop sul phate-reducing bacteria and other aggressive micro-organisms.

4.65 . T UNNEL VENTILAT ION

There are two types of tu nnel lIentilation: tempom ry (during construction) and
pe rm anent. T he la tt er may be either natural or a rtificial.
 T" ......... " . ......... " ......
"'
46.~I. VccnIU.lio" O .... ing ConSlru<:lio,," "

8eeause of the low permeability of soils natuntl \entilation is seldom encoun(·

crcd in underground working areas. Air cin:ulation due to d ifferences in tempt!"·
atu re, the passage of haulage trains or pneumatic tools C",annot supply fresh an
throu gh natural venti lation. In add ition to the amount of fresh air required for
the working c rew, pollution by explosh·es. smoke and fumes also ha\e 10 be: bktn
~are of by the ventilation as also has any uncomfortable excess heat that rna} bt
present.
Air consum ption increases with the pace of working and th llS becomes a mlltln
of economics as well. Good quality fresh air mus t be su pphed in sufficient qunnlJ·
ties [0 all wor king areas and particularly to th e working face wi lhout interruptions
or breakdowns in order 10 improve health and work ing conditions. Hnd produc-
tiVity. and also to increase efficiency.
A s 500n as the oxygen content of the ai r drops below 20 % (from the natural
21 %) heildache and faintness will d evelop. Less than 17 % oxygen can cauS(
unconsciousness after a period of ti me. (The oxygen content of exhaled ai r is 17 ~..)
In order to eSlima[e the volume of:tir required the Clluses of air pollution and
consum ptio n must be considered first. These are:

1. number of men working in each shift

2. hnu lage sys[cm
3. type and quantity of explosives
4. Iype of operations
S. geologicnl cond itions, gas content and gas production of the ground .

Ad I. For a gi~en minimum of 20 % ox}gen content a maximu m of 0·9% COl

4·0
Cill! be IOleruted. Because of the 4 % COl content of the exhaled ai r ~ "'" 4-S
0·9
times as much fresh ni r should be suppIJed ns is exhaled. This faelor is usual!)
increased to 10 to take care of losses and also for better dilu tion. Abou t 30 I (q[s)
of :ur lS req uired fo r each person per minu te under normal conditions. Design
values. hOwever. average around 2-0 m3 (2.5 cuyd)/ min/ pcrson to allow for fumes
and other pollutions arising frolll carbide lamps. In long tunnels there are eItra
air requirements for cooling. which can be pro·rated also for each person. A JlfIC'
ticn l minimum lotu l of 60 mS (80 euyd){min represen ts stundard ai r requirements
for a long t unnel.
Ad 2. All haulage systems, even cars drawn by horses or humans. will hale
a n effect on the air requi rements. ( Horses require 4 li mes as much air as do hu·
mans.) Prac[ically no air is requ ired fo r electric o r pneurnutic haulage sy.tems.

..... RtCHAMD501'1 and MA'I'O: P'QrI;~ul Tlfllllr{ Drlt"J"II. Me Graw lI ilt. 194 1.
ZANOSIC .... , W.: Slol/<:" II. TU'III" lbull. Springer. \'i~nna t964.
KJ.I'O:'UM. P.: \'entilation of drifts (A 14rohajtas S(~II~ztCCIHc. lIunjj..) _ MlWaki Kiado.\.
Buda pesl t9.56.
Dic:§CJ 5Y$lcms require Z·3 m~ (3'6 cllyd )jmin air for each horsepowe r accord ing to
RAHCEWIC'.l.. The CO con ten t of e)[hllust fumes of combustion engines mlly reach
3% whe n working and 7% when idling, panicularly with improper mix tu res and
carburellor sellings.
Ad 3. ElI:plosl\'es and their fumes alTect air consum pt io n to a large extenL''''
Allhough varyi ng fo r each type. generall y speaking all explosIves produce ,'asl
vo lumes of fumes. co nsistin g mainly of CO. COt and N0 1. The required venti·
lation is determined in te rms of the a llowa ble concentration of the poisoDOU:5
fumes. In t he case of CO. for exam ple, the concentratIOn that is still harmless is
about 0-02 % and Ihe requ ired volu me of lIir, Q. is

where A - the weight of explosives in kg

- the a mount of CO produced per kg o f explosi"e in
,b _ the time of \'emilation in min.

The \'alue of b is fairly uneertllin as it a lso depends on t he excavation nnd on

the method of blasting (priming, densit y of charge): an ave rage value would be
aro und 100 I. Fo r example : the ell:pl05ion o f I kg d ynamite produces 0·6 m~of
fumes. o f wh ich 22%-42% is CO 2' 46% - 28% is CO. 17 %- 25% is N and IS %~5~~
is H .
The following practical design method can be recommended. II has been ob-
served that the area contaminated by the fumes of e)[plosi\'cs is less than 20 m
(66 fl) deep wit bin the specified min imu m safe Interval of 10 minutes betlOl« n
successive explosions. (According to RO~IAI'IOV the pcnetrlltion distance of pollution
is I .., 2·4A + 10m.) II should be more than enough to exchange this volume of
ai r fh'e times wit hin the 10 m inutes wai ti ng period specified in mining regula-
tions, i.e.:
Q _ 2OF· S _ - looF _ I OF mll min ""' -F m~/sec
t 10 6

where F = the crq~-sccti ona l area o f,he tun nel in mI.

An empirica l rormula has been deri~ i..'d by AI'oD RrAE fro m data of the conSlrllC'
lion of the Simplon tunnel :

Q .. (}SN + O'I04A m3/ min,

where N - thenumbcrorminers
A ,.. the weight of ex plosl\'es in kg detonated per ho ur.

. ... FOODEJOI. C . A. a nd GARROD. A. D .: .hurd from bll51in8 fumes in norm •• rock IUnnt\-
lina. P,~. hu,. Or. &w. 19M July 2S7.
 ·' ·UI<I<£L VP'lILATION
'"
Ad 4. and 5. The ,"olume of air requ ired 10 mmpensate for the t)"pc of operd+
lion and for geologi~-a l condilions shall be evaluated always on a n ind ividual
basis. conside ri ng Ihe intensity of haulagc movements, frequenc), of blasting. type
and quantit)' of natural glls content of the ground, etc. It is well to remem ber
that \\-000 fire gellcrllle~ liS much a~ 570 cuyd of CO for each cuyd of wood and
considerable volumcs of CO and H 2S will dc~clop in the process of decom position
of orga nic matters and rolling timber. ( Hcavy C O a nd H1 S cOllcentrnlions are
bou nd to be encountered when re+o pening old drainage adiLS and a b..1 ndoned
headings.) l ub ricallts ill me<:hanieal equipment will also contribute to the uhaust
fumes under high temperntures of lhe combus tion chambers and increase the CO
and CH1 content of the \\-ork ing area.
,
[l! ,
! ; l·r-.. . . .-;-,.~kv A....
FIG. 41147. Lo sses in head ill mechanical <I· .ot! " ~--
~cnlilation .1 J

Fresh a ir has 10 be blown in llllder pressure if the ventilation is really \0 be

etrective. The required pressure ca n be compu ted from the losses encountered
in the drift (Fig. 4/1 47).
There are three fact ors contribUTing to tile above losses : friction. increased
resistance in bends and valves, and tile requ irements of a constan t velocity (r)
that has to be maintai ned. For circula r drifts:

h - h. + hit + h. = " [n + [ + , J: ,.' -

2g "1 . D 0-026 + (4. 186)

where). _ the coefficient of fricti on

"I - the specific weight of ilir (1·[255 kg/m3)
I, _ the length of the stmight drift section
D _ the diameter of the drift
, _ an empirical factor representing the proportional eXIra It'nglh due
to all local resistances (bends etc.).

For a given volume of a ir Q

,,- QF --
4
31ld 1he pressure drop due to friction
L 112 J6)."l L Q·'
h = '\i' - - -
, D 2g ;rt 2g IY
'" DUION DlRfCT'Vr, ' .... ASCIl. ..... "y ..... O~U

i.e. it increases as the square of the volume of air 10 be carried and decreases as
the fifth po ..... er of the drift diameter.

EXAMI'!.1l (by K aposztds). Find the depression h. at the intake of II pipeline

L = 300 m long, D _ 0-5 In in diameter, fo r a "olume of air Q _ 6 m'/s« and
II lipc::cificd wa ler head of 300 mm at the end of the pipe (;. _ 0-014 and l' _ 1·22
kg/m')
L
m/sec and II - ;')' D
",
_ 0-014 x
" 19
300 ](1·6%
)( ]·22 - - - - _ 471 mm
O'S 19-62

the head at the intake is 471 + )00 _ 771 mm.

Then: IIrc three methods of v(nl ilalion during construction:

(a) blowing
(b) exhau~ting
(e) a comhination of the two.

(a) In the hlowin g method fresh air IS forced directly into the work ing area.
The foul ai r drifts b.lek through the rull tunnel section, sudd enly increa sin g the
rale of contamination Hnd only slowly giving way to gradual clearing. On the
o ther hand the working face enjoys II positivc supply of fresh cooling air resulting
in improved performance all around. TIM;: d isadvantage of the method is that the
foul uir and smoke tilter back thro ugh the full cross-section oflhe wnnel and there-
fore at lower velocities. Smoke 3nd dust inundate the enme heading and clear
up rather slowly_ As a resu ll . scaffolding and lining operations are impeded by
foul warm ai r.
(b) Just the opposue occurs in the exhaust mcthod. Foul ai r IS dra ..... n out
through II pipelinc and fresh ai r traverses the en tire length of the heading. While
dust and smoke due to blasting arc kept out of the tunne! in general. the exchange
of air is nOI as fast and is not a~ uniformly distributed at the working face as it
was by the first method. Temporary pipe extensions arc reqUired, resulting In
mnre loss of air. Fresh ai r entering al the portal or shaft mll y absorb heat and
moisture in its palh down [he heading a nd arrives al the working ra~-e in a some-
what deteriorated and warmed up condition. For bcher results II sel:ond. auxiltal)'
pipe can be installed [0 supply fresh air directly to the working face.
IC) One way to combine the blo ..... ing and exhaUSt methods is to use the first
at the working face lind the laller in other working areas. This II rl1ln gement is
particularly feasible in long tunnel sections.
More advanced modern methods combine the Ildvantages of the first two
methods and apply the proper syStem at the proper plaet and nl the proper time.
In thi~ ease the common pipeline WIll:
 T U NNfL V~"TIU.TION
,,,
I. force in fres h air aftcr blas ting o perations to displace smoke and fumes:
2. exhaust smo ke and foul air at slo .... er velocities to the ~urface:
), "low in fresh air llgain for n direct and positive suppl y of fresh ai r to the
working facc.

I
I

FlO. 4/ 148. Diagram ror thc combination of blowing Inti cAhaust "cn tilation method,

II is ve ry simple to switch over from one action to the other. eve n the fans can
be non-revcrsing: a double pipe connec ti on and II ppro priale va lves are allihal
are requ ired. The d iagram of a simple layout is illustrated in Fig. 4/148.

46.52. Nllun l Ventilatiun

Taking advan lage of na tural \'en lilat;oo is II possi bility so im po rta nt th at It

should hi: kepI in mind as early a! the time of del:iding on the loca tion orthe tun nel.
For cxample, it is advantageous to Jay out the lunne] paral1elro prevailing wi nds,
to expose the approaches and portals to rather than shelter them from such winds
a nd to IIvoid an a lignment with sha rp cuT\'cs and reversing grades. Meteoroiogil;:al
rcrord s should be consulted and prcfcrcnl."C should be given 10 loca tions exposed
to high winds.
Naturnl ventila tion ohviously makcs maintenance easie r because of the d rying
eITect on on condensa ti on waler an d minor wate r seepages, These, as we know,
8re both prereq uisiles for co rrosion (particula rly if I;:ombined with fumes and
~moke) and will affect road. track. mi ls. ligh tin g and lini ng at the same tinle.
Natural \'entilati on i$ performed pa rtly by winds on the surface and partly by
diffe rences in o uts ide and inside atmos pheri c press ures du e to diffc rencell in te m-
pera ture a nd speCific gravi ty. A NORI!,.\Eu ' divides the tOlal pressure differen tial
into) compo nenu:
h._ ±h,±h.±h."

'." A NO~I!.\~. CH.; P,QbIIi"~. du p,,-,j'" '" de fitllbli!l~"'~nI drJ grm,dJ J()ulnm'"$ rou'i~,..
"fpitu. Leemlnn. Zurich 1!M1l.
'" DEllIGN DIRECTI VES fOk ANCILLARY WORKS

(l(tL-I~) . . ).
where h, pH (hyd rostatu; head In mm IS due to the difference In
I + 0':1,
temperature
H = the difference in eicvation between the two ends of the tunnel
1 the specific weight of air (kg/m J )
I, and 12 the ambient inside and outside temperatures in °C, respectively
iii: = 2~J hb = 13·M (hydrostatic head in mm) denotes the effecl of Ihe
difference in barometric pressures
b = the differences of barometric pressures between the two ends of the
tunnel
( WI
h .. ,.. sin~ tP - - (hydrostatic head In mm) denotes the wind elfect
2g
I\' th e wind vcloci ly (m/sec)
.p = Ihe angle of inclination of the wind to the ce ntre line of Ihe tunneL
With due consideration of friction losses the velocity of the air moving in the
tunnel becomes
1 2gb. (4.187)
~. = \ 1 ( ( '+ ~ :;l'
whe re ). the ffict ion coeffcient of the lining (OO{I07 for stone and brick and
0·006 fo r smooth lining!\)

,
L = the length of the tunnel in m
= the specific weight of air (kg,l m3)
F
R U = the hydrau lic radius (F and U being the area and the perim-
ete r of the cross-section, respectively).

Although natural ventilation may aSSllm e considerable proportions it should

not be relied upon in the design. according to ANDREAE, because of its intermittent
nature. However, it may obvia te the need fo r mechanical ventilation in short
tunnels (up to about 200-250 m length) or tangent sections with non-reversing
grades. It should be noted that longer o ne-way than two-way tunnels may be
~rved by natural ventilation; this will also depend on the density of traffic and
on the type of traCl ion. Tunnels ca rry ing electric tra ins can be efficiently venti-
lated naturally for miles. Changes in the cross-section of the tunne l may also
stimulate natural ventilation because of the resulting velocity change.
Accord inK 10 KRls.~' ·", the maximum length of a hillhway tunnel without mechanical
ventilatioo should not be determ ined on t he basis of natural ventilation. Such maximum
. ... K NESS, H.: Uiflungsent",urf fUr den Wallenburllumne t io Slull~arl , Sch~". Hz/g . 1953
521.
 TlJNNU. "'U.;l' .....11O,.; ,.,
I~nalh should depend on t he: ~ross-seclional .r~a (Fl. lh~ ~nljll' "olume of lhe lunnel. the aver-
age ru nn inll speed (ul (k m/h r). the traffIC density and the ~apa~i . y of the lunne l, und lhe aClual
Mnd maxim um allowable CO COnlCnt of the Mir in the "lOnei. For an averaae <pacina 0 be-
tw~n tIM: cal"$ (includin& b.-.king distance), an allo"'able CO poilu. ion rale of fand a number

of ,-chicles ~ _ 2000!::. (al any oroc lime " 'ithin the lunnel), for an uhauSI fu~ vot~ of
"
CO of 'I (llmin. per ca.r) and for each ear ITaveUina ""ithin lhe lunnel fOl' a lime of I =
L
_ 3600
,
.ee) 'he n.a,x,mum len,lh of lhe: IUnnel is

froo
L - l20q

"hc:re L is expl'e'<.e:d in km, and q in I. AS In e~.mpl( with f - 1?22 y', " _ U km/hr
F _ 6 1'77 m' , q _ 60 li min and Q _ 9-9 m .he abov" furmula of KaE-'-' yieldli L _ 0-28 km.

Natural ",entilation has been considered lately but only 10 a limited extent.
It has been assumed that mechanical ... entihuion could be discontinued as long
as natural wi nd velcx:ities exceeded a precalculated minimum. This has resulted
in a certain amount or s.wing in operational costs. t . M

46.S3. Mechanical " enlilalion

Genel'3l1y speaking, mechanical \'cntilalion is warl'301ed (or tunnels carrying

highways. su bways and also for l'3ilway lunnels i( the laller arc several miles long
a nd arc travelled by steam locomoti\·es. The ",olume of ai r required depends once
IIgain on thc allowable concentnlli",n of lIir pollution and on the amoun t of hea t
to be removed. It is well to remember Ihat the allowable air pollution ~aries for
each poisonous gas lind is in inverse proporlion to the period of time spent in
such en~ironment. Le. the allowable concentration increases as the length of time
decreases ( Fig. 4/ 149). For this reason consideration should he gi~en to service-
men or main tenance erews y,ho wou ld hll\"e to stay longe'r in the tunnel while
performing their duties than wou ld the travelling public.
DensilY of traffic and the Iype o(tra~'elling 'ehicles will greally affect air require-
ments. It has happened on OIo re than one occasion Ihat tunnels With nalural
vcntilation perfo rming well for years have had 10 be provided with mCi:hanical
vcntila tion la ter because of an increase in traffic.
It mus t be noted that the causes o( nalUral \'ent ilation, such liS differences in
barometric pressure. temperature and wind, may work againSI the mechan-
ical ~ent i lat ion as well. This is "'hy the laller has to be designed not only 10 supply
the amount of air required, but also 10 counteract and overcome the aOOn' nalural
(actors.
Air suction behind moving "'chicles should also be considered in the design .

•.• B~UH, KUII'I and R,,,,"a: Eine Mua rlig<: Li,fiuII1l5.l.nlagc in Ummtrbuckeltunnel.
BQllilf/l. 1958 Dec.
". OL'IIr;N OI.F.cn"'F.~ ..... M" ... ' LL ...... 'Y WOII.~

F,O. 4/14'1. Danger raljnli~ of

prolonged §Iay in CO pollute<!
~Imosrhc",

-+-+- --
M H++i++--+- f--l-+--"
,~

g
ie '"" 1:
---
"'" r
!@
'

iii!'

, , J
(HIJ'P:I)
4

Because of the vast amounts of air in question air conditioning, heMing, cooling
or conditioning of IIny other type would be absolutely impractical.
46.S31. Mechanicul rel/lilOIion of highwQ)' tunnels. Large-scale experiments
have been condOCled in the mining C'xperimenlal station in Pituburgh regarding
the chemical composition of exhaust fume~ in connection with the con$truction
of the Holland tunne l in New York. Simi lar e1(periments have been carritd oul
at Yale University dealing with physiologica l aspects and with the rate of dilution
employed as II countermeasure. Power requirements and practical ventilation
s),stems have been studied at Chicago University at the same time. While sub-
stant ial amounts of CO ha ..e been observed in the exhaust fumes of psoline
engines. the CO content in diesel exhaust fumes has been insignificant. (Recent
slUdiu indicale, howevcr, tha t the latter do contain acrolein, II. gas also highly
detrimental to health.) The CO contcnt in gllsoline exhaust fumes is n function
of fuel consumption and also depends on whether the vehicle travels downhill,
uphill or on the level and whether the ea rburcttor had been Sl:t properly, a factor
reneeted in the Tate of combustion.
 "'
Table 4 / X IV indica!." the volume of CO disc h arged in I/min a). The same i.
related to I m of tu nnel in line c). Both uphill and downhill gradients are taken as
3-5%. Simil~r data ;lre given unde r b) for 5'0% g,radiems, developed by KRESS for
the ven tilation design of Ihe Wagcnbutg t unnel in Stuugart. It can be noted that
nn increase in upgrade from 3%-5% increases CO production by 13%. Table
4/ XV (by SCHLAEPPER, ZOrich) indicates that carburettor setting has an even
grealer ctTcct on CO produc1ion. A design CO volume of 60 1/min per car is 1.1>«1
in American practice rathe r than the 32-1:1 I/mi n assumed by KRESS.

VO/llme of co ConU1i1 fn ExhaliSf F,...'rs (If "'in) TAB.U! 4! XIV

~

1\. .... '" .i,. Tru.cu 21 •• «...., Tr ... ~.lIIO 51.n~ Tr""~$ 0'" S,.od
,,.., 1\>... ."... co .. o"d
IIlh'in
•
~"d Io,hl;", l'lk,'". li", li".

(kml hr)
Up ·
h,1I
00
b, ".
"
Ii.,,-; _
.uGUlI
~

,
0"
hill
Do ... "
bill
,-,
'0"10.
0"
hili
~

Do.. "
hi"
,
,
1101'1_
>:<>"<>1
U.
hili
IOOWB
hlll
Hori-
~

"
01

"Slar.;".: "52
40
27
IS' ] 29
41
'~5
40-6
51-0
26-4
26-3
11-6

"'"
21-0
80-0
8)-0
'17-0
38-0
44'7
62-3
5fi-4
4~- 0
",j "'". 42-S

IdrinK 21 19-4 24-6 23-8

Dri"i"!! ". 5 ,,~ 61-0 m

IS- 20 SH
" 65 ]]
5 knl
15 km
20 km
3S
43
SI-S
10-8
14-33
" "
40
15
74~ 34
'" "
Sinning SS-6 32-70 "'~5 40'0

d
16 km 0-1 50 0-06 7 0- 108 0-1 SO 0-071 0-120 0-300 0-1421 0-22S 0-322 OJ5Q (}168
24 km 0-150 0-06 7 0- 100 0- 123 0-06S 0-100 0'200 O-IIS 0-]40 (H)45 (}Ill ~

I
V,,}u"'~ of CO "'" V~hid.. (fo, I /In_ m_ of road)

T rud.
PU"Ol'-t <on "l1h PI
C.,buf6t,ot " ui", con<"mp ,l nn of JO 1/ 100 km W 11100 k m
" I } IOO km

0 .. <"~'""'pli""

0-023
0'''"'
0-1I'l6
""Health authorities rcpon t haI CO conlc nlJl len tha ll 0-04 % d o n O I afToct
humn n beings. An allowable limit, however. should be set at O·020 %- O·025Y.
10 avoid proble ms !lrising from impai red visibility. Recent Ame rican researcb
has con(;luded Ihlll the concentra tion of CO in car e ngines im:reascs wit h the
attitude and thus il has a lso a certa in physiological Belion on individua l ~. As men·
tioned earlier, CO conlents in diesel exhaust fumes are much lower because of
surplus air facilita.l.Ulg complete combustion in the cylinders. Because of Ihe acro.
lein contcnl, oo\\-'Cvcr, mechanical ve ntilation will still be required to avoid im-
paired visibi'i,y.
Venlilation systems have to be designed for maxi mum CO pollution condil ions,
i.e. fo r cars tra velli ng at .he closesl spacing a nd 81 the lo ....'tst speeds,' 010 Altho ugh
a ir cooling is a lso important in highway tu nnels, it should be on ly a secondary
consideration because it requires less air than the amou nt requ ired fo r freshening
the air through dilUlio n. For this reason it is not usually a governing factor in
ventilation d esigns (see a lso Section 46.532).

According to Ku:ss each traffic lane can carry

1000 V 3600 V
C- "" ~
a at + O'Sv + O' I66r-

where C _ the number of cars per hour (disregard ing de lays caused by possibic
intersectio ns at tunnel entra nces)
V and (. _ the a\crage runn ing speed in km/hr and in mjsec, respectively
a _ the spaci ng of cars (m)
oJ '" the average car length (m).

The 101111 numbe r o f cars uavclli ng .... ithi n the tunnel at anyone ti me is

L L
= '"" 2c - _ 2000
V ,

. I
The a mount o f e.'(haust CO IS CO '"" '60'0001 q=(m1fscc) and the vol ume offrcsh
CO 1000 0·01667 q:
air required is Q :E _ (mSfsec). A com plete exchange of
I I
HQ .
air is required n - l/ li mes per ho ur.
The volume of fresh a Ir required in road-\unnds, accord ing to the recommenda-

. ... NOll!. Due to a traffic oonjp:stion in the Li~rtl' tunnel, Pinsburah. carl .... ere lined up
throullhaul llw; entire tu nnel. Natural ve nti la tion proved inadequate to keep the aIr pa ll utlon
tlo ....n: some people fw in ted. o thers panichd. Mechanical ventilation ....15 iMtalled s honly
after the Inci~nt_
 TUt;Sn. VLVflLATIOt;

tions of the Techn. Committee fo r Tunnels of th XIVth Congress of Perman~nt

International Association (Prltgue 1971) ma y be ga ined fro m another formu la too

with z, number of cars per km. qo the unit volume o f CO emission of each car
(hl/min) and o<~ _ admissable rate of pollution (75 - 250 %).
The volume of acrolein gas (mainly in diesel exhaust fumes) is
100
G ., IS BT (kgfh)

where 8 _ the fuel consumption per hour (kg/hT)

A "" the percentage acrolein comcnt of the exhaust fum es(o-I J - O· 15).~·'1
The allowable rate of air pollution is 2 mg/m~ (20 mgJm 3 for CO). According
to G UERtN, 10 minutes spen t in a poll uted almosphere (to the extent of II mg/m3)
may be fataL'"
Permanent ventilation methods may be <:IlIssilied as (Fig. 4/150)

I "7.'

~
~~
FIG. 4/ UO. Variou . kinds of vc:ntilation
, ,,',

I .•, Ula! ilUok prusok f{!1 ~Knek es nc tl6z~,~ ntk Ic,,·neSi!.., ( Desilln dirrcli<'es for the
ve nl itRlion and heal ;nll of M~TlI~I). Ep. G~p. Dv'·. IllS<!.
, '-, O ur.,N, H.: Truili d~ m"nipululion n d'DlIDlyse drl fill:. Pari, 19'2.
 SS2 oalON D!R~CT"'U fOR ANCIl.LARY WOR"S

(a) longitudioal (as a m::ent development: jel-ventilation is to be considered

11lso here)
(b) lateral
(c) combined.

(a) Longitudinal ventilation systems make use of the entire tunnel section itself
as a n oversize vent pipe between entrances o r ventilation sh:. fts: t"e air traverses
t he tunnel in a longitudinal di rection. Because there are no sj)«ial vent pipes
required this method has the advantage of low installation costs.

Section Venti/I!uon
sMf'ts

FrG. 4/1~1. Scheme for tunnels ",ith several ventilation ~tion~

There are ma ny ways in which the ai r can be kept moving. In the most common
arrangement a number of ve ntilation sh<lfts are provided (the number dept:nding
on the length of the tunnel) through which t he air can be either forced in or drawn
out by fans. In the case of mOTe than one shaft the exhaust and blowing shafts
are ~paced 11 ltern11tely (Fig. 4{15 I). A uniform distribution of the air can be effected
by a proper layout of the shafts.
No ma tter how carefully the shafts have been laid out, this method has the
disadvantage of interruptions in ventilation due to adverse atmospheric conditions
(wind from the wrong direction, etc.).
As an aiternative, ventilation plant may be located at one or both ends of the
tunnel (Simplon). As long as traffic is light, t he intermediate ventilating shafts
- sometimes very deep - can be dispensed with.
A gate has to be provided at t he portal where the ventilation plart is located,
~u tlrat tile air, ju ~t rur.;ed 111, can nut eS(;apt: thmugh lhe portal in the diroxtion

of lesser resistancc, i.e. into the open. With ventilation plants at both ends. gates
should be provide<! at both portals. Air can then leave the tunnel only through
a shaft in t he centre. The gates have to be opened to approaching traffic ei:her
ma nually or automatically.
One of the widely used longitudinal ventihltiofl systems is tha t of S"'CCARIX},
bascd on a vacuum effect. Part of the fresh air (about 25%-40%)is forced into
the tu nnel at high speeds (15 m- 25 mjsec) and at an angle of approximately 150,
by fans located near the portal (Fig. 4{ 152). The vacuum crcatcd by th~ high speed
draws in the fresh ai r through the entire tunnel cross-section.
The SANGl.R ventilation s)·stem works on a similar pri nciple and is mosTly used
in long tun nels where friction losses are too high to overcome with a "entilatio n
 m

-
/i;rClfig m fl'eJh
.Iif'
[xj,Jqst

''''
Flo. 4/ 1 ~2. Diaaram uf th~ SACCAIIDO "cnlilalion ~YSlem

plant located lit am: end only. A numbe r of intermediate fans are installed at
suitable intervals, designed (0 draw Ihe :1Ir from Ihe preceding tunnel sections
a nd to force it back into the tunnel in a forwa rd direction lit high speeds lind at
II slight a ngle thus giving II boost to the lo ngitudinal draft.
Th is system ca n be particularly recommended in cases whert: the cost of con-
strucling ;nte rmedillle vemilali o l1 s haft s would be prohibitive
The main disadvantage of longitudinal vcnlila.ion systems is the fact thai
confticts may develup between mec ha nica lly forced air. on the one h3nd. and
natural \'enlilation and ai r pressures built up by moving traffic on the other. This
will reduce ventilation efficiency and call for addi tional po.... er requirements.
Meanwhile the traffic itself will face higher ai r resistances and sl,.ffer losses in
power. This drawback applies particularl y to long tunnels where air has to be
forced in at high velocities a t the entrance in o rder to get through the entire
tunnel. In fact the volume of fresh air is limited by the longitudinal speed of
the ai r which must remain less tha n about 8 to 10 m/sec so as nol 10 cause dis-
comfort to tunnel users. This is a nother reason for dividing long tunnels into
sections. In II1IS arrangement fresh air is forced in and foul air drawn out
through double barrel vertical shafts, situated in t he centre of each section.
In another Iliternativc. IJiking advantage of nii'Ur:.] ventilation rather than
opposing it. the fnns are IIlstaJJed at both terminals of the tunnel nnd only one
group is operated at a time - tha t working with the prevailing wind. i .53
Longitudinal ~entilation syStems arc used in almost all milwa) and subway
tunnels, but are ha rdly ever used by themselves in highway tunnels. The disadvnn-
lages cannot be eliminated wherever there is two-way trame.
For "chicular tunnels of shorter length a ret'ently developed kind of longitudinal
ven tilation is successfully applied. T his essentially t:onsisls of a series of blowing

..... n .... TH, K lEIN and R.... H: Eine nCllanigc LI:.nlln~anlage im LlmlT.crbucke1tunncl,
!klll/1Ig. 1938 Oeo.:.
". DOI ON DIRfcrJva rOIl ... "CII. ....... V WORD

jets~ I. suspended from the roof of

the tunnel which are agitating and
keeping in constant 1l10 t ion the ai r
tOiering the tunnel at their portals
(Fig. 4/ 153), The vehicles passing
through the tunnel tube are an assct
not only to this agitation but also in
the provision of fresh-niT brought
FlU. "/ID. Chance of velocity in t he ease of about by thei r sucking effect. A
jet-blower$
great advantage may be attributed
to this system insofar, tha t it may
~!7t {»f!e~'1Or be installed also lale r, when the
/'wI ili,. increa~ of traffic makes it indis-
pensable.
(b) In lateral ventilation s)'stems
the a ir is forced to move transverse-
ly. Fans blow in the fresh a ir at
the bollom a nd exhaust foul air at
the lOp (Fig. 4/ 154). The tunnel is
diVided into sections, each of which
is served by a number of blower and
exhaust openings. The fresh air is
forced ima each section from a
separate vent chan nel (Fig. 4/ 155)
n o. 4f t S4. La lc""l ~en t ;lalion in ~ubaqueou~ and the foul air is dm""n out from
hia:hwQy lunnel.
the same sections through conduits
leading to the surface. Bec:luse roul
a ir is lig hter than fresh :lir, the exhaust openings and conduits arc to be located Ilt
the top a nd the blower o penings and vent tubes are to be located at the bottom.
This arrangement is also good from the point of view of visibility: a top-to-
oollom ventilation s)-stem would impair the visibility in the lower half of the
s«tion, i.e. exactly where it is rnostimport3nt . In highway tunnels II is best to
lv.;ale the blower openings 9.1 curb lcvel (with no pedestrian traffic) or just
above hcad level if there arc pedestrians. Exhaust openings should be located
near the ceiling at a uniform ~ pa ci n g 15 x OOcrn or 15 x 180 em (6" by J ft or 6- by
6 fl) opening at ),0- 6·0 (10 to 20 ft) intervals.
While lateral ven tila tion is certainl y more expensive than the longitudinal one
it is the best alterna tive for long tu nnels with high ven tila tion requirements. It does
not intcrfcre with traffic, which is most important, and TCmoves foul air in the
shortest possible way. T his was manifested in the case of a truck carrying chem-
ica ls (CS z) and which caught fire in the middle of a tu nnel. The ven tilation

..... M UDlI<GU, V .: [..Ii nl'W'1 ~na: ~on Autotunncl n mil Slr~hlllebiben. S.-ll~·. 8~11I. I %4 28.
 TU""(l. Vr.NTI ..... 'II()S
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'" D(.SJ(lN D, .. tcnVES rolt ... l'oC ' ....... IIY WOftKS

system successfully ke pt exhausting the fumes until the arrival of the fire engl!les,
and thus liveried disaster.
Both venlilalion systems ta ke in and remove the air through ventilation shafts
and lowers. These shall be spaced as closely as practical in order to make the
vel1lilmion sections short a nd kee p energy losses down. For short tunnels il is
sufficient to locale them at the en trance and at the exit portals (!lee Figs 4/ 151
a nd 4/155) ; ror long tunnels. however, intermediate shafts will ulso be required.

FlO. 41' S6. lateral "enulatiQJ' "'lIh in<.lepcndent ran unil~

II has been found Ihal in some tunne ls - served by longitudinal ven tilatinn - foul
llir escaped the intermediate shafts and kept moving towards th e portals. In
subaqueous. tunne ls - where intermediate ventilation shafts may be 100 ex pensh<e-
t he ventilation towers are located right on the banks and the IIpproaehcs are scn'oo
by additional towers ( Fig. 4/155).
Urhan underpasses located in congested a reas and carrying hell\'y traffic may
also be ventilated by smal l fan units if these a re properly spaced. In this case
intermediate shafl.. can be dispensed with. The Avenue Louise underpa Mi In
Brussels, 330 m (1100 ft) long, has 17 nUlS on one side (2 HP and 21000 m:
[27000 cuydllhr each) dmw ing nir from the street le,"d. Small e",haus! fans along
the other side remove the foul air - at springing le\d - Oul into Ie stretl (Fig.
4/ 156).
(c) In semi.luternllayouts the fresh air is supplied as in fully lal~ral systems,
but the foul air is removed t hrough ven liialion shafts rather than special vent
lubeS. While not as perfec;:t as fully lateral arrangements, semi·latera l systems may
be considered in oval a nd horses hoe ~tions thaI are fairly deep. Fumes may then
be allowed to gather in the top regio ns and fi lter towards Ihe ends or 'Ienlilation
sharts withoul 100 muc h trouble.
The followi ng losses should be la ken inlO account whcn calcLllating power
reqLlirements for irueral ve nt ilat ion systems:
 TUN NEL VE NTILATION 557

(a) blowing
I. losses due to intake filters;
2. losses in vent tubes, curved secUons and bends ;
3. losses due to air escaping back to the street through the openings.
(b) exhaust
l. losses due to foul air passing through openings at the top ;
2. losses encountered in exhaust ducts, curved sections and bends ;
3. losses suffered while passing through fans and exhaust stacks.
The drop in the pressure head, resulting in zero velocity at the end of a duct, is given by
ANDREAE as (cf. Fig. 4/147):

h =
yv; ).L yM'2
+ - - 1+ -
r
). L. )
(4.188)
c 6g R 2g Ro'

where v l and w = the velocities at the intake and at the exhaust to the street, respectively
y = the specific gravity of air
L = the length of the vent tube
Lo = the length of the intake openings

R = ..!...
U
and Ro =
U,
FIJ = the hydraulic radii for vent tube and intake openings ,
res pectively
). = the coefficient of friction between tbe air and the vent tube : J. = 0·006.

The exhaust velocity can be determined from

q
w= - -
Ike
w here q= the volum e of disc harged air
f = th e area of th e exhau st op enmgs
k = the factor of contraction (0· 63)
c= the velocity factor (0·97).

In a somewhat morc compl icated formul a by O. SI NGSTAD the pressure head required to
bl ow th e air over a di stan ce x measured from the intake is:

"u= V'
Y (- '
2g
[aLz'
-- -
3R
I
- (I - k) z ~
2
]
+ bLz I y ",'
2g R' + 2 g
(I+RJ.L o ) (4. 189)

L- x
w here Z = -'-.,---- the relati ve di stance
L
a = 0'0035
b = 0 '0001236
k = 0·61 5 = the contra ction factor.

The pressure head re quired for the exha ust (by ANDR EAE) is

yv;
h, = - - ( 1'36 + - AL ) + -y w'- ( I + --
!.L; ) . (4.190)
2g 3R 2g R,

Note thaL the factor 1·36 in the first member ha s been increased from the previ ous 1·00
because exhaust systems are less efficient than blowing fans.
558 DESIGN DIRECTIvES FOR ANC ILLARY WORKS

Similarly (according to O. SINGSTAO):

V; [aLZ' 3z' ] bLz } y w: '

hu = Y { 2; (3 + c) R + 2+ c + ,29 R'(I + c) + 2U 0'87 ,
where the c velocity factor represent s an air volume of 0'3 m:l/sec/m.

Losses have to be calculated separately for each section and then summarized for the total
pressure head required . Additional pressure head s keep the air moving in the vent tubes:

- ( 1+ -i. 'R-H 1,
"0= -l'W'
2g
where H = the length of the shaft.

The next pressure head is to include the effect of the temperature difference between the
top and bottom of the shaft and can be positi ve or negative, depending on the season:

. (r , - r,)
h, = + yH
- 1 + at I
. (4.191)

For two-way ventilation the velocit y IV shall be doubled . The total pressure head!thu s
becomes :

where lid = the dynamic press ure head required ror the end velocity at the ducts:

- y.

The required output or the ran s is:

Qh
N = O'75~ ( HP),
where "l may be taken as 0'6.

Pressure heads are simpler to calculate ror longitudinal ventilation because the only losses
to be considered are those due to friction, curved sections and dynamic losses in velocity.
A s in the case of tbe ventilation of headings during con struction:

. y v'
h=h. +h,,+ hd = - 2-
(
1+ -
AL + <) + -YW'( 1+ -
2-
H!. ) + (1,-1,) .
yH - - , (4.192)
g R g R 1 + al l
where I) and I : = the ambient air temperatures at shaft top and boltom, respectivel y.

46.532. Special considerations 011 vemilation of subway tunnels. While ventilation

requirements for highway tunnels are governed by the allowable CO content
and railway tunnels have to be ventilated because of fumes and temperature
considerations, the ventilation of subway tunnels is required because of dust
and humidit y control as well as temperature considerations. Also, while highway
tunnels are ventilated laterally, railway and subway tunnels use longitudinal
ventilation in most cases. There is also a difference in the extent to which passen-
gers are exposed to the atmosphere of the tunnel. In highway tunnels there is
 TUN:-.IEL VENTI LA TlON 559

direct contact throughout the entire length but there is hardly any such contact
in railwa y tunnels. In subway tunnels the exposure is limited to that at the stations.
The ve ntilati on of subways is provided by two systems: 4 . 6 ';
Primary ve ntilation looks after the tunnel line, stations, cars, removal of such
excess heat as may be present because of mOlors, passengers and li ghting, removal
of excess humidity due to ground water and passenger traffic, fresh air supply
to the passengers a nd dust control.
Secondary venti lation, on the other hand, serves all the underground power
plants and utility ro~ms.
Longitudinal primary ven tilation works through ventilation shafts ( Fig. 4/ 157).
As a general rule there shou ld be one shaft for each station and another one
between conseclItive stations. Air is forced in, and drawn out, by axially set up
fans throu gh the venti lation shafts and through the adjoining vent tubes.
The direction of ventilation can be reversed with the seasons of the year.
Passengers a re exposed to ventilation in the entrance halls, escalators and plat-
forms. In summer, people entering the subway have an avidity for fresh air
and this should be supplied dire:t1y through the ventilation shafts right at the
station. From there the air will flow towards and cool the shafts located half way
between the stations. The direction of flow is reversed in winter: cold air is forced
into the tunnel first and by the time it reaches the stations and the passengers,
it has been warmed up. From here the air is exhausted through ventilation shafts
located at the stations. In order to have more flexibility in meeting the changing
ventilation requirements, it is customary to provide axia l fans in groups of two .
The fans are installed in the adjoining horizontal vent tubes rather than in the
vertica l shafts themselves (Fig. 4/157).
The amount of air required for the ventilation of rapid transit systems is pri-
marily governed by heal considerations. Heat is generated and accumulated in
direct proportion to the density of traffic. Mechanical ventilation thus becomes
a necessity in all cases where heat is generated at a higher rate than can be absorbed
by the walls through conductivity. The amount of heat transmitted to the ground
by the walls is limited and may be expressed approximately as follows:

Ql = FUa - f ,)k, (4.193)

where F - the surface area of the tunnel lining in contact with the ground
fa and " - the temperatures of tunnel and soi l, respectively (i n 0q
k - the coefficient of heat conductivity (about 1·2 - 1·5 cal/m'/hrr q

4 .8 3 EMHO, L.: Varosi alagutak sze1l6zese (Ventilation of urban tunnels), Mem. To v. Kepzli
1953 2150.
GARMS; Handbuch der lfeizllllg· u. Liijltmgstecl",ik.
ARBUZOV, G . V.: Velllilaciya 1011111'11'; Metropolil clIO V (Ventilation of subway tunnel s),
Moscow 1950.
Improved VeDtiJation of london Tube Rail ways, Engineering J953 Dec. 713.
'''' I)£'IIGN l>IR[ C'T1W~1 FOil. .... rILLA ll y WORn

1!tnt/u.'f('11 duinlttr
2 ltulfltr d"PI/wr
,1 SMft
, fI#/wS PId /fIn
S. Orflrllon
5 ~Ja "ffl1uI#IIDII
.wfl
7. IntJk~ gmt

FIG. 4!1 ~7. Ventillihon scheme ror subways

Becuuse of the low heat conductivi ty of the ground the ubsorption of heat by
the tunnel lining cannot be relied upon. The ground !;annOI maintain disper:sion
of the heat that is constantly being genera ted and heal storage a rcu will dc \;clop
around the tu nnel wilh aiternatlllg flo ws of heat : "charging" in warm weather
a nd "discharging" during cold periods (e.g. cycles of day and night, summer and
winler).
For this reason most of the heat has to he removed by mechanical ventilation,
which is reqU ired anyway for health reasons. T he type of longliudi:Jal venlilalion
brought abou t by t he moving !r<, i n ~ [llJ ~ hin g the air like pistons in cylinde rs is
used only as an au xiliary today, because the pressure afforded by the trains is
inadcquate to get the fou l air o ut to t he surface.
For a modern subway tunnel with heal being generated at the rate or 688 000 ca l
by {rains (800 kW) plus 120 000 cal by passenge rs (48 000 persons!hr), the to ta l
amount of heat to be rcmo\'ed is about I million cal/km/ hr. Assuming 10 °C
or 2O "C differe nce in tem perature (i nside VS. out side) and I tll~ air removi ng 0·3
cal, the total volume of air requi red to ven tilate the above tunnel amounts to
333000 o r 167000 ml/ hr, respeeth·ely.U' Amo un ts of heat to be disposed of are
g;\'en in Ta ble 4/XV I (EIoIHl) .

. ... AllQ uzov. G. v.: VrnliladyalOMMPlel M elropolilfrWu ( Ventilatio n of lu bwa y tun nels),
MOW) ..., 19SO.
 llGHTlSO AND '<OISl! CONTROL IN TUSI<El..'Ii
,,,
Tllr A "'t'IIm' of lirA' Grllrralt'{/ iff Urba" T"""ds (~ k",) TABU 4/X\'1
-
Tra ffic
"",..1••
_. .,-
~,

(col)
o..lpu'

h id..
..
Tn.:"on Ou,put ,
~.
..
II... .h>&.a auxiliary plan.
~ ,.
Talal Mo.
(,,"11
«al) (.W;
' <all

HighwaY traffic.
,
20 vch iclcs - 200 ~II' 126400 , 4300 IJ l OOO
low volumes simuha· (Iight_
ncollsl)- ina)

Hil/.hway Inflk. 200 .~h icles - 2000 H I' 1 264 000 30 "800 I 290000
high volumc.J. sim ul la- (li~ht-
4 lanes llCously in&)

Old 5u .....-ay.
5",,110'"
,"'"
passengers
30000 200kW 172000 14 12000 214000

a lignmenl per hour

Modcrn sub"IIY, 38 000 '20 000 800 kW ".000 210 '80000 9S8000
d~, paSRng~r$

alignment perhour

Ve nl ilation systems designed 10 remove e., cess heat are generally adequate to
provide for sanitatio n and dust control as well ! '-
Venil ialio n shafts and adlls used during construction can be made part of the
final ve ntilation syslcm. as shown diagrammatically in Fig. 4/ 157. TIle: a ir can
flo w Ih rough lateral vent tubes under Ihe tun nel and through longitudina l ones
formed in the .. oids under the plU(forms to reach the sta tion through pipes rising
inside the columns. In a reversed action the fou l ai r can be exhausled in t he same
ma nner. The dislribulion of a'~ from shafts between stations requi res less elaborate
facilit ies and can be effected through simple lateral galleries.

4.66. L.I G HT IN G. ANI) NO ISE CO NTRO L. I:" T UNNELS

46.61. Lighling
Tunnel lighting requiremenls vary greatly and depend on whether the lighting
is pro.. ided for maintena nce p urposes only o r for o perationa l safet)' as wtll.
Listed In increasing order of importance: lighting in railwa y tunnels ma y be
limited 10 dircctional lights: naviga tio na l tunne ls and Ihose with utllilY li nes ha\'e
to be illuminated to facilitate maillle nance and access: lighting in highway tu nnels
shllll be consistent with traffic requ irements and, finally, underground stations,
wo rkshops and storage areas shall be illuminated as required for regu lar wo rking

Fer a good example ef ven tilation design see: DANDuaov, M. I.: Tonnell
. ~, No:r~.
(Tunnels) Gos. TTllnsp. Zhelczr.edoro~hnoe l~d" Moscow 1952.
'62 O[SIGI< D ''' ECTIV~$ FO R "NCllLU Y WOIl I<S

conditions. Maximum illuminat ion in the last case varies between 1000 a nd 1500
lux. and in highway tunnels from 500 10 I SO lux. Becll use of the absence of glare,
ind irect lighting is preferable in both cases, but particula rl y so in highway tunnels.
The lighting of II road tunnel must allow drivers to pass t hrough in cond itions
of safety. i.e. to distinguish clearly the edges o f the carriageway on the right of the
vehicle lind at stopping d istan l1:, any obstacles on the road surface and the other
vehicles and thei r ma noeuvres.
The lum inances 10 be aimed at accord ing to P. R. C. Recommenda tions may
vary between 10 to 20 candeles/m~ (L) dependi ng on speed limit;. The relation
between L Ull a nd candela (£) units is

L=-
, ·E.
"
The value of f!/ n(e = facto r o f reflective) varying from 0'05 10 0' 12 according
10 whether the surfacing is bitu minous. rece nt a nd without lumi nance add itive or
whether it is bituminous old with luminance addi tive or in cement concrete. We
have then the rela tion £ - S 10 20 L acco rd ing 10 the surfaci ng.
At night it is necessary to red uce lighting levels (to 2 to ed/ mt) so as not to cause
dazzling a t the exit. The le vel must be ada pted to t hat of the e~ternal publ ic
lighting.
Great contrasts in illumination at t unnel entrances and exits (in daylight) must
be balanced gradually. Daylight illum ination is eq uivalent to 90 000-100 000

')
 LIGHTING , AND NOISE CONTROL IN TUNNELS 563

lux, which is almost impossible and certainly impractical to simulate because of

prohibitive costs"" A number of experiments have been conducted to establish
adaptation zones that are still comfortable for the driver's eyes (Fig. 4/1 58). In
western countries there is a great range as to ratios between internal luminance
of the adaptation zone and the lighting of the exterior. It ranges namely between
1/ 8 (Holland, France) to 1/42 (Japan). There are two methods to achieve such
transitions. In one method the funnel-shaped entrance allows daylight to get into
the tunnel as far as possible. (For example, an outward expanding parabolic
hyperboloid shell roof, opening up toward the outside, has been added to the
new highway tunnel in Le Havre."" I n the second method, exactly contrary to
the first, the daylight is kept out by means of adjustable shades. This method was
adapted in the case of a wide, 350 m (1150 ft) long subway along the road
leading to tbe new Orly Airport"'· The 90000 lux of daylight illumination has
been reduced in steps to 500 lux at the entrance and then further reduced by 20 %
over a distance of 40 m (130 ft) and by an additional 90 % over another 10 m
(33 ft).
Lately it has become a general practice to apply a gradual light transition from
open air to the artificially Iii entrances in form of reflecting light-metal sheets
hung from R.C. roof-beams arranged in a grid-like form over a certain length
of the access ramps of recent subaqueous tunnels (Benelux-Tunnel, Schelde-
Tunnel, Singstad-Tunnel, etc.). In the recommendations of the XIVth Cong-
ress of Permanent International Association (prague 1971) it is pointed out
that the construction of such louvres quite often presents difficulties in tunnels
devoid of excess ramps. Besides costs in winter they may retain snow when it
thaws, drips on the carriagewa y. At night this water freezes and some dangerous
icy patches appear.
Their power of reduction of natural light is very variable and often the opposite
what be desirable. These various disadvantages led Dutch engineers lately to
abandon louvres in new tunnels.
Because lighting is indispensable in all underground areas, emergency lighting
must be provided in the subways and in the workshops. (Corrosion of lighting
cables has posed serious maintenance problems in old railway tunnels.)
A discussion of lighting details is not given here as this would exceed the scope
of this work.

46.62. Noise Control

The need for noise control is a recent development and is limited at present
to highway tunnels with heavy vehicular as well as bicycle and pedestrian traffic.

tI. GS TravDux 1960 Febr. 8- 82.

<1.69 Le MOllde SOllterraill , 1960 April 62.
4 .;0 La traversee routiere de I'aeroport d'Orly, Travallx 1960 Febr. 91.
564 DESIGN DIRECTIVES FOR ANCLLLARY WORKS

Observations made in France4 .71 have indicated considerable discomfort for

pedestrians and maintenance crew whenever the noise level, due to continuous
traffic and reVerberation, bas exceeded 100-105 decibels. (That is why noise
levels in France are limited by specialist bodies: in front of houses: 35 dl!, in
front of office dwellings: 45 dB.) In order to diminish the noise level, a number
of special resonators have been installed. The elTect of the latter cannot be
expressed Dumerically. however, because it was not the intensity but the nature
of the noise that was changed. This was achieved through sound fractioning and
through the elimination of reverberation, resulting in a type of noise similar to
that present on a street with tall buildings on either side.
The resonators employed consisted of 20 x 30 cm (S" x 12") plastic boxes,
10 cm (4") high, with 2 cm (3/4") dia. spouts at the bottom and were mounted
on aluminium ribs installed in the ceiling. 60000 boxes have been installed in
a subway 350 m (1150 ft) long. In addition to eliminating reverberation and chang-
ing the nature of noises the resonators also have cut down noise intensity by
4 %- 14 %.

4.67. ANCILLARY WORKS

Installations required for the operations, ventilation, drainage and lighting of

tunnels have been dealt with earlier under the appropriate beadings and will be
discussed further in connection with subway stations (see Section 63.45). In this
article the discussion will be limited to portals (to be provided at tunnel entrances
and exits) and to niches.

46.71. Safety Recesses

Refuge niches or recesses in the tunnel lining have to be provided for the safety
of maintenance crews. Staggered along the two wails, they should be spaced not
more than 50 III (150 ft) apart in railway tunnels. They can be constructed also
in combination with drainage laterals, in which case additional space has to be
provided for collector sumps. Covered by underpitch vaults the recesses are about
1·90-2·25 m )6'- 3" to 7'- 6") higb, 2·0-2·5 m (6'- 6" to S'- 2") wide and 1·0 m
(3 '-3") deep (Fig. 4/ 159) and may be left unlined if carved into solid rock.
Utility rooms, spaced about every 1·0-2·0 km (about every mile), are also to be
provided in long tunnels for the storage of materials and equipment as well as
for the convenience of the maintenance crew. These rooms are about 3·0- 4·0 m
(10- 13 ft) wide, 2·S- 3·0 m (9- 10 ft) high and 3·0- S·0 m (1 - 026 ft) deep and are
equipped with a telephone. In most cases tbe entrances are whitewashed so they
can be seen more easily in the dark.

'.71 Trovof/x , 1960 Febr. 80.

 ...... CILL ... lly WOIIKl ,os

. ~'~
<. ~'~
' ~'"i1
, "..

~'''- 3%i--= -"" •

,
I e
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-L
•
~ ~Il
•

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~
'~
f!
. ...
,', 72
, . ..
-"T'::Il:l ;
.- 4-!JG ,
, , ,
. y
,
, ,
FlO. 4/JS9. R~esse, and u!ilily rooms
• '/ '/ ...
46.12 . Portals
More important and with a structu ral fu nction to perform are the portals·
Their funcuons are:
I. to protect and support the adits. exits and f pproaches under masses of earth :
2. to keep ou t and drain surface wa ter funning down the front 510pe ;
3. to emphasize the sl ructllflll significllnce of the tu nnel th rough architectural
featu res.
From a structural point of view portals m3Y be divided into the following
catcgoric' :
(II) In solid rock thcrc may be no need for a J:ortal fa~ade at all and the tun nel
lining may be extended and left exposed It the approaches.
(b) If thtre is a ny dange r of rolling rock or surface wate r seepage then a ra~ade
wall has to be provided around Ihe entire opening (Fig. 4/ 160).
(c) If the re is earth pre;sure to be expected from the fronl slope then the
portals have 10 be designed as re taining walls. An y retaining walls lining
the approach cuts can be considtrt:d as counterforts supporting the portal
(Fig. 2/32).

Surface waler running down the fro nt slope shou ld Oe intercepted behind the
portal li nd drained so as 10 eliminate IIny seepage into the tunnel.
 Df.SIG N I>III (("'I " U lOtI; "'''OLL'''' Y WO~O: 5

F IG . 41160. Tunnel
pOrl,,1

.stope dr#11I
Approiich ~_
i l l lllllg WI"
(COlNl ter!o.~t
to (Jade)

WeePillg
holes

D""~/ltry

Becau~ of differen!i,,1 load ... JlOlential sel1lelllent (soakina o r the basel lind
rorward tilting (s hifling pressures), il is advisable 10 sepamte Ihe portal rrom Ihe
tun nel lin ng by an expansion joinl.

REI'EIU! NCES _ DIIILl OGRAPHY

AHKU'Ili, H. (1969): Der r:lLIm lich ao:kriim mu: Su b (ti nu re u. nichtlinearc Thcoric).Di • .
der T. H. Dlrm~tadt
ANDItEAll. C . ( 1949) : Probfinru du /Hofrt n d~ I'hobliuemt!"t de IJrllNh soulerm;fU roulltTS
ITonJIllpillS. lftman n. Zurich
A~DRE"'~, c. (l9~6) : Gc:birSJdrud; nnd T unncibau. Sdr ..'ci=. Bauuililfl/l 107
ANNON. Veralftunll"'D uno ErSlicku nsc:n bei unteri rdischcn Arbeiten 1m Tiefb.au.Sprf/ljl-
t"cllnik t, J uly. 1967
 REFERENCES - BIBLIOG RAPHY 567

BEYER , K. : Die Statik im Eisellbelonball. J. Springer. Berlin 1930

CABELKA, J. and MENCL, J. ( 1960): Hydrotechnical Tunnel s. ( Hydrotechnicke Stolne, Czech)
Slovenska Vydaleltsvo TecJ/J1. Lit., Bratislava
CHARLTON, T . M ., Principles of Structural Analysis. Longman s Green and Coo., London 1969
C HRISTENSEN, N . H. (1967): Rigid Pipes in Symmetrical and Unsymmetrical Trenches.
BII/I. 24 of the Danish Geotechnical IIrstill/U, Copenhagen
CLARKE , N. W. B. ( 1967) : The load s imposed o n conduit s laid under embankment s or valley
fill s, Illst. of Civ. Eng., London, Jan.
DANDUROV (1952) : Tunnels. (Tonneli, Ru ss.) Gos. Transp . Zheleznodorozhnoje Izd. Moscow
DAVIDOV, S . S. ( 1950): Pacllem u flpoeKmllpo6Q1l/1e KOHcmpY"l/lIl1 (Computation and design
of underground structures). roc. 113.naT. CrPOHT. JlHT. MOCKBa
DURTH, R . (1969): Hereehnung von sehieldvorgetriebenen Tunneln mit Ueruck siehtigung
der NichtlineariHit. Di ss. T. H . Darmstadt
GAYLORD and GAYLORD (1955): Struclllral Desi.qn. Me Graw Hill. Civ. Eng. Series
GARTNER (1958): Slatically Indeterminate Strllctllres . Concrete Publication s Ltd ., London
HOfER, K. and MENZEL, W. (1963): Vergleichende Betrachlungen uber die mathematisch
und au s Messungen unter Tage ermittelten Pfeilerbelastungen im Kalibergbau . Berg-
akademie, IS 326- 334
KASTNER, H. (1962): Stalik des Tllllnel- IIl1d Slollellballes. Springer, Berlin
KLEINLOGEL, A. (1925): RaJmumformeln. Ernst, Berlin
LANE, K. S. (1957): Effect of Lining Sliffnes on Tunnel Lining. Proc. IV. 1111 . Conf Soil
M ech. London, If. 223
Les installations de ventilation du tunnel du Saint-Bernard. Schweiz. tee/m. Zeitl·chr. 1963,
472-473
LIELUPS, L. (1965): Gestaltung und stati sche .Berechnung weitgespannter Stollenausklei-
dungsprofile. 8autechnik, J
LINK, H. (1967): Entwicklung und gegenwartigcr Stand der Bcrechnung von Schachtaus-
kleidungen in lockerem, wasscrfuhrendem Gebirge. GlUckalif-Forschllllgsheflc, 1
LOMBARDI , G. (1969): Der Einftuss der Fel seigense haften auf die Stabilitat von Hohldiumen .
Schweiz. 8allzeUIIl1g, 3
MAXWELL-COOK, 1. C. (1967): Slrllclural Wal erproofil1g. London: Butterworth
Metrogiprolan s (1959): Hay tll/o /olemoa. pa3paiJ. pacllem mOIiIl. 06iJe.lON. (Scientific method for
the calculation of flexible tunnel linings) Moscow
MEYERHOF, G . G. (1966): Composite Design of Shallow Buried Steel Structures. 47 . Anllllal
Convention of rhe Canadian Good Roads A ss. Halifax
PANC HAUD. F. and RESCHER, O . J . (1954): Der Donnerbuhl-Tunnel in Bern. Spannungs-
optische Untersuchung des Tunnelquerschnittes. Schweiz. Bauzeitlmg, 6
Proceedings of Ihe lsI 111/. COllf Oil Rock M echanics, Lisbon , 1966
Proceedings of Ihe 2nd bu . COllf on Rock Mechanics, Belgrade, 1970, 2- 3
Pro ceedings of Ihe Illf. COli/. 011 Rock Pressures, Luzern, 1972
Report Techn . Committee o n Road Tunnel s. XIV COllgress of Permanent fill. Associatioll of
Road COllgress, Prague. 1971
ROHNE, E. (1964) : O ber die LangsluflUng von Autotunneln mit StrahJventilatoren, Schw.
BauzeituIIg, 48
R6zSA, L. ( 1963): Die Bemess ung kreisfO rmiger Tunnelwandungen. Der Batlillgelliellr, Nov.
SANSTEV ( 1955) : Cmamll'/ecKue pac'Iiim 06iJeAoK mOlmeAeii (Statical computation of tunnel
Jinings). rll,1l,po:mepronpocKT, MOCKBa
SAROSI, A., SOHA, I. and KELEMEN, J . (1963) : Th e application possibilities of belllOllite (Bento-
nit a melyepitesben , Hung .). Mfiszaki Kiad6, Budapest
SATTLER, K. ( 1965): D ie neue osterreichische Tunnelbauweise. 11. statische Wirkungswei se
und Bemcss ung . Bauillgelliellr, Aug.
SCHULZE, H. and DUDDECK. H.: Spannungen in schildvorgetriebenen Tunneln. Belo,,- II.
Stahlbetollball, 1964, Aug.
568 DESIG N DIRECTIVES FOR ANCJLLARY WORKS

SPANG, J . ( 1967) : Verformbare Auskleidungen bei bergmanni sch hergestellten Ho hlraumen.

Die Balilechnik, Jan.
SPANG, J. ( 1967) : Statische Berechnung der Beanspruc hunge n von in Lockergestein e in-
gebetteten, bicgsamen , homogenen Auskleidun ge n am Beispiel des Schwankheimer Tun -
nels. Briicke II. Sfrasse, Mai- Juni
T EODORESCU. P. ( 1961): Calculllllilflelelor. (Computation of tunnel s). Editura Transporturilor
si Telecommonicatii lor, Bucharest
TH EEN HAUS, H. (1970): Der Einftuss von mehreren Tunnelrohren auf die Spannungen In
dec Tunnelauskleidung und im umgebenden Gebirge. Diss. T . H . Darmstadt
VOLKOV ( 1945): TOlIl/eJtu (Tunnels). r oc. TpaHcn. )KCJ1C3HOAOpOJKHOe lhnaT. M OCKBa
WARD, N. H . and CHAPLIN, T . K . ( 1957): Existing Stresses in Several Old London Under-
ground Tunnel s, Proc. IV. Int . COllf Soil M ech. L ondo n, II. 256
WISSMAN N, W. ( 1968) : Zur stati schen Berechnun g beliebig geformter Stollen- und Tunnel-
au skleidungen mit Hilfe vo n Stabwerkprogrammen. Der Bauingeniellr, J an.
ZURA80V, T . G. and BOUGAYEVA. O . E. (1940): B e3Han OpHl(e zuopOm eXI/Ulle3k'ue m OHHel1U
( H ydraulic tunnels without water pressures). roc. 113,llaT. CTpOHT. fun. M OCKBa
ZURA80V, T . G. and B OUGAYEVA, O. E. (1962): TuopomelluecKue TOJlJle/ll.l (T unnel s fo r
hydraulic power plants) roc. Elf. J-hnaT. M ocKBa
 CHAPTER 5

TUNNEL SURVEYING

Tunnel surveying is one of the most difficult chapters in engineering geodesy

and dLffers from surveying on the surface in many respects. The problem is one
of achieving a high degree of accuracy while measuring in underground areas,
impeded by construction work, impaired visi bility and limited access conditions.
A high degree of accuracy is necessary because the layout of tunnels is always
based on the least favourable geometric configuration of the open traverse orien-
tated at one end.
Measuring becomes even more difficult if the azimuths have to be carried
through air locks into the area under pressure. Another problem with low-lying
tunnels is the fact that the azim uth has to be dropped down shafts that are 30-40 m
( 100-130 ft) deep, with optica l plumbs, or with mechanical plumb lines and thus
even the 'fixed' points will be moving, at least for a period of time.
Marking of the stations is also different from that on the surface, as this is
done overhead. The transit thus has to be centred below rather than above the
stations.
All these factors have an adverse effect on the closing error and require the
surface triangulation, serving as a basis for the tunnel layout , to be all the more
accurate.

5.1. SURVEYING FROM PORTALS

5.11. HORIZONTAL LAYOUT

Tunnels starting from the surface can be laid out directly from monuments of
the surface triangulation system .

51.11. Layout of Short Tunnels

In most simple cases short tunnels can be laid out si milarly to straight lines
between two points that are not intervisible, as illustrated in Fig. 5/ 1.
Consider the tunnel starting at K and ending at V, which are also the two points
to be established in line with A and B . In the first step two poles, both visible
from A as well as Q, are tentatively located. Point 3 is then lined up from B with
82 and then point 4 is lined up from A with A3. Once the two poles on the hill
are in line both from A a nd B, the line has been established.
>70 JUIlVEYI!«l FIlOM P()&TAI.5

,irJr;m:t ttrmlfl;'

, ,

Flo. ' I I. Layout or 5hon lUnntl~ by suctcSSi."c appro~imationJ

-~ ,
1"10 . S12. " lI.yout of shorl t un net, by SUCI;n5;vC approximations

----_.
-- _"._.- - -----,
and with an auxiliary fao&e pole

... K ~ I

-,... -- '
, ---, __ JT,l__ -rt -~
..

-,f..-~
FIG. 5/3. Layout or sho.t tunnels by .nlulu mcaw~mcnl

If the Iwo poles cannot be located so as to be visi ble from both If a nd H, [1 third
pole has to be placed bel'A-een them so as to be visible from A and 8 . In this case
(Fig. 5/2) pole No. I is located to be visible from A and B and poles 2 and 3 arc
li ned u p wilh A I a nd HI respecth"cly. Pole I is now li ned up with 2 and 3 and the
procedure repeated as before un til all poles lire in line. FinalJy K and V aTc lined
up with A 1 and HI, respectively. Permanen t markers shall be placed at A , B. K
a nd V so as to be read il y accessible throughout t he construct ion.
The abo\'e layout can a lso be obtained with chaining and angular rotation.
Once again points K and V (Fig. 5/ 3) ha\'e to be lined up with the base line as
defi~d by A and B. Having chained distances a a nd b (Fig. 5/3) and having mea-
sured the angle 1:, distance s can be calculated from

Db
, ~ (5.1)
D+ b "
 IIORIZONT .... lAVOUT

which, heing an approximate formula, is \'Itlid onl)' for (0 + b) ~ AB and

si n t;;; t. By repeating this procedure point P can be located exactly. Because of
tilt: chain ing involved this method is more cumbersome than Ihe two previeus
ones. Chlining can be avoided by measuri t'lg the distance optically,

5 1.12 . Layout or Lonl Tunnels

Tunnels severa! miles long can be laid 001 by the above methods except tllat
transits bave to be used in all line-u ps,
The layou t of long tunnels can be tied into existing triangulation networks
of national surveys. or can be bused on special systems de veloped for the particular
tunnel or on an independent traverse.
£
c

8
I
I
1,
FlO. Sf4. Layout of lhe tu nnel ccntre li ne on the lround between two points

51.121. /..Dyout of long IUlllle/sjron! txiM;ng tr;ullf/ulat;on lIetworkJ of national

s lirreys. Let K and V denote two known points of the centre line of the tunnel
o n t he ground (Fig. 5/ 4). The directions KVand VK ha ve to be established at K
and V, respectively.
First, tho coordinates or V li nd K hllvl': In he established in the nu tio nal coord i-
na te system, based on points A , D, C, D and E, F, G, H using the me thod of
intersection. The angles are to be measured in two positions of the horizontal
circle. Either (a) azimuths, or (b) internal angles rna)' be used in the procedure.
(a) In Ihe method using azimuths the bearings to K a nd V have to be deter-
mined with reference to A, B, C, D and E, F, G, H, respecti",ely. This can be done
as follo ....s: Sening up the instrument at A the lelesoope is pointed toward a t least
two known points (5 , Q) and to point K. Let OAS and 6 AQ denote the bearirlgs,
which can be calculated also fro m the coordinates or A, 5 and Q:

~ I Ys - YA
OdS - tan
Xs - Xd
S12

and let I.u, 140 and IAK denote t he readings refe rring to points S, Q and X,
respecti vely. The angle .. of orielliation, =.015 and ZAO can be calculated from

"AS - lAS = ZAS a nd "AO - I"" .. ZAO

and their mean value is

Z oO =

The bearing of the li ne AX is t hen

The other bearings ca n be derived in a similar manner for X Rnd V from the other
fixed points. Using more than t\Oo'O points o r measuring t he angles at X as well
liS at V will result in redundant measurements, that can be used to ndj ust the
coordina tes, :w d so will improve their reliability.
(b) Interna l angles ma y be used where a leuer degree of accuracy LS satis-
fa ctor)'. In this met hod o nly two points iLrc used, forming a triangle wi th the point
\0 be determined, and the angles of this triang e are measured o nly at the two
refe rence points. (Angle (J at Band i' at C, !it:e Fig. 5/4). Dislilnce Be can be cal-
culated from the conrilinJLI I':-~ IIno the ot her sides o r tri angle Be X are then

b = u sioP and ,
Slll:t

and the bearings of BX and ex are

0I1K "" o,C + p and "CK - liCR - 1',
where
_ I YC- X B
"'c "" tan and aCB - aRC ± 180~.
Xc - X,
The coordinates or point X a re
YK = YB + 7iJ( sin 0RX a nd X It - XII + BX cos J"x,
o r in anot her fonn (for checking purposes)
Y,. - Yc + DC sin aa a nd X K - XL + CK c()~ 0CK'
Points K a nd V may be de termined by resection rather than by the a bove met hods
if o nly limitcd accuracy is requi red,
The bearing of XV : (XV) = 0,-" is utlcula ted fro m coordina tes:

I Y" - Y,l:
(KV ) - ox v = tan - , (5.2)
X ~- .\K
" d
 HOIUZONTAL LAYOUT

Wi th the instr ument set up over K the direction ilKI' can be laid OUI usi ng the
known poi nts (bl'l" can be luid out similarly a t point V):
Setti ng up the instrumen t a! K the angles to A. B, C and D can be measured
and the mea n angle of o rientation can be calculated. DenOling the respective
readings wi th I A • III' fc and to the corresponding angles of orientation are

aA A - fAA - =A·

bKB - I K , '" "B'

OKC -I"e - =e,

81:0 - 1"0 - zo,
and the mean angle of orienta tion at point K is

The reading pertaini ng to the directio n to be laid out IS

Turning to point V the above procedure is repeated a nd the reading pertaining

to the di rec tion to be luid out is

The national triangulation net work is often not sufficiently accura te for tunnel
layout work and thus the points should be cht.'ckeJ before use. T he problem of
accuracy is also discussed in Section 5.14.

5 1.122. Loyuul uf !tmg /III/nels from special nn",·orks. In cases where the national
triangulation network is not su fficiently a:curate, t he layout should be based
either on a special triangula tion net, o r, in simpler eases, on a special traverse.
Regardinlit the use of special tra'verses t~e re are two al ternatives. In the first
alternative both terminals a re known (Fig. 515) and the unkno\'.ns lire the angles
j "

I fill"f

F,o. l iS. Tun nel layout by

Iriansula tion be, ..·«n two
kno ...:. t~rrninals
 JUIlYEVI;';O ~OM _TAU

Fro. 5/6. Layout of the other

te rminal by special oriented
tr a~'erse

\ ,
tP a nd ljI. In the second a lternati ye only one termi nal is known (K) a nd one angle
(t/I): the other terminal ( V) a nd the other a ngle (,,) are to be determined (Fig. 5/6).
In the fi rst case the distances /0' /J, ' f' ... , t~ lind the interior angles WI> WJ, •
. . ., w~ are measured in Lhe field . Fro m Fig:. 515

KV sin q, "" ta n q, = VT III sin PI1}:: (5,J)

K V cos q, KT (II cos PI~: :

and with the nOlation used in Fig. 5/5

Po - 0, 1f1 - 180" - w 1 , PI - w 2 - PI ± 1 80~, p~ - 00. - fI~ ~1 ± 180',
and with q, kn own
!/I - II 180~ - q, - [wdl:; , (5,4)
where n '" the num ber of the traverse stations.
In the second case the angles ns well as the distances have to be measure<!,
as before. T he n, fi rst, the location of v alo ng t he tra verse side is determined.
Consideri ng Fig. 5/6 and Eq. 5.] . it follows ltat (with the same notation)
(// sin fJl~: ~ -1 + .Y sin f/~
tan r/l= , .1
[I, cos /1'],-:0- + :r cos fi. '
and the unt nown x can be expressed 8S

[1/ sin .8,11::- 1

- tan f [I cos P,1:::- 1
(S,S)
Ian q, cos P. - sin P.

As in Eq. 5.4 the eltpression for the angle 1/1 is

(5,6)

Where, in the layoul of tunnels 8- 10 km (5- 6 miles) long, the accuracy of

the national triangulation network is insufficient a special triangulation net is
required.
Once again t here are two possibilities regarding the independence of this special
network.
 In the first case at least two points of the ne twork to be developed are also
poi nts of the national network a nd the line between these two has to be a«:cpLed
and adopted. Thus, in this case there is no ne~d to measure a base li ne. but all
the a ngles of the triangle have to be measured with a theodolite wit h readi ngs
to the neare.t I · and in at least fou r positions of the horizonta l circlc. It is best
tn cstahlish a c ha in of triangles alon i the centre line of lhe t unne l.
Consider the chai n of t riang les illust ra ted in Fig. 5/1 with points [ und II
belongi ng to the na tional triangulat io n nelwor k and with points 1.2, ... , 1 10
be laid oul . T he coordinates of these points are calculated in two sleps. Assu mi ng
first an arbitrary length for line II , for exam ple. the le ngt hs of all the o ther sides
can be calculated on the basis of th e mellsured and correcled angles and so can
all the coordinates of the sta tio ns. Ta kin g the coordinates of point I as J'; .. 0
and XI - 0, the hypot he tical coord ina tes of point II, )'11 and x.,
as well as all
t he others can be com puted and marked with a prime so t ha t they Clln be dist in-
guished from the actual coordinates. Now thc ratios of actual to hypothetical
distances arc calc ulated fro m

Yn - XC'C'"-,.:.X,-,,
y, a nd C,, =--
C, - y' ('.7)
X;J
"
In the second ste p th e: actual coordinates can be obtained from

)"

)'Z
= ) '1

= J"i
+ C, J';
+ C,y,
and X J =
and x • ..
XI
XI
+ C"x;
+ C" x;
I
('.8)
)'. "'" n I- C,.y~ and :f~'~ ~;'~ .~~.~: J
Knowing all the coordi nates in the loca l network the tunnel can be luid out
exactly a ~ if worki ng in the national ne twork (s:e Section 51.[ 21).
In t he other case it will be necessary to measure a base line, and it is ad~t sable
10 determine t he coordinates or at least one statio n and the bell rin g of at lellst
o ne side in Ihe national coord inate system. One side or the local network is usually
expanded from the bas<: line through a base nc t. T he: length of each side can then
be calcuilited wilh t he measured and corrected angles, and the bearing for each
side can be de ri ved from t he one with t he known azimuth. The coordinates or each
statio n can now be calculated wilh refe rence to the sta tio n whose coordinates are
,

FlO. 5/1. Tun~1 layout by

adoplinl IWO poi nts of a n ellisl-
inl s),llem Ind develo ping a
IOCIII network in bel"'''''"
'"
, F IG. ~III. Tunnel layout b)' selr-cunlaine(\
4 -s-o triangu lation
r"
'---- _ ""j v

known in the national coordinate system. Wit h the local network established, the
tunnel can be laid out exactly as if working in the na tional network (see Section
51. 121).
With the notations of Fig. 5/8 t he actual closing error is

,1)' = [ey(D - Tj]i. t + [c, sin 4']7. 1, (59)

where li, and c, = the error in the angles and in t he lengths of the sides, respec-
tively
n ... Ihe number fa sides.

T he sign of the first member is positive if ¢II denotes the a ngle as illustrated al
station I, 2nd is negative if it is the angle supplementary \0 360°,
Calculations for the chain of triangles illustrated in Fig. 5/8 a re the same as
for a local t raverse, because stations K, I, 2, 3, 4, 5 and V may be regarded as
t he stations of a traversc.
Accordir.g 10 Fig. 5/9 Ihe angJe(a) required for the layout of centre line k - e
and the length oflhe tunnel, kp,can bederived directly from the chain of triangles:

lifsinP - efsi n(fi +")')

Ian <): =
/ecos(fi + ")') - lifcosP + kh
. ~----

ke = L = .J[/ifsin {I' - Ie sin(f$ ..;. yH + [j e cos (P + /) -

Z
lifcosJi + khY ,
- - sin(bac) sin(bca) sin (de!) si n ( gl/f) sin (kgf)
(5.10)
!if = ab sin(acb) sin (bdc) sin klJ) sin (dgf) sin (ghf) .

FIG. ~ 19. T unnel layout by setf-con-

tained triangulation (dire<;:t metho d)
 "'AI!.IUsG THE STATIO:SS m
.5.12. l\IARKISG Ti ll:': STATIONS

UorizOllt!l1 reference poi ne; o n the grollnd ue marked in the same manner as
t hey generall y are in surface surveys. Exccptions to this a re the points along the
ccntre line of the tunnel as these are also to be used as instrument stations. It is
also advisable to mark them with permanent monumen ts. Permanent monuments
raTe ralso recommended fOT auxilia ry target points localed a long the extension of
the centre linc. The monuments should be such as to be able to receive a target
In the form of an iron bar. while surveying is in progress. An example of a per·
manent ty pe monument is ill usLr-.tted in Fig. 5/ 10 ; the marker on the left hand
side was u!ed in the construction of the Simplon tunnel. In lhe case of paved
surfaces the perma nent mar kers may consist of a metal plug set in conc rete and
encaS(:d in a steel box liS illustrated in Fig. 5110b.

"
"
,'"

FlO. j / IO. Horizontal reference point marhrs

Inside the t unncl l he markers are usullily mounted overhead. T here are several
Iypes in use; that of BoRCIIER is generally preferred because it is the best fo r direc·
lional layouts. T he 80KcIIlR staple has to be driven inlo the roof in an appro:<ima te
position 50 Ihal t he horizontal portion will in tersect the line to be determined.
Having esta blished the line a hole has to be d rilled into the staple in the exact
location to receive the wire suspendi ng t he plumb bob (Fig. l / ll ). Tho: rido:!" wiLl]
the vt:rnie r. ill ustra ted on the left, works o n the same princi ple.

Frc;. ' til. Overhead I)'pe 51alion ma rk ers

. - ., .......... ..
 SCRIlE\'ISO HOM f(>RT.o.U

S.U. LA "O UT OF OET AI LS

In tun nels wil h a straight alignment the centre line is laid QUI every SO- 100 ft.
This can b~ done with a theodolite set up over the station last established and
baeksighting at a point at least 3-4 times as far away as the next station 10 be
determined.
The te[e~ope is then reversed about the horizontal axis, a BOR CllER sta ple is
driven inw the roof at the required distance and in the approximate location,
and the new station is marked on it. The telescope, still in the reversed position,
is now backsighted to the first point, then reversed and the poim is marked once
again o n thc staple. Now a hole has to be drilled in the staple half way between
the two marks: this will be accepted as the new station. Keeping up with the
progress of construction the stations have to be spaced about evcry 15-30 m
(50-100 ft) along the tunnel. In dark headings the cross hairs require artificial
illumination.

(
V
,/

'" "'l
• +
"'- BladJoml
Fl(], Si n. Metal targets F tO. 5113. Tunnel layout on a
curve by deflection angles
In the case oflong sights the permanent markers consist of metal targets mO llnted
on the roof. Cross.shaped slols have to be cut into the plates and Illuminated
from the back to give a well-defined sharp light on the face tha t is easy to sight o n.
A black cross on illuminated opaline, or other eaSi ly VISIble figures with dlstlllct
vertical cenlfe lines C<1n also be employed (Fig. 5/12).
Tunnels on horizontal curves can be laid out by deflection a ngles using the
roll owi ng formulae (Fig. 5/ 13):
.« S
-~-
2 '" 2R'
(5.11)

s'
y- - (5.12)
2R

The value of (:t: should be chosen to suit the length of the chord, s (the length o f
the tape).
 \lHIlODS TO I M~1l0YI!;

5. 14. \U::THOOS TO 1i\ IPJl.OV!i: ACCU KACl'

ACCUIlACY
'"
The degree of accuracy required in tu nnel SlI rveymg is g"verned by the allow-
able closing error. The accuracy of the s~rvey will dcpend primaril y o n ;

1. a reliable ne twork of surface reference pci nts

2. c:"lreful and re ~a ted mea~lI rem e nt s.

Better con_tol o \'cr t he tun nel a lignmcnt can be achieved by:

(a) driving pilo t d rifts a head of Ihe construction work

(b) vertical test holes along the centre line (Fig. 5/14)
(c) in the C<1se of twi n tu nnels. la teral con1ccting adits to facilitate the lise of
closed traverses (Fig, 5}15).

/i/ltJ Wit!! ......

,Mcreu I Stu! fJlfJ' tn-
. '~/d

- ,,
I
c.td If) ((}11-
mlt(C/JU!1'
anlre '.ne)

F lO • .$/1 4. Check lIoles alonll tile «ntre line of lhe tunnel

I. The re liability of the refere nce point network ~ as men tioned earl ier ~ can
be IInpro ... ed by developing a local network of refe rence points. In t his network
II rela tive error less than 1{50 000 is expected in the distances, The reliabililY of
the network can be checked by measuring angles at each station to be used. The
dependability of each direction may be conduded fro m the respective a ngle of

Turtrll'f

1';----- -r.- --
_.-' - i I / 1J{If'~' ~drt
, / CJf ~!lrrtg •
I J
1"10, .$/15. Directional Ildit
connection! :::.:-='::':::- =- ~- --- -
wr;;-=.J;.m,;;;:t;;;;;;-_-.l---'
PiJ.'It.el wnnel or hurlmg
'" SU RVf'l"I> O n OM POR T ~LS

orientation and from its mean \'aJue, as d etermined by measurements ta!.:en at

t he respective station .

and if

"- --'-,
~" -.
then the mean error of t he angles of or ientation is

111"" \ i I [(([I

The va lue of II, shou ld be less for Jong tunnels tha n for short ones. If II, = ± I ",
fo r instan~ , because of the sighting uncertain ty of I", a lateral erro r of ±5 mrn
(0-2 in) may develop and under adverse conditions it may be as much as three
limes as great, i.e. ± I 5 rnm (0-6 in).
1 In tun nel su rveyi ng f he mCUllrf'menl~ ,hollirl he Illkcn very carefull y and
it is most important that they be repeated . The Ja tter is important not only because
there is less chance of a gross e rror occurrin g in I hls way, but a lso because the
greater t he number of targe ts and measurements, the more errors wi lt become
m:gligibh:, and the beller the overall accuracy becomes. These measu rements
should be taken with a theodolite on whic.h read ings to t he nearest I" can be
estimated, and centering control de vices should be employed. panicularly for
shon distances. This will be discllssed Inler in defail. Subways consLrUl:ted in
open excavations can be laid out in the same ma nner as other structures on t he
surface. The closing errors of some of the beller kn own lung tunnels a re lisled
in Ta ble 5/1.
CIOJiltg ErrorJ of rO"",UJ rU"",,15 T "OLE 311

Tun.o.

Clruin. 0"'" (m m)

Gotthard
Simplon
U\t$Chberg
14·9
19"1 '"
202
m
"Xl
"7
Lund,, " (U r.derlilround)
14" S
2·, 63·S '"
M ont Blanc J J ·6 JJ"S '00
Tauern
Hauenstein
Surllmsl;
HS
8·U '"" ""
Wuserflut h
,."
3"SS
>3"

" '""
 V(RTICAL LAYOUT

5. 15. VE RTICAL LAYOUT

'"
In tu nnels starting from portals the ve n ieal layout is done by levelling as on
Ihe surface, except tha t Ihe benchmarks a re established in a different manner.
It is essential, first of all, [ha t the elevations of both terminals (K a nd V) should
be referenced to the same da tum . or tha t there should be a benchmark near the
tunnel. tied in to t he nationa l survey. fro m which levels can he run [0 ho th ter-

'[I-a; (tfI

,I

Fl O. Sl 16. Types of benchmarks

minals. 11 is advisa ble to check t he two points by differen-

tial h::velling even if the elevations of bot h points a re known.
These benchma rks shall be fixed by permanent markers,
types of which are illust rated in Fig. 5/16. Drilled-in piles
wi th precast caps can servc this purpose very well Ilnder
favourable soi l conditions. The advantage of piles over
precast stones lies in Ihe deeper embedment.
In the headings the gradients are marked tempora rily
by nail~ dri ven in the ti mber posts about 5 fet:! above the
bon om. Gradients should be checked over once again be-
fore the commencement of the lini ng operations. After the
lining has been completed perma nent benchmarks can be
installed: it is best to use plugs for this purpose ( Fig.
5/16). T heie shou ld be located in such a ma nner as 10 allow
t he levelling rod to rest on top. The levelling rods used in
t he differential levelling sha ll be grad uated to one-hund redth
of a foOl and shall be adequately illuminatcd (portable flo-
odlights). The use of levelli ng glass plate, such as tha t of
Cstn il!umi nated from the back ma y be considered also
inside the tu nnel (Fig. 5/17). FIG. 5,117. l evelling
Some of Ihe new levelling rods have scotc hlite type gradu- glass plate (hy Olim)
 LAYOUT OF TUNl'-ELS HARTING Ul'-OERGHOU)o.O

ations and numbering to reflect the incident light. These rods are very easy to
read even in darkness, with a flashlight mounted o n the telescope.
T he mean closing error of the vefl icallayout is
•
Ply = ± Ilk., j L, (5.13)

where !!~m - the mean levelling error per km

L = lhc distance between the benchm1lrk ilnd the POl11t where the bore:
is holed through, in km.

If the mean error of the reference benchmark is known Ula) then the total
closing error is
(5.1 4)

5.2 . LAYOUT OF T UN:"IEI.-S STAHTING UNDERGROUND

S.21. HORI ZONTAL LAYO UT

Subways in general can be di vided into two groups, depending on their location:

(11) subways directly benetHh the road surface

(b) subways deep below the surface.

Construdion of the latter begins with the si nking of vertical shafts. Both the
shafts and the tunnel itself are laid out from numerical data, i.e. geodetic coordi·
na tes which shou ld be listed on t he construction drawings. It follows, then, that
a geodetic ne twork shollid a lread y be aVllilabl~ at the time of" the dl:sign. Because
of groundwllter conditions the shaft s ve ry oflen ha\'e to be su nk under pressure
(pneumlltic caissons). I.n such cases a steel air·luck, about 0·90 m (3 feet) in diam·
eter, is the only connection to the surface. Muck is raised li nd building materials
luwl:red thrllugh Ihl: shafts, which also have to provide for access a nd for dropping
down Ihe lines. T hese shafts - cvcntual1y to serve maintenance a nd ventilation
purposes - a re spaced about 600- 1200 m (2000-4000 fl) aparl and a re connected
to the tu n n~1 and to the shicld chamber throu.ll;h vcnt ilution adits aholll 30--70 m
(100-250 ft) long (see Section 5.21 and Fig. 6/ 150). A fuli· lime survey super·
vision and direction is required d uring Ihese construction phases. particlliarly with
shield d riven t unnels.

52.11. Surface R('(ercnce Ne t

52.1 11. Types 0/ re/Nel/CI.' /lets . H orizonta I su rface referl:nce nets for deep tun·
nels may consist of:
(11) local precision tra verse (self-contained)
(b) local cha in of triangles
(c) precision tr iangulation nel L'Overing the entire area.
 IIOIlIZQ!<o"T ..... UVOUT 'I)
FIG, ~/18,Offsets in the underiround
triangulation nel
due to errort of anBulu measu rements and centennl

\ ,
\•
cc,
(a) L ... YOUT USlfIo'G S U_f· CO:-..... INED P RECISIQ!<o' TRAVERSES, If a prcclSlon tra-
..erse on ,he surface is to be u~ in Ihe underground direc tional layout Ihen
the angles of the tra .. erse should be measured with extra care, bt:cause any angular
errors will ha .. e their fu ll effect on the transrer of directions, On the other hand,
any errors in the 'coordinates or in the lengths of the sides of the tra\'ersc will result
only in certain shins in the unde rground area (Fig. 5/ 18). Precisio n traverses may
be accu rate enough to be used for tunnel ~ I ions less than I km (1 /2 mite) long.
Theodolites with readings to the nea rest I" and dis tance mensliring bars with an
inv(lr hase lIlust he usrd in precision traversinjl. Dista nces have to be measured
wi th the bars held horizontally (for furthe r de tails on self-contained traverses see
Section 51.122).
(b) L... , OUT USlfIoG L OC"'L CHA IN 01 T IlIANG LES. A local chain of triangks
should be used in thc"layout or long subway tunnels. Although this hus been dealt
With earlier (~t ion 5 r. 122), il is supplemenud here with a particular case in which
the construction of the tunnel progresses not only from the te rmlOals but also
from Hltermediale shafts ( Fig. 5/ 19). Angles rP and t/t should be calculated only
from the respec tive polygons and sections of Ihe network, e.g. rP and ", should
be de termined using the angles <%1' 01, and P" Pz, respectively.
(c) L,.\YOU I' I II OM A TII.IANGI.JLATIO~ NET COVERING TilE ENTIRE (UIl IIAN)
AREA. Soviet specifications allow triangula tion stations of Ihe lirst ILnd second
order 10 he used in subwa y layouts: those of the thi rd rank may also be used if
the error in the Icngth docs not exceed 1/50 OOJ.
In his study on the survey of the Warsaw Subway Z. K OW ... LCZYK 11 has noted
that statio ns of the City triangulution system can be used only if wo rki ng in

Fro. ~/ 1 9. Layout by scM-conlllirn:d

cha in of triangks and inrcrmediarc hc.d-
inas. Slanina for inlcrm~dialC: ihafts
U K OWAU;ZYK. Z.: Problem5 ,;;{CIQ)"'I/J in /~e C;>ns/ru(/ion of/he IVtlrJQ,., S"b"·QY. Warsaw
t9n,
 LAYOUT Of T V;<''I( L$ SU.• TI :-G U'IO[ltG.OUNO

open excavatio ns; 5ubwltyS dee p below the surface require cither local tr iangula.
tio n or preci se Iraversing. There is no doubt lhul not a ll City triangulation system,
measure up to the higher standards of subway survcying and therefort: should
be checked carefull y before use. Acco rding III Soviet specifications the errors in
thc mensurements of distances sho uld not c\ceed I/SOOOO thro ughou t t he net
In the layout of the Budapest Subway thc exist ing City triangulation nct wa'
used becuuse it was fou nd t hat t hl: above rcquirclllcnb had been met.
Di rect precise d istance measu rements - ca rried OUI by K . OLl'''V ~·~ to deter·
mine the reliability of the stations - have sho ..... n lhe erron in the distances
between trIangula tion stations of the lowest order to hne been abo ut 1/45000.
This would indicate t ha t in general these errors would be betw«n 1/45000 and
Ifl OO 000 as far as the statio ns of highe r orders are eoneemed .

52.1 12. Refining the r('Jeri'lIelf point lIet. For the purpose of tra nsferring direc·
tions u ndergrou nd two or three ele\'a led signals a re required in the vicinity of
cach shaft a nd at least one marke r o n the surfacc in the immed iate vicinity orthe
shaft.
The signals (extensions to chimneys, to ..... ers, etc.) should be a lways of solid
const ruction and should also serve as instrument stations. Markus on the ground
.. re usually plugs embedded in concrete o r o;:n":'IM:<.1 ill ~teel 11()}lic~ (PiS. 5/ 1I).
M a rk~rs located on the gro und arou nd the shaft s are bound to be dislocated
by constructio n equipment: in such cases they should be installed on a concrete
block nbout Im )( I m x 1m (J ft x 3ft )( 3ft). E\'cn ir the monument canno t be
p reserved throughout the construction, a tempo rary monumenl has to be erected
over lhe steel box 10 racilitate the dropping of the line down tht: shart.
All the above reference mllrkers around the shafts should be locate<! keeping
111 mind t hat:

1. as mln y of theelevated signals as possible should be intervisible(Fig. 5/20):

2. the marker on the ground should be wIt hin the triangle fo rmed by the
signals:
3. while signnls in ge neral should he located near the centre line. there shou ld
be at least one outside the a rea that is ~l1hj"'· l to ""'ttlemenls:

FIG. S!20. Recommended

layout For horizon tal
n.fercncc points

•.IO LTA Y• K. : A bll<Iapcsti varosmcrts haroms~tl8elc~nek hOS!l2.lllI:llha tarozasaban db'1

ponlosda (A ocur~cy c f linear meD§urcmcnts in the "ianSIllalion of the 8u dapest city ~urve»).
G..od~zl(ll XlJ:/IJlry tll41 1.
 I101t t 7.0S'T"l l"~Ol1r 58'

4. one of the signals should be loca ted in the di rection of the progression o f
construction (Fig. 5/21).

The elevated signals should be refe renced by at least 5 angular tie measure-
ments. There should be a t least fou r uniformly di ve rging directio ns selected at
each refe rence point and the ongles sho uld be measured in four positions of the
horizontal circle. usinjt a theodolite with readings 10 the nearest 0'1". Directions
are to be oeasured simila rly from the station to be referenced. sighting at the
reference poinls as well as at the signals o f the ne.~t shafl.

no. ' /21. Recommended Layout to. F••. ' I:!-:!-. 1".h~"Kn l ba,e fo r precise
5;.nal. to fle.h tate the transfer of cen teri na
directions unde rgro und

The calculated bearings. as derived from tlle readings taken wilh the vUrJous
positions of the horil.ontal circle, should agree within 3', and if Ihe y d o not.
then the respective series must be repea ted.
In geneml. measurements should be taken early in the morning and late in
the afternoon. Sightings should be kept clear o f heat-radiant butldings and chim-
neys so thl\ errors due to refraction may be avoided. Whenevcr possible, t he
inS!rumenu should be set up on monuments. To facilitate precise centering and
sighting, centering control plates should be used with three grooves and witlt
a precision si gn~tl. The plates are to be fastened to the monuments with plaster
of Paris. Tripod inslruml'nt bll'll'~ :He al ~o often used on monuments (Fig. 5/ 22).
(For a further discussion of centering control plates se: Section 52.13.)
In order to interrelate the indIrect measurements (adjustmt.:nt of coordinates)
the unkno-wllS should be indcpendent und should be grouped in suc h a manner
as to inc,lude the signals of only 11',0 shafts at a time (Fig. 5/23).

Ft c:. ~ l2J. Setection of groups of

adjustment Group I. Jro..'p 1/
,. LAYOIJr 01 1 1Ir.N[U ST,UTlNO IJNO[ ItGI.()I.;'10

Eac h silll);! 1 will t hus have two sets of coord inates, In o rder \0 a void I:o nfusion
it shall be recorded clea rl y for each coordina te as 10 wh ich adjust ment grou p
and to which tun nel section it refers. Because o f t he absolu te unifo rmi ty o f layoul
of each section betwee n two adjacent shafts, the above method is bound \0 gil'c
Ihe mos t reliable resul ts. Also, wit h a proper network. correct measurements
3nd calcula tions, Ihe disc repancies 3rc bound 10 be: "cry small.
T he ca1cn lMed mean errors wi ll re fcr to the sta tio ns wit h in t hllt pa rt iculllr g roup
and will give an ind icul ion o f the closi ng errors to be expec.ted between the respec-
tive tu nnel sections.
T he angles o f deflection /)ctwee n the adjacent ,dj ustme nl systems can be checked
d irectly by measuring t hc a ngles a l the signals' as follows :
Starting at signal Bh located at shaft B, t he a ngle: between the sightings to
points A1 :.I nu C" located 8t the a djacent shaft s A and C, respectively, is to be
mea sured firs t. This angle sho uld agree wil h that calcu lated from the common ly
adjusted coord inates of A" B1 li nd Ct. The lame measurement a nd comp uta tion
can be carricd out fo r t he o ther directio ns. The a rithmetical mea n of the diffc r-
ences between measu red anu calculated Ilngles will represent t he deflection be-
tween the two tunnel sections. T his, from a geodetical point of view, is ineVi table.
T he defl ection - onlya few seconds ~ may not be noticea ble a t a shaft or shield
c ham ber. but IllaY he nm iccl'1hle in the ca $~ o f two headi ngs advanci ng from
opposite direct ions. Fo r this reason each coordinate should be used only for the
lunnel sedon to which it refers.
Provided tha i the difference between two corresponding coord mlltes - Ildjusted
in two independen t groups - does no t 6ceed a few hu nd redt hs of a foot, it is
suffici ent t[) consider the arithmetica l mean of the t wo val ues in subsequent cul-
culalions and measu remenls. A maximum dif1'e rence of 7 mm (about 9j 3r) has
been fo und between any t wo sets of coord inates o f signals of the Budapes t Subwa~ ,
a nd the mean error o f the coord inates has not exceeded 5 mm (about 3/ 16') for
a ny slalioD. The difference between measured and calculated deflec tion angles
\'oas a bou t 5 se~ond s.
Reference points at grade al each shaft ~1 re de rived individ ullily fro m the signa ls.
usi ng a single point for t he adjustmc nt. Measurements a re to be taken in two posi-
tions of lh(' horizontal ci rcle, wi th the ins t rument set up ovon the point at grad~
and under the signals.
T he signals of each shaft should be checked an n ually as pari of a comprehe nsi\c
plan and progra mme. Such a s)slemmic repetitio n of mcas ur('menlS is necessary
to faci lita te 1I check o n possible moveme nts a nd also to improve the at,\;uracy in
general.
As mc ntioned earlIer, gro und movements d ue to subway construction constitute
a significant source of e rro r for the surface refere nce point network (Section 73.2).
In the case of thc Warsaw Subway there is onc traverse over or near the centre
line and tWO others r un ning o utside Ihe a rea subject 10 settlement. Spaced about
500 m (1500 rt) a part t hey a re inte rconnecled by ISln al traverses every 500 m
(1500 ft). For settlement zoncs wider than t ~ i s a chain of tria ngles is required.
FIG. ' 124. L!lCalion of bcnchmarki in a
1l01l1;tONTAl lAlOUr
'"
mU,uro/' •
lfOuP of buildinas ,~/1~;
..
, &,

,
-;
/

0
,
.
//
, I !>'
In Ihe case of the Moscow Subway Ihe t ....tverses crossing over SClllcment zonei
are run ~tween triangulaTion sTations. According 10 tht specifications the width
of the settlement zone may teach fout times tnc depth of the tunnel and must be
considered as such.
The location, kind a nd distribution of reference point system applied in connec·
tion with the construction of the new Budapest Subway was described by SzOKE.'"
From the point of view of surveying there is a ,;onOi..:;\ regarding the requirements
for the location of reference points. On the onc hand it is advisable to locate the
points close to the cenlre line of Ihe sub ....·ay so that any errors in the coordinates
have the least elTect. but on Ihe Olhcr hand it i! also importll nt to keep them away
rlUll1 II ..: CCIIIIC lillc bccau~c of incvitable ~cltlcmcnt. In \·icw of the above the
following consider-.uions should be remembc reti when laying out ~ignals;
I. One or te signals of each shaft has to be located outside the sct tlement zone
(four times the depth of the tunnel).
2. The movcments of all buildings carrying ~igna l s should be checked consta ntl y
by pret.isc belling. At least three benchmal'ks should be installed in such
buildings ( Fig. 5/24) and in such a manllCr as to facililme a check on the
1Il0 ~emen l S in two perpendicular planes.
3. The ebvatio ns of Ihe points thllt hllve ben found 10 be unstable by Iheprecisc
levelling should be fe·established from olhcr original benchmarks of the
network. In the overall adjustillent the points shall be divided into groups
including Ihe points outside the settlement zone at every sha ft. Thus, the
only ooonlinaies tha t will change 10 a n) appreciable extent and as a result
of sue, n:pealed mcasun:mcnu will be l hDsc of the point that hilS been dislo·
cated.
52.12. Tra nsrer of Uirl'£lions Down Shafts
Undergrou nd surveys lan be connected to the surface coordinate systems b)
means of
(a) plumb lines
(b) opl1cll plumb
(e) gyroscopes.
1-1 S7t'1K I'. L.: Die Vermessunlj:sari>eilen beim Sa" lIer S"lIapeslcr U·llahn. P'fIC. Met ro
emif. &'afonfiir~d 197U 641.
58' LAYOIJT or TUN/<U,S ST"RTING UNO(RGROIJNI.I

Compass surveys cannot be used in the construction of subways, partly because

of the limited accllracy (1'-2' error) and part ly because of interference from the
stee! structures and electric cables that arc always present.

52. 121. Plumb lilies. Plumb lines sho uld be used wherever a high degree of
accuracy is required . Plumb bobs, weighing 10 25 kg (25 10 60 lb), are suspended
usually on high strength steel (pinno) wire, about 0-3 O·S mm in diameter, nnd
fa stened te a reel. The reel is clamped te collar limbers about 2-3 m (7-10 ft)
above the shaft.

,.,
,..II ,3,

A
FIG. !/25. LayOUI of trave rseli with orienlation
by I'llumb line~

A vertical plane, with its direction determined en t he su rface, can be !:Stahlished

by mea ns of two plumb lines to whieh the underground su rvey will beorientated
(Fig. 5/25).
If the plumb lines ca n becentered on, the deflection angles - both on t he surface
and underground - should be measured directly at the plumb lines (F t and F~).
If this is not po~si ble, the n the a ngles have to be calcu lated. The plumb lines should
not sway while the operation is in progress. This can be achieved positively only
at the top whe re the lines are fixed. There are, however, two ways in which to
effect stability undergrou nd as well. Onc is to damp the vib rations by immersing
the bobs in liquids of high viscos it y. In the other method the mean position of the
vib ra ting li ne is dete rm ined in two perpend icular planes and the wire clamped In
Ihis position. The cycle of swayi ng may be shortened by increasing the weight
of the bob (as long as t he opt: ra tion does no t bet.:ome unwieldy).
Stabilizing fins, attached to the bob, are most effective in damping vib ra tions
in viscous fluids (Fig. 5/ 26).
An insl lU ment for determining the amplitude of swings is i1Justrated in Fig. 5/27.
This instrument has two perpendicular scalse etched on glass (marked I and II),
an adjuslablt: mirror, a hooked end (0) thai can be adjusted in two perpcndiculH
directions and a base plate with three foot screws and a level (e).
With the wire swinging in front of scales I and II , the amplitude can be read
directly on scale I and with a mirror at 45°on the other. The twO readings cannot
possibly be confused because a reading of 30 is the maximum on scale I and the
minimum on scale II.
Swingi ng Ihe wire first in front of scale I and then before II , the extreme posi-
t ions are to be recorded for 5 cycles on each scale. In order to impru ve the accu-
racy at least 3 sets - or in exceptional cases 6 to 10 sets - of measurements
shall be: taken.
 HORIZON TAl. L,""OUT '89

FlO. 5/26. Red for hou sing

and handling plumb·bob
,,·,re wit h plumb-bob lighl
bo~ and dampinl: pail al
oottom

PM,70 wir,

U;/it I Jc3/'

~ ,I _{gil fJled with ail

(>c.;'e /
,

FIG. 5/ 27. Instrument for dropping

SUrVC)· linc! (dcveloped in $opron)
'90 LAYOUT OF TUNNELS STARTING UNDERGROUND

As mentioned earlier the angles at the plumb

lines should be measured directly both on the
surface and underground, if it is possible \0
centre over the plumb Jines. An instrument for
measuring the angles at the surface, devised by
Wll.$KI- HoRNOC'I, is illustrated in Fig. 5/ 28. It
/!Jstrvrtnt consists of an instrument base with an adaptor
':we Wltl! for clamping the wire, and two pairs of cones.
,emp /Qr The mean position of the plumb line can be
p/Ilmb
wpe determined underground as described above and
the plumb bobs can then be replaced by a pin
marker. This can be done with the inSlTument
shown in Fig. 5/29. which is also supposed \0
receive the theodolite. The pin marker can be
adjusted by sliding plates e and g along the
interlying disc c. It is sufficient 10 centre 10 the
nearest 1- 2 mm (about 1 / 16~) because the
marker can be turned through 1800 and the
necessary adjustment can be calculated as the
difference between the arithmetical mean of
the two opposite readings and the reading

,,
FIG. S/28. Instrument for fJox IlWI
dropping survey Jines down
shafts (by W1UKt- HORNOCH)

FtG. 5/29. Instrument for centering the pin marker

 HORIZONTAL LAY:JIiT 5"
FIG. 5130. Layout for the =ntric
sct.up of plumb lines

., 1

--
.-
referri ng to the proper position. Next, the ptll marker is to be replaced by the
theodoli te, which can be centered with the help of the three grooves.
In t he constr uction of the Budapest Subway the plumb lines have been laid out
in a n eccentric palLern. T his method does not reqtri re ~pecla l equipment a nd i~
a lso the most accu rate. The twO plumb li nes arc to be lowered as before, with
a vertical plane appro;(irna tely in line with tnc:: respective sides of the adjoining
traverse (bot h o n the surface and underground). An auxiliary point is now to be
chosen on the surface a nd a nother one underground. T hese points will form two
t riangles wilh the plumb lines: one !It the top and one at the bottom . T he au~ilia ry
points should be located so as to resull in small angles between sightings to the
two plumb lines (Fig. 5/30). Also, t he signa l ncar t he shaft should be visible and
shou ld be sighted from the auxiliary point at the surface. While the anglcs a rc
being measured at the aUlIiliary point on the surface, the bearing of the line con-
necting thi~ poim with the signal should also be determined by sighting from
the latter. This procedure has to be repeated e','ery time the plumb lines are used,
rega rdless of whether the coordinates of the auxiliary point ure known or not.
Consider the tria ngle AFIF';I (Fig. 5{30) on the surface and the other one BFtF!
underground. It is assumed Ihal lhe angles tP\> rP2. IX\> PI' 1' ., 1X 2, P2, 1'2' !/I,. !/I2
have been measured as have thc distanccs ab b" 1', o n thc surface and at. b z • /'2
undergrou nd, and it is further assumed that the coordi na tes of points A and Care
known. T he coordinates of B and the bearing of (BJ can be calculated t hen as
follows:
(BI) = (AC) + ¢! + 18(t + PI + 1800 - IX: + 180" + r/l t - n I!!O", (5.15)
Yo = Y,I + alsin (AFI)c sin (FrFa) + b zsin(F1B), j (5.16)
Xo = X,I + 0lcoS (AFJ + c cos (/-"]FJ + b 2 cos (F!B),
592 ..... ' ·OUT OF TtJN"NU.5 5T" ~T1 NCl UNOE~G1I.OUSO

where

As a check the bearing (81) and the coordinates of Bean ulso be calculated
another ....ay:

(81) = (Ae) + tfo 2 + lRO~ - '" + 180" + p~ + 180° + 1/1 , - n 180°. (5.17)
Y/I = Y.I + b l sin(AFJ '" oi n (F=F1) + a2 + sim (F I8).1
X II _ X.lblcos(AFJ + cCOS(F~ FI) + a 2 cos (F]B). r (5.18)

Working with two plumb lines the directional error works uul to be about
8- 10", bUI ean be reduced if 3 or 4 plumb lines are used. In the latter case there
will be t ....o connecting triangles.
Two sur..ey teams are req ui red for dropping survey lines down sluif1s. While
Ihe first group (I te<:hnician plus 4 labourers) is measuring the sides of the eOD-
llI~cl i ng t ria ngle. the other group (I engineer - in charge of both groups ~ and
3 labo urers) is me:lsuring the angles of the same,
The steps to be followed in the ca lcu la tions lire:
I. The (.;onl1l:(.;ting a ngles are:

"
;

fil - arc sin

arc sin (:1sin
(be, sin ..].
+
(5.19)

'. _ arc sin I:~ si ll

"~I·
p, arc . (b7•.Sln
'"
;
Sin

2. The bearing of li ne 81 is computed as in Eq. 5.15

3. The c,oordimu .... or poinl H are calculated as in Eq. 5,16
4, The calculations a rc checked as in Eqs 5, 17 and 5.18
CX",.'PL~ . Consider Ihe Iftyout illust rated in Fil. 'i3l. The coordinales of point A arc
known Y A = + 1841)92 m; X A = - 20JH'258 III and tho: bcarinl' of the two sides of tho:
oonne<:tinl t riansle on t ~ ,urface have betn measured as (AF,) = 3t6 41 ' 2'S~ and ( AF,) '"
oK 316 39' 46'9- u hal'e the angle!> at 8; .. , _ 19t 26' 53'Y and ... _ t81 ° 19' 32'4-,
Other measurements are ;

", "" 12'30S6m: b, = 7-9211 m; r, _ 3-3843 m: rl_ I ' U'6-;

".= 7'4760m; b,_ll'8602m: r, ,,,,, 4' 384Sm; y,= 7' 21'0";

-= 4'J844 m.
 - - - _., - '"
HOtU lOST ... t. ..... ~ OIJT

Flo. , /31. Transit Soet-up outside the

plane or plumb linrs "

,,..,
"."
,I,

A
T h..: bo:art JlaS ( A ,.,) 111(\ tA,.,) "ave been ca lculated usi ng Ih e mean Bngle o r orlelllal i""
at A .
I. The connectina In l!lc~ as in Cq. ' .19 Irc

."I2'30S6
(z ,) = an: Mn [ 4' 3844 Sill 0 0 1' ) "6"
J
ar,_ 180 ~ O O)'3!'Y_ 119 S6' 27-8·

it, = an: s' n r~:~!~ iinO 0 11 "6·) .. arc~n(HlOO6622 _ 00216'6·;

... ,+ fl, + 1',=:179 S6' 27-8' +0 02' 1E-6' +0 m 'I H ' - I SO 00' 00-;

" .... al e si n r ~:~~: sin O' 01' 2 1'0') .. . r~ sin 0'00364S6 _ 0' 12' 32'0' ;

(P"} -
11'8602 J
arc sin [ 4- 3844 tin 0 07 ' 21-0" ... I.rc sin 0'OOH836 - 0 19' SJ-O' .

P•• 180 ~ O 19' SJ o = 179 40 07';

-Y, + fl , + r, + 0 12' 32" + 119 40' 0'" + 0 07" 21i)" = 180 00 00'.
2. Accordon, to F'a. S/ 31 t~ beanng ( 0 1) of linc III is:

(AF,): 3 16 41 ' 02'"

- 180 .. - 180

(F,A) .. 136 41 '02 ' "

+ fl, - o 02' 16'6'
594 LA YOUT OF T lJ"NU..s srA MTI'<G Ui'-OUIGROUND

(F,F,) = 136" 43' 19'1 '

+ 180 ' = + 180 '

(F: F ,) _ 316 43 ' 19'1 '
-~ ! = 12' 3H),,'

-]80' = -180'

( RF.J = 136 lO ' 4 7' 1 ~

+". = + J\ll . 9' IN"

(81) 327' ~O· 19 -5'

3. The ~Q<Jrdinates of point 8 arc ,"alculated from Eq. 5. 16:

y~ = + 184-092 + 12-3056 sin (316 4 1' 02'S") + 4-3844 sin ( 136' 43' 19' . ' ) +
+ II '8601 sin (316' 30'47'2') = lH4'0\12 _ 11-30:6 x 0'6860212 + 4'3844 x 0 '6855392-

- 11'8602 x 0-6881886 = + 17()o494 ;

x~= -20 JII'258 1'" 12'30 561:05 (3 16 41 ' 02" ' )+ 4'3844 COS (136 43' 19-1,+

+ 11'8602 cu. (3 16 30' 47 '1') = 2038 '2$8 + 12'3056x 0-1215815 - 4-3844 x 0'7280357 +
+ 11 '86()2xQ-72SS318 = -2023-892.

4. The results a re n OW 10 be checked by £qs 5.17 .. nd 5.18:

[ CAF, ) - 316 39' 46-9"

+ 180 = +180'
(F,A ) -~'~J6~'~J9~'~46~'9~'­
-2, = 179' 56' 27'S'

(F , F: ) = 3 16 43 19' 1"

- 180 _ - 180'

(F,F,) 1)6' 4) ' 19'1 "

+f!. = + 179" 40' 07'0"
(F, B) _ 316· 23 ' 26-1 "

_180 = - 180

(BF 1 )= JJ6 :l3' 26-Y

+,.;, = + 191 ;:6' 'B-4~

(81) 327' 50' 19'5"

)'. = + 1841)92 +
HORrzoNT"L LAYOUT

/'92 17 sin (316' 39' 46·8") + 4·3844 sin (316" 41' 19'1 ~) +
'"
+ N760~in (316 ' 23 ' 261),) = + 184'092 - Hl17xO'6862882 - 4·3844xa.6855392-
- 7·4760xO·6897389 ,. + 170·494 m ;
X8 = - 2OJ~'25~ + 7·n17 cos P16" )9' 46'S" ) + 4'3844 ~ (316 43 ' 19'1 ") +
+ N760cos(316 23 ' 26") = - 2038'258 - 7'9217)(0'7273297 - 4'3844)(0'7280357 -
- 7'4760xO' 7240~82 = - 2023'892 m.
52. 122. Optical plumb. Surface points can also be projected down shafts with
optical plumbs. Theoretically speaking meclJanical plumb lines could be replaced
by telescopes set in a lrtily venical position: however this is not quite so simple
in actual practice. The accuracy to which the telescope can be sel vertically is
rather irmrted to begin with , and the humidity and lack of illuminatron in the
shaft make sighting even mo re diffic ult. The ap plication of optical plumbs in
subway construction is limited to temporary and insignificant appl ications.
The tint optical plumb was designed by NAGEL (Dresden). It resembled a theodo-
lite with the telescope set vertically and had a base allowing such sighting. After
centering the ins trument over each point, the points are projel:ted down the ~h:lft ,
marked, and then extended into an underground traverse. This procedure is
rather awkward an d inaccurate.
The inmument by ZEISS is an imp roved H:rsion of t hc optical plumb. The pro-
jector is once aga in combi ned with a vertica l telescope, with a level and with three
levelling Sl:rews. It projects a vertical plnne T1lther thnn si ngle \'ertical lines (Fig.
5/32). A prism with a small angle of refract on, mounted in front of the objective
lens of the telescope. divides the freld of view into two halves and Ihe image
viewed through thc prism is slightl)' displaccd.
Owing to the fact that single points are not being projected in this me thod,
the clrect of any erro r in the vertical setting of the telescope will be limited to
a parallel shift or a slight rotation of the plane. A double collimator with cross-
ha irs is mounted on t ht: tt:lescope in a position perpt:ndicular to iL'I line of sight.
Also part of the cquipment is a rod with three parallel lines ma rked in white
against a black base. The two white dots, also marked on the base, represent
'hc two plumb lincs.
The rod has 10 be held horizontally underground in such a position that the
two whit~ duts become two points of (he corillecting trillngle for the direction to
be extended.
The instrument should be set up on a solid pedestal above the shaft with the
spi ndle app roximately ccntcrc(\ over the centre of the rod. Once the prism is
placed in front of the telescope, another image of the rod will appear in addition
to the origina l one, offset corresponding to the refraction of the prism. As long
as the pllne of refraction of the prism coincides with the vertical plane passing
through the centre of the rud, the image viewed through the prism WIll be subjel:t
to a parallel shift o nly and the single line \iewed through the objective lens will
lie betwe~ n the two lines \'iewed through the prism. If the two planes intersect
,..
50' LI\YOUT 0 1 rU1'<~u.s SlAMnSG U,",OEMGItOUSI)

FIG. 5 32. Pnndplc: or (he

optIcal plumbin,

~I)J/im;t()r

at an ungle, thcn the image viewed through tile prism will appear in a late rall y
displaced position ( Fig. 5/33).
The telesco pe should now be t urned around its spi ndle with the adjustment
screw un til the lines are located as shown in Fig. 5/33. Anothe r theodoli te is SCI
up Over point 0 in li ne wi th t he horizon ta l collimator which has followed the
~ertica[ telesco pe in its tu rn. While this is being done the foc us should be set at
infi nity on the second telescope so that the irr.age of the cross-hairs of the colli-
mator Appear in the fi eld of view of the u:bco pe a nd coincide with the cross-ha irs
o f t he laller. Once t he station o f the theodolite has been located in t he surface
ne twork a nd Ihe angle It ( Fig. 5/32) has been measured. t he orientation and con-
nection of the rod in the shafl can be completed.
It will be noted that t he t ransfer of directions down sharts with optical plumrn;
lflllw palUDfI Arty
WI&/III(J pmAI srlJr:o;
ltr/~ rJf /MJ,
"M
, .= _ . ;F--H==~
F IG. ~/)). tmaKes a) 'CCIl In the
ol'tiCllt " Iumbinll
 HORI7n ..TAI.. ' ...... OUT

has to be tarried out in 1"'0 steps. First, the two points replacing the plumb bobs
are projected a nd then the connect ing triangle formed and measured.
No matte r how ca refully the lines of sight of the prism and of the collimator
nre IIdjusted Ihey are never perf~ll)' paranel. In order to eliminate the resulting
error the rreasurcmcnts should be repeated with the lelescope turned through 180·.
The error due to imperfect adjustment can be eliminated by taki ng Ihe llrithmetical
mean of 1:1<': '","0 1l1ensurement:;.
While the above method is undoubtedly more accurate Ihltn Ihal o f NAGEl. and
even though the instrument has been funher improved in the Soviet Union, its
applica t ion in subway construction is still limned to measurements of lesser impo r-
tunce. Acc:la ling to OGI.OIIBIN the refraction in t he shafts - due to diffe rences in
air temperature and humidity between surfac~ :lIId shaft bottom - is a significant
source of error and can ha rd ly be eliminated.
52. 123. Olher IIIl'1lrods of orientulillll. In the early stages o f construction (shaft
smking. layout of vemilation adits, ctc.) and in rneHsuremcnts of secondary
impo rt nnce cerlain simpler methods with limi:ed accuracy may also be acce ptable.
l. In the ~ometrical nlethod fo r delnminlnl the ~ntre of break:-oul and the startinjl direc-
hon for the adil, aner Ihe si nkin il of t he shaft has been completed. IWO ~ertlcal plugs, "ilh
holes (I ami II ). are to be in~tal led at t he top of the shaft flnd al oppMite ends of a diameter
which i. at nn nnglc of np proHimalely 10 80 10 Iht .~nlrc li ne of lhe ~dll ( "'i e ~/ '4) Pnin"
K and L, i.e. the: I"" oppOSite ends of lhe dialnClcr coincident wilh the centre lim: urlhe a d'i
a re 10 be es:ahli5hcd on the li ninll.
Knowing lhe bearing of Ihe «nlrc line of the adll (.In) and measurin. the same for line
I II on lhe ;urface (n) the anile bel,"«n the 1"0 JIOCS is

(S.20)

- -
OA",OK=r.
ac~on.lin¥ to the cosine rule --:::c",-,-
b_ J 'b·-2r·cus.~ _/2rJl COS " (5.21)
which """ be rewriHen as
b = !'lin ,
" (S.22)
Simi larly
c--lr,inT' "
Wi th the di~taneC5 band r determined. poinls K and L can be la ,d ou t.

\, ',
{/lrectJon 01'\
bredlr-C/:t \
';'~fl1WH

Pillg WIth
he/,
FlO. 3/34. E~!ab1i ~ h i"il the dir~li"n of th" horizonta l
headina
", L"V OUT OF TUNNFLS STAIlTlNC UNDERGROU)..O

F IG. jl3~ . Checking the direcTion of

~ haft ~in kinB
t - I,
- ~'
A 8
", ' ' I 2 • • .
'floe Mf!!(./q!(,
PkmJ Ii/li i• •
,M ,
·· ,
.
1
..!

- ,-
A ,• , 8

The rma l ion of th e shaft lini ng during conStruct on can be investigated similarly wil h
the 8oomet ricl! method . [I proved particularly useful in (he <;"o [ls!ri.lClion of the M os.o,,"
Subway when working in areas under pnC lImatic pressure. Before sinking the shaft the centre
line of the adil i~ to be establ ished (In the surfa.;.: wilh two poin ts A and B (Fig. Si 3Sj and so
is a direct ion perpendicular thereto (poims C an d 0). Permanent markers, such as cut stone
or mda l plug~ should be used (0 prcser ~e these poi ms. In the next step points I, JJ and III.
IV a rc established on the outside face of llie shafllinin,. and po ints I. 2 and 3. 4 marked on
the top of the wor kin g Chamber. all lined up with points A. Band C. LJ. respectively. At the
end or tht plumb lim', 15x IS ,m (6' x6") steel plates are to be embedded in the concreTe
lining above Ite cutting edge . With the shaft in th e correct p<:Isilion Ihe posi tions of t he plumb
Jines arc marked on the &teel plates and these marks can lh~n be u,.,d 10 ",he, k wh~ther Ihe
shaft Is In II truly verti cal I'IOSilinn durinli: construction. Any rotatIOn of the shaft can be
determined with an in strument s.:t up ovcr poi nt A (Fi g. SI36). Th e angle ~ and distance c

FIG. Sj3t. Measu ring the rotat ion of the shaft

 1t01lIZO"TAL U.~ OUT

'"
un be measured and the oth(f da ta calcula ted
(S.24)
"d
fI- •
In:tl b' (S.2S)

When la ),lng out thc direction In which to break out from the shan. the direction 1- 2 has
to be PdjuSled b)' fl. A s th e m arke ~ I_IV arc ~bou t t o di~~ pp<;:ar in the Itrou"d asconstrUCl ion
prollrc~, the rOUlI ion of the shafl sho uW tic nlc."urcd with reference to the ol d ma rkers
an d neW l1Iarh,.~ ~ houl d be lIIoulll~d in the
Li ni nS at the Ultne timc. An)'subscqucnt rotation
has to be dctermined to inc lude the pre\',o us !(;yoivl."g r-rvsrr
one. '\
2. Opllcal nM:thods may abo be adopted ... hen
t r.lnsfcr rinlt direct ion~ with Limitcd accurJ.C} .
Because of the lIecp siBhtinp invohed. lhe theo-
tlol;te sh01.lld either ha ve an eL""CenlrtC lelc".;ope
or an adapte- C(ln~iSling of a prism or I mi rror
Ihal can be rotaled in fronl of t he ob,ect i\e
lens aboul It.e horizont al axis ( FiB. Sll7).
In etlher :ase the IMtru~ n t has to be IoCt F IG. ' f37. Opl ical din:ct iona l transfer
up upp ro~im uel)' o\cr the centre of the shaft . ....it h prism adapter
Since the plane to be projt"Cted will be onl )' as
vertical as the ~pin tll c, the I~l{ er shuul tl be ma de
vertical vcr)' carel\.tlly , using the level tube s. 11 shou ld be noted that any error mlhe pl urnblll it
operat ion wil l re~ult mai nly in a pa,alld shift of the dil"a't;onai plane.
Separate, /irrt pede~ t al~ should be prO\ided over t he ~nt re of the .haft bot h for t he in-
strument and for lhe obsen ·er. The InSlT u ~n t IS sct up in the usual manner and a baeitJi &ht
is luiten to 11 reference point . N o .... t he coordi nates d Ihe instrument sta tion Ire determin.c:d
in the surface n.c:N orit and t he bearinll for the Nocitsi.ht is calculated. Tu rninlt t he inst rument
throul/h an anile t hat " ill also be l uila ble for the connectinl triangle. twO pOints aT(: projeeted
d",,'nward and ,paced u far apart u ~sible. Th,s II done either with the eccentric tele.cope
Of with Ihe fl:volvinll pnS.nt. In the IiBt case the horizont al ax.i5 of t he telescope ha ~ to be made
horizon tal very carefully - "'ith a mou ntable le"el if" req uired - and in t he laller the same
a djustmen t is req ui red fo r the uis of lhe prisrll. For Ihis reaso n the hOU5init of the pr;~m hu
to be adju~l a ble. If req ui red. the adju~lment~ CRn be made simila rl)' 10 lhe COrrt:ct,on of col_
lim ation non_adj ust menl .
The above methods can also be usc d in the pi f'C~ or ai r loch lind with an accurac), tha i
i~ suffiCien t in the early stages of cunSt rUClion.
l. The ~)r"'swpe was developed b), t . FO\J <; ,,"ULT (1 819-1868), a nd t he idea of orie ntllt ion
... ;t h IY ro,.;opcl ;1 more t ha n a hundred years Old. and IS based on IIIe facl tha t once th'"
ax l' of a gyroscope is set in t he hori~onta l plane at the ob5c: rvinl stat ion it ..... iIlt urn in 11 non h-
south direct ion .
Gyroscopel ...·' th a frcc axis - suspended throulh a uni >'ersal jui nt - ....·iII ~Ia i n their plane
of IYrat ion ul3rd less of the posi t ion of t he hnu~in,. The uSC of J)TOSCOpe$ in naVIgation,
lI"ation Ind undergroun d of"lentat ion IS ~sed on this feature.
Modern IDroscopc:s turn at 20000 rpm and are pr1l.cticaH)' free from friction because t he
n:volvin. pans are submerged in a flUid. 8ecause the,r aceuraq 1$ Ilintted to ± 60·. their
usc in , ub",al sun'c)'inl is limited 10 I<'S~ imp-urtan t ~a5urements.

Satisfactory results have been obtained wi th the "gtro-theoaohte" during the

recent surveying work done at the eonstruction of the Budapes t Underground. i . 1
I . Wt "t N(j~"" l. : Erfahrungen mit dem MOM Gi B 2 G yroinSlrumtnl beim Bau der
Buuapt:s ter Un terarundbahn. P/"O{". M rtro Co.if. RoJatmifii,~d 1970 627 .
 \
LAYOUT OF T IJ " "'F.I..$ STARTJI<O IJNDUI.OROUr- O

52.1 3. Undl'rground Dirl"'Ct iunlil LllyClUl

Once the shaft sinking is completed, the shaft is to be connech:d Lo the auit
through a horizontal lock (Fig. 5/38). The connecting point (8) in the lock should
be located on a temporary monument, erected fo r this operation. Measurement
of the angles required ror t he connecting triangle is done with gate II closed.
With the theodolite lefT in place £!lte I is also to be closed and the pressure can
be admitted. This should be done gradually, el'en if there are no men in the cham-
ber, because sudden changes in pressure aTe liable to cause detrimental stresses a nd
deformations in the closed telescope. Gate II can now be opened and angle If
can be measured by sighting to
point A in the adit.
St raight lines can be carried
through air locks directly if o nly II
limited degree of acc uracy is requi-
red. Thcstraight line passing through
A and B on the pressure-free side is
10 be prolonged (Fig. 5/39) lind the
theodolite set up in the air lock.
joggled into li ne with A and B so
that the images of both points should
coincide exactly with the cross-hair.
Having equalized the pressures the
ffatmaJ inner door can be opened. the teo
he" lescope is plunged and points Cand
D can be set out. In o rder to reduce
the di rectional error the measurem-
Millfl
" ent should be repeatcd. T he tclcscope
i. kept in the inverted position
and turned t hrough 180c to sight 10
points A and B, then plunged again
V[rtfcal
to sight at C and D. The correct
sNIt poi nt is half-way between the points
set out by the two sightings.
As mentioned eadier, the station
markers are mounted usually on
the roof. A numbe r of types of
narkers are illust rated in Fig. 5/ 11.
One of these markers can be
Dounted on the roof and consists
of a graduated adjustable metal rod
with a hi nge at one end . A rider
FIG. S/38. Method ror carrying the survey line with a hole can be set to receive
through entrancc locks to the horizontal adil tl-te plumb Hne and t he operation is
 HOlO,lZONTAl LAYOUT
.'"
,
<--~~D
IA
,0
8 p

)
\
. '
'.
• ••
.... •
,
•

repeated with the telescope in a not her position . The re(ldings ohtained a re then
averaged a nd the rider set on this ave rage.
More often than not, unde rground traverses <Ire of the open type a nd have to
follow ralher undersirable alignments. full of sharp defloctions and with long sides
alternati ng with short one.~. For
this reason a ll angu lar measu re- ~";f:
me nts should be l"arried out
with particular care and preci-
sion.
E\'cn if the ma rking of the
points aod the centering on the
statio ns iii done with the utmnst
care, a certain amount of erro r
is ineVItable, i.e. t he targets
and the instruments will not be
centered JII exactly t he same way
on the same stalion. For shon
legs of the trave rse even small I'IG. $1010. Centerins cont rol plate
errors can result in considerable
errors in the angles. ...
.',
'~.
/
To avoid errors of this type
a number of centering eomrol
devices bave been developed ,
the simpll"St form of which is
illustrated in Fig. 5/40. It con-
sists m(linJy of' a base plale wit h
three grooves to receive t he
three fOOl screws of the t heodo-
lite or tbose of the target in
such a manner that the spindle
of the theodoli te a nd the t:e nlre
li ne of the target coincide exact·
Iy when interchanged (Fig.
5/40). The most precise center- FIG. $'41. Ccnlcrins control inSlr\lment by
inS control instrument is the T Altczy- H OltNOCtt
 L ,U '()l." or TUNSELS STAlln:-c. U .. . L>l.M.... IlOUND

one with the revo lving socktl, designed by T.h czy. This \<ersion basically rep-
resents an improvement over an earlier arrangement in which the spindle of
the t heodolite had to be lifted out of lht hushing. thereby allowing dirt to get
in be t ..... .;:.;:n the precision-finished surfaces. In the case of the TARCZY instru-
ment the rel'olving socket is put into the bushing of Lht spindle lInd the spi ndle
of the theodolite is put InIO the revolving socket. as is the spindle of Ihe ta rget
(Fig. 5/41).
Using this instrument centen ng can be cilrried out 10 an accurac)' of 0·01 mm
(appr. 1/ 2S(Xn because the target is sighted in two diametrically opposite positions
and the mean of the two di rections will bt: fret from any centering error of the
target.
Centering control de vices are ge nerally requited where traverses with short legs
have to be ru n. Each instrument wmes with t .... o targets ( Fig. 5/41). Because t he
~lIl tio n mar kers are located overhead. the theodolite shall be set up beneath a
plumb line suspended from the markers.
In all other respet:ts underground tra\'erses should be run in the same mllnlltT
liS those on the surface. Theodolites with readmgs to the 1II::m:st I" should be
used in all angula r IlII:asurenlents and the targets should be illuminated from the
bllck . Linear measu remen ts should be made wilh calibrated challiS o r invar tapes
and o n horizontal pedes t a l ~ prepar"d for lhis purpose. Lnyout procedure~ 111'(:
the same as those followed in a tunnel 51arli ng from the portal (Section 51.3).

52.1". Possibililic:s for Increasing the Accuracy or the Llly01l1

This problem has becn trea ted earlier in Section 5.1 4 and the observations made
in con nection with tunnel surveying can ;Jlso be applied to layo ut "'ork in subway
construc tion.
Undoubtedly the accuracy of Ihe surface networl can be increased by adjusting
the triangulacion sta tIOns In:1 eomprehensi\'e manner and by checkin!. by levelling
the settlemert of those buildings on which such slat ions are located. Similar im-
provements can he: achieved hy ,,~ine CTnl,.ring control deviccs for angular mea·
suremell1s on the surface as well as undergroJnd. Directions transferred from
the surface .... ill be more reliable if the eonne..:ting triangles have been orientated
from the sigaal next to the shaft in question.

S.ll . VERTI C,\L I.Al'O UT

The vertica l layou t of low.lying tu nnels be.!!ins with measu ring the depth of
the shaft. T he instruments req uired in this operation include two levels, two rods
and a steel tape 50 200 ft long. depending on the depth of the shaft.
 OlJ

FIG. S/42. DIr«1 n>eu·

IIremenl or ~t.aft depltl •
,Ure m;rrxf
-f -<-'"
• !,
H,
.,'
• l'Jpe
_. • N
-
" • •

.
•

,
I

,
1

First the tape is to be loweled into t he ~ h a rt .as shown in Fig. 5/ 42 wit h a weight
of 5-1 0 kg (10-20 lb) attached to the end. A !c\'cI is thcn set up on the surface
nnd a no the r one underground. so as 10 be able to sight to the rod set up o"er t he
neares t benchmark and to the tape. resp«livdy. Once the swinging of the tape
has s urn;iued, T<:adlllg~ a ll:: t a ~1::1I UII it wi th t ILe levels. at t he tOp and at the bonom .
The5e readi ngs should be repealed two or t hree times a nd their Olean values cal-
c ulated so tha t t he difference in ele\'ation between thc heights of t he two instru·
ments can be determ ined .
Denoting t he upper and lower readings by 1,1 a nd '",. respectivel) . the a verage
of the readilgs is
',= I'~;, I and I ..
· 1'.,1
;
(5.26)

where j "" the numbe r of the readi ngs.

T he differ~ n ce in eleva tio n between the heights of the instruments lS

' _',_ 1,. (5.27)

 LAYOUT O F TUNS[lS HARTI..:r; U M ) FIlG RO Ul'oD

T he: t a p'~ shou ld be sta nda rdi zed for each measu rement because o f t he cha nges
in tem peratu res a nd because of the pull. While bei ng sta nda rdized the ta pe should
be subjected to the same a mo unt of pull as unde r wor king conditions. It is best
to esta bl ish the actual exact lengt h (I) of the tape.
All u ndergro und benchmarks have 10 be tied in to the natio nal nctwork and
the ent ire layout of the su bway shou ld be designed and laid 0 111 with reference
to the sa me da tu lll.
Before the ve rr ical layou t wo rk can be staned a benchma rk is to be establ ished
in t he vici nity of the shaft on whic h the melSUrement of the depth o f the shat'!
wi ll Ix: ba sed. T his benchmar k should be checked periodicall y, however, beca use
it is located in the sett lement zo ne .
Let F and A denOle the up per a nd lowe r benchmark, res pect ively, and lei M y
de note the elava tion of F above sea level. If the readi ngs on t he upper a nd lower
rods a re IF and lA' res pectively, the n the elevatio n of A above sea levt:l is

M A=MF + lp-l - fA' (5.28)

where f = the d iffe rence in elevation as measu red on the sta ndardized ta pe.
The kvel li ng in headings should be run both ways. Beca use the benchmar ks
arc located on the walls, suspended levelli ng boards. like the one shown in Fig.
5/ 17 (ilJ uminatd from the lJac k) call be used. Na lls can a lso be used a s tem po ra ry
ma rkers. All elcllalio ns have to be checked over agai n before 1;0nstTucting Ihe
permanent li ning in which the pe rmanent benchma rks are to he ins talled. Plugs
~ho uld be located in such a manne r ItS to It'low (he levelling rods to be set up
ve rtica ll y over them. T he inst ruments used in t he levelli ng should be a ble to be
read to the nearest mm (0 .01 ft ).
Fo r f urt he r de tails on vertica l la youts refe rence is made to Section 51.2.
T he fo llo wing proced ure ca n be followed 10 carry o ut vertica l I"yout in a reas
unde r pne uma tic pressu re. The level is sct up in t he main lock in such a position
as to be able (0 sight both ways. i.e. the levelling rods set up on the benchmarks
or turn ing points shou ld be visi ble in both directio ns. A backsighl reading is
take n first and then the gate is closed for t he locking operation. T he other ga te is
o pened 10 ta ke the foresigh l. It is ad visable to repeal this proced ure in reverse
o rder to elim ina te gross crrors and t o im p rove t he accuracy of levelling. Vertical
closi ng errors are usu all y smaller t ha n horizo ntal ones (see Ta ble 5fl).

5.U. LA YO U'" O F KI NG S E(.TIONS (SEGl\I ENTS) AN D S HI ELDS

52.31. Layo ut of Segments

In a geodetic coord ina te system the centre line of a subway is defi ned by a set
of equa tions of tangents and curves. In add ilion to Ihis the coordi nates of stations
a t 1 5~60 m (50-200 ft) intervals arc calculated and ind icated on t he plans.
 LAYOUT OF RING 5€CnONS ( Sf.(lM ' :<ITII) ANO SIII[LOS 6O'
FI G. ~/43 . Chcrldng Ihe !'osilion of lininll
5egrneniS

During construction t he alignment and till: positions of the segme nts should be
checked regularl y. T his means prima rily the re-esta blishment of the centre line
of the tunnel, based on underground benchmarks and referen(.:e points.
Consider points I and 2 along the centre line of the Illnnel section under con-
struction and horizontal reference points A arld B located nearby. To make it
simple the centre line of the tu nnel betwetn I and 2 is assumed to be on a straight
line (Fig. 5/43).
There a re two possibilities in a case like the one illustra ted in Fig. 5/43: either
point I can be sct out di rectly from stations A and D, or - and this is generally
the case - an inte rmediate point H can be laid out on line 11 from , say, station 8.
The gene ra l case will be considered first; t ~ e calculations and measurements
can be carried out in the following order: (A theodolite with read ings to the nea rest
I ~ is required for the measurements).
I. The coordinates of the arbi trary point H on line 12 are calculated. Point H
shou ld not be fa rthe r from B (from which it wi.! be set out) than the lengt h of the
tape 20 m (50 ft) and should be abo ut half-w ay between I and D. Also, point A
;.hou ld be Visi ble front H .
2. Ikarings OIZ' O ~H and 0811 art: LOilculated from the coordina tes and so is
dista nce / = BIf.
3. Wi th the theodolite set up over B. a back~ight is taken to A and the reading
on the ho ri:wntal circlc is recorded (I A ). The theodolite is now turned to read
«(" .... 0811 - DBA) on t he horizontal circle.
4. A target o n a centering control base is lined up with the telescope at a distance
/ from point D.
5. This pHlc.,u ure shul l b" n:peu\"d in positions I a nd II of the telesco pe . The
ccntering control base should be sct half-way between the two points obtained
in the two operations.
6. Once point If has been esta blished the theodolite and the target are to be
intercha nged. A backsight is taken to point B and t he reading on the hori zontal
circle is n:corded (/u).
7. Wi t h 1/1 kn own the theodolite is turned 10 read (I,.,) = III + DN ,., - Ol/R'
If the difference between this va lue and t he correct one d oes not exceed 4 to 5
seconds, t he calculations and measurements establishing point H were correct ;
in the opposite case both must be repeated.
8. Having checked point H t ~ e t heodolite is turned 10 read 1/1 + 'I ,. "Hl -
and a well illuminated, easy-to-sight target is set a long the line at an arbitra ry
"HII
606 lAYOUT OF TUNNELS STARTlNG UNDERGROUND

point F. The theodolite is now turned through 180' to read I, = I, + 180' and
a diopter is directed on line at point D. For best results the distance FD should
be about 50 m (i 50 feet). The layout of points F and D has, thus, been completed
with the telescope in position I. With the telescope in position II a backsight is
taken to point B and the reading on the horizontal circle is recorded (1'.). The
telescope is now turned to read I{ = Id + {)Jll - DI-IB ' Since this will not result
in the same point as before, the target is to be set half-way between the two.
Keeping the telescope in position I I, point D can be laid out in the same manner.
Thus the section of line 12 within the construction area has been esatb7hed on
the ground.
If point I can be sighted directly from A as well as from B, point I shall be laid
out to begin with. If, for example. station B is the point from which to start,
distance BI is calculated first and the bearings of lines AB and BI are derived
from the coordinates. Point A should be laid out with the telescope io both posi-
tions and should be set half-way between tbe two resulting points.
Now the theodolite is set up over the point just obtained and the target is set
up o n B . As before, the telescope is lined up again with 1- 2 and diopter D directed
on line. With this line 12 has been established on the ground.
To layout the last lining segment the procedure to be followed is this:
I. With the theodolite set up over point H (Fig. 5/43) and sighted to point D,
an auxiliary point S - on a centering control base - is directed on line near the
centre of the last segment. The distance between Hand S is measured next and
the theodolite and tbe target are interchanged . The telescope is sighted to Hand
the reading on the horizontal circle is recorded (lH).
2. The theodolite is turned to read I" + 90' , i.e. a t right angles to line 1- 2.
3. Two points are directed in line with the theodolite on the rib of the segment
and at the opposite ends of the horizontal diameter and marked with a punch .
These points represent the ends of the horizontal line in the perpendicular vertical
plane.
4. The distances from the front race of the segment to the punched marks,
called the right hand and left hand advance of the segment (Sj and s., respectively)
are to be measured next. The difference between the two distances, Sj - Sb, indi-
cates the gain of one side over the other and should be marked in red on the
proper side of tbe segment. .If, for example, Sj = 435 mm (17") and S. = 446 mm
( 17 1/2") then the difference of II mm ( 1/2") should be marked on the left-hand
side.
5. The centre of the segment and its horizontal offset from the centre line
should be determined to the nearest 1/2". One end of the tape (with the zero mark)
is to be held against the left end of the horizontal diameter and, under sufficient
pull, the distance has to be measured to the right end. An intermediate reading
should also be taken at the plumb line centered over the instrument. If, for example,
the distance between the two marks was 5·60 m (18'- 4") and the plumb line was
found to be 2·75 m (9'- 0") from the mark on the left, then the eccentricity, i.e.
the offset from the centre line of the tunnel is obviously 5 cm (2") to the right.
 LA YOUT OF RI NG SECTIONS (SEG MENTS) AND SHIELDS 607

6. The coordinates of the centre, established as above, can be calculated. The

centre line of the tunnel and the vertical plane passin g through the two points
intersect at a di sta nce of 18·4S m (60'- S") from the auxiliary point S. Point K
will be S cm (2 in) to the left o f the po int o f intersection, measured in a perpendic-
ular and ho ri zontal direction.
7. The direction in which the segments are headed ma y be determined from the
amount of gains and from the di stan ce between the punched marks (d). The plane
o f the segments is inclined to the plane perpe ndicular to line 12 at \a n angle of
Ab which ca n be calculated from
S. - S;
Lib = a rctg (S.29)
d
Of , In ou r example
II
Lib = arc tg -=SC':
600=

8. The angle of skew should be determined in the plane passi ng through the
ve rtical diameter and the centre line and is to be measured with a plumb line
suspended from the edge of the rib at the top of th e seg ment. Once the distan ce
between th e ve rtical projecti o n o f the above edge and the lower end of the ve rtica l
diameter has been meas ured (b), the tilt (slope) of the segment ca n be ca lculated
from
a
e= - (S.30)
b

If the pla ne of the segments is lea nin g backwards (i.e. the grad ie nt is rising)
then dist a nce b should be measured at th e top, wi th the plumb line held over the
bottom of the vertical diameter.
9. The elevation of the centre of the segments above sea-leve l sho uld be deter-
mined by levelling. The eleva tions of three points along the bottom o f the rin g
are determined by levelling and then , because the rad ius of the ring is knowll, 1II~
elevation of the centre of the ring can be calculated.
Recentl y Helium-Neon gas lasers with appropriate emitter and receiver equip-
ment are used to provide a datum line for shields o r for ot he r tunnellin g or ditch-
ing machines. These devices can be used on straight drives as we ll as o n curved
pa ths. (In thi s latter case a preprogram med di gita l-oo ntrolled o ptica l deflectio n
unit is employed in front of the lase r.)
The principle of automatic la ser-steering is s.s that the rays emitted from th e
laser will be enlarged by a telescope to 20 mm diameter admitting that this will
remain constant to a di stance of about 400 me tres. A subseq uentl y cou pled cylin-
drical lens radiates the ray-beam under about 17° in o ne directio n, whereas it s

,s.5 MALY. P. and THORN, J.: Neu entwick lun gcn beim Lase r-Lei tstrahl verfahrcn. VI. 1111 .
Kllrs.llir Illge"icllrmesslIl1gPII holler Priizisiol1, Gmz 1970 263 .
608 LAYOUT or Tl)NN£LS STA RTlt>11 l)NO[RGROUNO

Ktc~lftr hr#
I«NIt!1 u",trq!
mtrhlnllm

F,G. 5/44 . I'rinclple of laser-beam sle<:ring

perpendicular thickness rema ins constant. T he sender sctup of the laser with t he
corresponding optical set llP is mounled on an adjustable base (Fig. 5/ 44) and the
requi red direction may be exactly sct by a micrometer-screw.
The photoelectric receiver is mounted on the shield and has 10 intercept and
indicate the posilion of the emilled ray-beam. Accordi ng to the position of t he
interception the commanding eyes: "too high, too low, too right, too lert,
eA a (;[, etc:' will be hit by the laser ray and in tu rn Ih.: ~leerjlJg {;UllllJllllld will be
set in mo tion. AllY change in the position will result that the laser-ray will hit
another commanding eye until hitting the " exact" eye after successive app roxI-
mation .
In this way the shield may be kept automa tically in exact direction.

52.32. Determ ining the Positiun of the S b.icld

More often than not, the centre line of the shield and that of the tunnel do not
coincide during construction. Accordingly. the ccntrc of the shield is offset hori-
70nta lIy as \\'ell as vertically from the centre of the tUlInel. The shield, of course,
 LAYOUT OF RING SECTIONS (SEGMENTS) ANO SIlI~LOS

has 10 be . tL"Cred during co nstruction both horizontally an d vertically and any

ro tation about its own axis should be checked regularly from time to time.
The position of centres C I and C 3 of ribs I an d 3 of t he shield have to be deter·
mined in relatio n 10 stations I and 3 on the ~ntre hne of the tunnel.
To determine the gradient (slope) of the sh.eld it is sufficient to level lwo com·
pmable points IOC:Hed in the upper pa rt of the shield on the two end ribs (stiffen·
ers). T he slope ( %) win be equal to the diffcrence in clevation, multiplied by 100
and divided by the d istance between the two points.

Z(Y'1I11B~k

~~~7~c,ClrCiA;r u,;.'r'

,
,,
c
'< .\
~ )..11
"
I
I
"\

FIG. ~J41. Measurini the rolation FIG. 1/46. Measuring the offset
or segments on a ciTl:u lar $Cale of t he eent~

T he vertIcal position of the shicld may also be cxprcssed in terms of elcvations

if the centres are tied in to the nearest benchmarks by levelling.
The following simple arrangement is a practical way of checking the chilnge~
in slope and the rotat ion about the axis, while the shield is being driven:
A plumb line is suspended from 1m a rbitnny point at the lop uf the shield and
a checkered plate is placed unde r it. T he grid lines should run parallel and per·
pendicular to the ceilire lint: o f t he shield. Wilh the grid lines spaced at 1/ 1000 of
the length of the plumb line the pOSItion of the plumb bob will indicate the slope
to the nearest 0· 1% when read in the longitudinal direction and will gi\'e the
rotation in the same units when read transversely. The plate should be set p roperly
and made horizon tal by measuring with a level in two perpendicular directions.
The positilm of the cenlre or the shield has to be determined hori,wntally as well
as vertically.
Both the eccentricity of the centre of the riDg and Ihe rot atio n of the segments
can be measured with circular scales as we Jl. Graduatoo in mrn and having a
radius o f about 2 rn (6 to 7 ft), the scales are mounted concentrically wi th the ribs
near the top of the shield, wi th the zero m,uk set vertically abnve the centre
(Fig. 5/45). The rotation of the shield can be measured with a plumb line, passing
through the centre of the shield a nd indicat ing "- reading (c) on the scale (Fig. 5/ 46).
610

FIG. j /47. Mo:asu rinl the:

deneclion a n.l~ of lhe shield

The eccentr icity o f the centre of t he shield is

(5.31)

where 1/ _ Ihe read ing ta ken at the poi nt where the vertical plane (plane o f the
ligh t) passing through the d io pter set up on tl:e centre line of the tu nnel, Intersects
the scale.
TI should be nOl cd tha t Eq. 5.3 1 is o nl y an approximate formula. However,
since the eccentricity of point C is o nly a mal.e T of inChes, the ho ri70nlll1 distnnce
(h) may well be replaced by t he length of the arc (c - tI).
Distance It can be determined as follows:
1. The ce nt re o f the shield is p rojec led up 01110 t he scale with a pl ulll b li ne and
Ihe reading le) is reco rded ( ptlSlllve 10 Ihe le'l, negauve 10 the n ght Of l hc ze ro
m ~lrk).
2. Similarly. the light passing through lhe diopter is projected on the SCll le lind
Ihe reading ld) is reco rded.

Rcpcatir g these operllt ions al ribs I a nd J.lhe values or Ch c,.

d l • d 3 • hl and h,
can be deltrm ined and the a ngle or shield deOeclion can be calculated rrom (Fig.
5/ 47):
Ian fJ) - (5.32)

where a = the spaci ng or t he ribs.

" -
Pfm I!7r mtJ4'!.e.
IfIJ /,h65/0~

Flo. S/48. Measuring the rotation of the shield wit

a ci rcular ~al"
 ,
RIT[R[NCn DIDLIOGRAI'!tY
'"
It is nOled that readi ng c (in Eq. 5.31) can also be measured on a sti ffener plate
as refere nce. From reading h, as indicated by the plumb line on t he plaIt, a nd
from the length of the plumb li ne (n
the value of c can be calculated (Fig. 5/48)
,
c:h=r:j thus r= h- (5.33)
I
r _ t he radius of the circula r S<.::ile.

T he relati\"c posi llOn ort he shield and that or the lasl segment may be determined
by separa te measureme nts as above.
However, there is also a direct method. T wo points a re selected and marked on
the hOrl7ontai diumcfer and I WO other points on I he ve rti cal d iameler of the shield ,
and the horizo nta l dis tances a re measured from the segment (91.9a a nd gJ' Y.) .
If Ihe centre line of Ihe shield a nd th at o f the: t unnel are paraliel, then

91 = 92 = 93 = 9 •. (5.34)

If t hey are not parallel, then t he vertica l denection angle is

t/J = tan ~l (5.35)

and the horizontal dd1ectiOil a ngle is
1\ = tan -I (5.36)

where 9h92and93,9. refe r to the points on the ve rt ical a nd horizontal diameter,

rt:lipectiveJy
/' and h "" t he distance between the points on the ve rtical and on the
horizonta l diameh:r, respectively.

REFERENCES - BIBLIOGR APHY

DARA""''' (L952): Geodesy in T"nnel Con.truetto n . M oeu a 1

H~WllT. B. H. M. and JOIIA NNESSON, S. (t922): Shi<,id o1d Comprnwd Air TUIIII",/iny. McGraw
Hill, New Yorke
KO"RAO, O. (1952): Fiildololli meresek I<ijeko:oso 0 hd1J'(h:Q1bon Is 0% ologullpil~$"tI (Ori~n ­
lalion of underground 5urVe)'s in mining and tunnel cClnstructiCln). K6zlehdhi Kiad6 ,
lIu dajX:~1
KOWALCZYI(. Z. (19~2): Hol~_/hrough PMbinlJS E"::Olln/u~d in Ih~ Cons/rut/ion of IIrr
Warsaw SlIb .. ay. Warsa w
OLTAV, K . (1941): A budapesti \"~rosmeres h~romsz~!elesenek hClsszmeghal:irozas:!.ban elerl
pontoss:!.g (Accuracy of linear measuremen ts III the triangulation of the lI udapest city
sun'CY), Ge~deziai KO:/Ony 2
OLTAY, K. ( l'H8): A Szabadsi\.g-hid epitcse al~almi\.bol vegzel! geodhiai munUlatok (Geo-
detic surv~y carr i",d out in con ne<:lion wit h the construct ion of S~abadsAl> Bridge), GI'C<iI;ial
Ko;,I(iIlY 8-10

".
'" LAYOUT OF TIJNN[ LS STAltTING IJNDI:R('; HOUNO

OLTAY, K. (l9S11: A IJlldap~stllnL·tirdr6Imh~s (Measurements with ;n"a, wi'e in Rudapcsi).

Akademia; Kiad6, Budape.i
S.dh'~, L. (1970): Die Vcrm .. ~~unll,...r~iten beim Bau de, Budapester U-Bahn. Pm~. f~l_
!>In,o-Conf. BO/(1/o'lfiired, 641
TAIlCZy-Ho1t NOCH. A. (1938): Sokszogcltsi alal:ulkil':;~e"dc: ponlu~~agi vi~lI:iila(a (An in-
vest igation o f the precisio" of tunnel layoulS based on traverses). Magy _ Mh". ~~ tp.
i:.gyler K~zl(jn)'e 1938 I
T ARC7.v _H o RNOCII, A. ( 1943): Zur F~hlerlh.,nrie der offenen PolYllon7UllC, A 8onya_ b
Kohomh.,oki OUI. Kozltml ,,}..i
T i. Rczy- H OIIN{)(;H, A. (1944): A kcnyslCrkozpon!i>:S!UlsOk gcodeziai jelenl6sege I:s sze,keul;
megolda,ai (The geodetic significance of ""olering control and ils Wpcs of cOllst r uclion),
Mhn. TdV. Kipz'; M. 53
TAMCZy- HoRNOCH, A . (1949a): A Icgkcd ... ez6bb sul)·dosztas CS jclcnt6sege a geodeziai
nu!re~e k rel (Oplilllum assignment of wei~hls and lIS ~i~n,'icarlce in ~co<.lcli,: ~Uf'i~YI),
Mern. Tov. Ki,,:!o M. 75
Tiill.czy- HolI.1<OCH, A. (]949b): Haromszogclesi alagutk il,hes.:k altoresi hibaja (Clc.sing
errors of lunne] layouts based on triangulatioIl). M o{O·ar Tuhnllca
T;':RCZy_ HoRNOCH. A. (1951): Alagl;lkini:r!s IX>n!QuQgi kdtflrl",inyti kiilih,ds reHllltml
a kiils=im mhhekre h az jrtin}"tir~;ulre (Pr~~;~io n r equir~menl5 in lunnel surveying with
special regard to mcasurcmcnu on the surfaa: and direcli<mal Iransfer) . K ozld'ed~~i
K iado. Budapest
VINOR, v. (19~3): A budares1 i fOldalani vas,il fels•.;,,; S7abalOS gcodcziai munkAi (Precision
.urface SUrVC)·S For the lI udape.1 Sub ... a)·), I'"i.!ldmfre.·/ullj Kijzlem~nyd, 1
VINCZ~, V. (1955): A budapesti f<lldalalti vasut fel'2lni <~aba lo< g~od'hiBi munk6.i ( Pr""';~ia "
surface sur ... eys for the Budapest Subway). Mh" . Too. K~pIJ
 CHAPTER 6

CONSTRUCTION AND DESIGN OF TUNNELS

Owing to the number of factors influencing the design, loading, Location and
building of tunnels, various tunnelling systems have been developed . The major
influencing factors being as follows: geologica l and hydrological conditions,
shape and cross sectional dimensions of the tunnel and its intended purpose.
The co nstruction of tunnels requires the carrying out of the following operations:

I. excavation
2. support
3. transportation
4. lin ing or coa ting, sealing, draining and ventilation.

The combination and effect of these tunnelling operations vary according to

the above-mentioned conditions. While the excavation and the transport of the
excavated material is always an indispensable necessity, the type of working tools
and the means of transportation used may differ widely, and the importance and
extent of both the support of the excavated cavities and the processes mentioned
under 4 can vary likewise, within a wide range. The required operations can thus
be carried out by various methods which can be grouped into the following five
categories:

I. full-face tunnelling without temporary support

2. mining or classical methods
3. combined underground and open surface (cut and cover) methods
4. precast element and caisson sin king methods
5. shield driving methods.

These methods wi ll be discussed separately according to the type of rock or

ground to be penetrated, i.e. whether applied in solid rocks or in soft ground.
The first method can only be app lied in solid rocks where also the methods belong-
ing to group 2, which afford supports of variable extent and strength can be ap-
plied . I n loose and friab le rocks and in cohesive o r granular soi ls all the methods
given above can be used, with the sale exception of that under I. In exceptionally
soft and loosc ground the methods given under 4 and 5 will afford good· results.
In the following, tunnelling methods wi ll be discussed in order of their simplic-
ity, beginning with those applicable in solid rocks only.
,1<
6.1. TUNNELUNG If' SOLID ROCKS

6. 11 . MEAl'"S OF EXC,\VATIO N I N SOLlI) RO C KS

The means of cUlling solid rocks a nd the-excavation methods used in them can
be disc ussed here only briefly, as their detailed dl:SCription docs no t constitute
a pa rt icu lar subject of tunnel engineeri ng. Acco rd ingly, on ly the re lations asso-
ciated with rock strength will be trea ted here in the follow ing order :

I. mechanical drilling a nd cutti ng

2. tec hnique of blasting
3. methods for the joint application of drilling .md blasting.

61.11. M~hanica J Drilling and CUlling

By mechan ical drilling and cutling of rocks a local separation of the rock-
forming minemls is aimed at. through local crushing processes, bro ught about
by a series of fract ures, i.e. by brittle fracturization due 10 tensile stresses. From
this po int of view t he CUlling o f rocks differs fundamenta ll y from the machining
of metals, t he laller being uniforml y based upon plastic f nH,:IUlc vr shear.
Fraclurizatio n is brought aboul by peTc us,ion o r by percussion combined wi th
cutting, t he acting fo rces being o f sta tic or dynamic na tu re, the forme r action
being b rought a bout ma inl y by ro tary lools, the latter by percussi\'e ones,
In o rder to bring about brittle fractures, stresses eljualling the crushing strength
of rock (see Ta ble 6/1) t)uve 10 be created.
The cn::shing stress prod uced o n t he surface of the cutting 1001. according to
H ERTZ , is:

(6.1)

where p "" unit com presSive force exerted on the cutting surface
r _ rad ius of the CUlling too l bevelling
£ 1 ,. modulus of elasticity of the tool material
£~ = modul us of elasticity of the rock.

The specific defo rma tion caused by the d ynamic impact - provided that it
may be considered fu lly ehlstic - can be e.~ pressed by Ihe fo rmula:
.1( t'
,= - = K-
f r. '
where r = the "eloci ty of impact
r~ _ the velocity o f compressed air in the cutting 1001
K :; a constant, whose value lies bet\O 'een I and 2, depend ing upon Ihe
magnitude of the impacting masses.
 MU.SS Of' EX C "'V"'TIO~ I!<- SOLID lOCKS
'IS
T... ~u; 611 (aner T... LBOt)

-
- -

.
1l.......1IoCC f.." o'
S~.o.r· ....1Ik uf
_
D"i,y C .... bl.1 Ten"l0
i.1 •
0( .. o~nd
1"m'J
........ h
(\alc ...·)
otn. .,h
(~lic m · ." .... h
l~aI<m' . - [-Y" ,
II
•
' - cj
r,.." ioto
<"
• I
Hard Ii mcst~ne
Medium liITtstonc
Soft limes <-
I
2'6~

,
2'3
700- 1700
300- 3$0
<00
lO
JO
10
""
JO
10
1'~~_Z'4

2'7- )'6
"J
2"
.
4S-~U

Gnein ,. 1
<00 ,. <
IXnse , rln~e

Finured .... nite

2-76
,., 1886-2'00
7.,...60
SO
SO <00
1')-1'3
Z'2- 2') ,.,
Quanile. und§tone 680· 1000 2-0-2'3 30-,.
Marl 3S- 180 4,8_10 34 (5.IIndy
Porphyr , 1360-2400 1'!-1'7
Quartzi 2'6S 870-3600 30-'" 100 1'1 - 2'1 <.,
"
Siale (s h~lel

Sofl sl8 Ie (s hlk)

2'0-800
'00
2'J-4
,., , ".,
Mcdiull1 5.IIndstone "J
J "
80
JO
'00
I
As rill,.,. _ E%t, it5 a pproximatc va lue ean be obtained from the fo rmu la :

It is deSIra ble unde r a ll circumstances t hat the percussive fo rce should lead to
II permunenl defo rm ation in t he rock, i.e, Illc lattcr has \0 a bsorb t he greater
part or this energy. A strong rebound is always evidence of low efficiency,
rn n(iderill8 I h~ ~xisling unce rl ai ntie~ as rcaa rds the im pact. it is wonh men·
tioning t hat t he contact st ress is d irectly proportional to bOlh the velocity of
impact and Ihe square root of Ihe impact ing mass and the rock's modulus of
elasticity. The efficacy of CUlling depends upon many factors. such as the hardness.
cunability. fa tigue strength. tensi le strength a nd breaking strength of the rock,
its dry or we t cond itio n, the hardness, strenl!lh characteristics and toughness of
the tool mate rial. the shape of the 1001 and the pressure exerted by it, the a ngle
of cullmg, the freq uency and the veloci ty of Ihe percussions, etc.
T he tools can be classified as percussive tools (ligh t, medium and heavy pick.
ham mers wit h a weigh t of G = 18 kg. 18- 27 kg, and 27- 60 kg, res p,) and rOlary
tools (c rown bits, sta r bits, etc,). These t ool~ are o perated by compressed a ir at
an overpressure of 6·5 at m, the n umber of pe rcussions o r rota tions n.tnging from
'" TUNNn I. ING .'" SOLIP MOCk5

200 to 250 lind from 100 to 650 per min. The rotations per minute needed for loose n-
ing dry roc.:: are highe r in num ber than those nttded for wet rocks. Of the cutti ng
toots - especiall y thoSt designed for the cUlling of block y rocks, such a s a re often
encountered in mines. - the c Ulling and loading machines pili)' II prom inent part
and can occasionally be used also in tunnelling operations. Of the tunnelling
machines of H unga rian make t he type FI (designed by AHAV and SZILARD) fitted
wilh a cutting head is worl h ment iolll ng as it can also be successfull y employed
in tu nnel1ln! operations in dry clays. By the BUTS Y Tlmnelhng Machine',l a
successful d:vicc of this kind has been introduced.

61.12. The Usc of Explosh'es and BlaSling T«hnique

Explosives, confined wi thin a relatively small space (the sho t hole) and initiated
there induce chemiclil reactions in the course of which gases and heat will develop
in such quan tit ies thaI t he stresses produced in the surrounding rock by the devel-
o pi ng gas pressure wilt e.u :eed the strength of the rock in a eeTiain zone. Slasling
is, therefore, elfecti\'e o nly within cen a in zones {)f a gi ven radiu§, discriminated
according to t he sUL1.:essive dec rease in blastingefficieney as fol1ows (sct;: Fig, 6/1a):

(a) cru sh ng zone (e) fT:l cl uring zone

(b) t hrowing zone (d) shanering zo ne,

I
,, , ,
,
,
\

,-• I,IM>w ,I ,
, ~
, ~

\;}• \~ \ ,
, I, ,, '- ,I
, , /
\ ,, --- - /'
/

,/

1"10. 6} 1 Formal ion of biaSI wne

1-1 Pm I'. 1'51. Clv. EIIII, 1965 Apn l and Stt also poinl 61.21.
f'or Ihe detai led dcscri"lion of I hc~ tools and t11~chineli an d of tlK" con'lruelion ef.
8';II)m:ull KI:;Ic(jny~ (Ha ndbook of mlA, n&), \I (, 717- 822.
 IS
MEANS OF tXCAVATIOS sot.l D ItOCU
'"
In add ition to the t)'p: and quantity of the explosive used a nd the range of
blasting, tl"t radius of this zone depends upon the typ: of the blasted rock ; the
distance of the ext reme spherica l shell, within which the blasting produces fissu-
ration o r crushing of rocks is dc tcrm ined b) the st resses brought about by the
shock wav~s exceed ing thei r tensile strengt h. This stress, of course, can only
produce displacement when a free facc (e.g. a free rock surface Of a joint or some
rock ma terial fractured by a previously fired cha rge) 15 Iymg m l he directIon of
shock-wave propagation. Unde r no rma l conditions, the blasting in a sho thole
will brea k out a crater in the rock, with sid!s sloping outwnrds a t a n angle of
about 45°. The choice of the depth of the shotholes. the depth of CUI, a nd t heir
spacing, i.c. the d rilli ng pattern can be determined accordi ng to the following
t heOrelical considerations:
A n explosive charge placed at the bottom ofa shot hole of depth'" wililheoreti·
cally bren k o ut t he rock material within a cone with a conical angle of a. The
volume oflhis cone (see Fig. 6/1n) is

or, as, - mtanll:

Accord Ing to LERRUN, t he following relation hOlds between the weight of the
charge (L) a nd the depth of cut (m) :

whence

where C _ a l."Oefficlenl, whose yal ue depends on the strengt h of rock and the
quality o r explosive used. Thus

" C
V "" """3 L cos3 1 t an~ IX ,

and its lin:it value according to 01

dV 7f L . " . ~
dOl - f C (2 sm a COS-IX - sIn a),

equalling lero if 2 cos! a "" si n~ 11:. i.e. with IIIn /I _ J2

and IX "" 54°44' . Th us,
the cu t-dept h corresponding to t he optimum blaSting cone will be

4 fT'
1110 ..JC·
-1" (6.2)
618 TUt'>IN£LUNO IN SOLI!) ROCKS

F rom this v~lue only 70-80 % is to be taken, considering that the blast also acts
downwards. acco rding to experience, and, thus, the crater-cone will sta rt from
below the bottom of the shothole.
Test resu lts have shown, howeve r, that only about 20 % of the energy of the
explosive cha rge will be actually utilized for breaking t he rock.
E)( pJosives can be classified into the followi ng main groups:
1. Slow (or phlegmatic) explosives, which, when confined, can be exploded by
simple exposure to an open flame. and wh ich have a relatively low velocity of
bu rn ing, remhing at first in the bursting of the surrounding rocks then their
displacement by the slowly developed gas pressure, not crushing them, however,
to fi ne fragme nts. Such an ex plosive is black powder.
2. High (brisanl or quick) explosit'es which can only be initiated by the acti-
vation of a detonator, producing a total decompositioll of t heir whole mass at
a very high veloci ty (about 6(X)() mi ser) shatteri ng at the 5..1 me time the material
in thei r immediate surroundings. breaking. rending off and displacillg those lying
fa rther away. Such explosive are, e.g. nitrotoluene, nitroglyce rin, nitrocell ulose,
dynamite, «rasite, paxite, etc.
3. Ini/ialing I'xplOJil'l's (e.~. fulminate of mercury) used for de tonators to
initiate the activation of certain less sensitive brisant explosives must a lso be
mentioned bere.
When blasting in ttlnnels the task generally aimed at is 10 use the minimum
possible weight of explosive for the loosening of the maximum possible volume
of rock. A suitable fragmentation of the hla~ted rock is at the same time also
desirable to facilitate mucki ng and disposal of the debris.
The SpaCIIIS of the shotholcs and the sequence of their fi ring playa promi nent
pmt in the proper acx:om plishment of this task. If the distance between two shO!-
holes is not too great, the blast will break out the rock material between them
(set: Fig. 6/1b). An inclined shot hole is generally more eflkient than one drilled
perpendicular to the rock surface, as the thrust of the blast in a shot hole acts
normally to its ct:n tre line a nd thus, there is fa r less danger of blowing OUI the
stemming in a n inclined hole. A shotho1c inclination of 45° is genemlly used
(Fig. Ii/ lc). If the explosive cha rge is placed equidistant from two free faces per-
pendicular to each o lher, the effect of the blas!ing will be simifur to that showil
in Fi&'. 6/ ld, breaking out 2·5 times more material than in t he pattern in Fig. 6/ la.
With th rel: free race~ tht: result will be even 3·5 times as much.
Shotholes a re generally d rilled with a d iameter of 26-40 mm (I - I 1/2) in and
with a deplh of 1-2-3·5 m (4--12 ft). It is not worth while to d ri ll holes deeper
than 2·5 m (8 ft) as the drilling time ofa 3·6 m (12 ft) deep hole is equal to that
of t wo holes o f a depth or 2·4 m (8 fl). Moreover the dr illi ng of a deeper hole
must be started with a greater initial bit diamete r. The hole dept h used considerably
depends on the type of rock to be blasted. In 11 rock material of low strcngth and
readily loose ned, shallower drillho l e~ amI smuller eK plosive charges are generally
used. Anolher aspect to be considered is that the depth of holes should never
eKceed the .... idth of the tunnel, a nd that the round pulled by the holes is generally
 '"
shorter by about 30 40 em thall the bole depth (averaging one tenth). To iocrease
the blasting efficienc}, of the shot it is advisable to use a boll om charge made of
a more brisant e"plosi\·c. The hole depth (m) to be used may be, according to
R A/>.OZIO:U
m - (f - I)ac+O·S. (6.3)

where f - t he cross-seetinn area or the tunnel race

a _ a coefficient the va lue of which depends upon the tliamcter (0) of
t he shotbort lIaryins as follows:

J - 60 - 80mm, :I _ O':!O,
J - 4S - 60mm. x=O' 18.
0 _ 20 - 30 mm, ac = 0-10.
Shotholes a rc. in general, drilled acco rding 10 a predetermined dn lling pattern
and fired in a predetermi ned sequence of ro ur.d s. T he drilli ng patte rn 10 be used de-
pends upon the depth of t he holes, the slTlitillcat ion of the rock and its behaviour.
(Shotholes parallel to the strat ification arc disadvantageous!) The practice, in
generlll, is to use V-shaped wedge 'culS' ml he middle Qrthe face with 'ring' hQles
arou nd t~em, inclining outwards towa rds l.1e periphery of the tu nnd . The holes
can be spaced in lines, rings, or recently, in a spira l seq uence (Fig. 6/2). The: sc-
que nce Qf the firing of rounds varies widely aIXo rdi ng to lhe nature of the rock,
to the applied QperatiQ n me thods and tQ the position of headi ngs. It is practical
tQ sta rt firing with the CUI (or break-in) holes placed in the centre Qf the tunnel
face, a nd tQ fini sh with the Qutermost rim holes, as in Ihis case a ll the subsequent
shots ",ill have a t teast two free: faces. Special attention must be given both tQ the
bottom holes and tQ the QutermQst peripheral rim holes which are tQ be drilled
with an inclinatiQn downwards, or Qutwards. respectively. The efficiency of blast-
ing is naturally here the smallest - owing tQ the high resistance of the undisturbed
'infin ite' roc k-mass - a nd the supplementary removal of the remaining thin cover
consitutes the most cumh-t:rsome and expensive work.
The overall effect of blasting and especially comminutio n, i.e. rock fragmenta-
tion is also beneficially affected by the a pp~ca t io n of de/a)' fir ing , controlled by
the length of the delay periods between the consecutive rounds Qf shots and by
the sequence uf firing. The effects uf the bluts will be beneficially superimposed
if Ihe uplosive chilrges in the holes adjacent tQ a previously fired shQthole deto-
nate at a lime when Ihe physical effects of the preceding shul have nQt yet come
to an end. This advantage has rece ntly been exploi ted by the U$C Qf short-de1ay
exploders Qr mitti~cQnd blasting"" with whit-h the detonations of the consecutive
neighbouring charges fQllow each o ther afte r a detay period of a rew hundredths
of SC<:Qnds.

... RANOZIO, E.: D~r Sloll~"/)fl". Er nst, Berlin 1927 . See furl her: F,ird.-rohhollids a bdl/y6·
ba" ( D rilll~1and blastinl in minC!i). Mlhlak i Kiad6, Budapest 1%1.
... DI ~""IAN:--I, G.: Nruuif/khr Sprmgl«hl/;k. Iln u verl pl , W ie~haden t966.
620 TVNNEl..l..t'iO ,,~ ..t t> ROCK $

•-
•

>•

<. •f
-- ~-

, \.
 "f.A"~ OF O:,A VATJO" .. 51,)1 10 1l0C"1U <>2 ,

Figure 6/ 3 shows the pressure-time ,

curves for explosives of V[.I rio us types.
loilialing. phlegmatic a od brisanl ex-
plosives are he re represe llte ti by the
curves 1. ][ and III . respect ively. or
these. the brisant explosives a re most
o rten used in tu nnelling o peratio ns.
According to curvI! II I a shock pres-
sure of short d uration hut ~e ry high in-
tensity is followed by a the rmod ynamic .'fI./Jigll no/mIll!'.'
pressu re of lo nger durat ion a nd with -, P/l/~,r.>!.'c
gradually dec reasing inte nsity. With
millisecond blasting o r delay exploders
t he thermooy na mlc prosure of a pre-
ceding shot is still in existence when the
shock preisure of the detona ti ng ex-
plosive thu gc in the adjacent hole is
lilready beginning to act, with the
resul t that t he lWO effects in the imme-
di:He su rroundi ngs or the hole become
summated adva ntllgeously wh Ile. ~I\
Ihe same ti me. the roc k vibrations
fa rt her aw:ty are dam ping each other.
The optimum millisecond deray period
is propor-io na l to Ihe half of the
OSCi llation period o r the shock wave, FlU. 6.1 3. Principle and d ri lli n, pattern of
characteristic of the medi um, i.e. of t he short delay hlu.,i nll
time in which I he seism ic veelm cha nges
fro m ilS positive to its ncgative maximum. T he mai n advantage of millisecond
blasting as agains t the simullaneous firing bei ng th us that the effect of blasting
in Ihe ero~ vici ni ty of the wo rking face is increased, being decreased in areas
fart her away.
The ~"l!:Ze.~lt'!<t mllli"l"'nnti drilling pallcrnl.l i5 a linear pallern shown in Fig.
6/3b. The two 5hOlhoies denoted by 0 wi tt be fired firSllo be: fo ll owed in sequcnce
by the det:mation of Ihe fou r holes denoted by 2, then t he rour de noted by }
and, linall}, tha last two - bottom a nd to p h(lles - denoted by 4 ; the dista nce of
the holes from those preceding in sequence being 0·5 m a nd 0·6 m respectively.
T his d ri lling pattern is ge nerally used ror the d riving o r pilot headings and i~
called the parallel cut me thod as its holes must he d rilled para ttcl toone anothe r.
TheoreticaJy, the eriss-cross firing pattern. where the delay fi ring of Ihe holes is

. .. Cf. HU ZEL, K . : Tunnel - und SlOlienhau - Wand l un,"n lind ErroliC, 8(l/Iil/"""i~'"
J9S1 9.
proceeded with along a saw-tooth line, is preferable a nd has recentl)' been sug·
gested liS particularly suitahle fo r linear e~cavations.
Millisecond blasting is not only more efficient t ha n simultaneous fi ring hut even
requirts less time than firing in separate rounds.
Blasting in tunnelling is used for the following operations:

(a) cuui ng or breaking-in

(b) full·face blasting or rca millS
(cl tunnel profile t rimming o r contour blllSling.

(a) CUllillg is made in order to create cutl,oltS from which the breaking out
of the remaining tunnel cross-sectio n can be sta rted a nd facilitated. The successful
break·out of a cut requires the use of the most efficient explosives and the largest
charges as well as the drilling of the deepest 1l1d most closel)' spaced dri ll holes.
The cut can be blasted in 3 or. possibly, 4 rounds. depe nding upon its desired
dimensions. It must, ho"e"er. be always in a central position. With greater cut
dum:nsions additiona l 'blind' (uncharged) holes arc to be drilled into the face
with diameters increasing with the decrease of the strength of the rock. The spacing
of the drillholes in hard rocks such as granite should preferably not exceed 20 em.
For the blm;t ing Ollt of ~uch CUIS o ne of the mO~1 ~ui t a bl e drilling palle-rns is Ihe
50-called Canadian or 'burn' cut shown in Fil!. 6/4, in the ,-,enlre of which there
is an uncharged 'blind' hole with a greater diameter, around which shotholes
with smaller diameters, numbered In Fig. 6/4 In their firi ng sequence. are placed
spirally a l increasing distances.
(b) Drillholes for JtW;OI/ rl!uming are placed around the cut either in concentric
nngs. or along a spiral, spaced a t distances of 0·1 to 0·8 times the blastlllg radi us
(see Fig. 6/2). The spacing of the holes
in the ,:Jllle laye r should not exceed 1·2
to 1·4 times the blasting radius. T he shot-
holes In the same ring are fired in one
round. The proper cholt:e of the length of
the explosi ... e rods in the reamer holcs
and thl'" ['nnrrnl nf rhe fragmentation is
of great impo rtance for the efficiency of
the rea11ing. Shorler eXplosi"e rods a re
used for shorter delay periods lind longer
ones fOI longer delay periodS. The degree
of fragmentation depends upon the spe-
cific qUlntity of loading in t he shotholes,
increaSing in addition with the d~rease in
the du ution of the delay periods.
(e) ((In/Qur blas/iny o r trimming of the
IIInnel prOfile ca n be carried uul llIore or
Fro. 6/4. Canadian cur arran~menl Jess accurately.
 "'!!ASS OF £XCAVATIO' 1'< $OLIO ROC"! 623

The shot-holes have a n inclination of 10' outwards (see Fig. 6/2) a nd thei r
length should not e)(tend beyond the theoretical contour of the tunnel cross·
senioll by more than 10 em (4 in). According to c)(perience, the cleavage effect
of the blast should not extend beyond 20cm (8 in). Inorder looblllin a high stand·
IIrd of accuracy in lunnel profile trimming it is advi sable 10 sp:lce the peripheral
holes ruther closely a nd to use shorter holei than for reaming. The ~ploslve
Cha rges should be diSt:olllill uouS (cushioll blll~l ing) amI or a >ery high brisanc)'.
Moc..h:rn :Jlasting tec hnique. drilli ng equipment. ex plosives. efficiency in commi.
nutio n were thoroughl)' dea lt wi t h a l Ihe I SI Inte rnatio na l Conference o n Tunnel
Construction (Torino 1969) and at Ihe 2nd Internlltionlll Conference on Rock
Meehllnics (Belgrade 1970).u
The formulae used for the ca lc ulatio n of the required quantit y of ex plosives
Cll n be a rranged 111 Ihe fo llowing three groups:
(a) The explosive charges of conical 'nllnes', - mostly used by t he military
engmeering corps - may be obla ined from 11e fo llowing fo rmulll :

(6. 4)

where L t he quall tit)' of explosives in kg

('I - coemeienl whose value depends o n Ihe kind of e)( pJosive
II '" the strength faelOr or rock
d _ the smallest cleavage length, with a val ue equlII to 0·5 to 0·7 times
the depth of the shot hole.

GRtMAUD'S form ula is si milar to the above :

where v = a factor depen(ling on lhe number of rree faces, equalling I with

only one free face and 0·25 wilh 5 free fllces
/1/ '" the hole dep th
b = a coefficient depending o n the ~hape or Ihe sholhole a nd varyin,
from 0·5 10 1'0, wi th the cha n@e of ratio m/~ rrom SO to 33 (mID
de noles the ralio o r Ihe hole de, th to the diameter).

(b) For linea r charges usually used in tunnelling operalions the empincal rule
of FRALr-i\.LL clln be uscd, :.lccording to which
a = 0·02 (! "f.~ nO.3 ,,0.' (6.5)

where a - the blasti ng radius of Ihe charge (in m)

nI = the de pth of Ihe 5holhole (in m)
Ii = the length of the charge (in m)
... Ali i dd primo convcgno inl(rn a~io nale sui j)rohtcmi lecnici nella COSlruziolic delle
anllerie, Torino ]97] 1 3.
Prot:. 2nd Int. Con/. Hock /IIuh. Bdgrad.. 1970 J . Sc;ulon 5.
 TUNNELLING IN SOUl) MUCt;.S

J = the diameter of thc charge (in mm)

f! '" the coefficIent of resistance to be obtained from the formul a :

e = )~ : R = the roc,k's rcsistar,cc to fa ilu re (see Table 6/ 1).

Ta king a 35 % dynam ite with a rending capacity of 10 0Cl0 kg!cm 2, F R,\ENKEL

gives the it va lues as varying from \·3 10 5·4 h a rd rocks a nd for ~o fl ground,
re~pectively.
(c) The third grou p of calculation fo rmulae refers to para llel series blastings,
when the te nsile strength of the rock in the planes to be separatcd an d thc shearing
strength of the same in Ihe shear planes, as .... ell as the resist a nce to friction due
to t he weight of the rock mass to be displaced, must all be overcome by the ren ding
force act ing III the cross·section to be blasted. A detailed discussion of this would,
however, exceed the scope of Ihis hook.
T he following simple formu la published by STINt and used generall y in Aust ria
must also be mentio ned
L = m~el1i, (6.6)

whe re III _the least dist a nce between t he shOlhole and the free face
t' a cocfficient rcpresenting the hfisancy or the explosive and being
of a value of 0·8 fo r blasting gelatin and 1· 1 fo r gelatin-donaritc
I" _ the rending iitctor, wi th a va lue to be taken as 1,6 for the cmholes
of headings wit h but one free face, 1-4 for other shotholes in head-
ings and 1·2 for the blasting of the calo lte, where there are two
free faces
f - the strength factor of the rock, its vallie varying from 0·6 (for
limestone) to 1·5 (for quartzitel, white the values for other rocks
may be obtained by interp olat ion.
,\" = a stratification cot:fTlcient with values ranging from 0·6 to 2·0, depend-
ing upon the stratification, fi%Jration and cleavability of the rod
and comprising also the effect of the angle between hole axis a nd
strat ifica tion.
Even more simple is the formul a given by l UCAS:

L(k.) = km 3 , (6.7)

where k = a factor of the specific c:l:plosive deman d, the va lue of wh ich can be
taken f rom the following table:

I'.. i•• O~nomh.

for rock! eal)" 10 biaSI 0'2~ O'OS

for rocks moderalely difficult 10 btast

."
0'4(HHO
O· tO
0'tO-O'15
ror rocks d i'lkutt 10 btasl 0'65-O-S0 O-t5"'{)·2S
 fULL-fACL ',"UNNlLLll'o(, WITHOUT SUPPOMTS 625

The exp[cs.ive demand fO f pilot headings is always higher.

Fur full-face tunnelling through hard and homogeneous rocks the specific
ex plosive ccnsumption is given by WAU.''lG. Tab[e:: 6/11.
' I ABLI 6ft!

area of tunnel (m')

Cross-~lIonal

SpecifIc consumption in expl..,~ive~ (kwm') ",., " '"

I" I .I
00
"
0"
100
0-'
Specific borehole length required (m/ml) , ", 1-' 1-' I" I
Numb.:r..,r bcreholes aco;ordlng to
drillin, scheme 12
" 00 7l . 100

6. 12, FULL-FACE TUN" ' ELLING WI THOUT SU .. t>O N.fS

It is obvious from the above that Ihis most simple method of t unnelling can
only be used in slightly fissured rocks of \'ery high strength. A distinction must
be made whethe r tempora ry supports mlly he omilled in the course of t unnel
excavation only or whether permanent support or lining of the section muy be
dispen~d With entirely. That is, whether only the opera tion 2 (support) mentioned
under Section 6.13 is being omitted or whether the lining of the tUllne! menttonl!<!
under 4 IS to be considerably simplified. The latter also includes those cases in
which a coa ting or rendering is only required for the reduction offraction resistance
and for aesthetic purposes Ihigh\\-ay tunnels,. or for watcrproofing seepage
prevention and drainage purpo!>l:~ (water supply, pre55ure, and n3\igation canal
tunnels), This laller case pertains, ho~c\'cr. to the mcthods of full-ful'C tunndllllg
With suppOlt, 10 be dJscussed in Sectio n 6, 13.
Tunnelling without support actually eonsisu ill the repetillon of the rollowing
cycles of operations:

(a) drilling shot-holes into the t unnel fll ce

(b) loadi ng and firing of ~hoth()les
(c) clearing and disposal of the debris ('mucking out" the muck pile)
(d) ~ upplemenlary operations (contour trimming, breaking down of loosened
rock laycrs and lining or coat ing ror operatIOnal purposes, ,r necessar) .

It tS possible to blast either the whole cross-M:cllonal area or parIS of it in eaeb

C)cle - varying in accordance ~ith the chosen sequence of opera tions. The worklllg
method uep::nds mainly upon the shape a nd dimensions of the tunnel and the
na t ure of the rock to be penetrated; il is also influenced by other factors such as
the available equipment. the cost of labour and the required construction period,
among o thers. The usual practice is, tirst to drill all the shot holes requ ire<! for
reaming OUI the whole cross·sectional area of the tunnel or the pilot heading,

40 Sac hy: Th. A .. of Tunn.UiB~

626 TUNN(Ll.I NO I~ !OLIO IlOCKS

in such a number and following such a drilli ng pattern as to ac hie\'e a n adequa te

advancement wi th the mi nimum consumption of explosives and with a rock frag-
mentation suitable fo r efficient mucking. In addi tion. both overbreaki ng a nd
underbreaking must be reduced to a minimum in o rder to avoid subsequent
filling o r trimmi ng. Quick and efficient loading and disposal of the debris and
adequate ventilation and drainage are also of outstanding importance.

FlO . 6/ SA . JlImbo mounted on II. mOtor FIG. 61S8. Simple drillina·lc:a on II.
car (Stockholm) " 'orkina platrorm

The great improvement in rock tunnelling in the last t"o or three decades
comes from the im provement of drills a nd drill stc:c:I, the increase of the hole
lengths. the introduction of the portable d rill carriage (or jumbo). the use of delay
exploders in blasting. and the development of economical and reliable mechanical
muckers. A truck-mounted drilling platform used at one of the stations of t he
Stockhol m Subway driven in granite is shown in Fig. 61SA as an exam ple, while
Fig. 6/58 shows rock-drills mounted on a simple column leg and operated from
a platform.
Some time ago tunnelling methods employing Ii heading were customarily used.
In these methods a heading generally with the minimum size for econo mical
driving. i.e. wi th a cross-sectional area of 3·6-4·5 m! (40-50 fit) is excavated first.
This heading was subsequently enlarged to the TCtjuirc:d size by methods which
were relati vely less expensive than those necessary for the heading excavation.
The length and location whethe r a t the top. centre or bonom of the full size
cross-section depended on the conditions of the particular undertaking. The
practical location of the heading was a t the to p. as in this case the re mainder of
t he tunnel section. the bench, could be broken out stepwise downwards, benefi ting
therefrom in the econom y of drilling. firing and mucking operat ions alike (Fig.
6/00). For the adva ncement of the top, vertical shot holes can be drilled more
fULL-rACE rUSNlLLI~(l WI t HOUT SUPPORTS 62'

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62. lUN'<[LLlMl IN 1101.11) M...... "S

efficiently In its floo r. i.e. in t he be nch. a nd mue!.; ing could be effected 1010 Illlne
truc ks ru nolos o n the floo r of the tunnel. An addIt ional improvement in this
helld mg lind bench method wou ld be the iRtroduclion of hori zonta l cutling
(rock. milli ng) devices which coutd effect t he remo\al o f the bench In ·~1ices·.
In a section headI ng no d rilling jumbos, but only sim ple jack posts have to
be used o n ...·hic h the drills are mounled (Fig. 6/ 6b). For grea ter speed the bottom
headinl/. has been used sometimes and th e en largemen t sta rlcd at frequen t inlcrval~
11long it, pe rmitlin g the full-scale wor k to be completed alm os t as soon as the
headin g. The di sadvantage of this me thod is th a I the bOlLoll1 heading hilS to be
com pletely timhered to procec! t ra ffic through the intermedia te working faces.
In la rge section t unnels and in very hard rocks where no timberin g lS neces.o;;lry
the centre heading met hod can be used advanmgeously (F Ig. 617). From this
cen tre heading radial holes at right angles to t ~e axis of the tunnel are drilled to
the contours o f the full-size and then blasted, t hus enlarging the rem:ll nde r of the
tunnel '\eCtion 1Il one si ngle round .
Recently a muhi-face t unnel ling system WI th a separate IJ3.rallel head Ing hilS
been de"eloped in connectIOn With the cent re headin g method wh ic h, by creating
intermediate tunnel faces. offe rs the advantages of havi ng not only o ne o r two
faces o f attack but a n unlimited number. By 1his system (I heading of 2·4{) m )( 2·4{)
m (I! ft )( 8 ft) cross-section is d riven pa ralic I to t he axis of the tunnel at a distance
of 15-25 m (50--83 ft) aside. From this heading cross-drifts are dmen in eve ry
500- 600 III (aoUll ! 1700 2000 ft) to the ax is of the tunnel. from which intermediate
tunnel faccs may be a ttacked - always choosing the most suitable tunnelling
method. This com bina t ion offers Ihe adva n1a!:'C of simultaneous driving in bo tl:
di rections Wi th the use of thc same cross-drift as, while blasting is being d one in
one tunnel face. mucking can be carried out undisturbed and without mterruption
from lhe op;X>~lIe tunnel sect ion.
6 1.21. It is clear from t he precedmg descriptions and considerations, Iha t Ihe
effect of blasti ng ca n no l be pmclicall} rest ricled 10 the section proper 10 be exca-
va ted , but will affcct ils su rroundings inferri ng ove rbreaks, fissurations, loosenillgl>

I' A-A

~ --,'I,,,, 1'' "--......

"
#
'. ,
,
I'
FlU. 6,17. C~n!ral drifl method
 "ULl-FACE TUNNELLI"G Wlff'OUT SUPPORT" fi2'l

beyond jt~ circumference. In conclusion this may result that the stability of the
section ffiJSI be secure(\ at last by the installation of SlJmc artificial supporting
lining e\e1l in the most resistant solid rock~. the undisturbed strength of which
may surp(i.~" by far that of the installed artificial lining.
These potential detrimenta l by-effects of blasting led 10 the recen! development
of hlu.\'l-Jree lII echanicai e:o:cavation methods. which are based on the action of
cuttmg and sl(luing (underreaming) devices applied targely ill the mining industry
ilIId referred to prev iously in point 6l.! L
Full·section cxc.:al'atiofl is e,tablished Wilh the help of rotaling discs provided
at thei r revolving face with variously shaped and arranged drilling bils. u
The hilS are act ing either on the we<lging or on the chipping-cutti ng principii!
(Fig. 6/8). Thus, these mac hines are sui led 10 the e:o:eHvation of I:ircular drifts.
r I1fIl tf ( lilltf
II - illfrrr --
t _ unl ul .- .
d - (11ft
- .. - (llt/mg M;fl
p - r~tt DfwrinNilti//g

• •

Flo..;. 6,1 8. WeuGinll and cuuinll action of revolvinll

drillin g bi n

• • T HON. J. G : Pn:>t:11l Slalus allli F"lun;: Pros.pecls of Tunnel Mach,nes in the U.s.A .
Prot'. Tlmlf~1 S,'mpM ium '70, Tokyo.
,)0 TUN1'oELLI'<G II'< SOLID IlOCU

They were applied first in hard then in medium rocks. Ancmpts are made howe ver
to extend their application as well to pseudosolid rocks (ma rl, schist, etc.), as for
the excavation of tunnels of circular cross-section up to 6·0 m diameter. The result
is that nowadays we may spek of b/Q$I-fru tu""elling methods, claiming the fol·
lowing great advantages:
a) They trim out the exact tunnel profile. undue overbreaks being avoided.
b) Unwanted effects of overblasl such as loosening, fissuration beyond the
cross-section, leading to excess rock pressure is anticipated.
e) A greater degree of mechanization, saving in manual labour and in costs
may be obtained.
d) A statically favourable circular cross-section will be produced, where any
artificial lining may be dispensed with offerin g a lso a pleasing a ppeara nce.
e) Progress and security will be increased whereas the operation personnel and
manual labour in general will be: essentially reduced .
The relatively high in\"estment costs of the machinery is a disadvantage of the
method t hough this may be compensated for by the above-mentioned advantages
on fairly long·term jobs only. In addition. the rock material in which these machines
may be operated must have a certain strength and must not be densely layered
or fissured.
Figure 6/9 shows the Ro bbins-type tunnelling machine, Figure 6/ 10 that
of the Wirth-type, whieh is claimed to suit a lso for rocks of moderate strength,
occasionally abo for harder co hesive soils and Figure 6/ 11 presents the inside
view of a sewer lunnel conscrucled by a Robbins-machine.

FlO. 6/9. Drillina !lead of 'he 'unnel.

borina machine "Robbins"
 rULI.-'Act; TUSN£LLI'IG WITHOUT MlPI'OftTS 631

Flo. 6/10. The Winh-Iype lunnd1inl

ma<;hine

FIG. 6{ll. Interior ... icw of a K,,'cr

tunnel c~<;a ...atcd by • Robbins
ma<;hine
 TUI<I<[U , ,,,: " YlI II> ROCKS

6.13. FUI.L-FACE TL'NNELUNG WITH S UI'POR TS

l'l r!>l of all, let us look into the ro le and possiblc degree of the supports. As to
their role, they afford:

I. Protection again"l Ihe: fa ll of loo~ncd rock fragments. while, al the same

time, no resistance IS oflcrcd agains t the displacement of the su rro unding
"irgin rocl:: disturbed by t he excavation :
2. Support against all loosened roc k m.tsse~ \\; thout pre\enting furthe r loosening
of the virgi n rock ;
3. Support pnrti nll y s t~hlli z lng the excavated cavity by preventing rock dis·
place ment beyond a certain extent:
4. " perfectly rigid and powerful support prellenli ng any movement of the
surro unding rock:
5. All o pportunity for the consolidation of the surrounding rocks ~ith a view
to relieving the permanent tunnel Iming.

The full·fm;e lUn nelling met hod obviously represents the most economic tun·
nell ing system. Thereforc. it is desirUble to extend ils field Ill'lIppliclition by all
pracllc;J1 .reans to rocks which, though they cannOI be left unsuppo rted perma·
nently, may ha\'c thc insta llation of their !>upport ell her postponed for a limited
period. or reduced 10 extent by establishing a n artificial c()...operll tion wi th the
some~hot furt her removed undislurbed roc l:: masses (roof-bolting).
T he main point is always to make the exca\atlon and 10 mainlain the deamnct
or Ihe whole l unnel section without disturbln! any inside support. unlil t he load-
beari ng permanenl tunnel.lining can be constructed. The development of such
met hods is rendered possible by the fact Ihat rock pressures do nOl immediately
reach their maximum \lIlue when the e>.cavalion is completed but unde rgo a sue·
cessive developmen t. It must be understood. however, Iha l their maximum value
is always Significantly llffected by the e/"eChor of t he supports at the proper time
(cf. Section 3.5 1 a nd Section 21.33. SAI..URA.;' It is a great ~d valltage III various
constructional operations when the full tunnel section can be excavated c\ea for
a certa in limitcd distance by the full-face IIIn l1l: ling IIIl:thoo. a mJ ulMvnLL temporary
supports can be installed subseq uemly, a t inlcrvals extendi ng over t he whole
cross-section of this newly drlVl:n tunnel stre tch. It must be noted that the post-
ponemenl of su pporting a cavity until the const ructio n of the permul1I::nt tunnet·
lining would incur in most cases a considerable increase of rock pressures with
an inevilable consequent increase of t he tining Ihil:k ness and thus render the whok
process uneconomic. There may, howe\er, b: some fcw e:c:ccplional cases \\-hen
the rate of increase in the rock pres!.ure is so small, e.g. in ground of a highly
plastic (hara(ter. a nd t he conSlruelion of the load- bearing permunent supporl.
- oWing 10 their design Hnd conslruction - i; progressing so rapidly (e.g. precast
reinforced-concrete segments or rigid sleel a rches) that the lime ela psing frolll the
excHv;Jlion of the whole tunnel section \0 the installation of t he permanent su pport
 rU ....·PA CE T UN"ELLI"O WIT" ~U PPOR TlI OJJ

will not incur un y consideratJJe increase of rock pressure. In such cases t he omission
of the tempo ra ry supports will not involve LIly surplus eXj)(:nses.
Three methods will be dieussed below, ea:h of whic.h offers considerahle pro,,·
p«ts for further development .

(a) Tcnporary support by prefabricated steel construction with a subsequent

Independent j)(:rmanent tunnel Irnmg:
(b) Temporury support by a reinforC(:menl·like rig id steel st ructure followe:1 by
its ~ucce$sive concreting:
(c) Anr.:horing of the immediate roof layers by rock bolts to upper 1)'rJ"1g Ja),crs
of highcr load.bea ring ClIpilCI I) (roof bolting) ",ith a subsequent dcccrati~c
coating;
(d) InS1I1 "I rapid coaling of the exca~aled profile with guni le.

61.3 1. Tl'mporary Sappurl Indcpt'lident of 11K' Permanent Lining

Such tcmporary supports ca n be composed of wood. steel or concrete elements

or of a com bination of them.
The lining elm he composed of a rches, ribs or frames fltbrh:llted in l'urrllJllrril),
with'the ;ontour line of the tunnel, wuh intermediate spacers, braces or struts
between them a nd with an outside laggi ng beari ng upon t hem in order to tra nsfer
loads from the rock, a nd to 11\011.1 the risk of fa lhng rock.
61.311. Supporting witll steel strIlC/lIr(>S. In Amerrcan practice the following
types o f rigid s teel support systems ha ve been de veloped (Fig. 6/12):

(a) cUftrnuo us rib type (leg a nd rib in o ne piece)

(b) rib and post type (arches on posts)
(c) rib and post wall type (arc hes on .... all plates)
(d) rib wall plate and post type (arches o n wall plates and posts)
(e) full·circle rib type.

All these types can be used ro r rull· face IUILII<;lIirr!; Ilu;:thods. WIth the comimIOI' .r
rib type offenng most advantages. A preco ndition for t he nppl lcation of th is
method. ho",e\er, is the usc of portable drill earriages or jumbos and n rock
quality to secure self·su pport not only for t he time of the dn lling. firing and
clearing operations bUI a lso for the time require<! for the ereclion of the temporary
or primary support s (cf. 'bridgi ng period' in Section 3.51). The most advantageous
and quic kest method is to use steel arch sets consisting of tWO halves "jth butt
joints a t the crown. The set ClIO also be composed of more segments if r«j ui red
by the siie of the tunnel cross·section. or by the blast ing and c~cavat ion method
used. The a rches or ribs arc to be made of J. or I I·section steel or of bell section
steels usually used in mines (ef. T.H. frumes and Fig. 6/19). U·section steels nre
unsuit;Ible, pmlly because of the 5mall belTing surface offere<\ 10 the lagging.
63.

.. .. .. "

,
, ,
,

FKl . 6/12. Sled propping typeS (li fter l'MOClOll ;lnu WH1U)
 rULL - F" C~ TU"'l<lLLI'~ W illi sur!'OJtTJ

parlly because of Ihe asymmet ry of t heir sel;tiolls o ..... ing to wh ich they a re aplto
gel twis ted .
If the side walls of the t unnel adjoi n its vault at an angle. a nd wheneve r large-
section double-t rac k railwa y or road tu nnels are concerned, the rib and post type
is used if only 10 red m:e tht: dimensions of the single supportin g clements llnd tn
ma ke their transporta tio n and handling easier
In large·section hmnels driven in relati vely se[f•.)upporting web lhe rib und
I\'a/l plate can also be used if the load from tnc: arches can be transferred directl)
by wa ll p[utt:!i or blocks 10 the rock al the springing, so eliminating both the use of,
and the surpl us excavlltion needed for setting the posts o n the bOllom . This
supporting method ca n also be used when the support is only requi red as a pro-
tection aga_nst rock spa lling fro m the roof, whic h is most likely to occur there.
Rock spalling at tunnel walls is. in geller,!l, ~ maller in extent and fa r less dan-
gerous, as stresses induced here in the rock are considerabl y smaller due to the
relati vely large bearing surface left fo r lhe sealing of wall plates. This latter suppoTl
system, hO\l'ever. can by no means be applied in decomposed a nd broken rocks.
adversely jointed, o r in case of excessi\e o\erbreaks. It ma y be extremely dinieult
10 establish adequate suppon for the wall plme al any point above the floo r line
due to irreg ularity of t he overbreak. Loads must be t ransferred io this case dir«tly
to the firm tunnel noor. This SUppUI I ~y~I"1ll ca ll Ix: advantageously CQmbined
with posts insta lled to suppan t he wall plates in tunnels with high side·walls if
the ' bridge action period' permits it, with a possibly more distant spaci ng of the
posts than that for t he roof supporting a rches. It ma y be advantageous even with
t he denser post-spacing required by higher rock pressures. Mo reover, il pe rmil ~
the use of a full ·face tunnelling me thod whe'! combi ned with crown beams slid
forward (sec: below), if the 'bridge action period' of the roof is short and the roof
has to be supported before clea ring the mue.':. Crown beam in this case can be
~u pport ed from Ihe wall plates. The wall plates are supported, in turn. temporari ly
by canti le\'cr bracke ts li.stened into hitches drilJed in the rock until the posts can
be installed - following the mucking out of ,he debris ( Fig. 6/ 13).
In crush~ lI od swellmg rocl.:s Ihe full ·circle rib type should be u~ as it is
able to resin pressu res acti ng from any di rectio n (Fig. 6j I2e.)A detailed description
o r this syslcm wjll lie Hi"cll in the chapter dealing ""i th soft Hround tunnelling
me thods. It sho uld be noted here, howt: ver, that some horseshoe-shaped tunnels
cannot be converted easi ly to t he full circle. Hence, because of their high sides
other prov.sions must be made for resisting side pressures and pre\·enling a heave
of the bottom. T he most common is the install;lIion of an invert stru t. These a re
placed ucross the bOllom of each set to resist side pressure by providing a hori·
zontal reaction for the post.
The headmg a nd bench melhod though. strictly speaking, not representative
of a full ·fact method, may be usefully diS(ussed here, too. This method was
standa rd prio r to the introduc tion of moving drilling j um bos, as the bench offered
a firm drilli ng 'pt3l form' for drill ing the holes in the arch section of the tunnel
th us serving its ad vancement as a top-heading. Nowadays this method is o nly
636 TUNI<F L lIN(; I!' SOLILl RUCKS

f; fila.... ''¥ IWWi'M rod:.,.,,, rtb

• Bic<~111 brlluM t:r/JI>'I/ tNr Ir.d n;d 4Rd rIb

IMf .'Xl",,, ! -B

FIG, 6/ 13. Excavation process with "rOlmde~ crown bars (after PRoc-ro~ and WHITE)

appilt:d when the bridge action period is insufficient for I'ull·face excavation includ-
ing subsequent ventilation an d mucking with a consequent n«:cssity to provide
for the installation of a tem porary roof support. In such cases Lhe melhml otTers
a double advantage:

(a) An occasionally loose roof can be s\lpported from this rock bench either
direct ly or )y an advanced crown beam immedia tely following the blast. before
the ereCllon of sleel ribs cO llld hI: commencw.
(b) Mucking can be done simultaneously W Ih the installation of the steel ribs
(or a rches), reducing the time required for carrying out the cycle or operations
even with a relat ively short bridge action period.
 rUlI.-FAC[ TU""i[LLI'IG WIlH SUPPOIlTS 617

no. 6114 Helding ,,"d bench

mel hod \\uh previously placed
walingi and POlIS

~'flc,tl
.,.-
Wit h tlus method , supponing is efree-Ied in the following twO stages. First,
the steel ribs bear on the bench with, or wi thout, t he inserlion of walt plates 10
be su pported in the second stage by poslS benTing on the floo r. Eventually these
posts may be placed in holes prebored ve rticall) from the ben,h and offering sup...
port to ,ontinuous wall gi rders from whld. a ra pid a nd safe erection of the steel
ar,hes may he effected (Fig. 6/ 14). As a resuh. a bigger roof denection a nd higher
rock pressures are in,urred t han those encountered in the one-stage support
methods described pre\lOu~I}.
BOlh bench and heading are shot out at each roun d (d. Fig. 6/ 10), the bench
,harges being fi red first. '1he ht:ading .. hnts IhTON most of the heHding muck OUI
lilt!) lIle bendl muck,plle which is under Ihe pf()tection of the steel support ere<:t-
cd afte r the pr~edm g round. The first tiling after blasting IS 10 pla\.'e the wall
plates and to erect tl'e ribs benrmg on them. Muck which hinders the work can be
swept aside on the top of the spoil from the bench. the removal of ~hich can be
postponed Of acr;omph~hed a t once by the use of loading machines. The depth
of the hench, i.e. the length of the top heading il about 2-5 (7- 17 ft).
In this working process the type of steel su pport 10 be U!ioed 15 limited 10 one
which inc:ludcs a wflll plnle, either thc 'Rib find Wall plate' typer or Ihe ' Rib Wall
pilite and Post" type. This hiler type may be !uppJementcd by 'Iruss panels' or
'crown beams' to su~ltl1n suddenly increased roof loads due to faul ts o r to any
unexpected Clans, in stratification conditions. When excavating tunnels of larger
cross-secl ion, safety can be lllCre'dsed hy dnving separate side d rifts a he.1d from
the faloe for the installation of wall plates and POStS prior to the exea\ation proper
of the headirg. Another modlhcatJOtJ 01 the melhod cons .. ts 111 eX(;aI'(Hmg Ln ly
one part of the upper heading in the fonn of a drift for a preceding installation
or the roof su pport (cf. mining methods).
The crown bars (see hg. flfl3) may be built up of double stecl..channels or may
be pl(un H-beams o r square timbers. They either rest upon the outer fianges of
the ribs or a re attac hed 10 them by hangers. Tt-eir role is actually Si milar to that
of forepoles (d. S«:tion 62.111), thei r double purpose being to afford:
(3) A dIrect ~upport to the roof immcdia lely after \-entilation follo"ing the
bl(l5t, and thereby gaining time for the inslallation of ribs.
(b) Support to the TOOl" o r roof-ribs over the beneh shot thereby rclic\ing or
su pplementing the wall plates.
6" Tl. "NlLU!<oG IN SOLID ROCK5

( In ca!C o f a sudden increase in the rock pressu re emergency crown ba rs for

immediate suppo rt may be required. These may also be successfully com bined
wi th other tu nnelling methods when 3118cking the face.) Crown bars ha ... c to be
su pported in front by ribs resting upon I h~ wall plates, and in the rea r by ribs
supported by fi nally insta lled posts. T he mani pulatio n of crown ba rs, though
useful in some cases, undoubt ed ly requires considerable ext ra work at the most
awkward. place in the lunnel , i.e, in the crown. If immedi a te suppo rt is required
their usc cannot be avo ided. Should , howeve r, even the wall plates be unable to
carry t he tm nsferred load. then another type of auxiliary St rul; lu re has to be used
wh ic h elimi nates the crown bars an d even the wa ll plates themselves. This .struc-
ture is the 'truss panel" (Fig. 6/ 15). lis purpose is 10 form, in combination ,,"i th

the ribs, a t russ to span the ga p produced by the bench shot. It is generally long
eno ugh to overspon lit leaSllwo o r more rib-se ts so enabli ng the work to proceed
more rapidly. T russ panels are attac hed to lac inside face of the ribs by two bolts at
each ri b T hey mny be des igned to carry Ihe roo f over two bench shots, ifrequi red.
The initial cost of a set of truss panels is less tha n tha t of co ntinuous wall plates,
 rUll-F,.CE TUNMLlJNO WIT" SU r l'OllTS 639

the labour cost of moving them is much less tha n that of handling crown bars.
(The workin g principle is similar 10 that of the neddle beam ; see Section 62.41.)
Members of a tem porary lunnel-supporl, wh ic h sp;..n over the spaces betwee n
the main supporting ribs lue denoted by the term ' lagging'. Lagging can be made
either of wood or steel. Wood lagging consists of ha rd-w ood planks, 8- 10 m
(3-4 in) t hic k a nd 15,20,25 em (6, 8, 10 in) .",ide, cui 10 lengths slightly less than
th e r ih spacing. These are ge nerall y placed on the out~i dc flange . hut occasionall y
may be placed against Ihe inside flange of the ribs and may be spaced Of tight.
Steel laggi ng may be composed of rolled cha nnels, pressed steel channels of
vari ous forms, ro lled H-sectio ns place<! on the ribs. or of pressed liner plates
bolted together (Fig. 6/1 6), o r or corr uga ted pudin-plates attm:hed either to th e

FIG. 6/ 16. Various steet lall¥in¥ elements:

(0) liner plate: (b) spile (s heet pi le. alkr P~OCTOIl and W HITE)
 TU""(I.I.lNO IN 5(}UU kOCKS

Purl,,,

FlO. 617. Purlin_plate and sl~1 shccl-pile laiUlinK (PkOCrOtt anu WHirr)

rib-flange or placed on purims (bg. 6/ 17). Frequently, t rough-shaped shed-water

plates are used with or without purlins. These also maintain the dl5lUm:e bel\\ l:en
sets (I-'ig. bfl8).
One undeniable disadvantage Inherent 10 Meel su pporl ~ is Iha l they are less
adaptable to changing rock-pressure condttions than are wooden supports.
Should, nnme!y, t he same (unnt:! .:ro~s-sectjon be maintained. the spacing of
ribs and the length o f the lagging milS! be aitc- re .... , while, w h ~n mninlnlOing the
spacing, t~e stru.:tufal strenglh of the fibs must be altered. Even 50. this method
is the one usually cmplo},ed.

--
R ARn:\\IC7' 7 calls t te attention to the fact that the safe application of sleet

t1.-
-· _ - •,
rl

I
. _-- j
, . \
"

• •
.'
FIG, 6lJS. Ty~s of Tous5lIiOl- Ueon7.n".nn wppOrltng bcnl~ used in Hun,ar),

•.• IV,Il rr"'Irz. L.: Schllden und Fehler 1m TU Melha u. { F. Siemoo!;Cn: ril'fbau -Schaden
und rchlcr. l-rankschc Vcrlagshandlun,. SIUt1yart 1961 211.
 '"
arc hes requires some t heo retical preconditions, which however ve ry frequently
ca nno t be mc t in practice. In connection with a practical example he points
out, that in the strive fo r a rapid p rogress it is unavoidable Lhl l c)(c:lvation ca nnot
be a djusted exact ly 10 t he required theoretical outlines o f t he tu nnel prollle, but
owing to a speeded up blast ing, o\'erbrea ks will be produced, which facilita te
also the rapid placing o f the steel arches. Under such circumstances it wo uld be
indispensable to establish a n unyielding a nd safe contact between the ext rados
of t he a rch-ri bs Ilnd of the excavated rock surface. Ge nerally t his is effected
however not by a resistant and tightly bearing carefully wedged slone back packing
but by pieces of wooden blocks up to thicknesses of 16"- 20· (40- 50 em) e)( posed
to conside rable compression, deformation and to eventual slipping out. These
can no t perfcrm anyway the role of an unyielding a nd safe bearing. In add itio n
the removal of the wooden packing is ra ther troubleso me during the concreting
process and all timber left in the concrete is e)(poscd to progressing d«ay which
will lead in tur n to progressive loosening a nd thus 10 a constant increase of rock
press ures.
A frequent defect is also the unproper and too dista nt spacing of steel arches
which leads in tu rn to an excessive loosening process extending in plastic roc ks
over a very long period. (See also later comparison with roof bo[ting.)
There a re, however, some self-adjustable support systems in use which are
freely ada ptable for carrying increased loads. These are called yielding supports
as o pposed to the rigid ones a lready dealt wi t h, and are divided into the following
t hree basic IYpeS:

(a) Slid ing friction supportS which retain their shape while gening shorter by
sliding, so affo rd ing a high resistance against bending mo ments and a re latively
low o ne a gainst ax ial forces.
(b) A rticulated o r hiaged supports which do not preserve thei r shape under
an increased load, offering, th us, a relatively low resislance against bending
mome nts (torsional effects) and a high one to axial forces.
(c) Combined supports incorporate the characteristic features of both p revious
types. They slide when t he axial load exceeds a certain limit, and deflect whe n
bending momen ts grow beyond a given value. This type of support involves con-
siderable patticipation by the neighbouring rock:.

In European practice - especially in the mining industry - Toussaint- Heinz-

maon rings (briefly T.H. rings) a nd Moll ribs are in general use.
T. H. r ibs are su pports of the sliding fr ict ion type with bell-shaped sections,
alfording, thus, a fai rl y good seating besides high horizontal rigidity. A T. H. rib
consists of th ree parts: a crown segment and two legs attached to the crown
segment by bolted friction clamps. T hei r contact surfaces can slide on each other
unde r a n increased load in proport ion to the change in rock loads, a nd this dis-
placement can be regulated by tigh tening o r loosening the clamp-bolst. T.H. ribs
are, therefore, ty pical yieldi ng supports. T he spacing of ribs varies accord ing to

4\ S,."hy; T he An of Tu"""liioll
642 TUNNEI.LlNG IN 5OLlO ROCKS

rock pressure and can be reduced to 0,35 m, with a consequent omission or any
lagging. T. H. ribs, when yieldi ng to c)(cessive rock pressures, imply a high safety
against fai lure, bei ng especially suitable for tempora ry supports for a considerable
service period. In H unga ry the T. H. ribs shown in Fig. 6/ 18 are used by the mining
ind ustry for the support of transport drifts designed fo r long service and exposed
to roc k pressures acti ng from all directions. As an open profile is not capable
of resisti ng bonom upheaval, full rings composed of four segments are used in
such ca!;eS. The exact excavation of the tunnel section, the installation o f the sup-
porting fings o r ribs, and the placing of the Jagging require skilled and careful
work, and the recuperation of the rings must be effected before excessive rock
pressures are developed, in o rder to anticipate their irreparable plastic defor·
malion.
T he articulated support type is represented by the Moll ribs used chieny in
solid rocks. In plastic rock deformation resulting in twisting or buckling of the
support elements is a lmost unavoidable. Moll ribs used in the H ungarian mining
industry a re shown in Fig. 6/ 19. T hese ribs are composed of old rails or tubes
with concave bearing-shoes welded to their ends. Articulation of the structure is
obtained by timber logs placed at the crown and at both spring lines between
the shoes of the respective segments and running parallel to the centre line of
the tunnel.
T his support system is used again in transport drifts of a more perntanent
character, where roof pressures are prevalent, and side and bottom pressures
are of secondary importance. Moll ribs must be thoroughly braced and provided
with a tight lagging. The tunnel section must be excavated accurately also in this
case and eventual overbreaks tightly back.packed. Three piece Moll ribs, A-shaped
and closed at the bottom (Fig. 6/ 19) on the left side are used in swelling ground
(cf. adits).
Combined types of yielding supports afford both possibilities of deformation.
The re is however some difficulty in providing fo r a hi nge-like action, as it is ha rd
to makc it sufficiently resistant to increased loads. A combined type of support
is e);emplified in the Lorenz frame.

limber loll

, -,

FlO. 6/ 19. Motr, benls used in Hungary

 FULL-F,\.CE TUNN~ L LlSG WITH SUPI'OII.TS 643

Flo. 6/20. Structural sled ribs to be UM'd as rigid reinforcement

A detailed specific discussion of the temporary support types to be converted

to rigid steel reinforcing elements of the permanent tunnel lining, may well be
omitted here as any of the previously introduced yielding steel-support syslems
would be sui table to act against smaller initial loads and to hecome later - with
this economical prestress - incorporated as reinfo rcement into the permanent
concrete lining and to resist the increased loads developed in the meantime
(Fig. 6/20). It is but natural thai, in order to promote a better co-operation with
the concrete, the use of sharp-edged profiles should be avoided where possible or,
at leasl, their splitting effect should be r~duced by using an ample quantity of
wrapping lateral stirrups which, simultaneously, form part of the structu ral
distributive reinforcement.

6 1.312. Wool/ell $lIpports (timberillg). The supporting methods described above

can also be effected by the use of timber su pports. The easy workability of timber,
its adaptabi lity to the variation of rock pressures, its relatively small weight,
its warning squeaks when overloaded, and its apparent deformation when punched
are all in favour of the use of timber. Its main disadvantages are the ever increasi ng
difficulty of satisfying timber demands, its lower structural strength, the bigger
dimensions requi red, its liability 10 decay and the very limited possibi lities for

".
6" T UNNELLl1'oG I N SOLID ROC"!

i% FlO. 6/21. Comparison of sleel

and ,irnbc~ supJ>Orts (aner
PROCTOR and Wl< ""~)

ON!;fI
fme

Ste/'; SliPPO;; Timber support

its re-usage. In conclusion, lately there has been an increasing Irend from wood
towards steel. T his is due, however, mainly to economic reasons.
The use of steel reduces vcry considerably the number of skilled workmen
required to erecl the support and it increases the speed of t unnel driving as it cuts
hours off I h~ excavation cycle. (Steel supports Cl\ll be erected in minutes instead
of hours: they require a smaller excavation area so reducing d rilling, mucking, back-
packing lime and labour considerably. (l' he difference is clearly shown in Fig.
6/21 , e.g. 200 mm steel gi rders can be used instead oftimbcr logs of 30-40 em dia .)
In addilicn, steel encased in concrete may constitute a permanent lining and
need not be removed after the sctting of the concrete.
T his has again an influence upon the dimensions as is made clear in the same
fi gure. Steel supports can be placed wi t hin the l:Om:rete section, while timber
must be left outside the concrete lining. Finally, there is usually some walcr per-
(olating into the tunnel, whi(h coupled with the moisture content of the venti·
la ting air and with evaporation, makcs lim ber always moist, if not wet. T his pro-
motes decay and aife(ts t he permissible fibre stress a nd deformation of the timber.
Otherwise, thc systems for timber suppo rt for the whole tunnel section are
similar to those fo r steel supports, with the sale exception that its alignment al
the roof (an not be ar(hed but must be polygonal.
Lagging consists, of course, also of timber poling boards. Whenever the eX([l-
,'alion and the support a re not done at once for the full tunnel section as a whole,
timber sUppOrL fi nds a wider usc, as will be seen in the discussinn on classic
(m ining) tu nnelling methods (see Section 62.111 ).
 FliLL·FACE TUNNELLING WITH SUPPORTS
""
61.3 13. Support wilh rl'inf(}rced~c(}ncre/e <\Iruclure~'. The ever-spreading use or
precast and more especially of prcstrcssed reinfo rccd-concretc structures has
brought reinforced-concrete elements into use recently as temporary supports in
t unnels driven by the full-face method . Though this is chiefly due to the need
to econom ize in steel and timber, reinforced-concrete elements may claim the
i:rea t advantage that they can also be incorporated into and constitute an integral
part of the permanenllining. Their great disadvantage, on the other hand, is their
heavy weIght and, in conjunction therewith, the difficulty of their handling and
install menl. In small section tu nnels their load-bearing capacity cannot be fully
utilized, and in large tu nnels the weight of reinforced-concrete ribs increases to
s lich an utent that their ereclion necessitates the use of mecha nical hoisting
crancs. An attempt has been made in some cases to a pply precast reinforced-
concrete roof pieces~ Sa for the internal support of larger undergrou nd halls. T hese
struc tures, however, have not found widc application in practice, chicfly bccause
thei r weigh t and their laborious a nd difficult insta llation did not allow them to
compt!te with si mple-brick maso nry o r wit h in-situ cast concrete vaults.

61.314. Rock balling. The field of application of the fu ll-face tunne lling method
has recently been extended by the development of the roof-holting or roc k-holting
met hod. Enrly application of rock holting was startcd from thc consideration that
a support must be given to t he tunnel roof \\hich does 110t interfere however with
t he clearance of the tu nnel section.
The ma in points of this method were according to RABCEWtCZ Ub (Fig. 6/22),
as foll ows:
When advancing the tunnel face by a length II (t he pull attaincd in a si ngle
round) the half dome-like double arc hing effect (described in Section 35·1) will
be produced as a consequence of the loosening and expansion of the overlying
strata (cf. Figs 3/62 to 3/64). T he time for which this pressu re arch will give

ditions, the span 'I

a reliable support, i.e. the bridge action period, depends upon the geologica l con-
and the diameter of the tunnel. It will last fo r some hours,
however, even in weathered or strongly jointed rocks fo r spans used in practice.
If, however, no support shou ld be installed wit hin t his period the rock in the roof
would begin to spall off, involving a gradual rise of the pressure a rc h in a tendency
to obta in self-su pport by decreasing the spans in conformity with the bearing
capacity of t he rock. Th us, the original purpo5e of roof bolting was to set anchoring
bolts of lengt hs exceeding t he t hickness of this fractured 7.one, mdially into the
stIli undistu rbed rock laye rs within the bridge actio n period, to establish b)' this
a resista nt rock va ult of suitable t hickness able to counteract rock pressures, and
to a nticipate thereby the successive ravelling of the overl ying rock masses.
Expe rience shows tha t this natural roof arch, liable to progressive ravelling,

.... cr. JANOSl. J.: EJoreKydnoll vb. ctemek: haSlndla(a f~tdala\\i csarnok:ok flld.!mszerk:e-
zel~nct (Tile adoplion of prefabricat ed n:inforqd-concn:le cleme nts for roof Slructun: ()f
underground hall s), t p . ti~ Kii::l. Tud. K6zl, II J 55 .
..,.. RABCEW'CZ. 1.. : Rolled Supports for Tunnels, War~r POIur 1954 130 and t955 4~2.
'" ,r t,
. ~

Fl<.i. 6122. (Q) PrincipiI: of roof bolt n8 after RA IK:[WICZ;

(b) Jpacing of roof boll} to form a Ha t arch

has a pa rabo lic shape a nd its thickness does not exceed 11/2. Therefo re, Ihe length
of t he roof bolts ca nnot be less than II or below the double thi(:kness of the assumed
det eriorated zone. For safety measuTCS, howc,<cr, the length of rock holt s I must
be bigger tha n 'I' f> b/ 3, or I > bj 4. as it is reasona ble 10 bring the bolt length
in line with t he width of the cavity. This protecti ve rock vault so established will
be elT«:tive o nly for the time before it disi ntegra tes. With d uc regard to this, the
bolts must be insta lled a nd fixed withm the bridge aClioll penod and the barc
interfaces between rock bolts should be lined with a wire mes h and spra)cd I'ollh
gunilc.
The use of rock oohs 10 stabil ize the surface of excavations in st ratified, hori-
.wlltally bedded rock, has been also likened to the bolting of a sim ple, laminated
beam (eL F g. 6/ 23A).
The view that rock bolts only "pin" or "nail" blocks or slabs of rock which an:
loose to the so u nder rock behind them is howel'er erroneous. Rock bolts are useful
for this purpose too a nd have been so used for a long time. The term rock bolting,
 TUI.L- F"CE TUNl<ELLING WITH SUPl"OlIlS 647

at present, mealls the designed lise of rock bolts ro

reinforce and deve/op file rock arOlmd arl excavation
,
into a stfllClllral emity.
A rock bolt in Ihe present sense of Ihe word is a
sleel bar which is inserted in a hole dri11erl in the rock. "
The end away from the rock face has a device which
permit~ it to he firmly an.:;horcJ in the hol<: and lhe
"
projecting end is fitled with a plale which bears aga·
inst the rock surface. T he bolt is placed in tension
between the anchor and Ihe plate, thereby eXCfting a
compressive fo rce on the rock. T he essential feature
of a rock bolt is that it is plaL"t..-d in tensiOfl. T his , ! ,
distinguisheo it from ancho r bars which are grouted FIG. 6/2JA. Effect of rock-
inlo holes in rock, but which are not prestressed. boltinl> on str,,~s conditions
Rock bolts behavc quitc differently to steel ribs. at the spring-line (nftcr
RtCHTEII)
T hey can be installed at the working face directly
after blasting and within a short space of lime can exert
a stabilizing pressure on 1he loosened rock surface. This early installation not only
partially reston:s loosened blocks of rock to their original unloose ned positions,
but also it prevent~ the gradual relaxation or looscning of the "d~compreysion"
zone behind the new rock face.
In contrast, steel ribs generally use timber blocks, wedgcs, and lagging between
t he ribs and the irregular rock surface. The limber is relatively compressible,
and loosened blocks of rock must move outwards an appreciable distance before
any load builds up on the steel ribs. Also the ribs may settle as the foot blocks
and founda tion bt!corne compressed. Hence, it may take several days or weeks
before thc rock has movcd sufficiently to ma:Ce the steel ribs carry an effective
load (see Fi~. 6/ 21).
Once, hoo,.;ever, Ihe rock has been alloll'ed 10 more even 10 a small extellt, il is
110 kmger capable of comr/bulillg to ils 011"11 support. I n many cases, therefore, steel
sets must be strong enough w take the whole of the weight of whatever portion of
the rock ha$ moved.
Properly lIlst311ed rock bolts exerl a definite force on the rock to keep it in its
original position . In ollrer words, steel sets Slipport tile rock after it has mOiled;
rock boilS rtsfrai" the rock from beginning to f'10('('.
Rock bolts used for t he support of underground openings will have the follow-
ing effCt;ts;

1. A zone of radial comprcssion in the rock is created around t he opening by

the tension in the bolt.
2. The anchorage of the bolts causes a tangential compressive stress which
acts at right angles to the direction of the rock bolts and is produced by
the interaction of the tensile load on (he bolt. and the wedging action of lhe
ancho rage.
'"
3. A compressive circumferential stress is created around the opening. T his
results from the tension in the rock bolts, which makes the compressed
material tend 10 expand latera lly. As this tendency is rest ra ined, a compres-
sion is induced at right angles to the direction of the rock bolls.
4. The deformation of the surface of the eu:a vatio n is restrai ned, i.e. the rock
is preventoo from moving towards the ~avity. particularly if the bolts are
placed vcry $hortly after cffe<.:tcd c.'lC3valion (blasting). In ot her words, the
mutual interaction of a pattcm of rock bolts prevents the dilation of the
surface of the excavation into the cavit)', which otherwise would take place
as a result of the relaxatio n of the original stress and strain around the
opemng.

These effects imply tha t, either at or immediately behind the free surface, the
bolts form a diaphragm of material whirh ctll/ be used as a strllct/lra/ member.
The thick ness of Ihis diaphragm is somewhat less than the length of the rock bolt,
and it has properties which can be ascerta ined and lhe behaviour of which can be
assessed and designed for. It is obvious that, if rock bolts a rc to be designed to
carry out t he tasks enunciated above, lhen it is necessary to know their behaviour
in relation to both intact a nd jointed rock. This requires knowledge not only of
the behaviour of roc k bolts but also of t he behaviour of rock in situ either with
or without rock holts.

oj Stress conditions alld working effects of rock bolts

RJCllTERI.~has investigaled the effect of rud bulting upon the stress conditions
a round a Circula r cavity. The purposc of any supporting element insta llcd in the
cavity is to reduce the stress concentrations below the bearing strength of the
surrounding natural rock itself. T he points exposed
to the greatest .tresses a long the circumference of
t he cavily are those at the crown a nd al the
spring· line. Afte r completed excallation strcsS
conditions around the cavity will be changed be·
cause o f the established disconti nuity in the stress
,. flow . The undisturhed geoMatical stress cond itioll
may be represe nted by constant values of tJ" 11"
along the horizontal section at the spri ng·line (Fig.
6/23 A) and slight increasing vulues a long the ve rt i-
cal seclior. at the crown (Fig. 6/23B).
Beca use of tile established discontinuity the 0,
value will be cs.cnlially increased at the springing
(theoretically by 100%) and essentially decreased
Fro. 6/23H. Effect or rock_bolo
linj: on slTe~ conditions abo.'': at t he crown (to 11;). On the other hand, the 11:.
crown (afler RI CHT~Jt) value will be reduced to zero at the springing,
0.0 RICHTU, R.: G r undlegendo: Hclracbtungen zum Ankcrausbau. Berg/)u""'·;sJenlt'hu/ten
t%4 17{t8.
 fULL-FACE TUNNELLING WITII 5UPI'QRTS 64'
whereas will be turned to considerable tensio n (i.e. to o pposite sign) at the crown.
The safety and stability of the whole cavity may be increased, when the distribution
of the stresses is changed in a sense t hat peal;: values of the redistributed st res~,
i.e. IJ; a t the springing and IJ~ at the crown !hould not surpass the bearing resist-
ance of nltural rock. In t his respect even the transfer of the stress peak from tl;e
circumference of the cavity towards the undist urbed interior of the rock mass
olT"t:rs a Jcfinitc advantagc. The compoSile three-dimensional rock: strength
prevailing here is superior to the unconfined strength available at the periphery.
RICHTI:R claims wi th right that a considerable advantage of any support (including
that offered by rock bolts) is constituted juse by t his effect brought about in the
stress mmlitio ns of t he surroundi ng rock. This effect is manifested by the IJ,G
rcsp. t1~() lines in Figs 6/23A and B indicating that t he action of the support has
not only reduced but also shifted the peak v31ues towards the inlt:rior of the rock
mass. In additio n a more uniform distributio n of the superimposed stresses is
also obtai ned.
It is clear thai the instlillatio n of an effective support must precede the time-
dependent decompression process, which will start the decomposing action just
althe pea k stress values. Th3t makes it also clear why a great merit must beanrib-
uted to the quick installation possibility of rock bolting.
T he anticipation of the dc~·clopmcm of unduly high rock I'ressules as a n:~ull
of the looseni ng (decompression) process is the more important and easier, than
the supporting stresses to be a pplied on the freshly el\cavated rock surface need
only be a frdction of natu ra l stresses o riginally in the rock. In other words a small
load in time on a freshly excavated surface will prevent a large strain from develop-
ing, thus preventing cracks and a rresting rock movement. This might be el\plai ned
by the characteristic curve showing the development of strain under a suddenly
applied load and the rela}l:ation of this strain when Ihe load is suddenly removed.
Figure 6j23C shows the time dependent deforma tion process of any typical
rock under loadi ng and under subsequent load relief. It may be seen that a time
by instal lation or roc k bolts (at A) ma kes possibile the pre\'ention of the relaxation
of a large proportion of the strain brought about in the rock by the natural

FlO. 6j23C. Time efi"CX'\s on strain_relaxalion

650 l'UI' 'itLLlSG IN SOLID !<OCKS

-)
')
,
"
'~~.~- " /~/
, " '
- p
~,
" • -
E8~'"

He. 6/2)D. Eff~1 of bolting on a stratified layer (RICHTER)

stress condition and thus will prevent loosening and decompression (ffacturiza-
tion).
Wilh regard to the foregoing, lite reinforcing effect of bolts consim of a (rierion
effect and a slIspension effect in combina tion.
Friction effcN refers 10 reduct ion of bending ill a stratified roof due to the clamp-
ing actio n of te nsioned bolts which compress the strata, thereby creating frictional
resistance to displacement along planes of slnl\i fic~ltion (Fig. 6/23D, just like HT
bolts in steel structures).
SusPCI/SiQII effect refers to the transfe r of part of the weight of the weaker or
thinner strata to one or morc thick strata, which occurs whe n SlTIlta with differing
tendencies to defl«t are constrained to have equal deflec tion. Suspension elTect
will he revea le<l only when subsequent strata do I/or have equal flexural rigidiry.ft, lJj
If all the bolted roof strata have the same thickness and the same elastic (Young's)
modulus the bolts can provide a reinforcing eflect only to the extent that theyafe
tensioned so as to exert the d amping action ncedcd to c,rcatc frictio nal resistance
to sliding along the planes of strati fication; bolt tension is required irrespective
of t he bolt materia l or the method of bolt anchorage.
[t must I:e considered that load ing and unloading causes " wo rking" of the
fractured ro;k with red uction in tension in the bolts thu~ demonstrating the need
for retightening bolts aflcr vibration, blasti ng or other wor king cffccts.

b) Diment;onillg and spacing of rock boils

Experiene~ has shown thai a [oad.bearing Inch produced by roof bolts a nd
coated with a gunite renderi ng would suffer only a shear failure and not a bending
failu re. (According to photoelastic experiments the spaci ng of rock bolts s cannot
exceed t he half of bolt length. Otherwise detrimcntallocallcnsion may dcvelop at
the free rock surface between the individual bolts.) Based on t hi s experience
T "LUURI:"l[ hilS suggested a simple dimensioning method milking the following
observa tions:

I I I PANU;, A. L.: Design For bol ti ng stratified roof. TrailS. Soc. Millillg Ellg. 1964 J une.
,." T"Lonlt.E, J . : La mecall;que du rocheJ. Dunod. Paris 1957254.
 '"
I. T he extent a nd d imensions o f roof bolting depend upon the n:llure of the
rock. Roof bolts in less fi rm rocks a re to be spaced more closely and
must abo be lo nger. Plastic ground is completely unsuitnble for roof bolting.
2. T he thic kness of the toad -bearing rock arch to be formed must be able to
resist a rid carry the expected loads.
3. The le ngth of the rock bolts should be at least eq ual to the thick ness of t he
rock a rch plus the mea n distance between adjul.-.::nt bolts ( Fig. 6/24).
4. The spacing of roc k bolts should be as udform as possible.

T he d imensioni ng of roof boi lS and their spacing must conform 10 Ihal of the
rock arch. i.e. the thick ness of the a rch requi red [0 carry the expected louds must
be calculated fi rst.
Let us, for example, assume that a cavil}, of 2-S m (8 fl 4 in) inner radius is
loaded by 3 lon/mt. A rock arch of I m thick:ne,.s is to be fo rmed around the
excavation by using roof bolls 2·5 m in length, thus establishi ng a ring-shaped
roc k un.:h o r an e"ternal radius of:

I ,·lO
R. _ r + _ 2-50 + .... 3·75 m.
2 2

The no rmal fon.:e ac tmg o n this ri ng .....iII be:

N _ pR _ 3'O t/m~x3' 75m _ ]]·25t.

Assuming now (after Section 32.23) Ihal Ihc: minimum radial stress re1ali~'e to
the normal fO Tt."e 0 1 ]]·25 tons will be 2 tlm2, a force of ]. 5! x 2 "" 4·5 tons will
fall on each rock bolt if spaced at ]-5 III for structural reasons. Conscquemly.
t he bolts a re to he prc:st ressed, for safety reasom, hy II forte of 2 x 4-5 "" 9-0 tons.

,c''':~
...~
~I
-.-
,,
~
-- --. ,
. __. -
\
,
FlO. 6124. Nat ural rock nrch pro-
duced by roof boilS
6S2 TUl'''~U. ING IN SOLID KI)CU

The dimensioning of a bearing ring under the assum ption of a constant normal
force corresponds to a hydrostatic stress condition around the tu nnel (cf. 3.12:
themy of HUM). The probability of such a ~lress condition wou ld hold for deep
tunnels. The assumption allows a quick and simple determina tion of t he average
stresses. Other a pproxi mative methods for roof boll dimensioning were worked
OUi by STRAKA"I:. He discriminates between several possibilities.
T he fint po.nibility is that horIzon ta l suata of insufficient beari ng capacity
having a tota lthic kneS$ o f Ell must be arn:hored into an upper lying bearing Slla·
IUm (Suspension caSt Fig. 6/25A).
The total force to be carried by the roof·bolts in tension:
p .. rh/·1,·b
and the num ber o f bolts
p. k
F· O"t

wi th ,." the :Irea of one bolt, 0", the admissible tensile stress of bolt and k fHetor
of safet}' (ranging from 2· 2 to 2·5 depending m!linlyoo the quality of workmanShip).
In case o f a unirorm quadral ic spacing of bolts, the distance /1) between bolts may
be gained as

/ , fiff
I) - •
,· F
!"h, . 1,
•

The second possibility is tha t fro m the inclined roek strata a bearing arth is
established by roof.bolting. the bolts a re not prestressed and thus they are exposed
10 simple tension or shear.
The elementary fOrl"C to be resisted by Ihe Oolls at a given poiot R (FIg. 6/258)
Pi. .. 5 1 - N I ' ta n";
H
SI = K . cos fJ = --:.'-,- . cos fJ
ces .p
with cos fJ - -cos (:I: + I/t)
H
N, = -,-::""c . si n fI
cos ."
with sin fJ _ sin (:I: + I/t),
thus
/I
P~ = . (cos fJ - sin B . ta n ,p) =
cos 1/1
/I
~ - -::COT ' [cos (III + r/J) + Sin (:r. + ti) . tan 4>j
cos 1/1
.... sno. ........ , J.: !Support of uncteriround excBVlllon. by roof·boll ing ( K olv<ni Sl ropu
podze mnkh vyrubu). 1":M)"r3k,, $Iarby f>raha l!H>l, 6.
FLO, 6/25A. Suspension of hori -
l.onlal wea~ layers (51'''''''')

ffill J II'1 ,
- " -
'= - " ikf/JM'
/lj'tri cf
--
'-<\.=-1-
4l<-
- -
-

I
-
I
I I-
~ I -
-- I
-

n o. 6/258 . CoJmpulalion of bol t

rca~tions wit h indincd
st rll.!ifical Lon (S1'AK")

• •

FIG. 6/2SC Tria nale or force

\'«"lOU III calC of p~len!iloninl
'" TU!-. ...":£LLlI-O I N SOl.IO ~OCkS

,
p~- r 1/
COS 1/1
. [COS(CM +~) + sin(:z + ~)·tanq,Jd~

"
and th us the resultant force for the half span
., P~ - - H . [cou· (arc 1/1 - tan q, . In coscos 1/1) +
+ si n 01 • (III cos 1/1 - Lan tP • ,He 4/1)].
Assuming that the bolts are placed lit 4 5 ~ to the inclination of st ra ta we gct thai
the lOla I amou nt of mof holts for one ti nea metre length of tunnel

n
, ~ --
I P'I(
"
r1,.F . .j2
and the check for sheM
S;
,~ n• . F"

The third pouibiliry is when the roof bohs are pre/Cl1siOll"d 111 o rder to he ex posed
to te nsile stresses only. It may be wri tten (Fig. 6/25C)
(5. - SJ - (N. + NI ) ' Ian IjJ "" O.
Substituting for 51 lind N . the previous valucs a nd for

S! _ Nt _ QK_
.fi
with Q.o:- Ihe elementa ry pretcnsioning fo rce we obtai n
/J II .
. cos (IX + 1/1) - • Sill «(I ~ 1/1) • tan tP -
cos ~ coq"

- Qx _ Q!. . Ian tP = 0

and thus we gct fo r Q~.

.fi .J'
/J
•1• • [cos (x + 1jI) .. Sin (a ..... 1/1) . tan rJI ] .
"" , 1 + ta n f
und the total pr~stressing force for the half span of the cavity

, ,• ,, .-/2
L~ QK- - J 1 +tanf .[eosa. (are 1/1 + tanrJI· Incosy,) +
•
+ sin a . (In cos 1/1 - lire 1/1 • tan tP) ] dtJ!
 rULL- rACt. T U,,'i( LLING WIT~ SUPPORTS

,
.
,

Fla . 6/26. o.,l..,~mi nal io n of bult_forces (ane, R.o.8ClWICZ)

and the number of roof bolts exposed to tension only

,
I Q,
n- "" -';
"-"
(I, • F

It is usual to get t he a pproximntll'e value of the horizontal arch thrust :IS

y.h.t l
If - 8/
with b the span and f the rise of the supposed arch.
Ano the r method was suggested by RABCEWl CZ" 13 taking the indination of the
strata a lso into account . He shared nl so the principle that no considerable bending
mo ments can develop. when a practically immed iate support or the e.,cavated face
is provided for. Assumi ng thallhe roof bolts will be placed at 45 0 to the dip or Ihe
st rata. foll owing rela tions may be written 8ocording to Fig. 6/26 and with the
fol lowing a nnotations :
T "" shear stress along the joints between strata, cpo = angle of inner friction. 'I
depth o f beanng rock-arch. P "" resu lta nt of forces acting on roof bolts alo ng
t he joint c01sidercd.1I: _ indina tion ofjomt [ 0 the horizontal. 1/1 "" angle between
jom l and inlier stress.

;2~­
H
. sin (::t + 1jI ) . (;(Jlan (II: + 1jI) -
cos t/I
/I P
si n (:% + 1/1), ta n q, + J2' tan q"
cos 1/1
whCflt'e the rupture load to be carried by the roof bolt:

P _ If .
cos
~ ( IJ2
+ ra n
q,)' [cos (II: + 1/1) - sin (IX + 1/1) • tan q,]

. ... RUCI:WICZ. L: O,e A nker un s im Tunndhau ersel~t bishe, II"brJluch liche Tunnclba u·
melhoden. Hrrfl u. Hullnlm,lnnisclr~ M"''''I.h~/le 1961 5-6.
'" TUt><."ELUNO IN SOLID ROCKS

or simply when friction effects a re totally neglected

p .., fI . ../2-,
when H may be calculated again as the ho rizontal arch-thrust:
y-h-b!
H =
Sf
with IInnOilltions of STRAKA.
A more exact information about Ihe stress conditions around an exca vated
holt: ~ta bilized by a system of rock-bol ts may be gai ned by the application of the
finite demml method. An example for this is described by RESCHERft-ll
As described in point 31.1 131h15 method i~ based on the successive calculation
of the displacements of fictive nodes, representi ng the corner points of a netwo rk
triangles plotted at will in the half space surrounding t he cavi ty. With the assump-
lion tha t the sides of these imaginary triangle! remain straight lines also after de-
fo rmation, we have assumed a lso that the s~ific strains e .., Sy and "I ..y remain
a lso conSI~nl in the interior of each clemen!. Thus to obtain the stresses it is suffi-
cient 10 calculate the displacements of the node-points only due to the action of
some extemalloading. In t he given !':u~e it is tile overburden weight which is acting
in tht'! hllif splice and which must be limited with known boundary cond itions.
T he displacements, i.e. the propagation of elastic strains can be calculated accord-
ing 10 u !':orresponding program very rapidly with the help of mat rix calculation
on electrOrl ic computers. T he netwo rk of triangles plotted around the given
specially sllaped slI bterranean !':avern Veytal/x with the distributio n pattern of
roof bolts and the applied prestressing forces are shown in Fig. 6/27A. T he result-
ing displacemen ts arou nd the cavity re.~p. along the periphery of the artificial
beari ng ring established by the roof bolts, are represen ted in Fig. 6/27B. (It must
be noted that they agreed ve ry well wit h the measured values.) Maximum tangential
stress values were obtai ned al Ihe spring line whereas mi nimum values appeared
at the crown. Radial stresses were everywhere milch smaller but owing to Ihe
action of roof bolts small initial pe~ks have appeared also at the inner periphery,
Ihus proving that roof bolts bring about a change also in stress conditions
prevailing in the surroundings (Fig_ ft/ 27 r " net ,,[. F i~~ ft/ '-l A ",n,! A). II is also
to be seen Ihal negligible dist urbance of original stress conditions may be con-
sidered beyond the anchored zone.
Some completing o bservations o n pholoelastic models have shown Ihal the
increase of external loads did not infer any considerable increase in the lension
stresses of crown anchors, but it had a great elre!:t on the anchor.s at the spring
line lone.
The spadng o f the individual roof bolts must be determined accordi ng to their
bearing strengt h (diameter and length). If, e.g. a load of 12 tons (equal to the weight

'_tI R<.SCJ;UI, o. J . : Amenaaemenl Honarin- loo!m an (Sou[~nemenl par tiranlS en rocher

et beton projw~). Bu/l. T~("Ir. SuisS<' Romande 1968 HI.
 '"

/'
,,----~
Fit;;. 6/27 .... Basic 1rianlular nCI",or k ron he finite clement ~thod

o f a rock volu me of 4· 5 m3 , having u density of 2·65 ton/m~) is to be transferred

safely to 1I 25 mm din boll 2·50 m in length, each bolt will be capable of a nchoring
12
a Toofarea of 2.5 . 2.b5 "" ],8 m2, [n incli ned or ve n ical stratificati ons, o r under
other pa n ic ula r geological conditions, the t hick ness and dip of the layers and

1'10. 6/2711. Calculal ctl stress panerns nraund

the ancho red c.vily
"" TUNNELLl"G I" SOLll) ~ OCKli

"
Flo. 6,1 Z7C. Computed distribution of tangential, radial aO(I sheari ng stresses
Bround the cavity (a fter R~SCHlK)

tht: nature (If the rock must be also considered (as in the dimensioning methods
of RABCEW1CZ and SUA "A).
Previous photoelastic laboratory tesls&·I. have indicated that al the free surface
between rock bolls local tension will develop leadi ng \0 popping provided the
ratio of bolt length (I) to spacing (s), i.e. lis is not less than 2. When this condition
is satisfied however the holls develop a lOne of uniform compression between
the ends of the bolts thus establishing the requited load-carrying aTch-resistant
enough agamst the action ot external rock pressure (see above).
It was already emphasized, that a uniform spacing-pattern will warrant the
real effectiyity of roof bolting.

c) Rearil'g ~trellgth and type.I' vf ruuf bull.l'

The so-called "strength·· o f a rock boll is determi ned by its ~lnchorage and
a bolt is considered 10 have failed if it is impossible to hold the required tension
in the bolt owing to continuing slip of the an~horage, In pract ice, tension in the

.... L''''G, T. A.: Theory and practice of rock-~oltin~. Am. Soc. Mi"inll E!IJI. Preprilll
6I A U-J5.
 FLLL-FACE TUNNELLING WITH SUFPORTS

bolt would rlOrmally not be greater tha n the yield point of the ~Ieel and, therefore,
the breaking of the steel shank docs not arise. The load in t he bolt at wich t he
anchorage sli ps, depends on the driving technique and the relative: magnitudes
of hole diame ler, boli diameler, and anchornge assembly.
The rela tive dimensions of the anchorage and t he installation technique a rc
satisfactory, and Ihe bolt can be cunsidered com petent, if the tension in the bolt
can be raisooto t he yielrl roint of t he ';!eel or Nhe r reqllire rl " proof" load wil hollt
significa nt ancho rage slip.
Recent tests wi th roof boltss. 16 ha ve shown that their position an d, thus, the
measure o f their prestress cannot be rega rded as constant in time, as Ihe bolts
te nd to slice grnd uall y ou twards. Th is process is rather fast at lirst, a nd slows
dow n gradLally, In the fi rst "sudden" phase of this slip, a "play" due to the actual
incorren selling of the bolt ma y ha ve a conside rable pa rt as well as the elongalion
of the bo ll under st ress, while t he following flatteni ng phase characterizes th e
typical residua l defo r mation of th e rock itself. This phenomenon clearl y demo n·
SlTaleS that the permissible stresses used lor ca lculmion in t he determina tion of
the area and spacing of bolts, must be ta ken at a l11ul;h lower value than the ten-
sile st rengt h u f the hol t mate rial. Conside ring tha t the tests have a lso indicated
that the displacement. i.e. the extent of stre~s rel icf of the bo lts, also depends
upon the quali ly of roc k, being th e greater t he softer the rock. consequently,
t he permissible stress will finally depend on the q ua lity of the rock. Fig. 6/28
shows the recommendat io ns of R.... BCEW ICZ ~ based upon his test results - relat-
ing to 22 mm di a hig h-tensile steel bolts a nchored by expansion shells (torque-set

Fto. 6128. Ad m issab le load ~

on bolls ~, ~ fU ll~tion uf rod
quplily (after R A8C[ WICZ)

HARR Y, A . J. alld M CCORMICK, J . A .: Ev:olulting anch oring te.ting

• . j, n~lh ods for ex-
pansion·type mine roof holts. BIIT. Mines Rep. In.·t£!. No. 5649.
660 TUN'-';[U .IMl IN JOI..ILl IlOCKS

type). As can be seen, Siresse$ approximating

t he tensile strength of t he steel can be a ttai ned
only in very hard and resis tant roc ks. In addi-
t ion, it hus also been demonstra ted that roof
bolti ng in rocks inferior in strength to shales
withou t sand wilt be ineffective. In acco rda nee
with this, recen t regulations and codes as 10
the dimensio ning of roof bolting are already
based on pulli ng tests a nd o n theelas ticity a nd
strengt h characteristics o f the basic rocks.'·1l
The lower t he bearing capacity of t he rock
the grea tcr im porlance shou ld be a ttributed to
rock bolti ng and the mo rc d ifficu lt is its appli-
cation. In such rocks, the use o f smaller diam-
eter and rnore closely spaced roof bolts is
ad visable to increase the specific ad hesio n force
and to reduce t he possibility of the spalling
out of the interrni tten rock su rfaces.
T wo types of roof bol ts ancho rage a re used
in practice, viz. the slot a nd wedge (dri ve set)
type and t he "expand ing nuf' (torque-set) type
(Fig. 6/ 29).
The slol and wedge bolt is the comrnon
End fiuinas of roof example of the drive-set type. In this, the an-
boll! chorage is obtai ned by inserting the wedge into a
slot on t he end of the boh and e.~panding the
a nchorage by drivi ng the wed ge against the end of the d rill ho le. It has the
disad vantages t ha t the hole has to be d ri lled to a defini ted de pth and thai in the
softer rocks there is a tende ncy for t he wedge to punch into the rock a nd not
expand the bolt and set the ancho ra ge.
Tests have proved that in ha rd rock, bolts with a slo t and wedge anchorage
can be installed satisfacto rily and, if so desi red, can be given an initial " proof"
load to ensure a rna rgin over the worki ng load.
In expa nsion-s hell ( Iorque-set type) ofanchoragc the wedge o r cone which ex-
pa nds the anchorage is attac hed to the end of the bolt by a screw thread. The
anc horage is expa nded by a pplyi ng a torque to the bolt. T his may be done as a
"pre-set" operation before the bolt is tensioned o r by expanding t he a ncho rage
and setting the bolt at the same time.
Expansion I)"JH! ol/chorages a re quite satisfactory and have the advantage that
t he length o f drill hole is not critical. Ho ....e\·er, the expansion shell requires a
large r d rill hole than the slot a nd wedge for the same bolt d iarneter. T his has led
•. 11 H UGON, A.: l e oo li ionnaae des roches en soutcrra in, Le Moltdr SOlll",oin. t960
A pril. 4 1. H UGON, A . and COSTES, A .• Edit ion EYTolle$, Pari~ t 9!9.
SC/IU Il/llANN: IUrhlfinlrn liir d(n AnkaQIls/xlII. GIOck a uF 1960 3.
 '"
fUll·rA CE TU"<S[lUl'oG WITH surPOaTli

(0 smaller diameter bolts being used with a higher strength steel. These smaller
diameters render the bolt very vulnerable to torsional stresses. Thusa3/4' diam-
eter bolt can take 0·56 of the tension load of a I" diameter bolt but only 0·42
of the torsional load. When torsion and tension are both present, e.g. when
anchorage setti ng and tensioning are done simultaneously, the n particular care
is necessary to avoid o\"erstressing the bolt. Th is is the case when using the integral
head type of bolt.
Friction between the head, the washers. and the bearing plate. and also in the
anchorage assembly can make the stress condition in the bolt SliIJ more indeter-
minate.
In practice it rarely OC(:UTS that the bearing surface of the rock at a bolt is per-
pendicular to the axis of the bolt and is flal. Consequently, steel bearing plates
are used to bridge the irregularities in the rock face and taper o r flange washers
to ensure that the nul has an even bearing. In addition, a machine washer imme-
diately under Ihe nut provides less friction and more uniform conditions.
If these provisions are not made then the major part of the torque applied to
the nullO tcnsion Ihe bolt is absorbed in nut·bearing plale frictio n. In the case
of the integral hcad type of bolts this not only results in a lower tension in the
bolt but also in less efficient anchorages.
Special field of application may be claimed for reinforced-concrete anchors.
Rcinforced-con::rete anchors were first used 10 eliminate the upheaval of con-

WIll/wI j(Jppt1l'l

f, - lIItlgJlill~u~tp()lIIt .~.
fi - TlIlJI SIl"~r~
F,G. 6/30. EfI'«1 of reinforced-concrele plug anchor.~ upon the inward squccu of ,round
'" TU"""ElLl'O .... !!OLIO .OCKli

crele road pavements placed upon squcczmg clayey soil. the n to MOP rock
sq uc:ezi ng in tunn els excuvalt:d in the same kind o f soil. T he left side of
Fig, 6/30 shows lhe in ward squeeze of the rock into a circular tunnel withou t
reinforced-concrete an chors, while. O il the nght ~idc the same is show n with re in-
forced-concrete a nchors, for compariso n. As can be seen. the re is a considerable
di ffe rence which mig ht be explained by the fact Ihal whcn proceedmg ItIwards
to the grour.d the spec.lic ~ueezi ng value is diminishing a~ a mult of moisture
o r the inc rease of rock pressu re. with a limited e:o.tension zone of squeeLing lu
a distance R. Consequently. If the anchord ge extends beyond this distance. the
inwa rd movement of the rock ca n be co nsiderably slowed down. o r eve n lolally
prevented. This experience is of great significance when rock pressures due to
sq uccJ;ing ha ve to be countera cted (cf. Scction 31.4). As such pressures reveal
themselves ma inly al the sides and at the bollom of the tunnel. rt:infOTCw-cuncrele
bolt anchorages wi ll bt! mUM ad vantageously applied 01 these places. According
to mellsurements made in Ihe coal-mi nes in Il:e German Ruh r dist rict the: floor
upheaval of II. mine drift 2'40 m (8 ft) v. ide whe n pro\ ided Wi th rcinforced-concrete
holls a moun ted to JO cm (4 in) only. wh ile that obser.·ed on a section of the same
d rift wi thout anchorage was 140 cm (4 ft 8 in).
Besides the selling of roof bolts, the wire-mesh cover of the intermediate su rface
is 01 90 of greut importBnce. not only to provide for immediate prot~tioll a!;alll.'>1
spa ll ing rod: piel;cs, but a lso 10 alford a suita ble base for subsequcnt guni ling
or COnl;rete l;oating.
Summing up . the following adva ntages may ~ att ributed to roof bolting:
I . T he applu..""l1 bllity of full-face tunnelling without suppon is ex tended 10 rocks
of lowcr strellgth. makillg the und istur bed a nd economil; use of up- to-date machine-
ry possible here a lso.
2. It eliminates th c usc of timber in tunne lli ng whic h is significant no t only in
economy in timber cons umpt ion but a lso with rega rd 10 the red uction so obtained
in the d ime nsi o ns of the cxcavatcd section. As timber is not a llowed to be inco r-
porated into tlte pe rmane nt lining. a n additio ua l overbreak i~ necessary bt:yond
tlte tu n ne t cros~-secl lon, interring tedi ous and dclica tc back-packing operations.
3. II is c\cn more a dva ntageous than the use of steel supports, as the erection
or &teel S I Tu~l u res a lso ro:qUlres th" "",,"vlltion of grea lc r crost-sect io na l areas.
In ltdd1lion, the wor kers are always di sposed to blast for overb reaks in orde r to
avoid the cumbersome and uneconom ic ..... orl of [rimming and owing 10 t he
compressibil ly and slid ing haza rd of packing blocks unduly hi gh loose ning ma y
be expected 3bove the roor. Moreover. no suppo rts ..... ill be exposed to t he damal::e
caused by the rock pieces ejected by the blast .
4, Roof cefl cction and su bsidence. alt houlh not completely 3\'oidabte on
accoun t of bolt-slips, Wll! De much sma ller thttn when using internal supports,
espel.:lall y wilen 11 whole tunnel section is cxcavated by steps requ iring the removal
and replacement o f support (cf. Section 62.! a nd Fig. 6/ 24).
R,.. BCt:WWl made a n cconomic comparison bet ..... ccn two sections of an aque d uct
t unne l co nstructed in New York (see Table 6/11 1), one of ..... hic h was excavated
 H iLL- fA C E TU""lLLI'<G WITH SU~POIlT5 6"

T..."I.L 61111

..."'1-
S,.d auopo"a Rook __ '''1 So,,~
UM ",In-
'.m U.i,
"'""" "",
.
Qu.n_
(S ... ..,.. h or","'.J c~, c.,
'''1 li'~

", ,
S(~ I
"m' 320 '20 76
"
Timber
'" '", " ,,- 0'
"
Wur kinll huuri hour
" '" 1370
, 'OS '"'' " 20

ElI~""~lIliu n on>
" tH ". "' . 8 12
'"'I "
'", ". ,"' ''''
Con~rcle

Sh ulleronl!
on'

rn'
" 7
" 84
N

" .
226

Swedish )2~ 2217

Sum to\al
crown '"
under Sleel supports, and the o ther under roof bolts (Fig_ 6/31), As can be seen,
the saving in steel amou nted to 80 %. tha t in working time to 20 %. and in excli vlI-
lion work to 20%, giving n toln! of 30% SIIvhg in costs calculated on the basis
o f Swedish price conditions.
It must fi na ll y be me ntioned that roof bolting C'dn only exceptionlilly and in very
firm and impcrmeabk d ry rock be considered to act simultaneo usly as a perma-

\ I:J(JffII11 fll,Jrmels

no. 61JI. Allernat,ve mel hods wilh

~Ieet proppinll and roof boh;n&: f or
a walCr_~upply l unnel nbs
'"

, &re left ft?!' IiJr

• /JlJstmg
¥
J-.L
""'/i;/} cl'OSS-!ol"d.JOMI,yea F-,l5m' 1~1"11t
FlO. 6/ 32. Roof bollin, Qcromphshed from bouom drirt

nent su pport, 100. It ca nnot permancnlly replace the: tun nel lllli ng chiefly because
of the da nger of corrosion of its bolts. If, hcwever. the corrosion of the bolts is
pn:vented (e.g. by a water- tight and al T-lIght coating o r by the use of stainles.
Sleel, etc.). and the de format ion process of the bolted rock ca n be considered 10
be completed, the construct io n of a separate tu nnel lini ng can be dispe nsed wi th.
A morc recent a nd ve ry importa nt field of a ppl icat io n o f rOClf bohmg is to d rill
the bolt heles fa r beyond the ci rc umference of th e adva nced headi ng into the SU T-
roundi ng rock suffici ently lo ng to penetrate even beyon d the perime ter of t he
fin al tunnel crOU_$ect ion, t hus providing a liatisfactory a nchorage-s upport I'M (hI'<
same u , tt-ig. 6/ 32). As t he sta bility of an unsu pponed roof depe nds on the length
of span and on t he ela pse of lime as well as on the strength cha ntr..1e ristics of the
rock , the drive o f small sectio n headings afTo res grea t possibilities for Ihis ex tended
anchorage in less solid grou nd. The roof of thiS headi ng will be sel f-supporting
for a bridge-action pe riod sufficien tly lo ng to pe rm it tbc installation o f roof bolts
extendi ng from it \\-el l beyond the final pe rmitter of the tunnel cross-sectio n. As to
the b rid ge-actio n pe riods fo r give n spa ns in various roc ks, some genent1 informa-
tIOn is giv~n by H . LAUFFER~,lg in Tabc:16/ IV.

,." cr. VOLlJ MARD, P. and BAST1 D ~, A.: A ncrup: du loil en "alerie IH anl a bath1llcs, Tr,,!'ukx
t95 7 Ocl.
'.11 LAU rin , H.: Ncucre Enlwick lunll L1er Slollenbaulcchnik:, Ihurr. Bakuifschr. 1%0 JaD.
 FUlL- U C'H TUNSr.LU l'oG w n ll SU ProR TS 66.1

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6" T 1,J Ni'oU.. I.I-:(l 10; SOl ll) IIOCIU

61 .315. S:lPPO'" bY9I1nire-rtnd('ring. A column in Table flIIV ~h(lws the possi-

bilities of guniling as a means o f support (ef. Section 4.622 and Fig. 7/ 10). In
felulion to Ihis i, must be menrionede!l) thai re<.'C:lllty gunite rendering has been
succcssfully ut ilized as II final support (lining) in addition to ils origini'll o bject
uf aO'oruing a simple insulating or protective coating against rock spalting and
popping incurred by the redistribution of rock pressures. T he considerable del/clop-
ment of gu nite imtallations hils allowed It ~ p ray of aggregat es with grain sizes up
1025 mm (I") to be lIsed. In addition , the udmi,.;Iure or suitable cherlllcals affords
belief a dherence. more rapid hardening and II greater thickness of the renderin g.
At'COrding 10 LALFFFR a relall\'cly Ihin gllnih~ coaling offers Ihe following advan-
tages:
I. OWing 10 its relali\'ely high tenSi le strength Ihe gunite renderin g praclically
constitutes a q uasi-reinforcement o f Ihe in ... o hed ·rock beam· which has compres-
sive strength onl),. 50 ena blmg it to resist both bending and tensile stTC5SC$. This
effect is considerably incre.1sed by inlaymg II wire-mesh web.
2. As a result of guniling, the rock - as with rock bolting - becomes prestressed
In a certain extent a nd so promotes the fo rmation of a load-bearing vauh.
An additional im portant effect, t hough not a structural one, is that rucks sus-
ceptible [ 0 disintegration or swelling when exposed to weathering or to Ihe action
of moist lI ir become immedilltel)' sellied olf by the re nJHin g from Ihese adveT5e
effects, thus preventing their deve lopment .
3 . Another great ad\'antage o f this methOd IS t hat sunite coating can easily
be repaired when fissured and whe n the c(IVi ty is excavated in parts, each p:1Tt C'1n
be temporaril) supported separately,
According to the cX pC"rienccs d escribed in ' he publiC".Ilton~ mentIOned abo\'e.
gunite rendering can be appl ied as a su pport a lso in detrilus, crushed rock, or e\en
in d!l)ey soils with a certain cohesion (cf. Table 6/ 1V). Experiences as to Ihe general
valid ity of this su pporting capacity are, howe\er. incomplete as yet.
One of th ~ effl:'l:ts adhe rent to gUllIte rendering is. that the bond between excava-
ted rock surface and gunite coating is frequentl y imperfect bc1.11U>e this lining
shell wilJ gCI separated from the rock pro per due to shrinkage phenomena of
the seuing process. This drawba ck mu)' be lI(\vanlLlgcously eliminated by the
recent ly introduced construction method "SyJlem Bernold··.·,u
The prlllcip;tl feat ure of Ihis method is the app lication o f a circumferential
ex pa nded steel-mesh reinforcement, which must be erected !llong nnd anchored
into the rock surfa ce within a few hours after excavation has been effected (Fig.
6/ 33). Then dCpC"nding on the stand ing-t ime (cf. brid ge action period) of the cavity
either a first thinner layer of sunile is sprayed through this expanded steel rein-
fo rcement to anticipate spulling, follo wed by the lIlstallation of a steel-form work
which admits the construction o f a final in situ lining of pumped concrete, or the
.... Cf. ROTT ~ Il. E,: Anwendun ll von Spritzbcton, S('hri!In rrrihc d~J (jllnr. l¥us,fPr"'in _
~('ht4lVulJunrl~$ JS, Sprini~r, Wi~ n.
'." WO" I.III[Il, H. and N,o,uu, 0 .: Oc r i\u sbau Lntcrirdischer Hohlrllume mit SdlalulIJls
LUld Atlnierunll!>bl«:hen Sy.tent Bc:rnold. fj~rflbQu"i!Jrnsd"'fl~n 1969 4 J 17- 126.
n"LL· f "'C~ TUIoI N I:LLlNO WITH SUPPOMTS 667

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£
66' I V"NlLLlNG [" SOL'!) 110/'"1(5

first gunilc spray TlIl1Y be omitted and the co nstruction of pumped conc rete lini ng
may be direct ly started .
Occasionally a thinner gunite rendering may be a pplied as a finish for a smooth
su rface (cf. delllli Fig. 6j33). Anothe r a lternative of this me thod IS when 11 gunilt
spray will :onstitute the fina l hmng im:orpomting the c:-; pa ndcd steel-mesh rein-
foreemen t a nd constitut ing a rapi d ly inslalie:i flexible bearing shell aroun d the
cavity. In lhis ca~e the gu nile wi ll be sprayed through t he openmgs of t he expanded
steel mesh. Extensive use of gu nilc rende ring must be expected in connection With
the a pplicati on of the "New Austria n Construction M ethod" (cr. Section 62. 22
and Fig. 6J61).

Prtp.ldN/ UJI?Cre{f
Tunflel profile .fI.irtillg grout
McIosure

first

FIG. 6,34. Tunnel conuruction o;chemc under the protechon of a grouted artificial shield

61.316. Waft'r exdu.I'inn hY.llrouli"9. In waterlogged, fissu red rocks. especillJly

in ka rstic limestones. tunnelli ng can be undertake n also under lhe protection of
a grouted waterlight rock-mantle. In such C~lseS the main task is to exclude waler,
inrushing under high pressure, the rock otherwise being quite firm enough to
allow full-face tunnelling with the mi nimum use of suppons. T he main points
of this met 10d·· ~ a rt: dearly shown in Fig. 6/34, according to which the working
piace, where wate rlogged rock is encountered, has to he solid ly paeked wi th rock
debris to a certain length a nd dammed off by a solid watertight dam made of
reinforced concrete. From behind this dam, injection holes, inclining somewha t
outwards, are d rilled in a ri ng around t he planned periphe ry of the tunnel, the
kngth of tt.c: boreholes varying between 5 and 20 m acco rding to local condlUlllls
A cement-bentonite, o r, in looser ground, a grout of a suspension of sodium
si licate is injected under very high pressure (up to 80-100 atm), When t he grout
has hardened, the t unnel face will be ad va nced up to some mel rcs behind the front
of the injected lone, where, for safl:l)"5 s,1ke, it must be sto pped again for the
drilling and injcclion of the next ring of injection holes. T he grouting lubes ure
a rrangcd in twO - three rows a nd t he Ihidrn:s'i of t he solidified ma ntle amou nts
to about 5 m. With the adva ncement of the excavation, the perfora ted

0,,, IhMII~t)~n~, R .; Per~emenl de i:3Ierie~ en terrain dit'lkile, Lt' MOlld~ Sou/t'ffuill I ~S~
Apr.
 CI.A,uH;.o.L Oft. MININO Io!UHOOS '69
scction o f the IlInnd ma y be used for a conSI;lnt dral,l.-olf of emering wa ter result-
ing in a decrease of wa le r pressure and in a successive saving or groulrng lubt:~
and grouting material in the subsequent sect ions. In a given example the original
wa ler pressure ha ~ d ro pped in n few weeks from 12 kglem2 to 0·6 k glem~ a nd in
the last section only one row of gro uting tubes was necessary consisting of 6 tu bes
only. al thou!h the perfora ted rock W~I S hea vily fissured.

6.2. TUNNEU_I'IG
''1 MODERATELY FIRM ROCt:S AND GROUNDS

6.21. TU"·;"' ELLING BY SUCCESSIVE EXCAVATION

AN I) LINING OF SMALLEK INOEI'ENOE!\o' HEADINGS
(CLASSI CAL OR J\IINL~G Mt,HODS)

Ii has ~n clearly demonstra ted that Ihe smaller Ihe cross-sectional d imensions
of an unde rground cavil),. the less dangerous is its excava tion, :rnd the longer is
the natuml bridge.aellOn period of the rock. Thus. it is an obvious and a long-
established procedure to excavate Ihe tunnel 's cross-section not in full -face at
o nce, but in smaller paris by the dri ving of smaller specially arran~cd individual
heudings. Th~ arrangement a nd sequence of these headings should always be
adapted to the necessa ry operations to be carr ied out in them (excavation, installa-
tio n and construction o f tempora ry and permanent lining, etc.) and to Ihe nalure
of the rock. and also to Ihe roc k pressure condllions encountered.
It must he noted here th;1I tunnel const ruction in parts impl ies the subsequent
lrnd repellted erection. dismantling and removal of various tempora ry su pports.
This procedure requires not only muc h Ilu rpl us work and II considerable additional
consumption of support malerial but also gives rise to additional roof subsidence
lind repealed loosening of t he ove rlying rock, wh ich results in an increase in rock
pressure; all art: unaVOidably inheren t in each dismantling a nd cha ngc of tem-
porary suppons (cf. Fig. 6}35).
With regaro to these dIsa dvantages, the parl·excava tion t unnelling me thods
(usually called classical tu nnclli ng o r mining methods) are being more and more
displaced from u p-to.date tun nelling practice.
R ... nC':EwICz, in one of his papers,l.ta makes a com parison between mining
(AUStrian) methods, and up- to-da te steel support, a nd roof-holling tun nelling
methods. First of all, he point s out t he advantages of full-fa ce tunnelling and com-
pa res the respect ive roor deflcctions. settlements and rock pressures lak ing place
duri ng the exca ... a lion a nd lining o f tht: entire IJnnel section. He concludes that
while roof selt le ments of the order 20--80 em (8 in-32 in) may be expected with
the segmental arch-timbering (Austrian) method, and, accordingly, roof loads lit

foil RA8CEwrcz, L.: £ff~t of Modern C(mstruction at Met hod~ (In Tunnel De5i~n, WI/tn
I',,"'rr L\l55 Doc.
670 TUI'."ELLISG I N MOO EkATU. Y Hit .. ItOCKS ...1'00 GROlJNDS

",""'
,, ''
,",

&,JIO" 8-8
4. c.-~fIM 11/ mJ"''' lAm 1 fldo.. hNrfJl'l
4 .P~h9 66 ud"nItnrHII d:f1PIA!i 1 Top 1IMIt1/;
(T jlMtJ,,§
J ["Ilrgfnp II/It!W lltu#tr.g
I fn"r:pll1i1ltJwn-lludll1.:'

Fu.l. 6,135. SUPl'rpt>~i! iQn or Crown ~ut.,idence brought about hy repealed in stallation and
di .ma nll ins or temporary 5"1'r>0rl~ in the Austri a n method

lellSI equal to the width of t he tunnel e~cavKti on are 10 be co nsidered, but roof
settlement in the full -face tunnelling method wit h up-to-da te stetl supports will
be but 1\ few centimelres, resulti ng in II rock load equal to the we igh t of the rock
layer of half the excavatio n wid th or of the unsupported sp.1n I . o nly. T his 1I1Ight
also be accounted for by t he ad vanced mecha niza tion in Ihis la ller case through
whic h a cycle of operalions can be completed in about a5 ma ny days 85 was pre-
viously required in wee ks. Finally, the roof settlemen t in the case of roof bolting
must be enm sma lle r than in the previo us case, a nd no void can be left between
su ppo rt arid excavati on-li ne, a nd consequently both the measure of lousening
and that of the loose ning pressure must be less than with steel sup po rt s. T his
ca nno t extted. in gene ra l, t he dista nce ' ,/2. wi t h the gre~l t est possihle value being
not more tha n the le ngt h o f the roof bolts. ,.
Another signi ficant proced ure used In up-to-d;t lt tunnelling pract ice is the solid
pressure grollfing of the voids left behind the over brcak line a nd li ning us aga imt
the loose blick- packing applied wi th lllming methods. Pressu re gro uting provides
no t only a complete back-filling and. thus. a better su pport for the su rrounding
rock o n aU sides of the t un nel. but. by filling up the in ner sea ms a nd joints of the
rock. it subs tan tially increases a nd stabi li zes the strength ;t nd load-bearing and
archi ng capacity. and the mod ulus o f elasticity o f the rock itself. At the same time
it provide. n certa in wate rt ightness as we ll as ;t useful prestress in waler su pply
o r press ure tunnels. The presen t endeavou r is to establish tunnel constructi ons
sufrering lIO defor matio ns se pa rately but olly in com plete uni ty with the sur-
round ing roc k (see Sectio ns 42.2 li nd 43.3), li nd resist ing st resses ;tlso in Il1al Wil Y.
 C LASSICAL Ok MI"ING MHHODS 671

.".'

=- ,~/""~
'"""""", ~"W'I<n
k.Ww> m~!/;q:l
/lI!lJl'l-il tk>i;n

Almr.",
-t.,,~~
"'
.,
,- _5L... r<:/I"
~'

m "'
- ~MI/J/IJ M "
\
"
",\ -----------.-- ._---- ~IP.,~I I
'------' ,~---=="-
11~1.'mn
FlO. (,136. Comparati"e data fOl a given example

RABCEWICZ compared for a spe<:ified case the classical Austrian and the com-
bined Auslro Belgian parl e"l:;J valio n nll:lhods (see St:ction 62.]4) with full -face
methods usi ng steel supports, and rock bolting, respectively. The l unnel profile
is shown in Fig. 6/3 &1 while lhe graph of costs can be seen in Fig. 6/36b. The inner
width of the tunnel is 9 m (30 ft), with a permIssible stress for the lining of 50 kg/em'
(700 Ib/in~) wilhout being grouted, rising to 125 kgjcm~ (1680 I b/ in~) whe n press lire
grouted. In Tables 6/V and 6/VI Ihe an.:h Ihrusts, wull Ihicknesses, mulerial, work
TABU 6/ V

s..mo",. t .rch
(Au,, ';.n m<'kod) ~"II·Kct(on 0" :0.'''" I m<t~od,

'"'. ~
Tb,,,,,, W.IIIl>'.~n"'" Sloel POOU ond rib,
--- -
Q .... n· '-
i ,~ ~ .\<
,-
~ .~
'
~ .~
- ,,","
-
I""'" -
,"m)
""
'" ,, 10m )
"'t
'"
Cir~ ular ar~h Vtrti~a lrod;
pressu re m
Pressure " " " " " "
Circ ular arch
j;routing
InClined rock
-'" - -" - -'"- " '" - -

pres.~ure

Pressure
'" " " "' " " "
j;routinil
'" " '" ", H
Com posit.:: V~rtical rock
r~"
" arch pre~~ure

Pressure
grouting
'" 3S 3S OJ
" " "
'" 16
'" " '"
 WNl'<tLLl'l(; '" "'OO'. RA · I'~L Y flRI>! !lOCKS AND GROUNDS

Au", ....

hnpro,·ed SUPJ>Ortillll
M«hod Ro~r·b<>llin~
Clao. ie., (Il<J.,. " <om-) wi ,h >1«1 . Ib.
Ol"od)
--

Q·'-I I
r'~m ~ Un;' "'Y P"'" Q""- I
C ...... i" Un;, Unit QuO"- U nU Quan- U nit
Sw«l. K •. ,. t> ';'y "~ 1t'Y ", i<~
~,t<.

,
,
Workinillime
Shlllleri ng
Concrele
hou rs
m'
m'
I 2'6-
5·2"
J79
20 .,. '" .,.
2274

'"•••
1!i24
."
20
.·8
,9< OlIO

" ,., "0"

20
63'

'IHI
20·7 ]035
'" '"
Pre,sure
grolliing m' 110 '" "2 <6, ,., '" • '0 110
Ovtrbreak m' 3·. 2 -
Labour COStS value
13-4 13·4
'" " "
.9<
-

Material costs value

2274 1!i24
'"
Sum [otal S"..,d.
-
] 514 1158 790
'"
K,. 3788 "SO I 16g4
I 1l1l1
and cost dcmands are givcn in Swedish Kro~o r for 1 linear met re of tun nel cal-
culated fora rock d e nsityof ~ = 2·S tons/ rna. Though the data given by RABCEWtCZ
may not be considered to be gell-
erally valid, nevertheless it can
be statd that full-face methods
affording immediate support are
essentially less costly than either
the Austrian method or its im-
proved type combined with t he
Belgian method.
Temporary excavations of
smalh:r cross-sect ional area than
that of the t unnel are termed
'headings' or drifts when closed
within the rock ulong their whole
periphery, and 'cuts' or 'stopes',
if they have no roof. Headings
are connected by rises or chim-
neys driven upwards) and or
dips (if driwen downwurds). The
tunnel's cross-section is divided
Fro. 6/37. Terminology of tunnel pariS into the following t hree main
 C I-'-ssrc ... !.. OR MLNLNG MEl'HODS

parts: The top (arch) sectio n (calotte), the core (struae) and t he bOllom sec-
tion (Fig. 6/37). The top heading and the roof arch arc SCI in the top section,
while t he core is oounded by the side walls, and the bottom heading and the
invert are p:accd in the ootlom scction.
The excayation of a ho rseshoe section tunnel can be carried out according t o
the patterns shown in Fig. 6/38. The methods can be well classified into the two
following groups, depending on whether The lining is constructed in one single
course or ir suhseq uent courses. In the first case, the lining can be constructed
by one of the following methods:
(a) The method most frequemly used is to break up with a rise from the oottom
heading to the top section and to excavate a ring in a predetermined length. The
excavation is carried out from the top to the bottom according to the pattern
shown in Fig. 6/38a, in which case hauli ng (in heading No. I) and excavation
(starting from headi ng No.2) can be carried OUi indepe ndent ly and simultaneously.
When the e~cavation of the riug is completed in this given sequence, the lining
will be erected from the bottom to the top uninterru ptedly within the whole wid t h
of the excavated ring.
T his method has the advantage thaT not only does it afford good transpo rt
conditions but also by its use a considerable number of working faces are possible
and, consequently, there is a hiBh raTe of ad~ance. Its disadvantage lies in the
insufficicnt ','entilation of the working drifts.
(b) Another frequently used method is the benching (or strozze) method with
sLiccessive unde rhand Sloping in the sequence given in Fig. 6j3!o:b, In this case also
the lining will be constructed from the bottom upwards. Here, haulage and axca-
vat ion cann()t be entirely separated and a frequent translocation of the rail tracks
is ncccssary but, on the other hand, good ventilation and clear and undisturbed
worki ng conditions are assured.
(c) Finall;', the third method o f the first group comprises SlIu:essive overhand
stoping up\\ards from below in the sequence shown in Fig. 6/ 38c. It may be used
only in firm rocks which do not requ ire any ruof support. The lining masonry is
again constructed upwards from below in one single coursc as in the previous
cases.
The methods of the second group include the effecling of the excllvatinn "nd
the lining constructioro in al ternate cycles.
(d) One alternative is t he top section e:<ca','ation (Bt:lgian) me thod in which
t he top section of the tunnel is excavated lint starting from a top heading in
a predetermined ring-length, to be fo llowed by the er«tion of the top arch sup-
poned by the rock itself or by wall pla tes. Th:s is followed by the excavation of
a central cut from which narrow cross-cuts a re made to both sides at intervals,
from which the masonry arch is underpi n ne~, first in a column-like manner,
a nd then the underpi nning is extended over the whole length (Fig. 6/38d).
(e) Should the ground not be firm enough to su pporL the top arch the side walls
have to be installed first. This is done from headings dr iven on both sides of the
bottom section, followed by the d riving of a separate top heading from which
,N
oj

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FIG. 6{38, Part-e~cavalio n posiibi lilin

"
the calotte is e:u:11\'atcd a nd t he lOp an::h conslructed. bearing upon t he side walls
built previou.ly (cf. German method). The core (strozze) will only then be removed
from the really.made tunnel section ( Fig. 6/38e).
(f) In a vcry loose ground, the invert and the lower part of the sid\! wal ls have tu
be made first to provide a safe bonom-su pport (cf. lIalian method). A central
d rift is stll rted li nd d riv\!n a t t he bottom for a very short dista nce. Cross-drifts
in which the in\'ert IITC h lind Thl' upJlCr part of the side walls are constructed step
by step 3re (XL""3\ated from it o n both sides. Ad\'a ncement at the bottom half is
effected by the rcpet itio n of this cycle. Step by step again, the driving of the lop
he:lding then fo ll ows. From this the ealotte is excavated subsequently o n both
sides. and the top IIrch is erel:loo, supported on the top of the previously built
side walls (Fig. 6/38f). This method constructs the tu nncl in very small consecutive
steps.
Beforc giving a brief survey of classical tunnelli ng systems (mining methods)
de\eloped fro m the main principles given above, the construction and driving
of the sepal1l.1e excnVlItlon a nd construction Lnits employed, i.e. the headings.
the risco dips a nd cuts wi ll be first dealt with.

62.11. Scope .. nd Construl'llon of Headings

Headings are mainly used for wor ki ng linel ha ulage purposes (working or
ha ulagc headings, respect ively). This distinct ion is of significance also fo r the
period of usc a nd, t hus. a lso for the structura l 5Ircngth of the respccti"e headi ng.
In addi tion, helldings are also im portant in geological exploratIOn. direction
control. and for housi ng va rious service lines and for drainage.
Tunnel oonstruction is usually started by driving pilot headings (entries) at
both tunnel ad its. Thcse pilot headings serve rot only fo r ~tting-out t h\! t unnel
and the exploration of soil and hydraulic conditions, but they constitute a n integral
part of the tunnel construction from the very begi nning. Muck is exca vated through
them, and t~ ey a rc the Sltm ing points - with ccnain tun nelli ng methods - fo r the
gTlldulll and successive enlargement of the e;l.cavation a nd lini ng of the final
tun nel section. The pitot heading re\eals the geologica l profile thro ugh the whole
Jellgth of the tunnel, and also provides points of attack for the excavation a nd
subseq uent I ning a t any point of the tunnel - e\en al several spots simul taneously.
The haulage track, ve ntilation duct. electric. compressed.ai r and other service
lines are a ll inSWlkd in the PIIOI heading. Its driving also exerts a relieving effect
upon Ihe surroundi ng rock: at the same time it provides for the collection and
dnunage of ground water from the work ing places (adits). The pilot heading
is. thus, a n importa nt part of tunnel con~Lruc lio n , and wilh due regard 10 this,
the choice of its location and dime nsio ns is of decisi\'e importance. necessitating
the consideration of II great many f3ctors which depend. largely. on the tunnelling
system chosen.
Pilol headi ngs, in principle, call be either b<llIom or to p headings. For opera-
tiona l purp<l5es it is mo re advantageous to pillce Lhe pilot heading in lITe lowest

')'
'"
parl o f the tunnel, i.e. to drive a bottom headi ng. Though this choice ISof no
consequence in the setting-oul of the t unne l, the rail trac ks fo r the t ransport o f
material~ are la id to the beSt adva ntage on the bollom of t he tunnel section, so
tha t there will be no need for thei r t ra nslOC2.ti on thro ughou t the whole t unne lling
operation to effect mucking, most of which can be:: loaded by gravi ta tion. Similar-
ly. theclltchwater drain (with a section o f 30 >( 30 em, lined wilh pla nking in loose
grou nd) i~ he~t placed in proclice ul the Hoo r of the bottom heading (Fig. 6/ 39).

FIG. 6139. G~n~r.. l arrangc nJent of bollom drift

A heading " Iso ma kes Ihe installatio n o f new working sitcs possible. Through
side or top d rift s work can also be started in the cenlral l unnel sections. In t unnels
located on slopes o r o n mo untain hangs, tun nelling o perations \;an he started
in intermedia te tunnel sections by mea ns of cross-cuts or drifts staned from ou!-
side, Shallo w cit)' tun nels represent a special case, as their construction is usually
started from shafts.
In ch oo~ina the headina pro file , ma ny points have to be take n into account.
It must be considered, which kind o f temporary support can be used best, ~illce
t he sha~ of the heading profile de pends upon the structu re employed being tra-
pezoidal wi th timbe r sets, circula r with steel li ne r- pla tes, ho rses hoe-shaped " ilh
steel rails, nal bents and pointed a rches with reinforced-co ncrete fra mes. O n the
other hand, economy and the uninterru pted now of material transpo rt must be
ta ken into (Iccount, a~ well as good "enlila tio n cond itions which requi re cross·
sectional areas as large as posSible, wh ile the ra te of ad va ncement and the anti-
cipation of ex\;essive rock pressures {"all for smaller cross-sectional areas. T he most
suitable cross-sectional dimentio ns are al"ays dete rmi ned by due consideratio n
of the loca l conditions, o f soil conditions, of tun nel length, a nd the presc ri bed
construction peri od of the tun nel and of the tunnelling system employed .
 CLASSICAL Oil. MI!'oI:-'v MUHOOS 671

62.111. Timber~d "~adillgs. Timbered hcadin!s are usually trnpe70idal as this

shupe is ~ultahle for (esisllIIg both vertical and lateral pressures. The clear height
of the headings when completed varies from 2 to 2·5 m (6 n 8 in 8 n 4 in), the
width at the roof from 2·0 to 2·2 m (6 n 8 in- 7 fI 4i n), and the width at floor level
from 2·2 to 2·5 m (7 fI 4 in 8ft 4 in). The timbering consists of frames (bents)
spaced at t·O-I·S m (Jft - 4 fI 5 in) distances with timber lagging supported o n them.
Timbering;s u~ually made of pine wood, of even.grown and snag.free trunks
The required seats and joints bet"l'oeen the si ngle elements of the bent a re of simple
cmftsmanship. such as can easily be hewn on :he spot (Fig. 6}40). The timbers
are usually bun- or lap-jointed: tenons, etc. are not used. Rafter nails arc used to
fi ~ and keep timbers in place. while ordinary nail-work must be avoided; moreover,
even rafter mlils do 1I0t suhsti tute for an appro pria te trimming of the joining
timber ends, ;lor must firm wedging of the lagging be omil1ed.
The most common timber bents arc shown in Fig. 6/41 for cases where no rock
pressure is to be carried by them, t heir only task being to ofTer protcction against
rock·spalling. l ags are placed wilh interstices (skeleton lagging), Ihe back space
between them and the surrounding rock bei ng tightly packed wit h rock spall.

I""

w_
A(JII!I.1t

'''''''"
~1F

Fto. 6/40. Structura l elemen ts of tim bm:d drifts with delail,

078 TUNNELLING I" MOI)UI,.,HLY flMM ROC KS AN D COROUNOS

FIG. 6141. I'art limbe rinl!

JI1 fissured rock, with smaller potential rocl: pressures, the timber bent shown in
Fig. 6/ 42 consisting of a cap, two posts and a sill-heam is employe<!. A strul-
bra.:ing is a pplied between neighbouring sets. With an adequate bridge-action
period, ""hen practicall y DO immediate rock pressure is to be resisted after the full-
face excava tion, the bents urc placed and the Jaggi ngs simply set behind the caps
and posts. 1n more intricate ground, but still with moderate rock pressure, fore-
poling has to be appl ied. If the iround is sUT. the face of the hearling_ririft i~ elll
down straight a lmost at the forward end of the polings and new posts and a cap
are set. Ii the ground is soft a small exca vation, say 0-60 111 (2 ft) high. under one
or two pulings is made und II short board is quickly set vertical under t he end of
the palings and acts as a combined breast board and prop for the poli ng. The
rear end of the poling is supported on lhe cup or, temporarily, on a n auxiliary
cap. a nd t he face is braced by breast boards (Fig. 6/43).
In loo~e and runn ing grOlmd, however, not even a one-man burrow can be ad-
va nced withou t the danger of subsidence and colla pse, not even at depths of 60 em
(2 [t), the refore advance forepoling must a lways be employed (cf. Fig. 6(40).
ForeJ>Oles are d rive n into lhe ground (advanced support) and the excavation (the
advancement of t he face) is made under their protection with a cut-ofT length

Jill Dum

FIG. 6j42. Timber bents ... jlh skeleton lagging

 CLUSlC... 1. OR »111'01100 METHODS
'"
of the forc:poles sufficientl y deep to
provide fo' the stabi lization of the
face. With a tight spacing of the
benls, ho ... ever, forcpolcs di rected
by the last cap will ha\'c too sleep
nn indinatlon upwards, as a result
of whkh (heir fronl e nd s wi lil ic far
ahove the cap to be ncwly sel.
Consequently the forepoles must
either be ti lted in which eli se the
ground maleria l lying between the
fro nt ends of the fo rcpoles and the
C".t p will spall off, so resulting in n
loosening of the ground. or they
must be supported step by step from
the nexI fore pole, as shown in Fig.
6/44 (and cr. Fig. 6/56).
Forepoles are supported on a
bridge (sill) boord, und an: tighten.
eu flo m the top of lhc cup by puck
ing wedges (keys) (cf. Fig. 6/40). T he
next row of forepo!es can then he
d ri ven in the interstices left bel-..:een
the keys. These, in turn, will be
tightened by smaller wedges from
Ihe bridge board . T hen the keys
are knocked out and furt her fore·
poles driven at t heir place.
If progressively higher pressures
are encol.ntered the caps of the
timber bents a re supported by pur·
li ns applied su bsequently (Fig. 6/45
II). The purlin3 are propped up :1.1

7lltd /btrfJt'lmg "",l.Mt!t Ibrtpell"g 1i1thil'J( tlltll';?

tnd JUfJIJOrt hY( WIt/! MIl Si.'lJ«rt
,-
". [JlI"tr/tM (If tilt
,--,'-.'"

FlO. 6/44. FO~p01in . met hods f ilf dense ly sp<\ced ~nlS

680 TUS"H. I ISG IN MODUIATELY ,-,it.... ItOCKli ASD (iltOOl'<OS

OJ
FIG. 6/4S. ReinForad and double Ilmberin,

distances 'Iarying between 2 III (6 ft 8 in) nnd 0-5 ]·0 m ( I ft 8 in-3 ft 4 in)
depending upon rock pressure condit ions.
I-l ighe r loads can be dealt with by the use of do uble or stru tted limber bents
(Fig. 6/4 Sb). In this case each t imber bent is Sl rcnglhened, ut the lime of its setting
instead oftater. An important part of t he dOLbJe bent is a roof beam placed longi-
tudi nally, by the use of which the span of the Clip is reduced. This longitudi nal
beam is su pported by inclined struts from shorter side props. [n case of lateral
rock pressures bottom purli ns ure a lso inSlalJed, braced 10 each other by bottom
struts (Fig.. 6/45b). All slrcngthenings of this t;'pc considerably redm:e the clearance
of the headi ng, leaving, e.g., rrom the originally tra pezo idal section or 3 m x 2 m
( 10 n x6ft) in) a section or o nly about 2·2 III + 1·4 III (7 ft4 inx4 ft 8 in) so
im pa iring haulage and worklllg cond itions in the heading.
The dimensioning of timber bents may be illustra ted by t he following example
(Fi~. 6/46. :
Thc ycrtical rock pr~sure IIctina: on hudinp can
be: laken, ,fie. DA"[OOY, [0 ha..., a parabolic form
wlIh a pc~k ordinate:
h, _ _ ,
"
f"
where <I," <I + "[an (43- _,2)
f .... [an (> (aner I'ROTOOYAKOSOV) with
vanular soilS or up [0 I ·~ of t~c
cub .tTellglh 111 wild rocks (cr. Sec[ion
t.,_-, 32.24).
If the '~idth of the heading iJ 24 = \.g m. its
FIG. 6,46. Numtrical eumple heighl ,,_ 2·2 m and the [hid:, ucsi of the OYeI'-
 burden If "" 12 m wjlh ,, =1'6 I{m'.
CI..AUoICM, 011. MINING .. flliODS

<I> _ JS and Ian Q =&7, Ihen '"

Q,
,0'
="""'2 + 2'2 Ian (45 - . : 2) = 21)9 m,

The hei8t11 of' tile ,round column 100uJinil (II' ) al Ihe edse of 1I1e heading Is

h' = h , 1 - f ": J - 3'0 [I - &9' = 2'445 m ,

u, 2'0'
and lhe "c",eal prc-.surc ael ing ftl a distance x from il is

llS5uminllte aV1:raec rock: prnsure value u a~ljn. al a d;,lance of x = ()oj m

P"" 4' 8(1 - ()o228)( (}J") _ 4'7t/m r .

If Ihe splIe;nll uf the timbe r bents is laken as O'~ m. the moment aCling on tile cap wi ll be:
1'02!
0'8 x 4'7 Q "" 1'12. lin "" ln OOO k~c m,

Calculatin, WIt II a permissible stress of (1 _ 100 k,lem' fur timber, then

w_ M

Le,
,I·...
32 - IS2COO
1011

If, c., .. ro rou nd (log) limber of such a dia is .'·ailable, lhe prob le", can be solved by
in$tall in li longItudinal roof girders under Ihe ca ~s (double sct), in ....·lIich case I" span WlII
be r~dueed 10 half. and Ihe ael ina moment 10 u quarter of its former va lue. Hence. e.~ ..
a cap dia of

+ x 1:: Iy/cm
, _r132000 32
, 4 100
would be sumeien!.
The oomprc:5si."C force aCling upon a prop will be
1'8 x ()O8
'" - 4,7 - 2-~ - 3'4 I

The bc:ndlnl Ilren from lateral I"",d, ns .s cak ulat=d for a lalcral preSJuI"C of

h, = h Ia n (45" - ~J2) = 2-20 x ()OS2 = 1-\2 m,

p, = h ,y tan ' (45 _ ~1 2)

= 1'12 x 1·6 x O·27_(l-4841{m',

682 ' ·UNNELLINO IN MODERA'lI. Y fiRM llOCKS AN D <';"01.11<05

from "h,ch t he bend,", mOll'lC'n, ac.i nl upon.1K: prCp:!I 'paced al 0-8 m "'ill be:

Thus

N .\1 3400 x .4 9000 x J2

F +~K - ",
- ... ,
<I' _o. ka..I:,"'.

when: ••~ _ the permi""ible bend,", sIren reduc(d a<"Cordin& [0 buck hnll kl1l1lh.
H. e." .. 0" = 50 kl.'cm·, t he sol utio n of this mixed eq\13 l ion or third dcgroe "m be
d::. IScm.
which dimension must perhaps be rounde d up or off I cco rding 10 available supply.

62 .11 2. Hemlings liifh S/('(' / supports. T he Ir.o!1 sim ple sleel supports used in
headings are the T.H. and Moll ribs mentioned above (d. Section 61.31 1), and
widely employed in Hu ngarian mines in ha ulnge roa ds and ventila tion drifts.
Wooden planks o r. mosl recent ly. reinforted+concrete boards a nd sometimes also
sheet-steel piles arc used as Jags, a pplied in the same I,;ay as In timber headi ngs.
Hov.e\'er. stronger lags ha\e to be used here because of the wide r splicing of the
sleel rihs. T he same struclUral elements c:tn be applied also, of course. in tunnel
driving.
For more permane nt headings. nbs of horseshoe-shaped ra ils with timber skel-
eton lagginl! are frequentl y used (F ig. 6/47). It must be noted, however, tha t the
legs of these ribs may not be placed directly on the fl oor beca use of their com par-
ati \ ely small contact surfa ce. bm concrele blocks. reinforced-concrete plates or
iron·co\ered ha rd·wood blocks must be inscned .
Natu rall y. not o nly bent ru il~ but a ny other structural steel section can be used,
but. in general, heavily worn steel rails have proved 10 be Ihe most economic.
Likew ise. corrugated or ribbed steel plates or prestressed re inforced-concrete
planks ClIO be used instead of timbe r laggin!!.

-, ,,

1I ,

FIG. 6'47. Drin Ixn li made or $Cn p ra it

 (·LASSle ..... OK " 1'11>0 I>I ETHOOS 613

{CfifllWdtfl4! sr./JOI1

~h~
' .'iplnl! mud- W
I "'~_
'''''', I
+

FlO. 6, 48. I iner'l'lal~ drift

H ow~ver. somc disadvantages are also in,cren! in such Slee! supporling suuo-
tures ina, much as t hey a re suita ble fo r headings of constant cross-sectional dimen-
sions o nly, and they do not give prior warning of the increase of rock prcssures
as timbe t supports do by squeaking and cnlcking. O n the o t her hand. they have
the great ad ... a ntages of simple installation and transfe r, and suitability fo r repea ted
fe-use .
The foregoing steel struclures ar~. strictly speaking. mixed structures as their
lagging consists moslly of timber or concrete planks.
Liner- plate headings may be regarded es purely steel struct ures when built
wit h mini ng met hods. Stich heal.lmp welc u!lCd, e.g. on somc SlKtchcs of the
subway construction in Budapesl. Thc}" make a conl inUOtiS steel ski n consisting
of pressed 51eel llllcr-plaies bolted toge ther through thci r rims. T hese headmgs
w~re d ri\' ~n wi lh thc full face, and the rim sle~1 segments were p r~$5ed from 6-8 mm
( I J4~3/8 n) steel plates a nd had a surface a rea of 0'52 m)( 0·80 m (2 ft x 3 ft)
and we re bolted into rings, Ihe consecuti,·e rings forming a coherent fl exiblc skin.
As showu in Fig. 6/48, t hese li ning segmcnti ha ve radial jOints, and t herefore the
placing ()r Ihe key segment (Z) rrom inside lh~ ring was made possible o nly by
providinz it with joints or o pposile inclination and by providi ng for IWO segm~n ts
(C) wit h !lsymmelnc joinls to be coupled to the nonnal segments ( N). Because of
the flexi bility of t his structure t he pro mpt and ti¥i1t dry packin g of the back spaces
behind the lining is of supreme importa nce before excessive rock pressures can
68.

develop and so also ensuring the supporting

effect, i.e. the composite action of the sur-
rounding ground.
The headings mentioned were dri .. cn in
loose snnd), sl ity soils where the t;jrcular
cross-sect ion is a lso staticall y the most nd-
van["gcous. T he rimilled iJCgmcnts were
erected according to the top-heading method
descri bed in Section 62.41 (cf. Fig. 6/76) or
the heading a nd bench met hod d escribed in
Section 6.12. i.c. nOI accord ing 10 the r 1111-
faer; methud. In this case the installation of
1"1(;. 6149 . l' oinlcd I h~hi nged
reinrorced·cun~~tc bt:nl
liner plates is started from the roof" proceed-
ing downwards and fi nally the key plate is
inserted at th e b<lIIom. HClluings of this type
have been used also auxiliary to shield tu nnelling. partly to stabilize the face (cf
face anc hora:;e in Figs 6/ 133 a nd 6j B4). and partly to provide a proper guidance
for the big (8·5 m, 28 ft dia) station shields (d. Section 63.223).
62. 11 3. Prtca.~t rei"jQrced-cQ/lcrere SlIpporlS. The use o f reinfo rced-concrete
sels combilltu will, laggings either of reinforced ·concrete plunks or wooden
boards comes repea tedly into the foregro und to economize in timber and steel
matermls. T he considerable advantages of the;.e sets are th(ir long service·life
and the rclat vel)' high st rength obta ined with oomparatively li ttle rei nforcemen t.
Thei r disadvantages include their great weight , -igiJlt)'. difficulty in handl ing and
transport, nnd luck of workability. Owing tD the rigidity of com;rete accurate
filling, wedging and bracing of these elements al so present certain difficulties.
In Fig. 6/ 49 the pointed arch support system of reinforced-concrete eJemenU
suggested fo r use in the construction of the u:tdergro und rai lways at Budll )'Ol
IS shown as an example, indicating that pointed 9rch strm:lu res being very suitable
in shape 10 resist rmk pressure can be made of re inforced concrete.
In Hungarian mining industry precast relllforced-coJlcrete su pports com-
posed of elements similar to those of timber seu arc now beiJlg iJllrodueed to
~ucc tim1xr consumption (Fig . 6/ 50), chie n), in u-mi-pcrmancnt drifts. Th E"
support consists of a cap and twO inclined posts plllced o n a rClllforced-concrcte
sill. The su pport seats of t he respectlve elements a re curved. Experiment.s ha\1:
also been made with tubular hollow spun-concrc te posts in order to reduce weigh t.
Lagging consists either of wood bOllrds (c r. Fig. 6/38) or of rei nfon;t:i.l-conc re le
planks 5-6 cm (2- 2 1/4 in) in thickness, 11 12 COl (4 1/ 4-4314 in) in breadth, and
90 120 em (3-4 fI) in le ngth. The drawback of reinforced·concrete planks is,
again, their weight and the d illicuh y o f hand:ing: their ma in advantage being
t he ir long sc: rvice·life and strength and the eeonomy obtained in the use of timber.
Fig ure 6151 represents the ~tion o r a permanent drainage-drin, bui lt in
an area exposed to sliding mainly due to the seepage of ground-water. In this case
ull the diS<ld va nlages of weight an d difficulty of handling, the use uf ICC poling
 N1 S1'1G I,U.T ffOD5

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4I><: ,,',I
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os, TUNNH. LlS(l IN MOOlIlA·llLV 1111).1 IOCKJi A .... O G ItOUNDS

was compenso1Ied by thei r dunabi!ity

and insensi tivity to corrosion. S em
(2") thick, 12 em (5") wide and 120
err: (4'-0") long R.C. poling boards
were supported by prefabricated
oval-shaped R.C. bents placed o n II
cast in situ concrete invert a nd stif-
fened by (I cast in si tll R.C. con-
necting crown beam.
,\ more wides pread U$C of rein-
forced -concrete heading frames mil)'
be expected probably o nl y when
the mechanizatio n o f their erection
is adequately soh'cd.
The weight of these supports has
betn considerably reduced recently
by mak ing the elements of pre-
stressed concrete posts, the use of
FlO. 6/~1. which in the uniform haulage
OVlI-shaped R.C. benl wi l h R.C .
[>OlinS boards drifts of mines is now being in-
troduced.
62.114. HmdingJ of mason,), lining. In mnny cases il ca n be both economic
and practical to construct circular headings of ;'rick or concrete block masonry.
This will be reasonable either bel:ause of a demand for a long service-life when
maintenance costs win be at a minimum if perma nent supports are used, or in
lIoeak solls wI-ere heavy roc k pressures acting from all directions have to be resisted
even when a headi ng of relati\'ely small eross-~tion is driven so that a closed
ri ng is essential.
Up to nollo the following two kinds of m<lsonry lining have been employed in
practice:
(3) Unyielding m<lsonry linings a re huil t as dosed rings of bricks or concrete
blocks with a circular, frog-mouth, or elliptical horseshoe shape. In Hunga ria n
mining practice concrete-block linings 8re used at an ever-i ncreasing rate for both
permanent haulage passages and air ducts and for drifts exposed 10 high rock
pressures (Fig. 6/ 52). Though common bricks can be used instead of concrete
block~ , they are seldom employed ~.tuse of their lower strength (the crushing
strength of brick mason ry) which is only 30-35 % that of the brick OWIII& to the
low strength of the morta r, and because of the long construction time required.
While concrete blocks can be used against c:uermll pressures up to 5-15 k gJcm~.
brick masonry is employed only for pressures not ellceeding 3-4 kg/em'. Owing
to the deforll'Hlion characterislics of concrele su~h masonry rings can be regarded
as unyielding su pports capable of minor deformations. In exceptional C3lil:S
!"line-wood planks or blocks may be inserlt:d between certai n block lay( rs, most
particularly at the abutment, to provide a cerl2in deformation capacity.
 CLASSICAL OM MINING METIlODS '87

-0225

FI G. 6 / 52. Drift, lined w; l h precast conc rete blocks

FiO. 6/S3 . Flexible boltom heading lined Wi1h wooden bloch (Grea t Apennine tunnel)
688 TUNNELLING IN MODERATELY FIRM ROCKS AND GROUNDS

(b) Flexible lining-supports are used in headings of short service-life yet exposed
to very high rock pressures. Such a support is constituted first of all by the afore-
mentioned circular rim steel liner-plates with bolted joints (cf. Fig. 6/48). Here
the flexibility or deformation capacity of the steel ring required, e.g. when exposed
to extensive rock pressures, is obtained not only by its small thickness but also
by the articulation of the bolted joints.
Another kind of flexible circular support is the lining ring made of wooden
blocks (Fig. 6/ 53). It was used in the construction of the Great Apennine tunnel
in a section of its bottom beading exposed to extraordinarily high genuine moun-
tain pressure when all attempts to maintain the cross-sectional area required for
the work by the usual timber supports had failed. The inner diameter of the head-
ing lined with this block ring was 3·25 m (10 ft 10 in) with a ring thickness of
0·5 m (I ft 8 in). This lining was capable of resisting pressures even in seclions
where crown bars and props of a dia as large as 0·6 m (2 ft) were crushed under
the rock load. The defo rmation capacity of wooden rings (due to the h.igh compres-
sibility and to the low modulus of elasticity of wood, especially when in a wet
condition and perpendicular to its fibres) made the deformations produced by the
ge nuine mountain pressures possible without failure of the support.

62.12 . Vertical Break-ups and Pits

Interconnections between bottom and top headings or bottom and side headings
are made by vertical break-ups (chimneys, rises), serving for the lowering of muck
to, or the lifting of the varied construction or supporting materials from the bottom
heading. For lifting up materials, simple winches afe often used ; a communication
ladder must be provided in every break-up. Tn certain cases inclined break-ups
may be used.
Break-ups are quadrangular or circular in cross-section. 1"0 firm rocks, they
stand unsupported or with a few timber frames-at most as a protection against
rock spalling. In break-ups with a quadrangular cross-section, timber frames
with timber laggings are in stalled, while in those with a circular cross-section,
bolted steel-plate rings are used. In loose ground, the installation of complete
rings is likely to fail, and even timber frames have to be placed very tightly or,
if possible, forepoling has to be employed. This requires very delicate and difficult
work in vertical break-ups (Fig. 6/54).
The smallest cross-section used in break-ups is 0·7 m x 0·7 m (2 ft 4 in x 2 ft 4 in),
while those generally used for communication purposes are 1·3 m x 1·2 m
(4 fl 4 in x 4 fl) and 1·3 m x 0·5 m (4 fl 4 in x I fl 8 in) for box-holes or chutes.
The cross-sectional dimensions of a break-up must in no case exceed the roof
width of the respective bOllom heading.
In classical tunnelling methods, pits or cuts are also frequently in use. Their
design and supports are si milar to those applied in working pits, the strength of
'he rock being always the predominant factor in the decision whetber tight or
 SINGLE·STAGE MINING METHODS 689

skeleton laggings or forepoles should be used. Cuts are usually deepened in sub-
sequent steps and walled up before the deepening of the next step of the cut is
started. This method is generally needed in the construction of side walls (Figs
6/255 and 6/256).

6.22. SINGLE·STAGE MINING METHODS OF TUNNEL CONSTRUCTION

Headings, break-ups and cuts are employed in every mining method of tunnel-
ling, though in various combinations. The full section is usually divided into the
following parts (cf. Fig. 6/37): bottom heading; top heading ; arch segment cavity
or calotte; core or strozze ; side wall space and invert arch . In the mining methods
to be introduced here, the whole tunnel section is excavated by sections before
the construction of wall masonry is started. Following this, lining is constructed
in a single, continuolls course under the protection of temporary supports. Con-
sequently, adequate supports or support systems are required suitable for carrying
the whole excavated tunnel section either as a whole or divided into two parts
during the construction of the lining masonry, offering adequate protection for
all work to be carried out in the section.
An important requirement for these temporary supports is that they should be
of rigid, unyielding and stationary construction, even when exposed to asymmet-
rical lateral loading. They must not suffer extensive compression or deftection as
this would increase rock pressure, and the required clearance dimensions could
not be maintained. The respective supporting elements have to be tightened to
each other by wedges allowing repeated re-tightening of any loosened elements.
The possibilities of punching and settlements involving deformations of this kind
were given in Fig. 6/35 applied to the Austrian method.
Single-course walJs call be constructed by any of the following methods:

(a) the crown bar (English) method (c) alternate ring method
(b) the cross bar (Austrian) method (d) the central cut method.

62.21. The Crown-Bar (English) Method

]n the crown-bar (Engli sh) method sections 3- 6 m (10- 20 ft) long are excavated in full
fa ce from top to bottom, and then the entire wall masonry is constructed in one course from
bottom to top. Work commences with the driving of a bollom (haulage) drift from which
at a di s tance of every 50- 60 m (170- 220 ft) break-ups (chimneys) are made to allow the driving
of the top (working) heading. The bottom drift furnishes, in addition , good temporary drain·
age facilities and a good control of the alignment and it also allows the tunnel to be attacked
at several points. The top heading ha s relatively small dimensions [1'5 m (5 ft) in width and
1'8 m (6 ft) in height] and is placed at an elevation such that its roof is level with the crown
of the masonry arch extrados. The main attack on the face always begin s here in rings of the
previously mentioned width of 3- 6 m (10- 20 ft) depending upon the nature of the ground:
the looser the ground the shorter the rings will have to be. The forward ends of the roof
(crown) bars rest on post s whereas their rear ends may be supported by the extrados of the
completed work.

44 Szech y: The Art of Tunnelling

.90 TUNNIELUM:; ..... I>K)DUIATD.Y fiRM I.OCKS ","U OROU'lrn;

Fl O. 6J~4. Va.rious struclun,]

 '"

arranllcmcn:s for brtak.u,,~ (chimney~)

...
 TUN'<~LLI'<G 1:< MODEIl!<TELv FIRl>l MOCKS !<~D GROU~OS

Enlargemcm is started by underpinning the caps of the wI' hcalling by two crown bars
of 30-40 em 442- 16 in) dia (Fig. 6IS5a). This, In turn rcnders the successive removal of inter-
media te pro~s possible. Following this, the top heading will be enlarged across to the full
widlh of the 101' sedion. This operation is usually <fleetcd by tra nsversely dri~en forc:poJe!
,upported by roof ban and tempurary po~b ;n,talled subsequently. As these radially placed
POSIS arc. in general, too close to one another, shorter forepoles haye to be used to minimile
overbreak: or tile)" have to be tilted ( Fig. 615611). If loo>c nin~ uf the ~ruund caused by this
pr{){X'dure i. co be avoided, in all cases secondary sHu ll ing supported from crown bau must
be inSlatled ( Fig. 6/'6b). The headin g is wi<jelled out for the length of tlI~ rouf (crown) b~".
At the same lime the face is securely breasted and baehlruned to Ihe compielell lining. The
crown bars, posts and Siruts arc a ll stiffened b)" spa:ers and bracea.
Durin~ wdening. and simultaneously with the installation of additional crown bars Bnd
posts, the boltom of the top heading mu~t also be doxpencd and widened. and posts and sills
mu,1. con,e'luently. 00 ~onlinually r~placed b~ lun~cr ones. When Ihe boltOI11 of the enla rge-
menl is d~pened to rhe level of the springings, a nc"'· transvcrse sill is laid spanning Ihe whole
~ectjon "'idth from wh id, all the crown bars ,,011 b" supportcu by newly in~lalled indilleu
posts (Fig 6133c). Then, si lls are supported h)" pOSh extending down to the bollom of the
section and the operarion is continued down the sides 'l.S far as required by the Ilaturealld
pressure of the ,round, frequently down 10 the oollom. the face being securely breasted and
badslrUlled (Fig. 6/S7) and the se<:tion enlarged to full dimensions ( Fig. 6!S5d). During the
whole widen in~ upt:rat ilJn spc<;ia l care must 00 taken, especially in loof>e ground, that no
unpacked back: spa~ shou ld be left behind the laSEing (d. Fig. nt' S6) as such ca,·ities ma~
cause later gro un d movements anu ~n illcrca~e in rock pressure. The ba~k 5pa~C!; mUSllherc-
fore be tightl y dry-packell "'ith rock spal l or _ at least temporarily - with timber blocks.
Whon the enure tunnel se<::1ton .s e~cayated, m,rCf") g"e wa)" to masons wllo construct
the lenglh of linina wilhin the completed timbering. Co,,<rruclion ;s 'Tarrell with ,he inverl
arch. ,f an)", or where this rna)" be omitted arc built up first Slarting with Ihe instaliation
of formwork and centering. Concrele is poured or courses of masonry blocks are pl aced
uninlerrupledy unt il both side walls n>eel in the crown of the arch (rig. 6ISSe). During the
con,t ruetiun of walls lagginG.' are s u~~-essi vely femo\ed and ,.rown bars transferred to the
next IlInnel ring, their place being lightly filled with concrete together with all ("a yilles packed
only telllj)Oraril) a1 Ihe time of the exca vation.
A, mentioned, the construction (If the adjoining masonry rings can be so arrang~d thai
the rcar ends of Ihe ,.r" ..... n ba~ will bear upon the extrados of the complcted masonry ring
(d. Fig. 6I S7), their forward ends resting on the rull support s)stem at th~ newly opened face
( Fig. 6/58). The main supporting sets must be eff,,;"ntly stiffened and bound to each other
in all directions (by 51. Andrew's cross bracin~ hl:t"'·een the vertical supporting clements).

The English method of timbering, though It ensures very good working con·
dition~ an d a high rate of advance, is more suitahle for rather firm ground. as in
wea k ground the crown ba rs would not Ix: 8)1c to resi st higher rock pressures,
so that either the spacing o f t he crown bars a nd posts ough t to be reduced or the
It:n gth of tht>: se!.:\ions de!.:reased. Both these procedures woul d in!.:rease timber
consum pti on. Th o u gh, in principle, the crown bars, laggi ngs, p osts and other
timbe rin g elements could be repeatedly used aFte r being p u ll ed down , the removal
of c rown bars and lagging is im possi b le when c)( poscd to unduly high pressure,
a nd they must be left in place and inco rporated with the mason ry. T he dismantling
of limbering elemen ts and transfer of the load to completed rings must be do ne
with the g reatest care to prevent further rock movements.
Advantages of the En glish tunnelling method a re thai excavation, timber ing,
mucking and e rectio n of m asonry can be unde rtake n wi th ease and wit hout any
 693

,,
,
---
694 TUSNfLl ""0 '" MOI)1:RATELY rtRM ROCKS AI<D UROUI"JS

•
," •""
, "<0
~ 0

~ ~
~
""
, ~g
0

"
;; o "
~:
LI.. :;i
0
. 0
~"C
"<

0
,
•
 SIN(lI..!-STAGE "'1"I)IoG MfTlI ODS
."

FlO. 6/$11. Is.ometnc vi~w of the l: ngli5h method

mutual intcrfc rence in time or space, and both the ventilation of the wo rking
raL1:S :lIld thei r drainage arc pro perly provided for. Its disadvan tages li re thlll Ihe
cross-section 10 be broken out is far bigger tha n 111:11 req uired for the maso nry
lining ~au se of thc room needed for Ihe crown ba rs and the overbrtu k behind
t he masonry lining is usually only loosely packed wit h rock spalls. The crown
baB a nd wood laggi ngs {x:caslOnally buned and walled-in may deca y, resulting
lu ler in rock settlement s and pressu re incn:ases. Front faces are always e xposed
10 high loads and their temporary support by raker posts is r.nher ela borate a nd
complicated. necessitating altogether a ~ery high timber demand . Fi n;llI y, the
eventual subseq ue nt strengthening of t he timbe ring is very com plicated. Because
of all these drawbacks. the English tunnelling method is nowada ys employed
only mrely.
 62.22. The Cross-bar (A ustrian) :\1ecbod

62.22 1. Unlike the crown-bar arrangement of the English method. this method
uses segmental arch sets. Thei r slruclUrlil arrangement is shown in Fig. 6/59a and
the sequence of the following steps of it s construction arc shown in Fig. 6/60b.

Work is . tarted here al10 by driv ing a bottom drift fro m whiCh break-ups are made every
50 tOO m fr"m which tho top hc a dinll i~ d riwn. F n>m I hi, top heading Ih~ t"l' ...... '.0" or ,h.·
tunnel (the calolte) will be broken OUt much in the <,ame ... ay as in the Enll:lish or the Bcliliall

It;/lfll/ud!niJl sect/PII

,Q1tJt1 70

'"I

limA" Uolf'lIlo l1Ie hollom dnn,

of/llyer! Mr:n ( KI)
ofdflln-cfft:JtU/ (XI)
of lilY!!rt ,Jrr:1I

FlO. 6I S~. EAtavltion for invert al"<:h ; structural amlnll:ement and Sl:quence of operation
for the Austrian ITICthod
 697

mCl1\od. with the exa:plion of the placing of the poling boards. The poling boards over the
segmental arch limbers are all drl~'Cn paralJel and 001 perpendicular \0 the axis of the tunnel
and the ..... idening is done in short lengths, working practically step by slel-' \0 lhe full fate
(cr. Fig. 6IS9a). Owing 10 Ihis s)'stem this method is bell cr suited 10 forcpoling than is the
Engli~h O~, where cons;d~rahle o>crbreaks are likely 10 occur due to lranl"crse poling (d.
Fil- 6/~) . Segmental arch ti mber Jets are ,paced at "20 21) m (4 1 n) accordmg 10 the
~Irenll.th characlen ~lic\ of the around. Simc K'lJ~n tal .~hes OIn be ~l'RCC'd ncn more
tightly if 1lCC~S>.ary HI looser ,.oun.b, 11'1,\ metllod can be bo:ue. ""'Jusled 10 actual ground
~nd'tlon11han the pre"ious O"C$. Since. under h,gM. rock pressures, it i~ $afer to ""dell OUI
the to p heading", a tT!ln$v~r~ di rection, Ih l. may IJo; efT~'\.lcd by I>ladn.!! dcn",ly 'p"ccd,
short hori70nlal stru ts bet ..,-ecn the ~gmenlaJ tim ~rin& ... hich. in turn. v. ill support 11M: cross-
drhen polin! boards ... hen the calolle is beinll e>.c .. ~aled. ( I nfirmer,rou.d.polin,board~
can be omilled. a~ llel/mental limblmng and these 51rul~ ... ill afford sufficient . uppo rt, )
Aft~r e~,a"ation of Ihe lOr> SCI/IIlent, arch Il1nbc,.ing is supporle:! on mtin sill ""nms in.
~Iallcd in the huri£onlal dlamc:ler at Ihe sprI ngings which arc suppurted by poi\! placed in
cuts e>.tcndina dOllo"ll to Ihe in''erl as ~,cavalio" is not Inlerrupted, but conrinued dO,",lIward
in full. ju.t as in Ihe [n&lish ITII:thod. With an appropriately arranaed bottom heading,
,crtlcal pOSH do nOI need lu be .upported on lhe Hoor but on lhe car<" of the bottom heaui"lI.
In addiliun to Ihe sill t,.,am placed at Ihe sprinlli nll. II ""...,and sill beam is abo often placc"
at the botlom of the se<:tion (Fig. 6 (0).
AnI" full outbreak the in"ert ar~h is constructed. the formv.ork erected. Ihullc.inl,: placed
and the mawnry li ninll buil t lfl a single COUf"!,C. again workinll upwartl. f'Om the bottom.
Sin~1: ~gmental arch limbcrinl,: ~el! are spaccd 100 clo", 10 each olhcr. either a .ui tobly short
lenl,:th for the rna.u nry ([ngs has to be chosen, or else t he timberinll,,)u.1 l>: rerno"ed which
""II be >'Cry cumbel'5Ome. With the Au.lrian mclho:l, all the opcratiOM mentioned IIlx.lv~
Dre earned out 111 stcps and sta ll<'red in ~f'IIce but in a continuous scquena.. thus allo ... ing
a cont inuous advance ~nd the p~;,ibility of an euy 5~fVl:y. (This continuity o:· ... ork. natura ll y.
will in~fJl~e dilficult i~s a5 to ~pccd of drivinl,: by t h~ t.llIblishlllcnt of ",,·eral 5lm ultaneou~
working fBCC~. as thc bullOtn hcadmg WI ll nOI be able to provide adequately for ,1"lUltaneous
muding from several WaTki n, placH.)
An inherent di!>lld~antage of lhe: Aust rian method lies ClIactly in Ihe fact that lhe most
dcl~te part of tOO tunnel seclion. i.~. t he roof. is supported by temporary .... pf>Orts only, for
a con~ldcrable lillie. In addIt ion. t hIS support i•• ubject tn repeated di.,l1antling. each occasion
Inilia t'"l1 progrcs~ive roofsubsidcn.:e. (cr. Figs 61JS and 6160) " 'h ieh.ln turn. result in increa._
inl,: Tock pressures. In la rge t unnels. howcver, thc timber dimenSIons and Spacinll of 5Ct~
requircd to re.';st incre""':d lVound pr«su rcs must be SO big and. respCO;ti,'Cly. W lillht, that
in IUn~'S ",th great spans (C.I. motorway tunnels) the mct hod can no longer be applied.
On accnUnt of these facts, thc Austrian method has rcecnt ly been combined in some cases
wi th the I:.nglish one, in that the bn:aki nl,: uut of Ihe full seclion 15 unin terrup:ed Dnd sla&l,:ered
in spacc but in .illllS e.cavated fro:T1 bruk.uT'S spa""d more cI~ly, maintain'n. al the same
Ilute the crown bar support syslcm am.l const n.o<:ling Ihe Itnlng ma.sonry upw:ard s from tho:
bottom in one course. rhe invcrt arch is in~'alled also only aner the constructIon of t he sidc
wa lls and lOp arch. The exca"luifJll of Ihe adjacenl ring is. as a rule. not to he commence d
before t he pcrn•• nen t li nina of the previous rinl,: is complded. The lenlth of the rings can
"ary ""'woen 1·5 m ",nu 12 '" (S f' and 40 f t). dependin, UDOn the nature of the ground.
Se>eral riags may be served by nrIC commfJn 101" heading. The rings can aho he excavated
staggered in spacc:. i.e. leaving temporary I,:round col umn. hetwec:n the respective rings. I n
this ~a5C thc subseq'leni breaki ng OUI and the lini ng of thc intermediate r;ng, is safcr a nd
qu icker under t he protecl ion of adjacent eomplcted liniogl. In any case, when wallin g the
areb, thl' , ilc muS! always be kept in a distance of al least 12 m- I' m (40--SO fl) from the
excava tion face: to protect the masonry ' rom damajlC due 10 bla'lina.
"
~
~ ~

~
,,",• i
l
• ~
< ~
~
~
~
 The IId~ lI n lllge o f Ihe Austrian melhod is Ihat it affords a safe melhod in loose
ground ulw, although il is \er)' uneconomic in ti mber and labour demands and
th us, it is I'cry expensi~e, as shown in Table 6I VII , &.~
TABU 6 V II

A. ..... n'
U."'•• ,... n Sh,fj
C.,,,,n'.,, 'ro,. ,
~I,th<><l P;(""n
I ~(-"
1>1 0... ,,,
.....,k . .. ... o' ~ ln l b..

Belgian
Au, 'rian
294

'"
'"
m
361

'"
152
126
293

"
"
"
r 1""
15S4

62.222, During the cou~ of the last h.O decades a nt'w AUSlfim. Tllllllel ((111-
)" mrIiQn /oIe,hQ(/ has been del'cloped ta king a reasona blc Ulili7ation of hridge
aClion period and up to datc construclion mcthods inlo account. The main fcatures
of this me thod hal'e becn summarized by RII8C'L WICZ I .U as follows ,
Thc freely excavated tunnel
section will be lined as q uickly
as possible wi th a thin sheH-
vault 20 em Ihick of gUnllc·ren-
de rin g. This will be cffected at
tirst in Ih~ upper half of the M:\:-
lion (Slages I and II, Fig. 6/61)
\l) a n e~cayation depth of 0·6 10
I ·] m. This will be follow~,(\ by
thc removal of the remain ing
central eanh-corc couplo:d with
the cxcal'ation of side-pits IV,
coupled by thc downward ex ten-
sion of thc gunite·shell (V). Thus
thc cstablishcd auxiliary roof con-
FlO. 6161. Construction stages of the struction will im:rease t he bridge-
Au,trian Melhod
action period up to the earliest
possible casting of the invert
arch ( VI and V II) by which a closed art:h-ring will be completed. In the
meantime all deforma tions of th is aux ihary roof structure must be carefully
measured and observed Ih rough appropriate mcasuring devices, in ord er tha t
an y cventual undue or cl(cessil'c deforma tlon of the open bottom shell cou ld be
prel'cnted through appropriate anchorage mto the surrounding rock. In add l'

. ... MIKl«l. P. : Araguli]}ltisi renducrek k mOdlUn:k. VQIoga'(ltl/~j~Z<'lrk U flJldu/olli

NJ~ r~pllll. W"yd.s:o'. mrfyrpil~3 k(ir~b4/ (Tl,lnnc:ll ing '~t ems ~nd meth o<b . Selected ~hlpcen
fro.n t ..mnellintc: conslmction, and mlninl! enlJ~rina). Kozl. Kiad6, Budl petl t953 ] 376.
. ... RIlICEWICZ, L. : Die Sodculuna d~ Zcil(aklors im mOOcmcn TunncltNtu. !kricht Ii.
Undcrtreffcn des Inl. Biiros {ilr Gebi r~sme~ hanik Leipzig_Sorlin, Akademic Verl.a 1965.
 ~,

110" nn ""xilinry inner ilnina "''' Y be ""st , when the nlltg nilude of de formatlom
would " "II fo r nn ",e~asetl $"rc ty . In thIS C" SC ,hi. second linin g could be e'en!,,-
ally u .sc: d also for the s uppOrt o f .,,' inne r watcr proo lJ,'g in su l" " ", n ll ~r (d'.
I-ig . 6 / 155).

62.23. Tht Ah em. le Ring !\ !elbod

The new (mod if1~d) Austrian method also may be listed among the alternate
ring met hods toget her .... ith full-face tu nnelling methods using temporary sled
su pports and discussed in Sectio n 6. 1. No headings are actually dmcn iltre.lhe
full tunnel section being excav.u ed in 1· 2 m wide stretches with the masonry linin.
hulll in immed ia tel y. Then , Ihe second nex t ring is c.~ca\'aled and walled up,lea"ing
a ring of ground ur 11,,;: lklm( Icuglh in betwee n. Thus, by driving no ad,-ance
headmg. the prehminM)' loose ning of the grou nd a nd the mobilization ofgroond
pressures a re prc\entOO. Tunnel sections e~ cced in g: 3'5 m in dia arc not usually
e~ea\ated in a single o pera ti on but by steps 111 benches, aetordin g to the principles
of th e Belgian (unde rpinning) o r the German (core leavmg) methods to be
discussed Imer.
In th e alte rnate ring method steel clements are most usually used for lemporar)
su pports (cf. Sections 62.44 a nd 62.45) so eco nomizing: in timber comumpLion.
Othe r ad\'anlages 10 be ascribed to this method arc Ih31 the full tunnel5«tion
is opened up only in short stret ches lind is supported by tempo rary suppons only
for short pe ri odS. its pe rm a nent masonry hnin g hems erected afler a sho n intcr',al,
resulting in a relali ~ely small disturbance of the original sta te of equilibrium of
the ground . On uecou nt of thiS. ground loosening, rock. spalling a nd ombrtah
will be reduced to a nllnimum. T he sta bi lit y of Ihe tunnel section agamst uial
di splace men ts will be considerable. and t he sys tem will grently fllvou r the repealed
UM! o f movable stC'C1 supports. A disad va nta ge is tha t the rather inaccuratejunc;-
t ion of the masonry of intermedi,lle rings .... ith those previously built 5OIIK'tntltS
necessitates th e a pplitatio n of some more ex penSl\'e construction eSpecially when
erecting t he arches. Should, ho\\o\:\'cr. the propping or masonry rings be done in
steps, roor subSidences will also have to be taken into account owing to t~
repea ted dismantling o f tempo rary supports. On Ihe othe r hand, the ground left
between the com pleted rings will obtain support from these as a result ollrrllin!,
and this reduces the roo f-Iond .
The alternate ring methods cannot be classe d st rk tl y a mong c1assk tunntlling
methods nnd, the refore, t he ir de tai led descri ption will be given la ter in ~tion
6.2-1.

62.24 . Tbc Cenlre-cut Metbod

In rocks of adequate strengt h, certain advantages are offered by drivi ng a l1:nlre
CU t. p roceeding upwards to thl! full height of the tu nn el from the bottom heading.
followed by the successl ~e underhand stoping of the 5ides (cu lling mtthod).
After widening out 10 full width, the masonry wall5 a re built from the bollom
'"'
to the lop i n a 5mgle COuTSe (Cr. Fig. 6 138c). The ...cUOn can be ,upponN .>1,,"
by se"n 'en".1 IIrches or by the c rown oor nU:lhod.. depending On roof p~m.
A gr'en l udvarUltse is Ih<ll the roof., immediately ~upp<:> rtcd from the bonom.
rendering the repealed removal and replacement of va r iou8 ,imber'n" ."menI5
unnecessary, th us 3\oiding the main source o r roohubs,dence. A fun her adl"3nllgt'
or the method IS Ihe estnblishmcnI of a clear :md continuous site which is easily
\cntilated. In addition, timber can easily be recovered and fe-used.
A higher rate of progress can also be attamed since multiple face tunnellmg
and the placing of Ihe tunnel lining in a lternate rinlP from separate brtak·ups
is also made possible. Under heavier pressures it is reasonable to reduce the length
of these stretches in order 10 allow more prompt installa tion or permantnt5Up-
ports. The method is simihlr to the Ahernnle rinl! method discussed in the Pre"!·iOUli
section.
6.23. l\lULTIPLE-STACE CLASS ICA.l METH ODS
The methods grou ped among the classical tunnt:1 construction methods are as
follows:
(a) the unuupinning (flyi ng arch) o r BelSllln method
(b) the core leaving or German method
(c) the m~ert arch or Italian method
{d) lhc combined construct ion methods de\"eloped lIS combination of the abo\e
met hods by selecting and combining some of their characteristic eltments.
These methods are, in general, applied in soft ! ro und, the o\'ernding factor In
their choice being the slability of the ground. as follows:
(a) The Belgian method is used whe n Ihe ground in the height of the arch
abutmenl is stable enough 10 carry temporarily the full weight of the arch loadrd
by the roof preS5ure wil hoUI undesirable subsidence.
(b) I n grounds of lower load-beanng capaci ty, bUI still stable enough to carry
temporarily fll floor le\'elthe weight of both the side walls and the arch;weiVted
by the roof pressure transferred by a WIder fOOlIng of the SfLme Wilhoul harmful
sen1ements, the Germnn method is emplo)ed.
(c) In softer gro und where the fulllnnnci width is required for the 5:t.fe transfcr
of the loods, the Italian met hod IS 10 IX' employed.
These methods ... ill be discussed below in the order pven Ilb<,,·e.

62.31. The IIclgiln or Underpinning (flylnJ: Arch) Method

This met hod is similar to the English one but more economical and can lit
a pplied to rdatively firm ground only. The main dIfference between the 1"'·0
methods is that in the English method the entire cross·section of the tunnel is
fully excavated before commencing the construcuon or the walls, whereas in the
Belgian method ex.cavation and ereclion of walls proceed allernately in stages.
The method is widely used becaust" of its conlparati\<ely great economy. r""Q
main t)'pes may be differentiated: i.e. single heading and double headinJ mc:thods.
MULTIPLE-STAGE CLASSICAL MET IIODS 10)

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To place the pilot heading at the lop section is reasonable in dry rock and for
shorl tunnels only, Generally. a OOllom heading is driven (although il \\eakens
the su pporting core),
The Belgia n method was based originally on slaning with a single heading,
and com prised th e foliowi ng features (Fig. 6/62 );
" cen tre top hea di ng is d rhen al ong the lunnel trad. from which th e late ra l
excavation of th e upper half-section (the arch o r the caloue) is done much th e
s.1me as in the Englis h method (cf. Fig. 6/55). i.e. cap~ o r th e timber sets MC under-
pinl1cd by longitud inal roof h.1fS and tht heading successively widened out fan-
like to the full width of Ihe lOp section with transverse poling. Each poling sct
ma y be su pporU:d by ~parale roof bars underp inned by props fro m sills placed
at vary ing levels kc:c:ping pace: with the gmuual deepe ning of the caloue, u n t il
rea chtn g down to springing level, i.e. 10 th e "butment provided by the masonry
orch. The transverse pollngs are frequently no t dri,en o\"C:r the roof bars 10 firm
ground bUI are plaeed ins tead against the l:iHl h roof afler the ucaval ion has been
made for the next side-roof bar. Then excavat ion is stopped, tem porary props
and the cons truction of the arch masonry SlaTted a nd th e walls ere<:ted In a M.'C-
tion of 4-9 m length . The roof burs are unde rpinn ed at both ends by radial posts
at the sa me timc and form"" ork and shull erin g 3re place:d for the masonry .. rch
which IS tu ih up from both sides. In ground of lower, or insuffiCIently uniform
slrensht a rcinfon:cd-l;oncret~ wall beam or timber wall-plate is laid first on which
to bUild the maso nry arch of concrete blocks or ashlar stones (cf. Fig. 6/66).
The construct ion of the mll)Onry arch. the pulling forward of crown ba rs und
the backpa..:king are done just as in the Eng.Jish method. When. during walling,
It temporory prop or post is in the way, it will he removed and the roof will be
suppo rt ... d mean ..... hile by te mporary laggings and shores. The place of crown bars
is left out in the same way unti l they are slid a head into thc next ~t retch . Shou ld
the ground loosen in the course of const ruction to such a n e.'t len t tha t a bre:l k-
down of the roof seems proba ble: all th e timbers, crown bars, posts, props.1nd
poJings are left and incorporated into Ihe masonry.
If work is started by drivin g a boltom heading. the multi-stageexcavlltion of
(hI' full tunn el section and its masonry lining can be done simultaneously fro m
several brea k-LI ps in rings of d e-
fini te length. This method has
the advantage thllt mu cking is
5Cpura leU from construction and
, •
eXClI.va tion worlc (which. at th e
same time, is d isad vantageolls as
, , regards >entilation) and the rate
of ad,'ance is also increased. The
difference ill the sequence of ex-
l'a vat ion ..... ork compared with th e
FIt;. 6/63. Sequenc~ of pa rI e,ca'n (lon ~: (til sinll(~_ lOp heading method is shown III
dri rl method. (b) double-drift method Fig. 6/63.
 After the eom p l"tion and d"shulI"nnll or the masonry arch. Ihere rol1ow~ lhe
ond"rh and Slo ppi ng and tho: (:on~t ru(:1I0n of th" ~de wa ll s under the prO lttl lOfl
of the erected load · bearing masonry arch. This operation. again, can be dope In
st:\'cral ways:
I. I)its or2-3 m (1-10 rt ) wid th are su nk or deepened at intervals from the eanh
core surface, from which the abutments of Ihe masonry arch WIlt be underpinned
by maso nry colum ns on the most impon:tn t arch sections. T he sequcnce of opera·
lio ns of this method is shown in Fig. 6/643. where the construction of the suppon·
ing mllson ry columns follows a chessboard pattern. T he grentest care muSI be
IIIken not to excavate the opposite sides of the same section simultaneously.
In \'ery loose ground. t he sections between the masonry colum ns are also under-
pi nned from such pits, the removlIl of the core o f ground following arterwafib,
In sufficien tly solid ground (such as marl or solid day) the work can be consider-
ably speeded up by the slmultancous rcmo~al of the ground at the sides and In
the core between the adjacent masonry columns to be followed by the bmkll ns.
of the remain ing side wall sect ions in a sir gJe operation,
2. For muerial trans pon and working cond itions it is more advan tageous 10
exea . . a le a cenlral trenc h to the in\'ert leaving a berm of 1'5- 2 m on either six
of the tu nnel to suppo rt the arch of the tunnel lining. From this cent ral I~m:~
narrow CUIS to the sides a rc made at mtervals following R chessboard p:.ilttrn
from which th e masonry arch is underpinned by columns. T he ha ulage tracks
arc laid at the bo tt om of t he tre nch, which m,l kes loading an d remova l 01 the muck
casier (Fig. 6fMb). This met hod can beappJied o nly in firm to mediu m firm ground.
Underpinni ng is a ' ·eT)' de licate job an d must be do ne in altern ate sections
with at least 2 J m (7- 10 0 ) wide temporary ground pillars Idt between them.
Special care Illust be taken in l'1e construction of the sections adjointng the abut-
me nt of the masonry arch because of the d ifficu lties of aceurale compacllon work.
Because o f this. these sections are usually solidified by subsequent cement groutinl.
Side wa ll construction is follo"'ed by the r"mo'·al of the core and the installuion
of the inver t arch, if necessary.
3. Finall), the side wa lls can be constructed in an al ternating continuous opera-
tion, fo llo\\ ing at a distance o f 3-4 m ( 10-13 ft) the uninterru pted udva ncement
of Ihe face (Pig. 6/ 64c). In th is case. adequate tempora ry suppo rt of the arch
abut ments \s most importa nt for whic h wa ll bell ms and shores arc used, In addi-
tion, st rut beams are p laced III the sprmg Ime of t he top a rch to prevent the dis-
plucement of the side walls d uring its comtruclion and Ihal of the invert arch
(Fig. 6/ 65). It is unreasonable not to attack the opposite sides simultaneously,
bu t to exca'"3le a nd build up the respecti ve half-sections somewhat staggered In
space. T his proceduTC enables Ihe in'·en to be placed as promplly as possible
after the construction o f the side wa lls, This is highly desirable WIth rapidly de\"d-
o ping lateral pressures. (It must be noted, ho .....eyer, Ihat wbere in' en arches an:
requi red the Belgian method is nol usuallyappliC'.Ible.)
!f the height of the side wal ls exceeds 3 III (10 ft). underpinning ope rat ions sho~ld
be und ertaken in steps.

4S Sd"b1 ' T he Art 0( Tun",'lln,

706 TUS~ ELL' ,", " IoIOVE .... Tfl ... rlRM ROCKS ASO 0 1 01..0 :-1»

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 ,\tULTlPL£·STIIO E ClloSStCII L METHODS 101

Wtlll beam fWC'Od (Y'

.r/,«/ or C'(lI1crete)

TemIJ(Jl'8/'f/ arch
pinning

Fl(;. 6165. Al"<'h underpinn,ng ror the ~onst""":lion of Mile walls

I n more stahle ground the abutment of the masonry arch can also be established
by a niche cut in the rock which affords a temporary su pport along face u while
the side wall~ are being constructed (denoted in Fig. 6/66 by broken tin~). tn this
case the late ral drift s driven fo r t he erection of side waHs need on ly slIfficie n t
suppan to provide protection agamst spaJhng.

FlO. 6/66. Deluils for sprinllinl support (wan beam) possibililiu

<S.
708 TUNN[LLING IN MODERATELY fiRM ROCI:.S AND GROUNDS

A modified later alternati ve to the Belgian method is its double-heading alter-

native which differs from the single-heading method in that a second (bottom)
heading is driven in which wo rk is actually started (Fig. 6/67).
The lOp heading follows the advanced face of the bottom heading at a distance
of about 25-30 rn (80-101) ft) only_ The headings arc interconnected by break-ups.
The employment of the bottom heading obviates the difficulties in the transport
of material. nHlck removal und drainage inherent in the single-heading system,
while excavatillg and walling opeTHliun, t:1I11 b<: done simultaneously without
mutual interference. On the olher hand, the gruund ..ore - on which the full roof
pressllre is temporarily transferred for the time uf eXl:livating the ealouc and
conslfucting the masonry arch - is weakened by the drift uf the bottom heading.
Consequently, whereas the most critical tunnelling phase, i.e. Ihe breaking out
of the calolle and the construction of the arch was done in the single-heading
method in entirely intact rock. il will be accomplished in the double-heading
method in ground which has been slightly mobi lized because of the previous dri v-
ing of the oo11om heading. Therefore, the double-heading method is employed
main ly in rathe r lirm ground and when driving larger tunnels, where Ihe width and
height of the hottom heading are relatively small compared with the dimensions
of the tunnet, o r where Ihe quantity of ground to be excavated requires, at any
rate, the driving of two headings to provide for a reasonable rate of progress and
for uninterru pted wor king conditions. The employment of the double-heading
method can also be justified when driving re latively long tunnels (exceeding I km
in length).
Late r on, when the section is dcepcned th e bottom heading can he advanta-
geously used al~o a~ pa rt of thc centrc cut (d. Section E-E in Fig. 6167).
Not only two, but three or even more headings arc employed when tun nels
with large sections are driven by the Belgian me thod.
The most important of the merits of the Belgian method is the relatively short
time interval required from the excavation till the erection of the permanent roof
lining because the rapid construction of the masonry II r<:h makes all subsequent
operations easier aud safer under its protection, with the additional advantage
Ihat th e development of higher rock pressures is pre~·ented. The reduction i n
timber cousumplion lind in the demand for long timber logs are added advantages.
It is also advamageous that tunnelling operations can be carried OUI ~imulta­
neously and undisturbed in a number of separate working sites (especially when
using double-heading methods). Finally, the method can be easily and ad~an t u­
geously combined with other tun uelling methods, e.g. n combination with the
K UNc"Z method (see Section 62.44) is shown in Fig. 6/68 when a small crown-short
ad it is d riven ah ead with a roof supponed by forepoled crown bars instead of
a regular top heading. The calott e can be exca~ated in ils full section under the
protection of rail ribs placed on the crown bars and arranged along the annu lar
space established. The side walls are constructed by the employment of sinking
pits at intervals, serving for the construction of masonry columns performing
the eoun terforts.
 MULTIPlE-HAG! CLA5liICAL METHODS 709

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710 TUNNELLING " 1oI0VEUTtLY filM ItOCU AND G lOU-';OS

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 MLLTIPl(-STAOf CLASSICAL METIfODS
'"
Beside its merits, some drawbacks are also attri butable to the Belgian method
principall y because of th e intricacy and dangerous character of both arch unde r-
pinn ing and underhand ~topin g, The mason ry arch when ready often become s
lissured due partly lO the poor compaction possibilities of side wall co ncrete and
to the blasts a pplied in breaki ng OU I the place for the side walls. A further dis-
ad van ta ge is presented by the sp ri ng- line in terruption joints established no t only
at the crown but also at the eoun terfo r1 s of the arch. i.e. a t the most exposed
displacement poinls. Moreover, haulage traeh and drainage ditches must be
repeatedly re-si ted and. finally. the casting of the in vert arch, if any. fo r protection
lI,ains\ la teral press ures is performed last of all tunnelling operations. i.e. onl y
ufte r Il lo ng delay. In conclusion - according 10 STlNl - th e Delgian melhod can
be advantageously applied in the construction of medium length tunnels dri ve n
in d ry ground or in fissured roc ks of medium strength. If running or rolling
grou nd results in heavy rock pressures the ap plication of this meth od becomes
the less ad visable the grea ter the span of the tunnel and the bIgger the rate of
wa ter inflow.

62.32. !"be Core-Iu" ing 01'" GUma n Method

This method is ap plied when the load. bearing capaci ty of th e ground is insuf-
ficient to afford suf... tem porary su pport fo r the masonry arch d uri ng the construc·
tion of the uode rpinni njol side walls, so that th ese must be built up first. The to p
tunnel section (t he calolte) i~ o nly excavated subsequently and the masonry arch
is built upon the a lready completed 5ide walls.
In its most cha racteristic ronn the method starts wi th driving 110.'0 bottom
headings, one at the foot of each side wall (~e I in Fig. 6/69). T hese are driven
ahea d 10 the chosen length of th e working s~l ion, each of them being used d uring
advancemen t for exc-wati on a nd
mucking. then d urin g their retu rn
fo r Ihe delh'er)' of masonry ma-
tenal and to gin~ space fo r the ,
,
construction of the side walls.
Side walls are compacted tightly
, ,
, 4
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to the eanh wall outwards, i _ _ _ L'
-,-- ___ J..

whereas the in ner space left , ,

T
I
between the inner wall face a nd
• ,, ,
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I
I ,
the outlines of the headi ng se ts I
must be fi rml y backpacked wit h i I
~
boulden or Jean co ncrete, which
is to be cleared away later duro
, ,
ing the removal of the core
( Fijol. 6/10). If the height o f the
side walls admits, two upper FlO. 6/6'1. Sequence of part excavat ion! in the
stage headings arc also dri ve n core-tU"in, or German method
712 TUNNEllING ''1 MODERATELY FIRM ROCKS "I'D GROUNDS

8ott&i! drift 1rm,~g a:1f/ C('.1(rftJ"",~

0, Cip IN'!. outs/de
I I /'rom n(""arm
~
I
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Pas1 M't /r!!!f/d

[)rivmp iJ/'kp dr.,./l

Comt,.,J/:!lO/l of.r.-e.1:.t14! i7l'9r

mi;/c."Ctd-C'OI!(!'f!tr lrni7g
~

Re,nfctn!d-
C~lIcretf post
IfI'!. bl",/Md
ffIJJ{!fI'~II'

FIG. 6/70. German method without spring-line drifts

 'IlJLTI~U-STAGE CLASSICAL "'ETHODS 713

FIG. 6f7t. German method ..... ith

spring-line drift

-I
above the bottom headings (ef. Section 62.33), rendering the operation of
muck remova l, o r Ihe transporl of construction material, a nd concreting oper-
ations possible. Should upper stage (sp ri ng-line) headings not be employed,
bottom headings a re inte rconnected al definite intervals by cross-culs. making
allowancc for the simultaneous construction of in vert a rch ribs the re. which is
essential in loose ground. For "ery wide tunnels also the driving of two double-
bottom headings can be considered. By the separal ion of excavation and haulage
work and by providing for undisturbed a nd continuous transpo rt facilit ies through
doub le headings, the const ructi on ti me of the walls may be reduced 10 about
one half o f that req uire d for single-heading operaTion (Fig. 6/71 I.
In higher sections the use of multi-stage headings is prefe rable. in which case
the uppe r spring-li ne heading (/) is to he driven ahead and pits 3-4 III (10-13 ft)
"ide a re to be cut from this to the bottom heading al intervals, in which Ihe
erection of side wa lls m!!.,. be started. '
The construction of the side walls is followed by driving a centre top heading (1)
which is then widened out in the same way as In the Belgian method (4) and the
maso nry arch is bearing upon thc already constr ucted side walls. In the course
of all these operations both the posts and formwork are still su ppo rted from the
mner ground core, which is removed onl y in the subsequent phase. followed.
finally, by the plating of the actual invert (cr. Figs 6/69 and 6/70).
Another advantage or this mc:thod is its economy in timbl;:r consum pt ion as
the ground core IeI'! in the section secures the suppon for arch timbering. provided,
o f co urse, thaI it is wide and firm enough to ensure an unyie lding ,uppon. Any
undue compression or the rore under loading would result not only in furthe r
loosening of the ground above the rooL but would also lead to cracking of the
concrete a rch, especially when movemen ts take place during selling time. A furthe r
714 TUNN[ L LI"O IN MODEUTELY F!M'1 ROCKS ,I,);"D GROUNDS

advantage consists in the excavation of small sections only at one time where the
respective section of the permanent lining is immediately built in. A disadvantage
of the method lies in the difficulties encountered in haulage, as a consequence of
which bonom headings mus t be driven to their full length before side-wall con-
creting can be started. Furthe r disadvantages arc that the ground is always
loosened somewhat in the calone before its break-out can be started, and t hat
construction of the invert has to be postponed 10 a certain extent.
To eliminate the difficulties in haulage a nd ventilation a !;cnlrc oollom head ing
may be driven ahead and used in wide-section tunne ls, from whi!; h t:rOS$-!;:uts a rc
made at certa in distances in both di rections to permit the driving of the respcdivc
stretches of the side-wall headings from them. Another possible combi nation is

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fIG . 6/ 72. Con,truction of the Rove tunnel with multiple-drift method

 MULTIPLE-STAGE CLASSICA L MHHOllS 7IS

to stan with the driving of a top heading, as in the Belgian method, and after
widening out the lOp section in the usual way trenches are cut down fO f the con-
struction of the si de wa lls, lea ving the core between them inlllci. T h is also shows
how the Ge rman method is often combined with the elements of other tu nn ell ing
met h ods.
D u ring the whole process care must be taken no t to weaken the core excessively
by the driving of lateral headings, as the core must constitute the suppo rt o f th e
arch t im beri n g. For th is reawn this method ca n be emp loyed only for building
tunnels of consi d erab le width and is especially sui table for the construction of
u nderground stores, factory halls o r shield chambers. T he re is 110 dou bt wha teve r,
th a t in ground u nd er heavy rock p ressure th is method affo rds the greatest safe ly
in const ruct io n. W here the arch se>:tion - owing 10 Ihe runn ing chara cte r of the
grou nd - can not be excavated safe ly by the usua l melhod of widening, addi tio nal
headings may be inserled bet wee n the sta nda rd headings drh'en at the springi n g
and c rown when the tu n nel se>: li ons are large e nough. T his allows the arch ma so nry
10 be cOnStructed by steps. Naturally, the space left hetween the outlines of t h e
arch and of the heading must a lways be thoroughl y back packed here as we ll
(cr. the const ruction of the Rove tunne l, Fig. 6/72). [n a ddi tion, of all classical
tunnelling me thods this provides the greatest safety againS I surface subsidence.
As t un nelling eo.ts will increase di rect ly with the n umber of Ih e head ings an d
break-u ps. th e G erman mcthod is fa r morc expensive than all Ih e o th er methods
hithe rto discussed, but th is is partly compensated for, neve rth eless, by a highe r
deg ree or sarety.

6 2.33. 1be h a lia n or In n ' rt-Areh M ethod

T his tun nelling system (Fig. 6/ 73) is app lied in very soft and treacherous grou nd
where considerable latera l pressures are also likely to develo p.
On account of Ihe ~evd()p""'nt of Ihe$e pressure'$ it mUSI be ensured that on ly small arcas
are opened and a re supported immed iately by temporary timbering ur, preferably, by the
subsequenl parts of the permanen t lininll. Wilh rellard 10 Ihis. the const ruction of Ihe lilling
is carried OlU in steps in two or threc verlka! sirelcncs separated by horitomal planes. Con _
Slruclion starts wilh laying Ihe base (1- 5, prior to the ercelioo of the side walls, as otherwise
thc loads upon the WIlls could not be Iransferred safel)' On 10 the soft ground without involving
undue ",,[{Iemenl. Furthermore. th is order of sequence is required nOI only for load transfer,
but is nece"ary 10 provide an earl)' .upport to the side wall s againsl the rapid ly increasing
lateral pressures while construction of the wall' is proceedi"g.
A bollom cenlre.drift is fi rsl started and driven at about Ihe lOp ie""i of the invert for
a very ,hort d"lance C2-3 m: 6- 10 ftl afte r which it is cnlarged 10 the full width of Ihe lunnel
b)' driving narrow strip< of c<oss-drifts wilh ,.:ry heavy and light timbering. The in,'ert an d
as mIKCh a~ possible of the side walls arc conslrucled in lhese drifts and the open area i. back_
pa~ked by rock spalls or b,. lean-concrete (7). Si nC'e the limberinll of the bottom drift mllSl
be ""ry stmng, steel IS most often lI..,d. The in""" is caSI from pill which are Slln~ below
Ihe floor of Ihc 00110", drifl and adjoin i"/! It and the side-walls arc also buill up 10 100 roof
levcl of Inc drift (6). After the backpackine (7) already me nt ioned, onl)· litlle space remains
open for Ihe "dvancement of the bottom drifl. i.e. for lranlport purposes. A C<: nt re lap head.
inll is Ihen driven (7-8) and eniarg"d 10 full width (10) but limited in IenSlh 10 tbe previous
716 TU"SE~UNG IN MODERATELY fiR\! ROCKS ""0 GROUNDS
MUL nl'l[·STMl[ CUSSlCAL ."n ~;ODS 717

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118 TU'I\,I LLI'G IN MODHAHLV n~,.. MOC KS AND GItOU"DS

FrG. 6n4. Enl.riemcnl or Ihe

~adillil with radi.l props

dimensions ",he~ Ihe COfT'tsj)Olldlnl Kellon uf Ihe ma"ln.y arch "' ill be eonSlru<:\cd. This
UppeT $Cel ion of the tunnel ,s 'ery 11<'3,,1,. (,mbcKd. Tillhtl ~ spand IllInsvcl'lC polinp a~
supp<med by radial postS seated on a Jill piKed cilhcr on tile bench left bclWOXII Ih" drIfts
or on tile previously irulallt.d backPllck in, (Fig. 6,174), In hllher lunnd , an Inlcrn~,ale unlR
hcadinll is insnlkd be,,,een lhe \01' and the bollom drlf, s, from "hich the inlcrmfiliatc part
of the silk .. ails is bl1,h up, at least. 10 sprin.l inc: level accordin. 10 Ihe PIIHern .j~cn abov.,.
Tile load~ from Ihe roof on the suppom can, IIl"S, be transferred either to Ihe wall, Or Ihrou"h
the dry packinj/. 10 the permanent in,·cr(. In 100"" or run"ing ,round. however, i, will oflen
hap~n (hat even the m~sunry arch call "nly be bUIll in portions from sevcral Short Illlilll
alltl cro~~.drif(~ procc~dinll from the srtrinllinll (o"'lrds thc crown,
Undu es~cially difficult circumstanc<:s tile cap uf the bultom or the intermediate drift
is allo const ituted by an auxiliary mH,onry arch (cf. II in F'lii. 6173). offerinlllllCldy sup port
for the e",a'at'on of the an nular top ;.pac< and for tile construct ion of the ml~onry uch.
After complet Ion of the masonry arch the core and the temporary dry·packlng arc removed.
The removal o f this packing. when made 0( leon concrele, ma) rftjuire some blutinll. This
lean concrete muSl, 11.1 any ra le. be separated from the permanent masonry by insulalin, PlIpcr.
The maIn ad~a ntalle of Ihis method is that the: worltings arc >uffic~ntly )nuoll to be readily
bra«d and maimalned in Irc:achcrous ,round.
It is .dopled u nly under CJ<lraunltnaTlly hea")' ,round conditions b«aule of il$ hi.,. COSIS
and II;; VCT) slnw rate of prolreM. Mod~m Ihl~ld mclhods .... ould now Ix used ror _II lunnel.s
for whkh Ihls mcthod ""as desi.ned. C'<c<pl pouibly where only II. ,hurl length of vcry treacher-
OUlllround is encountered, For (l.wmplc, II wu employed ",hen drivinllthe Simplon tunnel
on II. streIch uf il5 ""uthern ~t ion under 'cry hillh rOl:k pressures which cou ld be perfumtec.l
(l!lly by th~ application of t his method (cr. Fil. 6/73).

02.34. Cflmhlncd Tllnnelling Methods

The tunnelling me thods already diSCUSsed arc no longer used in their original
design even for tunnels, much less In thc constructiun of large underground ha lis,
shield chambers, etc. but theI r working phases lin: generally mixed and combined .
The most usual combinaltons arc dcveloped rrom items or the English and
Auslnan methods. or from thosc of the Iklgian and German methods.
The poSSible variations of these combinations are numerous : some of them
M\'e already been mentioned in the discussion of the methods themselves. In one
of these \'aflUtions. e.g. the IId\,untages of the English and Austrian methods a re
combined and, at the SlIme time. the radial-post snpporting method is used for
WIdening thc top section (Fig. 0/74),
 ,\ tULlULt-STAGf. CLASSICAL MtTHOOS 719

In the most frequently used combinations the lining masonry is built in rings,
in the same way as in the English method, carrying out in each ring only one
working phase at 11 time. Construction proceeds, howe~er. not in a single tunnel
section o nl y but work is going on in scvcral tunnel rings simultaneously. con-
nected by break-ups to 3n advance bottom heading in order to speed up the rate
of progress. The continuit y of work is. thus. secured by the St:pHration of the
working sites withoul leavingoreas open for a long time as opposed lO the Austrian
method whe re the various working phasc~ afC carried out simultaneoLisly. but are
staggered in space.
Sc.'gmental arch timbering which is v.ell-adaptable to var:ring pressure con -
ditions, is adopted, but is combined with tl1lnsvcrse poling in soft ground. With
the applk-ation of the radial-post systell\ the excavatlon in the arch segment must
not extend beyond the extrados as the crown bars which v.ould require these
overbreaks in the Eng]ish method are omitted here. On account of the radial
arrangement of posts the clements of both >egmenta l arch timbering and poling:
can be removed immediately prior to the construction of the respective stretch
of masonry in such a small area and ror sllch a short time that the bridge.action
period of the ¥fou nd will alford protection for a sare ca~lIng of the wall sectioll.
The lldvan[agl'"S of such com hi nations were clearly demonstrated in the construc-
tion of [he shield l'hambcrs fo r the new subway in Budapest as discussed in
Section 63.44.
Among combined tunnclling methods may be mentioned the American me thod
which is eharaeterited by the use of polygonal arch timbering and by the greater
use of side posts without interior struts.
The face is opened by II top heading. uSllally rectangular in shape, which is
poled ]ongilUdinally and timbered III the usual way. ]n the space between two
bents of the heading the crown scgments (caps) of the timber archcs are set in
position and held in place telllporarily by secondary posts or by strips or scantlings
spiked to the main t>Osts as shown in Fig. 6/ 75. A short length of 0-60-1-80 m
(2-6 ft) is then widened out withou t palings or other roof support and the seg-
mental arch clements adjoining the crown segmentS are put in position and held
by iron dowels and by a short prop. ]f the segmenwl timbers ure no t sct close
together. lagging is inserted above the ti mbering and the cavities between the
lagging a nd the ground are backpacked. The Widening out for the next :.egmental
timber is done III the same way down to the sill. After the t\\oo sills have been
placed the roof timber is completed and thc bench remaining below the top hcadi ng
sill is removed.
Duri ng each operation the sill timbers arc underpinned by anyone or the rol-
lowing methods. If the materia] is \'ery firm a ]ongltudlnal cuI is made in the bench,
leaving a beam on which the sill rests and thc room for the eounterforts is exca-
va ted at intervals under the si ll. and posts arc placed. ]1' the malerial i5too soft
for this., pits arc sunk at intervals and at first short posts are placed to support
the silts, and. later, If excavation has proceeded these are replaced by long posts.
In sufficiently firm material the si lls or wall platcs lire set in niches at abollt the
720

,.,

AI/)".ilP/I ~1< '11J1"

{let'/! ('1.1
•

~---- ~ ~.:!. ~
. /tt,; 1lt'Im
,4:U';
SotlM! J:!/
. "

I- 'G. 6/7S Pcnlasona l limberin& for tM headi ng :

(a) y,. il h vertica l POSI,:
(b) with incl ined PQ';I J

springing Ime and no posts a re used . The nu mber of units in the segmenl5 varies
bcl l'>'ccn 3 an d 7 depend ing on the wi d lh of the t unnel section. The method ha s
been SUl."Ccss ruJl y a nd econorniCIIJl y used in fa irly firm ma terial I'> hic h would stand
for 11 short time wit hout support. Its chicf adva ntages a re fhe la rge ope n area
wi thin wh ich the maso nry lining can be buil t con ti nuously from invert to crow n .
and the economy in limbe r. It may be used a lso in rock, whe n the top head ing
is timbe red I'>ilh ca ps a nd posts and , wh ile th e a rch section is being wi dened
successhely by sho rt leng ths, the elements of the segmen tal a rches an:: joi ned
di rectly to the ca ps. After reaching down to th e springing, sills are placed a nd the
posts may be removed (Fig. 6/7S) .
 RECENT TUNNELUNG METIIOOS 721

6.24. RE CENT TUNNE LLI NG METHODS

EJ\lPLQ Yl NG BOTH TIMBER AND STEEL SUPPORTI NG ELE)IENTS
The tunnelling methods hitherto discu~sed all have a high timber demand.
It is true tha t generally only the poles are definitely lost from the timber used for
supporting purposes, whi le elements such as crown bars, sills, posts, ctc. arc most
oflen recuperated when the permanent masonry lining is built. Ncvcnhclcss, both
thei r recuperation and re-use always involve some inevitable losses as some will
break under exces~ive loading while others have to be cut for rc-usc, in addition
to which considerable losses will also have to be ascribed to decay act:dcraled
by the dam p atmos phere of the tunnel, all rcsulting in the gradual eonsJ,lmptioll
of the whole of the timbering material.
Owing to the fact thal in the driving of any particular tunnel or heading of
constant cross-sectional dimcnsions, the temporary suppons required are always
o f thc samc type and dimenSIons, it is a matter of course to favour the employ-
ment of supporting clcments suitable for multiple re-usc. This has Jed to the devel-
opment of steel and rcinfon:cd-com:rete supporting structures and of tunnelling
methods making usc of sut:h temporary supports. As supporting elements of this
kind have already Ix:en discll.sed in de tail in connection with headings, only the
more llsual tllnnelling methods which make usc of them will be discussed here.
Steel elements can Ix: emploYl'd in Ihe following three combinations:
(a) steel liner-plates instead of timber lagging (poling boards), the evenilial
bents being of limber
(b) steel sllpponing-bents combined with tImber lagging
(c) steel bents with steel1iner-plates.

62.41 . Tunnelling "ith Liner Phi ll-s (the Need le-Beam Method)
The liner-plate method is gene rally employed for driving steel-lined small-scc-
tion d rifts or headings (2'5 4·0 m: S J3 rt dial in medium soft ground. It can also
be adopted for small cross-section drirts even in running ground when combined
with compressed-air dewlHering. Jls simplest application is shown in Fig. 6,176,
where steel li ner-plates 0·40-0-50 m (16--20 in) in width, 0·90-1·80 m (3-6 ft)
in length and 3-6 mm (1/8-1/4 in) in thickness, with 40-50 mm (I 1/2-2) in deep
rolled or welded flanges (rims) are used as roof supports (cr. Fig. 6/16). T he firs t
liner-plate of 40--50 mm (I 1,12-2) in width is placed as the crown segment in a
previously mined cavity al the top and twO adjacent liner- plates arc bolted to it ,
one on each side, after the hole has been sllfficiently widened. These plates are tem-
porarily supported from the ground core by trench jacks or by carefully tightened
props( Fig.6/63a). The arch section is then gradually widcncd down to the spring-
ing line and the liner-plate ring so obtained is wedgcd outwards from wall plates
or wall beams placed at the grooves h. In small-section lllnnels aod io softer
ground th is plate ring can be left unsupported during thc constrllction of the
masonry arch, as in the Belgian method, the fo rmwork being temporarily support-
ed from the bench. While the arch concrete is being cast, the liner-plates are gradu-
122 TUS\ rLU,>O ,...; MODE ....ULI' fl l~ l OC KS A'iO G ~OU 'O S

b)

As!
I
I
'

~\--
J
'\ !.a!1 ~~:;~
,
\'" / .rIff1 /)tid
,,/ wits ?1/5~40::::ft.....
,/

--- -' "- -~-- -- /

--../
~tm.tfflJt t:r/t.5 fbr :lie (()tIUI'VC1IOf1
of tile mVPrl

!'IG. 61'/;. Liner plate method

all y wilhdrawn and regai ned . After an inlervul of 3-4 days the cxcllvalion and
construction of the lo,,"'cr tunnel secti on follows. This ca n also be accomplished
in rings as shown in Fig. 6176c.
Anolller variation of the melhod is the 'needle-Ileum method" ( Fig. 6/ 71), where
the full cross-section of the tunnel is broken Duland lhe plales, which In the course
of the cxcltvalion are sel up one by one. are supported by radially SCI trench
Jlu.:ks or props from It centrally placed longitudinal girder. tke 'needle be'.lIll',
which consisl$ of two heavy steel joists bolted to eac h othe r. the space bel\<oecn
being filled Wi th hardwood . T he length of Ihe needle-bealn is ehosen to exct;."(:d
the dail y advance hy 1·0-1·2 m. 11 is placed at th e bonom of the lop heading,
its rear end being supported durin g lhe driving by II post from the ooncret~ inverl
 723

of the tunnel which has already been placed in position. When the needle beam is
placed, the trench jacks which formerly stood upon the core will be taken OU I as
the new ones an: set from the beam. Wh ile In the upper half section also timber
props can Ix: used instead of trench jacks. In the lowe r half, sleel trench jacks
arc best tocounleraC\ the c)lcessive bendingdellecI10n of tht;: beam by their restretch-
mg, espedlilly in renlly bad ground with excessive T()Ck ground-pressures. The

--- -

_.'iJoI;IIg IT1/lt

FIG . /,,77. Ne..dJc_bum method with $1,..,1 hm.,,·plalu

needle·~3m method is. ho\~ever, not devoid of some drawbacks. First of all,
the heavy beam mllst be moved forward by hand, and the lurge number of tre nch
jacks mterferes With both communication and work. The use of liner-plates
without stiffening ribs is, in addition. always somewhat risky and may be to ler-
ated only in firm ground and small-diameter tunnels. A further importan t point
is not to excavate section ahead 10 distances cxcC1:ding oue dais concreting
Jfl order to avoid the development of high rock pressu res. Moreover, each row
of trench Jllcks must be con nected by axially placed etchers to prevent it5 shpping
o r kickin!! out on the steel washers.
 62.42 . The Full·fate [rector Melhod
This varia tion of the previous tunnelling method is often used. I n la rge ci rcu lar
tunnels, such as subaqueous highwuy tunnels or subway tunnels., where, on accou nt
of the greater diamete r and of the highe r rock pressures, the tunnel lini ng must
consist of heavy cast·iron segments o r of prtx:(lst o r prestressed reinforced-
concrete blocks. whic h lire \'C:ry difficult to manipulate if placed by hand. In such
cascs. spccml equi pmcnt, i.c. erectors "'ith movable arms, usually em ployed in
shIeld tunnelling (see Section 63.24), are resorted to fo r placing the segments or
bloc!.s (cr. Figs 6/ 154 and 7/ 20). whereas mining is e!Teeted eithcr by t ile fuJi face,
o r the lIead ing a nd bench, or the crown·bar method.
Such heavy lining elements can be placed only whe n procCt:ding fro m the bottom
upwa rds a~ a precisely filling ring of precllst concrete blocks or .:ast·iron segments
clln o nly be built if their subsequent settlement or displacement is completely
avoided and their geomctrical trueness 10 shape is ~ured right up to the comple-
tion of the ring. In this respec l the head ing and bench method would only increase
t he period between excavation and lining - ilwolving continued loosening - so
il IS gcncrally more practicable to apply the fu ll·face method. This system can be
ap I,lieu ilJ ralher firm dry ground possibly ont y In combination with rock bolting.
In wet or loose gro und the additional application of the compressed.ai r process
may be of I!rcat hel p.

62.4.3. Tunnelling wi tb Liner PIau'S Ind Stiffening Rings

The lincr· plate method is used in vcry large tu nnels in combination with stiffen-
ing ribs.
62.431. Syrtem empJo)'l'd in flrl' Chico.flO SubwQy. A highly praCTical s~st em was
employed in the constru.:tion of the Chicago Suhway as shown in Fig. 6/78. The
ribs consisted of ISO mm [- beams and were spaced at 0·60-0·75 m (2- 2 1/2 ft)
intervals, the lincr-plllt~ being bolted mSlde the ali ter flange of the ribs Instead
of outside (cf. Fig. 6/ 17). The segmental nbs are composed of several uni ts con·
nected by bolted fish .plllie joints allowmg the face 10 be excavaled in slIccessive
phases.
A top heading is drhen fi~tllnd the crown plales placed wllh the corresponding
rib segments in its roof und supported by trench jacks from thc ground core.
In con tinuation , the whole lOp ~ection is su.:.:cssiveJy excavated down to t he spring-
line on both sides while further lioer plu tes ure attached a nd su pported by further
trench jacks fro m the core. TheD pits are sunk at both sides Hnd further Ji ner·
plates and rib segments attached, support~ now from the inner pit.walls by other
trench jacks or props. The lnst segment· ribs acting as posts alWliYs rest on wllsher-
plates laid on the bottom of the pits a nd sufficit:ntly large in surfal"C areu to transfer
theIr load 10 iT safely. Instead of separate washer· plates longitudinal wall· beams
may be used to support the ribs. Finally, Ihe ground cure is IIltud.ed from a ll
sides and clea red away.
 UClNT TUNNF.LLlNG I>IHtlOOS
'"
"5(:.W r.1:M10r0p
I!50 slPcl ribs I

~I
~I

iawt'r Ip'f/ch
..
•
~
~-~ -- -------~-~ ,
'l

L/fIt,. plate

n o. 6178. U""lTIla(e<; sTiffened by slul ribs

T he masonry lining is constru(;too from the bottom upwards in rings as wide

as the width of a liner-plate. the liner-plate and ribs having been dism:anlled pre-
\'iously, thus leaving the ground faces unsupponed for thIs lime. For this reason
the masonry work must be accomplished as quickly as pos.sible and therefore
preference must be given to Ihe use of precast-<:oncrcte blocks, ashlar slo ne or
bricks as lining malerTal. For the sake of better bonding bcty,een the single COUrM:S
of blocks or slones, the masonry ring Walled up extends to the width of two liner-
plate rows.
Naturally. the whole working cycle is staggered in space, the top heading
being driven a head, directly followed by its WIdening, whereupon the various
stages of sinking pits or side cuts are effected. completed by breaking down and
removal of the core, casting the inven and the construction of Ihe mason ry
walls and top arch in successi\e shifts (d. Fig. 7/34).
The fo rmwork supporting the shuntring of the inner wall faces is usually a lso
a steel ~lTucturc, strutted from the core or from the opposite sides of the eXCil-
valion by trench jlleks. the corresponding liner plates and rib segments being
strUlied at the same tilllt by anothe r SCI of trench jacks or props from the form·
wor k proper.
726 TUN'ELLlMl " MOOEItAULY filM IlOCU Al'D G lOU'DS

62.432. The liller-plate me/hod. This method, described below, was employed
with certain modifications in the constrllction of Ihe concrete-lined sections of
Ih! subway tllnnels in BudaJX~t (Fig. 6/79). The Hanged liner plates u!.ed were
SO em (1 ft 8 in) in width and hud II length of 90 em (3 fl) and a thickness of 8- 10
mm (3:8-5/ 12 in). with flanges 8 cm (3 in) deep.
The face is aHacked at the crown. a dnft being broken out equal in width to
a liner plate, at a height of 1· 5-2·0 m (5-1 ft). where the first liner plate is placed
Rupported by [\ trench jack from the drift-bottom. This plate will "Iso be tempo-
ra rily cantilevered by allaching it by bolts to the prc\'iously erected plate-ring
section. T he drift is then ,,·idened out towards both sides and further liner plates
arc bolted and propped temporari ly by additional trench jacks down to the spring
line. The last Hanged plate a t tlie spring line I~ placed on a longitudinal wall beam
and the plates forming a thin arch are firmly prestressed by wedge~ driven belween
Ihe wa ll beam and Ihe overlying plme to render JI self-supporting while the trench
jacks are replaced by adjustable propping arms mountcd on a car moving on
a central track in the heading. This, again. only provides a temporary propping
10 suppon the liner plates until II rib of steel joists ~."ompo5Cd of two quaner circles
is installed. These Stee! ribs are butt-jointed at both ends and provided With carrier
plllll;;~ ........ lIrinl! It!!ltLlLSI each olher at the crown anti ~gainst the wall-plates or laId
upo n the wall beams.
After installing the steel ribs the mo ving car is withdrawn. The steel fo rm work
is erl:\."ted and its shuttering placed for the construction of the masonry arch.
Prior to Ihis. ho ....eve r. the steel ribs must be propped by short trench jacks from
the fonnwork ribs. When staning with the constructioo of the masonry an:h
the lowest liner pilite and the lower quarter of the stiffening rib ure removed. and
the remaining ~et of plates is S1multaneously propped by additional trench jllcks
from the st~1 fo rmwor k ribs.
In this way the masonry ring can be safely built and both the Jiuer pilites and the
stiffening ribs can be regained.
The construction is continued and compkted accordiug to the Belgian method
by underpinning the masonry arch by pillars constructed in pits or by staggered
bottom-riugs built up in tra nsverse ellts.
In firmer ground the method has been moditied by abandoning the stiffening
ribs, and direc tly su pportiug the hner plates by trench jacks from the steel form-
work. T his, howe\er. has proved to be admiSSible only in coneshe ground. Mo re-
over, OIre must be taken that the excavation is closely followed by the construction
of Ihe masonry and that. above all, the liner plate nn~ shall not be left unsup-
ported exce pt wi thin the bridge'lIction pcTlod.
62.4]]. Side-drift /IIe/hud witlt steel supports. In fissured or treacherous roc ks
and for wide tunnel set;lions side drifts a rc driven ahead of the main excavation
for some convenient distance. T he steel suppon of tbese drifts includes the main
tunnel support posts and wall plates. J ust prior to excavation of the main fate
the drift support proper is "'moved. leaving the main posts and wall plate in
position. These utend above the muck-pile, thus permllting erection of the main
J,
"o

,
<
,-
-'8 TUr-NELLlNG IN MOO £ R~n LY FIRM ROC~S "1'0 QROU:-.'OS

arch-ribs before mucking out. Where rock conditions are hard, break-ups are
made towards the crown leaving the core in place, thus offering a convenient
surface from which the roof can be quickly supported by jacks or props until
the arch ribs can be placed. The ribs are usually multi-piece for manual handlinll
ill t he restricted space. The mlin tunnel is excavRted to the full face where rock
conditions permit. The ribs are then usually installed in twO pieces for speedy
erection and early support of the main mor. Crown bars mlly be used to hold up
the roof till the ribs arc placed. When all temporary supports of the full section
have been placed the casling of the concrete lining is started. In practice . the
formwork is strutted from the sides of the ground core. Fin~Il)', the ground core
is excavated and cleared away and the invert is constructed lasl.

I
--r
I
I

I
.~~ .~~
---.-
FlO. 6/80. Side-drifl method

A vari"nl of lh~ ~i(l~_drifl melh nrl (rf Fie I'i /RO) i~ In m"k f' Ihe ~ide .lrins
large cnough to permit the construction of the respective part of the permanent
lining just up to the springing. The main arch ribs are then installed as an a rch
on these concrete abutments. The main support and the drift support arc of
the continuous rib type (cf. Section 61.31 I) in this case. As can be seen, Ihis
procedure is even more similar in principle to the German method.
A further variant is obtained when an add it ional top drift is driven, in addition
to the side drifts, and the supporting rib sc::gments of the arc h are placed in trans-
verse cross-cUlS upon the top of the side walls previously cast in Ihe side drifts
(eL Fig. 6/81).
 RECENT TllI''''(lUNG METHODS 729

62.44 . The Kunz Melhod

Another widely used lunnelling method is the K u~z method using mixed mate-
rials for temporary support, namely steel formworks and arch r.bs combined with
longitudinal timber forepoli ng and t imber props (I-lg. b/8l). In this method the
top heading is dri ... en aheac in step·like stages. First, a short drirt is advanced
in the crown section of the top heading, the roof of which is supported by c rown
bars pushed forwa rd as cantilevers. The drift is then widened out toward s both
sides a nd stet:! su pporting ribs (usually of small profile rai ls) a rc placed piece by
piece at the extmdos of the heading bearing the ax ially forepoled lagging. The
front face of the heading is supported by breast boards strutted from the ribs.
if necessary. These multiple-piece ribs arc composed of 3 o r 4 segments con-
nected to each other by bolied fish.plates as widening: pro;:eeds. In the same drift
is the rnultiple-pia:e steel formwork also erected by a step lagging beh ind . The
lower pieces of both :>u ut.;tun::s 8TC scated upon n lons,t uc.illlal wall beam. the
external ribs being braced from the formwork by special steel colla r braces, known
as riders (see Fig. 6/83). These ri ders are short steekol/ar props consisting o f t wo-
channel or four-angle sections which can be seated into the 100 120 mm wide
interstice o f t he duuble·channel steel segment s of the fonnwork. where Ihe y art:
fi:o;ed and adjusted in le ngth by hardwood wedges (cf. "A" in Fig. 6/82). When th e

CraWI1 daft

fil;gmg
+----
I
Jute dflll

- - ......-
FlO. 6/81. Muttiple-drirt method
')0 TU""(J,,lIl'oG " MOOt:RAlT.lY HMM ROCU ... SO Gltoti..:OS

A
,," --

!
,
•

."
, "- ~; •• 'I'. ,., . ; ,,,'
--... .t ---------
•
-- ,, ___ C1. ___________ _

", ",-

-',4 ."

Flo. 6f 82. KIJ:<i:t Melhod of milled S l,lppor'in~ mal~rial

riders have been placed, the top heading is broken o ut and the steel formwork
supported by pro ps from transverse sitts. Side cuts ure su nk nC~I , while t he trans-
verse sill is underpinned by posts from the bottom of t hese cuts.
The construction o r the masonry li nings is sta rted in the side cuts from the bot-
tom upwards, the cuts themselves bein~ supported by struts from the around core.
When the mason ry is raised to the spring-line level, t he lowest rider is replaced b y
fltimbcr block and the maso nry a rch ra ised to the le vel orthe neXI rider, proceeding
in t his way u ntIl the maso nry arch is completed a t the crown. As the construction
of the a rch proceeds the externa l su pporting nbs are wi thdrawn piece by piece.
In loose o r running ground, howe\-"er, it is beuer no t to aUempc the recovery and
disturbance of both fo rcpol ing an:! steel ribs : it is bette:r to leave: them in place and
incorporate them into the concrete. (This is Hiso one reason why these ribs are
usuall y made (If used small-sect ion rails.) Otherwise. it is rat her common practice:,
in this and in other tun nelli ng methods for laggi ngs, ribs and crown bars not to be
 73 •

. FIG. 683. vic ... of Krap-rail support;n& .rch. form,",ork-channcls and in~rted riders

recuperated but to be incorporated in the masonry concrele. In such cases, limber

will decay with time resulting in surface subsidences. With the KUNZ method
this decay is restricted to the wooden fore poling only and so is of little consequence.

62.45. The Cologne Method

In order \0 prevent undue subsidence owing to the decay of lost timber elements
a special method, the 'Cologne method' has been developed where alliosl elements
encased in the concrete are of steel. The main features of this method are shown
in Fig. 6/84. As shown, corrugated steel boards (spires) a re used here for forepoling
instead of timber poling bearing on the steel stiffening ribs, and only the props and
the Irans\'erse sill are of timber. The forepoling of the 1·8 rn (6 rt) long spiles is
effected by pneJrnatic hammers while the supporting ribs are spaced a t /·20 m
(4 fI) only. Beside this considerable protrusion a substantial overlapping of the
single spiles is a perfect safeguard against any intrusion even with the most squeez-
ing and very loose grounds.
Work is started here. also. with the driving of the top heading, which is con-
stantly advanctd during the following operations by a distance equalling the
spacing of the ribs. Then the segments of the stiffening steel rib are placed in an
annular cui made trllnsversely from the heading. supported by props from the
core. Then, forepoling of the spiles is effected around the outer flange. The core
in the top heading is then removed, and the props rep/aced by longer ones provid-
ing a new support, on a transve rse sill. The excavation face is supported by breast
boards in the meantime. as a re a lso the faces of the annular cuI. I n the (ollo\.\oing
stage, Ie steel ribs a re lengthened in pits sunk at both sides down to the bottom
of the tunnel, the transverse sill being underpinned by posts in the same way
132

>--_ _ _ _ 5,00 _ _ _ _ _

F,o. 6/84. Section of the Col0inc method

 RECE"'T TUNSELUNG MET flQDS 7J3

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134 lU~N[l,.lI"(, IN I>IOOlUn:lY fillM ROCU A)\.O O:W U"DS

from the bottom. After this, the concrete lining is poured, starting from the
bottom, simultaneously with the Teelion of the formwork: and the removal of
the in ner props and posts. Thus, the inner form work is erected here only ancr
Ihe excavation of the full tunnel section. contrar) to the Kmo m('lhod , w here
it IS erected simultaneously wilh t he supponing riDs.
The great advantage of the Cologne method lies in Its safe application in shallow
depths (under a cover of 4- 5 m) nnd i n quilt: loose ground wi tho ut incurri ng sur-
face subsidence. Its great drawback, on the other hand. is :hal Ihe ~teel of both
the suppo rt ing ribs and the poling boards is lost as they Wi ll be embedded in t he
ocncretc. In Fig. 6/85 one: shaft cl>ca\uted in a sheet-piled encfosure is s h own,
from which tu nnelling may be sInned by sim ply cU11ing out Ihe sheels in the form
(>f the tunnel cross-section.

62 .46 . S ht.·eI-pilc Roofin g (Messen 'ort ri(b )

The driving of ho rizonta l or nxis-pamflel sheet-piles (spiles) may be rega rd ed
as a further development of the Cologne method. The horizontal sheet piles a rt
lo nger (3-4 m) In this case und arc driven to a d istance over 3 to 4 bent-spacings
at once (Fig. 6)'86). The special shcct-pile ~tions howev~r do not inte r lock
but by overlapping one another offering sti lt a moderate degree o f water e~d u sio n .
They are \e ry ell"ective against surface subsidence and ..... hen driven tightlY, correctly
and in proper sequence and tiZlle may keep that at a minimum.
Some correct ly lIl~ta lle<l a nd achieved sheet-pile roofi ng Illet hods mny be re-
g,u ded as a supplementary of the shield-mel hod and may be considered in d r iving
out shoner interconnectinJol tunnel sections.
 CU T A"D conI!. METHOD 73l

6.3. TUNNELLING IN SHALLOW DEPTH AND IN LOOSE GROUND

Primarily various municipal unde rground localities such as a subsurrace sub-

ways, P:II;S3i1e'i ll no runnels hat h for ve hic l.llar a nd pedestTian traffic, underground
slOrnge halls, garages and par (i ng localitrts. public uti lity tu nnels (trunk-, sewer-,
and wa ter-supply conduIts) ha~e to be dcalt wi th under this headin!.
It IS typical to and a common feature of all these structures that owi ng to both ,
Ihe small bearing capacity and to the relatively small thickness of the overl ying
layers no archi ng actio n can be mobilized. In addilion, t he big cHies in whic h all
these srr uctures arc: to be constr ucted urc built up on PleislOccn and Ho loce n
sediments. i.c. on relathely )oung geological formations !.a.turated mostl y with
gro undwater th us infe rri ng the addItIonal const ructio nal demand of dewa te ring.
All thcse ci rcumstances exert a decisive effect not only o n loadi ng assu mption"
:luI also on Ihe constructional method.
Generally Ihe follow ing two methods may be a pplied:
Ii.J I. The undergro und structures arc constructed from the surface in open pits
and after enti re o r panial com plet io n bu ried (cut and cover method), or
6.32. Special subsurfm:t: construction methods v.i lh largely restricted effects upon
t he surface which in add itio n ad mits Ihe special and effective dewate ring of
the cOnstrucllon site if required (c.g. Shield tunnelllllg).
In additio n. thc ap plication of precas t caissons and sha rts sunk do.", n by suc-
cessive d rcd~in g from the surface ma y be occasiona lly also ad va ntageously used
(cr. Section 6.4).

6.3 1. CON STR UCTION " t~TItODS STA RTED FRO'\! T HE SURFA C E

63.11. Cut and CO\'er Method

The mos t simple melhod is the combi ned "cut and CQ\'er" tu nnelling.
Puhlic utili ty tunnels, sewers and shallow unde rgrou nd passages (both vehicular
and pedestrian) ind udlllg lurnels often built with the cut and cover met hod. Th is
is us ually cheaper a nd more pTllctkable tha n tun nell ing. up to depths o f 10 m
(35 ft) in opt:n trenches. the sides which are su pported by sheet piling or by si mple
ti mbe r bradn! (e.g. " Berliner Bnuweisc" ). o r reccnlly by com,rele .... alls cast unde r
bento ni te slurry. Dewate ring may be effected either b)' drdining to sumps o r by
ground-waler lowering depending upon the water head and o n the na l ure and
stratificatio n of the ground. This me thod was employed. for example, in the con-
struction of the first Underground Rai lway in Bl.ldapest (Fig. 6/87) in 1896 and
was developed a nd perfected in many respects in the comt ruL1.ion of a series of
mode rn subwa ys (Paris, New York. Toronlo, Mont real. Stock. holm, Fnlllkfurt,
etc.). Although this is t he most economic me thod. it interferes with street t raffic,
restricts the alignment to the street network and requires the transfer and recon-
struction of the inlervening conduits of public utilit ies. It cannot properly be in-
736 rUN"RUNO IN $HALLOW IlF.PTlI AND IN LOOSE OIlOUNO

FIG. 6/87. COrl~lfliClion of Ille old subway in Budapest wilh "CUI and (:O>'l'r"

eluded in tunnelling methods, but constitutes rather a foundation method differing

from that only in the p urpose to be realized and in the restitution of surface pave-
ment after completion of the structure to be buried.
63.11 I. T he principal problem to be solved in connection with this construction
method is how to maintain surface traffic, with t he least disturbance during the
construction period. T he most simple way is to restrict traffic flow to a reduced
street-width or to direct it to by passing streets when no special measures are to
be taken al all. The previous one is the mode how the old underground-li ne in
Budapest was built in 1895-96 ( Fig. 6/87). T he excavated pit was simply braced
and strutted, whi le dewate ring was effected by an ini tial so rt of ground-water
lowering rep resenting one of the very first a pplications of this laller method.
T he up-to-date way of supporting the side walls of open tre nches is to substi-
t ute sheet-pile walls by concrete cu rt ain walls ClSt unde r bentoni te-slu rry and tim-
ber struts by steel ones or by back-anchoring ties. T his is especially a requisite
in narrowe r streets trimmed with heavy old bui ld ings wi th their foundation plane
well above t he bottom level o f the pit (F ig. 6/88) having a great struct ural sensitivity
against sclliements, why lateral dis p lacements are to be maximally prevented. T he
m aintenance of su rface tra ffic requires a lso t he application of this type of trench
walls because of the ant icipation of vib ration effects potentially harmful to the
sta bility of buildings with found ations lying on cohesion less soils. T he structural
 CVT ANO COVEll N H ltOD 7J7

FIG. 688. View or an open pil nn '-alcd ~"''-~ n conc ~te walls CII<' under ~m()n ll e s Lurry

arrangement of an open trench with R. C. box-section for a vehicular tunnel is

shown in Fig. 6/89.
A series of underpasses ha ve been built in Vienna, making use of the lcos-
Vm[R method (cr. Fig. 6/ 1(0) for laleral support of open excavation pits. The mos

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FIG. 6f 89. Cross-section and structural arranl<'men t or II yellicuar
II
underpass constructed ~I "'""n tcos walls
 738 TUSS[LLlSG IN SHAllOW DEPTH ""D IN LOO5 ~ (l"OU ""O

remarkable of these might have been that at the Mariahilfer Strasse where a working
pit of several thousand sqm surface area had to be covered by a temporary deck
conslruction in order to ma inta in street and tramway traffic undisturbed during
the whole construction period.'·:101
The Icos- VEDER method has been extensively used also at the realization of the
Park-Lane im provement scheme London .t.v. A typical cross-section of these
ve hicular underpasses is shown in Fig. 6/89.
A remarkuble subway system in Brussels in conjunction with the Intern ational
Exhibition in 1958 was constructed with intere5ting constructional features.
The reader. howeve r, is referred 10 referencc'·!:· owi ng 10 lack of space in this book.
Another solution for the construction and struttingo f open trenc hes is that sho wn
in Fig. 6/90 as applied in T o ro nto and which d id no t practicall y affect the flow
of surface traffic, too, inspite of the restricted width of the streets.

- ,

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FIG. 690. Working tll'nch s trunina .pplled in Toronto for Ihe subway
""."
The method in itself is similar in concept to the so·called "Berlin" method. bu t
instead of drivi ng steel piles for t he lateral su pport of ellcavated trenches pre borcd
piles are app ied for this effect. A proper bracing of these will offer adequate
resislllnce agains t lateral pressures and wilt prevent loss o f grou nd from below the
foundations of neigh bouring buildi ngs - when carefull y proceeded with its con-
struction . The pile locations were bored with a suitable power-dri\'en auger of
0·50 m (20~) to 0·90 m (36") d iameter. To within a foO\ of the desired depth a
steel H pile is inserted and the remainingdistance driven to obt"i n some embedment
and vertical bea ring. If not in rock the botto m of the pile is encased in 1·80 m
(6') of concrete. If necessa ry to preve nt loss o f ground during boring the hole was

.... cr. &mir.fl",i,ur t%6 t : Du A 4/Jau 1966 t- 2.

•. ". GM,,"nl . E. : Park·La ne Im provement Scheme: Design and Const ruction. Pro •. "m.
Civ. Eng. No. 6734 1964 Oct,
• .",> DUtlOU MO. L.: Le viaduc CI Ie! paSSall" sou lerrains de 8 ru~ett". La l edrn /q"f un
Trot'oux. 1 9~8 Jan.
 CUT ASD COVER MI;TH OD

fined with removable steel casing. After the pile has been inserted the case is with-
drawn and the annular space filled with lean concrete.
Then excavation is started downwards from the surface and as it proceeds hori-
zontal wooden lagging is placed behind the piles to retai n the soil and to t ransfer
all ho ri7.0nta! pressures to the piles which gradually get properly braced. The piles
are designed - when under a street - to carry steel cross-beams which support in
turn a temporary timber deck or a roadwa y. The deck structure is also designed
to support temporarily such utilities as water mains, cahles, etc. during the con-

FlO. 6/91. TempOrary traffic carrying structures at the construction site of

the pede~lrian underpass and under2round ticket-hall of
ASlOria Sta tion Budapest
"0

siruclion period. Const ruction was done in 100- 200 m long sections. An alterna-
tive to this is the application of prebored and cast in situ SenOlO piles, whic h are
provided with an R. C. cap-beam upon which precast roof elements ma y be placed.
As a special advantage may be ascribed 10 these solutions that the temporary
trench wnlls may be incorporated into the permanent structure (er. Figs 6j88 a nd
6/90) constituting t heir side walls.

FIG. 6t92. Temporary Structures o\'er the con slruClion site or

th: pe<iC'strian undnpass .nd und(raround licket hall or
Blaha LUjZ3 slu ion 8uda~1

63. 112. The Just described constructi on methods already provided for
special measu res in order to maintain surface traffic. A general me thod for this
effect is \0 rest rict t he traffic 10 a reduced number of traffic lanes and 10 divert t he
rest to bypassi ng streets. Mostly the tramway lines and a single vehicular lane are
preserved in the street li ne on tempor-J.ry structures overbridging the open t r.:nch.
The subterranean stru!;ture will be constructed in sections and the overbridging
structure will be mo\ed a nd placed over the new section acco rdingly. This was t he
method how the pedestrian subways which were combined with the underground
ticket halls .....ere constructed in Budapest for the stations Astoria and Blaha
Lujza (Figs 6/91 and 6/92).
Among the numerous vehicular and pedestrian underpassages - which were
built all around in the wo rld 's metropolises - the following o nes may be men-
tioned.
In the yea rs 1955- 1956 a pedestrian subway system was built in Vie n ma under
t he cross-over point of t he Kartne rstrasse a nd the Ring in front of the Opera
 CIJT A)'D C'(lVER MHItOD '41

House, with accommodation for IJnderground shops and refreshment rooms ....!8
According to the previously made traffic census these extremely heavy traffic
rOlJtes were crossed in peak hours by about 10 000 pedestrians, interfering with
the passage of about 3200 veh icles. The pedestrian le\'el crossing was not only the
cause of considerable time losses to traffic but also a constant source of accidents
(e.g. in 1954 it headed the relevant statistics with some 80 accidents).

FlO. 6193. Model o~ Ihe Open Sub .... ay in Vienna

The reinforced-concrete underground struct ure built to relieve these troubles

is elli ptical with axes of 51 m and 56 nl. Its nat reinforced-concrete foofis su pported
by solid walls both on its periphery and at its centre. where two concentric rows
of columns su pply the intermediate supports (Fig. 6/93). The height of the hall
is 2·90 m (9 ft 8 in), while that of the access galleries is 2· 57 m (8 ft 7 in), and the
whole undertround a rea is artificially ventilated. $e\en short night escalators
lead to the trilmway stations and to the footpaths of the intersecting streets. Ref-
reshment rooms a nd shops installed in the interior of the str ucture arc attractively
fitted out and decorated.
The subway was built in an open trench. The tramway tracks crossed the trench
at a level elevated 60 cm over the st reet surface and underpinned by temporary
steel beams and trestles ( Fig. 6/94). The reinforced.c;oncrete framework and cover
of the structure together with all roads and structural installations, etc. were

I." K OI.VII , R.: Ma ssnahmen der Stadt Wien ~ur Behebunll der Verkeh rsnol, (illi'ff.
Ing. Z,itsC"ltr. 1958 Okl. und: O,e E""e,terung des Wiene r Sladtbahnnetze5. Stadt Wi,N
1965 Okl.
742 TUNNELLING IN SHALLOW I)~PTH ANO IN LO()1\F. (;oIOUNO

Flo . 6194. Opera Subway under construction in Vienna

com pleted in about sevcn months by uninterrupted wo rk day and night to reduce
the period of serious hindrance to public traffic [0 an absolute minimum. Internal
coating, fining oul and decoration proceeded afterwards assisted by artificial
drying under the completed roof struct ure.

63.12. Construction Methods lnterrering Partially or Temporarily with

Surrace traffic

Contrary to the construction by cut and cover methods described in the pre·
vious section 63. 11 - when traffic d emands were subordinated to possibly undis-
turbed construction requirements - suitable other methods were to be developed
for the construction of underground stru ctures under big traffic arteries. In order
to keep surface traffic disturbance at a minimum construction methods have been
developed, which - although starting excavation also from the surface - make
provisions, that the major part of the work can be effected under t he protection
of a rapidly installed permanent roof. The unavoidable initial disturbance may be
still restricted either in space, i.e. to narrow patches, or in time, i.e. to night hours
when traffic is poor.
 I

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144 TUSNEU.L:<-O IN Sil"tLOW DlPrH 1.1\01) I N l.OOSE 0100SD

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A COUlmon feature of alltho,:s.; mClhOll. j~ thallhe roof as '>'e ll as I~e side-wa ll s
of ' he subterraneAn stru ctu re arc conslruclcd sepa ra tely from the su rface in na rrow
palche,1 and under the p rotect io n of the th us estab lis hed bea ri ng U-fram e. Fu rt her
item. of ' he const ruction work (excavation. ins ula tion, invcn slab. inside 1i nis h -
lOgs a nd irl!llaliat io n works, etc.) ,'all be elre.:'cd a lread y ",';lhoU I interfering wilh
su rface traffic.

tlJ.1 ! I. Larl)' rcprese ntants of these methods, .... he n latera l bea ri", wa lls wefe
constructed of sheet- pili ng Il!ld the deck con$\ruction was displa) ID8 an ear ly
example for Ihe ra ll onal applicallon o f prcfabril"aled clemen ts are the pedestrian
$UbW8ys of ' he Marga n:! Bridge. Budapest.
In 1936 ..... hen the M a rga~t Bridge in Rudllpest was being widened. pedestria n
sub ..... ays had to be built under its ac«ss ramps fiT$t on the PeS! (Iefl) side and then
on Ihe Buda (right) side of the Danube, in bolh cases withoul interfering "' jlh
pub lic Iraffie .A.:' The constructio n of these subways was designed to elimina te t h c
jamming effce! of hea vy ped~s l r i an-erossing Iraffie a nd \0 provide lo r safe a n d
undi~turbed access b)' pedest ri ans 10 the pla lforms of Ih e cenlra ll y localed tra rn -
way sta tion i.land. Fig:, 6/95 and 6196 show the layout of the subway on Ihe I'cst
bank and the details of the roof Siruc ture.
The two outside §eCtions of the subway lying undc:r the newly b uilt approoc h
I>«tio ns. could be bui lt in a n open trench as clostd monol ithic rc:. nforccd-concrt:tc
frames without any ioterferer.(1,! ,"ith bridge tr.!lJic. Howcver. the stellon I)'utl;
uoder the central lram ....ay platforms. i.e. under [he used a pproach Wild be bui lt
.... ithoul inu~rfereocc to day tn.ffie onl)' if eonS1Tuctio n work .....as r~1 11I.1ed 10 Ih e

.... SlJ:CIl ¥. K .! Bau d~r FussJlQ'~l"\If1I~rfOhrunien der M arprelhcn [)",,"uhrude in

Uudapoesl. /Jau"rA~ik 1937. The R~onllT","lion and Wi<!cninllof tile Mar.arct Rridl!". T il ..
Slrh~lur,,1 l:.''lgI~~~ r 1937 M a r ~h.
 night hours from 11 p.m. to 5
CIJl .01,,0 CO\' lM "HHOtl
'"
a.m., in which period tramway tracks and road
pavement had to be torn off in two narro w strips in the axis of the proposed side-
walls in widths of 2-3 m, In the shallow pits excavated, steel sheet piles \\-ere
d riven in two para llel rows for It:C tcmpora ry side supports and also as slructural
elemenlS of the permanent sidewalls, On the lop of the drh'en sheet piling, rem-
fon~ed-concrete in~erted trough-shaped (,,'ap elements were placed , In the mornmg
hours conSlr uelional work was stopped, the trelwhes refilled and tramwa y tracks
a nd road pavement replaced und traffic flow restored during the day. The ncxt
night the road pavement and the tramway tracks were ag.1 in removed. but this
time nOI only 10 the continuation of the narrow strips of the two sidewalls but
in lhe length where pIling had bccn done during the previous mght and also in the
se<:lion in betwcen, to allow the precast reinforced·concrete roof beams to be plal'Cd
side by side, When the co rre ~pond ing group of 20 em wide elements had been
placed, thelT lOp was coated with bituminous waterproofing and covered wilh
precast-concrctc plates for protection. After this had hee n completed thc soil was
backfilled again and Tl)lId pa~ement and tramway tracks replaced. The 5tep b)
step construction of a loud -bearing deck made it possible fo r eanh to be excavated
and removed from both interior ends of the subwa)', without requiring Rny addi-
tional support " n<l without interference with traffic at the approaches. The per-
mancnt n:i nru rl'Cu-collcrete sidewalls a nd the invert slab of the ~ubway as well
as its internal scaling and glazed tile cover could also be placed without any dis-
tur ban<:c, The \\-alerproofing of pedestrian subways must be undertaken with
great nre, ill general. not only to main tain their stability and \0 affo rd the neces-
s.ary protection against co r rosi~e action hut Rlso to satisfy aesthetic demands for
II stainless condition which n eces~ita tes the absolute e)(ciusioll of water infiltnl-
lion. Waterproofing was ac hieved with a continuous gu nite re lldering of 2 cm
thickness in the given case, in addition to the conti nuous bituminous ('oating.
63.122. 1\ more perfect realiration of the preceding L'Oncepl was ... hen construc·
tion from the surface is nOI restricted in lime. i.e. to the nigit hours. but in space.
Where wide cull ing would he objectionable, Sidewalls and interior suppon~ arc
built first in trenc h e~, hare-holes or pits and roofed after which the core IS re-
moved , and the bottom, i n~ula ti on and Interior coating is placed (Fig. 6/97).
After the deck has hardened. the plvcmcnl may be replaced and surface traffic
re-established. (Additional savings In time tlnd in manual labou r are obtainable
when prefabricated deck elements arc used.) The last items, i e. the removal of
the core and the construction of the inner coating, etc. constitute proper tunnelltng
demenu (Fig. 6/911). Interference with street traffic is. thus, rest ricted to a mini·
mum, i.e, for the time required 10 pilict the deck. and a reasonahle transfer of
the enclosed pubhc ulllit)' conduit. is also made possible (though it is more practi·
cal if these arc all transfcrred beforehand).
A prerequisite ror the application of this method is the e~l~tence of a rcsislUnt
SOil layer underneath thc tempornry footi ng or the sidewalls, capable or beannK
both the roof loads and the moving load of surface traffic ahove Without undu~
subsidence. T hc economy uf Ihhi method as opposed 10 Ihe full width cut and
'"
f/O:ISf'.f
.r;;a[~'"

/fe.mng slr<ltllm

&HlfI/ls!rHtum

li'rl1WW/ ofll!tJ:"k In /;?ill/br~ -COII:rl:e

,U/~I dlr~d;(Jf1
rormrocl/ofl

fin. 6/9 7. Subway construction co mbined "'-;th " ctI{ and co\'er" (S tockh olm)
 I':UT "NO CQVEII. MIITItOD 741

FIG, 6/98. Earth l.'~ca,"atlonunder the prmC"Chon of the roor

buill from the surface

cO\'er is afforded by the omission of fo rm .... ork and staging for the roof and of
the extensive strutting of the sidcs across the wide trcnch.
Another e.,ample wo rth menlioning is Ihe subway built under Dimilrol'
Square..... in Budapesl crossing the access ramp of the Szabadsag Bridge over
the Danube just behind its lef"! IIbutment. (This subway accommodates .. subsurface
tramway station completed with all adjoining network of pedcstrian subways.)
The reinforced concrete sidewal1s were built. in this case, in a strutted open
trench and placed on a foundation of sand piles and on a v.ell-compacted soil
cushion (Fig. 6/99). hccau!;(' of the rela tively low load-bearing capacity of the origin-
al soil. Following this, trenches crossing the most frequented trame lanes we re
spanned by shon temporary bridges to II width aoout equal to that of the roadway
of the bridge to allow the pits to be deepened li nd the reinforccd-concrete side-
wal1s were cast in them without interference with surra~"e traffic. The permanent
dC'Ck: girders placed on Ihe sidewalls completed in this way were of prestressed
concrete (Fig. 6/99). As these could, of course. nOt be placed ....·ithoul tearing off
the surface, bridge traffic hlld to be SlOpped for two consc<:util'c holidays. First,
the tem porary overbridging was removed from above the sidewalls, Then the

.... KOVAClHA7Y. F.: DimilroY ler; alulj'ro "P;I~ (The: conSlruct ion or lhe .ubway al
Oin,;[roY Square). /III/yip. Tull. Suml~ 19~2 Apr.
 '<8 TUNNELLING IN SHAU.O W DEPHI AND IN lOOS£ GROUND

:-:1'nt' CCI'Sl.7XI= ,"t:N oWl:O/lSt,ut-M8&r ;$-

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FIG. 6/99. Iksign of subwa y at Dim'Irov Square. Budape<1

permanent prestressed-concrete roof girders which were previously arranged in

groups of9 10 ! I units. were placed on the sidewalls and covered with bituminous
waterproofing, 011 the lOp of which protective conc rete plates were placed. The
girders in each group were lightly forced 10 one another hy transverse post-tension-
ing. T his 110t only helped [0 speed up construction work, but. above all, also
secured a better co-operation between the single beam elements and a better and
more uniform distribution of external surface loads among them. In conclusion,
this post-tensioning resu lted in an increase of 18 % in the load-bearing capacity
of the single elements.
Tile problem of load disnibution is of great importance in the construction of sub""ays
duigned with a roof composed of prefabricaleddcrn~nl,.as it .ould nOi be considered o:conom-
ical to desig.tl Ihe ,ingic elemenlS with a load-bearing capacity suffICient to carry Ihe load
of a heavy vehicle's wheels individually. Also. the installation of cross_ribs or bearing grids
",nuld be e~l'Cnsi"e and would, at Ihe same lime, involve a loss in structural height. Trans_
verse tensioning of The beam dement s is, ""iThout doubt. the most advantageous solution of
the problem. The co-operation of the girders of the MargareT Rridg" Subway (see above)
was obtained by the usc of an upper load-distributing concrete layer with sleel-mesh reinforee-
 '"
.,_,-e.
"" .rac,,~ of 'he be.m~ .....
t.,,, . ..,,<
a " oJ
'<>B,,- ...
nd v,>ove<t. I f 'he>.r ""."• .n.
men • . The,e .rc, ne~c"I>e"'_ also &orne other ...... Ioon5 ...... e .... wh .... 'he 'a'e, .. ' coon""""
a.., 0.,11«.«1. , 1>00 ~
will ;"""Iocl< .~ .. <eo.,l, of .. hieh pari of .Ile loa<l on .he mootly "",,· ~t
loaded lIirdc. w,l! be .. ~""r~,.. ed '01"" .. <l,jMce,,' one •. Thi. con"'''''''Qn """lui,.,.. """·over.
a "",Idom oblalnl4hlcc ua~litullc of O~ millllnctrc in pn:rllbr'ic.Ilon .

The greal advantages in the usc of prefllbricaled elements ate that not only il
t here a reduction in con~truc,lion lime and dislu rbam:e to traffic. but al50, and
parlicularly. a lo\'\"cr stru ctu ral height is ne<:es~ary. e.g. as opposed to the u>u.al
luonelli n; me thods ..... here, owin~ 10 the use of limbering, a greater hc:lghl is
required and thiS a pplies to the use of temporary bridges O\'(:t the trenches Bell"'"
cd from the surfuce fo r the maintenance traffic. (This was \\-hy the t ramon)
tracks in front of the Opera House in Vienna had 10 be elevated above tile ICI'cl
of the rOlld ; cf. !-Ig. 6189.}

63.123. A very econom ic and clever llnprO\'emcnt of the same Idea was fil1l
apphed in the construc tIOn of the Milan Subway (ltaly). Ihe kos VEQER method,UI
comprising the follo"in!!" elements.
In Ihe first stnge oflhe conSlrUCllon. as shown in Fig. 6/ 100. aim deep and 1·50
m wide tre nch IS ellc31"31Cd by a special trench e:o;ca . . a lot. bordered on both
sides by longiludillal rci nforced-co ncrete walls 25 cm thkk a t Ihe outer srde of
the trench and 15 em thick at the inner ~Ide. Then the Ircnch is Jilietl with a dense
ocntonite suspension. lind a 60 J;:m wldc cut is deepened by the s,une cxcal·ator
from below the level of the bentonile suspension whkh is kept al a constant1cl·cl
10 affo rd an effeeth·e support to the eanh faJ;:es withlll the trench. Trenches of
12 m deplhscan be safcly clIcavatcd (detail J in Fig. 6/ 100) in Ihis way. In the COIII'lt
of dredging. care must be taken not 10 lirt too much of the suspension .,.Ith tbe
5011 as Ihe loss has 10 be made good. When a stretch of 5 m hilS been finished.
the prefabricated reinfon:c mcnt skeleton is SUJlk into the trench stIli filled \lith
bentonitc suspension, unci the concrete is placed According to the rules of sub-
!lqueous concreting. The bentonite suspension, gradlHllly squeelcd OUI from the
trent:h by the mncrete, will overflow into the ne~t tre nch section and secun: exca·
vatlon (detail 1 in Fig. 6/ 1(0). (According to e~perience the suspension annot
be re--used more than 3 or 4 times, becuuse or the contaminating effc" of roncrtte
and earth particles and because o f the loss in ils bentonite content due \0 sedl·
mentation and a dhesion) When the level of the sidewall concrete reaches the
bottom of the roof. the soil above th is level is excavated bet\\-«,n the walls to male
room fo r the remforced-<:onnctc deek construction. Prior 10 ils casting, howel'cr,
th~ sidewalls are strulloo by II beam piliced between thc wall tops protecting
the uppermost part of the trcnch (detll il J in Fig. 6/ 1(0). Aficr t he concn:te hu
hardened. the inner eanh core is 3l1illily remol·ed and thc inne r outfit of thl: tunnel
completed (detni l <I in Fig. 6/1(0).

..., KIlUP'NSKI, II . J .: Die U-Imhn in Mail. nd unter Anwendunll cines 1!tU:IIlip:n

Bauvcrfahrens. IJDU/"d'fflk 1959 10.
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The guidi ng walls of the slurry-trench IIfC shown in Fig. 6/ 101 whereas the starl
of excavation viz. pouri ng of tremie-concrete are preseJlted in Figs. 6j lO2a a nd b.
Figure 6j l03A shows the e~ca valion and earth removal as it is effected under
the protection of the installed roof strucltJre (cf. Fig. 6/98). The lime demand of
construction wo rk may be essentially reduced by the: c:xtensi\c applietion o f pre-
cast elements. As II proto type the cross-section of II pedestrian underpass in London
may be: secn later in Fig. 6}255. In this case: the bottom an d sidewalls were ellst
as II U.sha ped un it in 3 m lenglhs an d placed in the excavated pit provided with
Ices ~'a lls at the sides. The deck consists aiS('l of 3 m lo ng precast and prestressed
concrete roof elements placed on the top of the 1e~ of the in~eflt:d U-frarne.

Gil/a. "'II, ,f
""'"'I trtO<~ "'/

fIG. 6/ 101. Guide walls of • slurry-trend.

63. 124. A similar and also properly mC(;hania:d way of constructing sidewalls
IS 10 compose them of pile-rows. Large diameter (50- to 100 em 20"- 40"dia.)
bearing piles a rc bored down one inlel"SeClin!l lhe othn in order 10 constitute a
continuous more or less waLt:rtight lateral support against laleral pressures and
adequate bearing for the precast roof clements. AU types of Iligilly and efficiently
meclla ni:o!:ed cast in situ bored piles (Benow. Soleta nche. Calweld, Bade, Icos,
Vede r, Sal"gj1ter, elc.) may be used for Ihis purpose (Fig. 6/ 103 1'1 ). When nOI
in waterlogged ground, then a scattered pIle arrangement may be also used. in
which case the inlerspaees bet,,-cen the single piles aTe supported by R. C. plank
lagging, haunched in hori:o!:ontal pla ne to secure arching action. Several uample,
fo r th is solution are given in Vien na where piles were spaced al S 10 8 metres ar-
ra nged either in the axis or in line with the eXlernal face. T hey were bored down
from the surface, an R.C. cap--beam being cast in situ in a trench over the pile
heads. T hus an uninterrupted load-bearing "ertical su pport of the deck construc-
tio n is established with a minimum interference wit h traffic (acting simulta-
neously as sidewall too). Then the pavement of the road surface was torn-up and
excavated betwee n t he two opposite cap-beams down to cap-lop level and the
TliNNEtUNO IN SHItLLOW DEPTH "ND IN LOOSE (;ROUSD

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 em .. NO COVlR MnHOO 7ll

FlU. 6/10JA. !:xcavition of e~rth core under the proloction of

the prt~" l)usly CQn~lruelcd bear;nl frame (Vicnna)

FIG, 611031l. Vic'" of a Iknolo pile-wall

precast and pre(ensioned deck-slab elements placed one beside the other (Fig.
6/ 1(4). Afler completing adequate cooperation. insulation and protection of the
deck construction the lemporarily exca\'ated palch could be filled up, the pa\'ement
restored and the completed se<:tion reopened for traffic.
Excavation could be effected then under the protection of this load·bearing
StruClUre, mud; haulage being arranged In axial dln:ction (cr. Fig. 6/ I03A), Sidco-
walls will be composed of II bearing R. C. lagging placed $uccessivdy behind the
,,. TUNNELU",G TN SHA LI.OW OEPTH 4 NO IN I.<)(JSE GkO UNl>

'l;" FIG. 6/l 04. Scheme of the structu ra l

:;.'$ l'/',u,1 *(l'JIJ~ U",U arrangement of an undcrp~S5 bu ill up
~~'-LI::==i;:;;;;;;fr:::c:.
______ en I:m o
or pile ro""., Clip beams and of precnt
dec!: ebnl'OIS
(,,..,,,1)

_ _-'_,, _ _...r--' 1

piles keeping pace with the progress of excavation. A final inside gunitc I;oal ing
and any SlOne or tile reve tment may constitute the final finishing of t he inside
faces with appropriate junction and anchorage in to an insula ted bottom slab and
surfacing.
,\no ther example may be the somewhat morc developed construction method
applied unde r tht: Boulevard Hausmann in connection wilh Ex press Metro line in
Paris. Surface traffi c could be maintained without an y inte rrupti ol1 and with II very
limited restrict ion during the whole (;onstruction process (Fig. 6/105).60 em dia.
bored piles, 20 III long were installed first spueed at 5 III centres and with an out-
ward incl inatio n of I ; 20. As the centre-line of the piles was coinciding with th e
curb-line of the street, this operat ion interfered bu t very slightly with surface-
traffic. The next item was to lear up Ihe road pavement in about one third of the
whole width (cea 5 m) and ma ke an e)(cavation to a depth of abo ut I m at first and
then to 2· 15 m with efficient mechanical excavators. Keeping pace with the exca-
vati on the shillte rin g of the sidewall of the garage was placed between and suppo rt -
ed at the piles. As this sta ge of the R. C. sidewall was cast in one with the first
po rti on of the roof slab, the place of this latter was prepared by laying a bit umi-
nous in~ulation layer directly on the levelled and compacted ground. Then the
reinforcement was placed fo r the sidewall and for the adjoining roof sla b and the
co ncrete poured as in one uni t. When the co ncrete was ha rdened an asphalt in-
sulation was placed on the roof-slab surface, the road pavement restored and this
third width reopl':ned fo r trafflc. In ord er 10 obtain a possihly rapid progress
these const ructi on items were effected in sequence over a certain operatio n lengt h.
 F.t.. 6/1O~. CI"OS!'-5CO;IiOll or an
'"
undera,oUlld ,ara~ in eOIlrM.'CIIOn
... ilh 11K [)tprcn MClro liM in
Pari,

T he same construction process ....as repeated in seq uence on the other side of the
road .... ith a pp ropriate traffic restriction on tha t SIde. After com pleting the same
construction process, tfllffic was diverled on Ihis lane and construction started
on the middle th ird in turn. In Ihis ....ay the roof sla b was <;ompletetl from three
patches whilst two thirds of the street-width we re always free fo r traffic. The d~k
found nlmlly cantilevered suppo rt on the inclined piles on both ~ides. Under the
protection of this bea ring roof now excavlltion proceeded downwards in stages,
the depth of which being adjusted 10 the required level of successi ve garage plat-
forms. ConSlruction being staned alwa}"S With sidewalls and continued "ith
the estab./ishment of R.C. floor slabs cast on the levelled ground. Atlast the mono-
lilhie R. C. box seelion of .he Express Metro could be installed.
An outstanding extensIon and most recent application of th e cuI and co,'er
method was performed in Munich at the construction of the subterranean traffic
center "Slacilus" ( K a rl~platz). This structure is abou t 260 III (860 ft) long and of II
.... idth varying between 55 m (lIlO ft) and 170 In (570 ft) coveri ng a surfa ce area of
about 22 C«l mt (27000 sqyd ).'..:r!
The SIrUClure WIll comprise six unde rground slories built panly for the access
of passengers of Ihe Undergrou nd and Suburban rail ....ay stations and partly fo r
car-parking purposes. On the Ii~t le\"l:1 provision is made for aboul 9lXXl mZ
( I I C«l sqyd) air conditioned shopping urea and for lTaffic interchange of under-
ground and subu rban railway passengers und is ' Oflnected with escalators and
stai rways to Ihe surface lind to the lower levels.

".
'"
'-do,.

Fro. 6/ 106. CrosS-5C:CIIOn of the ~ublrlTllne.n trfl ffic: inlCrthanllC' "Sta"llu~" ,n Munich

The second level will house thc sub~ u rface access road service to t he overlyi ng
shops. At its northern part arc ar ranged the access corridors to the Underground
ra ilway stations.
On the third and fourth level public pa rkmg area for 800 cars "'ill be provided
and at the northern end the future sta tion of the suburban ra ilway will utilize the
101al heigh!.
The following fifth and SiAlh levels will house in a width of 37 m ( 123 rt ) the sta-
tion or the Underground being under conSlrU Cli on at present .
In addi tion localities for tlclric suppl y storage. offices and conditioning equip-
ment \\ ill be also housed here.
T he con~truc ti on is composed of the following four main stnlctuml elements:
u) Primary pillars as ce ntral su pports.
b) Slurry-trench walls pro\oided for enclosure.
t·) Roof structures as prestressed mushroom slabs.
i1) Subterranean excavation (lild illsta ilatioll of sCl:ondary su pports and lower·
roof structu res.
A t)- pical CTOss-seCtlOn of the structure is shown in Fig. 6/ 106. Construction was
5taned y,.ilh Ihe accompl ishment of primary pd'arJ". This .... as effected by 1·5 m
(5 ft) d ia. "Calwcld" bored piles up to 30 m (1 00 ft) long and slarted from 5 m
(17 rt) dia. and 5 111 (17 ft) deep wells enclosed by an artificiallY frozen earth wa U
of about 0·80 m (2'- 8·) thick. The auger· bo red pils }un-e undem:a mcd tips of
abo m 3·0 III (10 fl) diamc tcr. The pile sha ft was cast in a steel ca~ing. The pilC$
ha\e to carry Ihe lop-street dec!.: only and "' ere designed for beari ng capacities
ranging from I SOO I, 2000 t. 2500 I and 2BOO t. respectively. Thei TCOllllection to
the mushroom slab was designed with Ile~urnl ri gidi ty and their heads ",ere
provided with adequate addlt io nal reinforce ment .

.... LI ~P[RT, F. : Ix. S.U von unlcrirdis.:hcn Vc rk~hrS3 nlall<'n ,mler dem K~ rbpl a tz in
Milnt hen. Or r Tldooll 1%1 II.
 '"
]\]~'
,,
.. ...
S-Itfin~ .........., "-- '- '"-"
,

.1 : 53

FICl. 6/107. Pl an alld genera l D rrBn~mcnt of surfElCC «<l ions

occupi~d in tII rn by , ......r co"':r~li nll operations

The whole struct ure is enclosed with a slurry-trench wall O-I! m (2'- 8-) thick
and 25 m to 35 m (83' to liT) deep providing a n adeq uate cut off inlo the under·
lying walcnig ht marl layer. At the end of th e elementary sections a preboring of
0·8 m (2'-8~) dia. Wlb effected fi rst, facilitating esse ntially th e lI'e nch-c~cava tionjob.
Then the 0-75 m (2'- 6") Ihkk premcssed road-deck sla b was conslTuctcd and
tlfter hardening the bu s)' place could be reo pened in iu e nt ire $urr:u:c 10 tr~ffic.
The rest of the ralher extensive und ergro und work can be carried ou t alread y
under lhe protecti on of the installed roof.deck-primary pillar structure.
The work was carried out in secti ons shown in Fig. 6/ 107 from ~'h lch It mll y be
ken thut the surface traffic could be main tai ned - although lO.ith l'C rtain restric-
ti ons - duri ng the who le co nstruction period.

63.13. Sin king Mdhods

This is also a way ho ..... to co nstru ct sub t err~ nean ~ t ruetures when started from
the surface. Doubtlessly, th is method interferes more considerably with su rface
trnffic. bu t may claim the grea t advantage, that the ess.c ntial struct ural parts are
Cllst as a whole o"er the surface. under fa\"ou ra ble wo rking condillons granting
a gOQd and rel ia ble quality and for e ~act dimensions. In addillon.the sinki ng
process may be accomplished wi th a high degree of mechanization wilb elTective
d redl!illg and e~ cava tin g tools. Expensh·e and frequently treacherous dewa tering
oJ)\'ralions can be (l iso a~ o ided by subaqueous d redging. This con.tructi on method
ca n be accomplished in the following three ways:
I. Wi tb the help of open wells or ca isso ns.
2. With caisso ns co~emi by a deck comlTuction at the top.
J . Wi th closed (;ai~sons of the box type.
As this last one comcs to a pplillllion exclusively in the co nstr uction of suba-
queos tunnels, owing to Its increasing importa nce it will be dealt wilh separately
and somew hat morc comprc hen si ~ely in Section 6.4.
118 TU""~~~I" G IN SHtoLlOW DEPTH "'~D IN LOOSE GROUND

63.131. Open caissons or wells may be ap-

plied in many instances in the construction
-......
,> .. <~
,
. of subte rrainean structures. Some of these
, , will be presented in the following.
A vcry simple and useful a pplication
po~sihi1i l y is offned in the construction of
trunk sewers, when they are to be laid in heav-
ily waterlogged qu icksand. Open caisson
units are casl in will height over Ihe g ro und_
Frf), 6/ 108. Open cao"on arrange- wate r level on the surface and whe n harden-
ment for the installation of a ed Ihcn sunk down by Ihc help of open dredg-
trunk !ie,,"cr ing somewhat deeper, than required by the
sewer-invert (Fig. 6/ 108). Thedredging-cone at
the hottom is filled and brought fairly to level wit h tremie-concrete and thus closed
from the upward.seepage of wate r, when pumped empty in thc following conslruc-
tion stage, whcn the sewer sc\:tion proper i ~ to be cast in the fai rly watertight space
established by this invc n bottom and th e sidewalls of the ope n caisson. Erection
of formwork, reinfon.:ement placing and pouring of conCTt:'te. remova l of s hutte r-
ing and inner finishing may be safely effected withoul any inte rf~rence of water
or infilt rat ing qui~ksand. T he length of the caisson-units must not exceed 3 to
5 times thei r width and their faces must be d osed by temporary watertight bulk-
head walls. The watertight connection between units and the following n:moval
of the temporary bulkheads may be effected. e.g. in the way shown in F ig. 6/ 109,
wht:'n grooves (recesses) are to be provided in the roof and in the sidewalls of the
cais~on units, which may be poured out temporarily by trernie concrete and later
complded by R.C. pl ugs brought in simultaneously with the inner finish ing.
The application of caissons may be of great adv3ntage chiefly in waterlogged
quicksan d layers an d especially when these layers are interwowen by relatively

FlO. 6/ 109. Watertight ~onnCClion

arrangement Mtweo:n opeu
eao s,on units
 SlXI\tXG METHODS

thin clay seams, which may render groundwater-lowering operations ineffective.

Preference is to be given to free areas which are not built in yet. where subsidence-
cones associated unavoidably with open dredging - may not do any ha rm to the
affected surroundings.
A cheap and practical method fo r building large underground car parks, stor-
age facilit ies, pumping stations has been developed latel)··113 since a large size
circular caisson of 60 m d ia. has been successfully sunk do ..... n in Geneva to a
depth of 25 m aflcr the dcsign of Lorenz- Fehlmann in 1960. The R.C. ci rcu lar
shell of these caissons is stlffcned horizontally by horizontal annu lar ring-slabs
constituting the bcarmg dccks of successive car-storage levels. The struct u re was
cast in a foundation pit prev iously excavated to groundwa ter leyel ( 3·50) a nd
prepared in two sections (i n \3·0 m + 11·50 III heights, respe<:tiYely). Sinking was
effccted by buckct-chain·excil.yators placed inside the caisson always on t he d eep~
ened surface of tlte inner earth-core to be rem oved. Undermining the special
and powerful CUlling toe of the caisson
must have been done 'o'cry lO),stematically
in order to reduce this part of sinking •
resistance. DeWatering was efTe<;ted by
dircct pumpingsimultum:ously. I n order
torcducc the othercornponent ofsin!;:ing
rcsist.ance, i.e. mantle friction, the skin
was lubriclltctl by appropriatelydesi gned
bentonite slurry which is surrounding the
exterior of the cais~on skin and which
is retained in its position by a receding
shoulder arranged above the toe. Beside
the use of this thixotfOpic cu rtain which
was fed from a 51101101'.' trench funning
arou nd the whole ci rcumference, ben- _ _ _ -,i!N I
7«"1-1
tonite maybealso used for ground solidi-
'
fication purposes, \I, hen heavily water-
logged water-bcaringstrata are to be tra -
'o'ersed and seepage pressu re and action
is to be reduced in order to facilitate th e
remO'o'al of groundw:lIer from the in-
terior of the caisson by direct pumping.
This is effected in 3 form of grouting a
bentonite suspe nsion througb groUl-ho-
lesarrange<i in thecaisson mantle in oro('f
FlO. 6/ 110. Con$truo::tion sd"'mc of a
to omain a certain kil1d of watertight caisson u!le<l ror an un!krlround car_park
sealing and consolidation (Fig.6! II O). (Geneva. Lounz.rehJmann)

.... GROt<. W.: CalswngrOndung lur Henleltun. von Tkfgaragcn und Tiefkdlcrn. Der
Tief/K;u 1969 fi .
760 TUNN~lUN(l IN SHAllOW I)lPTH AND IN lOOSE GMOUND

FIG. 6/111. V~w of a 43 m ( 143 ') dia cai n on for a carpark at DunSIM
( by courtesy of Messrs Foundation Engineering Ltd. London)

A full view of another 4:! m dia. car-park caisson is shown in Fig. 6/ 111. T he
10 m (32'-6") high cais;on was sunk within 6 mm (1 /4") tolerance to depth and
with an inclination of 1 /7~ to the vertical by Messrs Foundation Engs. Ltd.
It must be mentioned that caissons also of rectangular shape have been success-
fully sunk down fo r similar purposes and in a similar way. When depth is ex-
cessively high it may happen, that the caisson can no t be brought down to the
provided level even with the application of a thi.'(otropic slurry mantle. In this
case an airtight roof must be installed, somewhere about 2·5 metres above toe·
level to be turned into a separa ted working chamber put under compressed air,
thus admitting the direct access of working gangs for the direct removal of male-
 SJ)<.KINO METHODS 761

rial from under the toe (cutling-edge) of the

caisson. In addition surplus weight may be
dumped on the outside top of this roof consis-
ting of excavated muck or other heavy material
c
~
to increase the weight acting against excessivc
sinking resistance (Fig. 6/112). T his tcmporary
~\lrplus weigh t and the separating roof itself may
" f~m_~rl
lirllgltj
.... ~nlIM
r '""
be removed resp. demolished after cffected
si nking operations of course.)
Vertical access and ventilation shafts have J!#<rg 1",,,1
I
"'In

~
: -70m
(7' ~ -J

.flf'~ im!; - ,, ,,
ill pri nciple the ~ame construction and arc ~ub­ ,~

jeet to simi la r considerr.tions. but they will be Pr.tol#" ;) . 1- ~.

it~ '---f
dealt with only later with due regard to their
direct relations with shicld-tunnelling (cr. Sec- FIG. 6.1112. Schematic arrangement
tion 63.31). of an 0l"'n ""is",m 10 be sunk
do""n to greater depth and provid-
63.132. The classical type of caissons, i.e. ed wilh 11 separatinl! airlighl roof
the working chambers of reversed U ~c t ion5
are also applied in the construction of tunnels under special circumstances.
These caisson units inco rporating the roof and sidewalls of the fmu re tu n nel
are cast in certain lengths lind then, provided with tem porary face bulk-
heads. sunk one be~i de the other. As they are usually sunk to depths cxcecd ing
the structural height of wor king chambers their sidewalls must be occasionally
extended at least temporarily upwards above th e deck i.e. G .W. level to form
a cofferdam and 10 prevent the enuance of water or of earth,rcspct:tivcly to the
space above deck-slab level.

Fla. 6/ 113. Structural

arrangement ur Ihe ca issoo
used in the co n.truelion
of the Paris Melfo
'" TUNSlUISG Il'i SHALLOW OEPTH "'''0 I ' LOOSE GROUNO

These caissons may be sunk either

'7»7)177 7'(7 777
"
II ,I I
direclly from the ground-su rface or
from special stagings (when in a wa-
tercourse). The tunnel section may

H •
be formed either fro m the working
chamber proper o r cast above Ihe
roof. This latte r solut ion has been
realized in the constr uction of some
older sections of the Paris Sub-
way leading under the Sei ne (cf.
Fig. 6/[ 13). On Ihe other ha nd Fig.
6/1 14 is showinganexampJe how an
appropriately shaped working c ham-
ber can be turned inlO a tun ne l sec-
tiOl1 of II trunk-sewer - by th e in-
stalla tion of II cast in si tu invert -
hollorn. During the sinking st age
the caisson has been open at illl
bottom and both of its sidewa ll s
were shaped as CUlling edges.

-""....
When sinking operat ions were
successfully completcd under com-
I pressed ai r a n inve" arch has
FIG. 6{114. Sinkin, and complelion of a been cast and the uniform inside-
lrunk-K"'cr Clliuon lini ng of the se ..... er prepared . The
te mporary bulkhead walls arranged
:It the faces consistl..-d here of double ti mber planking with a n enclosed
(i nlaid) waterproof billlminous insulatioll la yer. Stiffening of these timbe r b ul k-
heads was effCl.:t ed by rem ovable steel braci ng. In ord er to enSLlfe waterproof and
sohd circumferential joints between the caisson elemenlS, the unns have been
provided with grooves li nd recesses, similar to those shown In I- tg. 6/ 109. P iles
or sheet piles had ~ n d riven into the space left between the opposite recesses
the interspace ha ... ing been filled wilh tremie-concrete followiog It pre... ious flu sh~
ing with pump-water. The top joint, however, has been co\'cred by a tremie-con ~
nete layer first, wh ich could be poured between recepting ribs heightened evell-
tua1ly by temporary boards (cr. Fig. 6/1(9).
AI lillit temporary bulk head walls could be removed when proceeding with the
confection of lin un interrupted, uniform wa terproof inside lini ng.
The method may be used also for the construction of subaqueous tunnels when
the ri\er bed is composed of 1005e, permeable, silty layers to II considerable dept h
(Fig. 6/ 115) in which d rai nage either by dIrect pumping or by compressed ai r
would be impossible because of the hazard of blowing out with the la tter and of
the boi ling up hazard with the fo rm er. Thcre is actually no difference between
this const ruction method and lhe compressed-air foun dation methods. Caissons
 763

OJ.,
_Ml _

F,o . 6/ 1 U. ton&il u<iinal ocction and plln of $Ou .he rn Kwer ol1tfall tun nel in Dudapest

'"

,--'" ,

FlO. J 16. Scheme of caisson lin kina

764

are assembled either on the shore, then floated and sun k between guiding stages
into the river bed under compressed air, or they are erected on temporary si nking
slaging (Fig. 6/116), and lowered down from this in the same way. There is agai n
the junction of adjacent units to be solved when sunk down into position. This
may be effected ei ther by sealing the joints wllh suhaqueous concrete or clay-fill
poured in to a temporary cnclowre cifCl;'lcd WI th sheet piles (occasionally with
o\'crlapping precast compartments protruding beyond Ihe hulk heads) or under t he
protection of a flo..1 1ing ... orking chllmbl:r (diVing bell). When this e~ternaJ sea ling
i~ efleeted the bulkhead walls may tx: broken through from Ihc inside and the
connecting lining internal insulnlio n lind outfitt ing completed (cf. Fig. 6/99 an d
see Secti on 6.4 1).

6.31 . SHI t:LD T UNNELLI NG

Whate\er mining mtlhods are applied in tunnel driving, cenain drawbacks wi ll

be Inherent to them.

J. The fiTl'I. and al rega rd5 rOC'!.: pressures. the mO~1 importunt i3 Ihut the
COnStruction of tunnel lini ng can follow the excavation of the cuvity only ane r
a certain la pse of time and, in the mea ntime. only temporary su pports a re
installed, admitting a certain amount of displacement even with the best
workman~ hip. Involving an extension of the looseened lone.
2. Much time passes between the excavation of the face and the perfection of
the permanent lining which. in addit ion. is not always effected in a conti n -
uous course along its whole perimeter, but wi th interruptions leading to
in termediate scllJcmel\lS.
J. T he excavation and walling in scveral par" slow down construction progress,
essen ti ally disttJ rbin)! the uni ty of t he working a rea and rendering progress
Altogether difficult.
4. A special drawbuck is lhe nct.'e$sity for repeated in~talla t ion and demolition
of temporary proppings.
S. T he larger the tunnel and the sma ller the strength of the rock, the stronger
and more densely spuced pro ppi ng WIll be requ ired leading 10 increased
slow-down of progress, 10 difficulties in tra nspon and to increased ti m ber
consumption.
T heic d rawbacks are responsible for the tre nd 10 ap pl y free-face tun nell ing
methods in solid rocks and to extend its use to rocks of moderlite ~I rcngth by
mea ns of rock-bolting and by the reasonable combination of \'liri OUS ~teeJ-s up­
porti ng ~ystcms.
Difficulties show thcmselves to a greate r degree in recen t a lluvia l deposi ts, i.e.
in soils where a coherent united worki ng area can be secured by the shield me thod
only.
The t unn el shield is a movi ng metal casi ng, which is dri ven in advance o f the
pe rmanent tunnel lining, to suppon the ground surrounding Ihe tu nnel-bore and
 5111(I.D TUNI'<ELlI"O

10 afford pro tection for constructIon o f the permanent lining without lI ny tempo-
rllry su pport o r timbering.
In fa ct, the shield is a ri gid steel cylinder open at both ends, providin g facil ities
at its front fo r the excavation of the ground material and at its rear for the erection
o f the prefabricated lining (Fig. 6/ 117). T hus, the shield is always farced ahead
by steps kee ping pace with the progress of excavation and erection ","ark to the
extent thatthc excavated ho le shou ld be well su pported until the permanent lin ing
is co nstructed.

FlO. 6/ tI 7. VIew of a shield (rc:lnfor<."cd IlP" or Mc~)n G. Il allinlCc)

A full cycle of shield tunnelling com prises the following items (Fig. 6/118);
(3) eJtcavation and temporary suppoTl of the front face at an appropriate depth
(b) advancing the shIeld, taking suppoTl o n the previously erected lining
(c) placing another course or ring of the permanent lining.
As the only face left unsupported d uring the wo rkin g c}cle is at tile front. the
amount of advance and of unsupported face area must always be carefull y adjusted
to actual soil and groundwater conditio ns.
Shield tunnelling offers four essential advantages;
I. The tunne] section can be ad\'anced with ils full dimensions.
2. II offers a moving but constant su pport \0 the advanced tunnd.
3. The omission of any temporary su pport is compensated for by the immediate
installation of perlllllnent tunn el lining.
766 TUNNu..~JNG IN SHALLOW D EPTH AND IN LOOS~ G ROUSD

Ttllnk

a) I
II' I/",I;~''''~ pc); (r.rmJ

TtJta/ helUht of VOId left after .snove

FIG. 6/ 11 8. Principle of sllield tunnelling

4. By speeding up construction work, il prevents the development of higher

rock loads.
In ha rd rocks where c)(cavalion must be effected by blasting, the shield tu nnelling
method has to be excluded partly because of the sensi tivity of its inherent machine-
ry, partly because of the loss of its steerabililY.

63.21 . S tructure lind Dimensions of Tunnel S hields

T he principal element of the shield structure is the skin which is cons:ructed
of steel plates, bent to the shape of the tunnel section but slightly larger.
T he skin may be di vided in to three mai n parts, differing in their inner rigidity
an d a rrangement in accordance with their pu rpose.
 SH IELD TllS"ELUJ>.(; 167

I. Th e/rOn/l'nd or "cUl/iI,g edge" 0/1111' skin, where excavation is cffected is

heavily reinforced, ge~e ralJy with steel castings 10 fo rm the CUlling edge proper.
its inner rigidity being increased by stiffening rings. Its principal purpose is to
facili tate the smoothest possiol: advance a nd steerability of the shield skin by
CUlling the face, a nd 10 provide for as uniform a distribUl ion as possible of the
mighty pressures induced by its being forced ahead,
Its secondary task is to give lin adequate shelter 10 the workmen cngazed in the
excavation, through affording u certai n support for the front face.
2. The in/trmedfale or mlllk part is destined fo r the housting of propulsion
machinery (hydraulic jacks, high-pressure pump installations, etc.).
3. The tail part of tbe shield is designed fo r the erectIon of hnmg segments, Le.
for the installation of tunnel lining.
4. In addition, somc important supplementary elements are incorporated in Ihe
interior of the shield mostl y in combination with its sti ffening elements, such as
working platforms mounted upon the hori zontal a nd vertieal stiffening posts
and girders, or front-su pport (face) jacks mounted upon the division walls of
working-boxes, etc.
5. T he shield construction proper must be supplemented by special nachinery
for excavation, mucking, material conveyance, erection and grouting, all indispens-
able with shield-tunnelling operation in themselves independent of the shield
structure ( Fig. 6/ 119).
In the design of the main parts of a shield, the following principles must be
taken inlO account.
ad I. The CUlling-edge, of which the primary purpose is to facilitate Ihe penetra-
tion of the shield skin ahead into the ground-mass, while it has to overcome earth
resistance. In order to reduce this resistance, the previous excava tion of the
front-face is desirable to the greatest possible extent. This cannot be effected.
however, in full as the steering and safe direction of the shield req ui res that a
certam area along the peTLmeter Should be 'peeled off', 100.
Namely, in a totally excavated face the shield would loose its support and
would become liable to wobbling and torsion. It can keep it5 position tnd direc-
tion only when it has a certai n ' hold' on the surrounding ground along the peri-
meter or the eutling-edge. This hold is necessary not only because of its steerability
(effected by the exertion of unequal pressures by the jacks on advancing the shield)
but a (:ertain cut-olT is a great asset against the intrusion or the surrounding loose
ground into the interior of the shield. In particular, the layers at the crown are
liable to intrude through the fron t. and they are also the most harmful as regards
surface subsidence. Tbis accounts for the use of special roof (nooded) shields in
loose ground with the top third or their perimeter projecting, by some 2-4 dm
(8- 16 in) ahead in proportion to the shield diameter (ef. face-stabilization methods,
Section 63.221).
This hood or roof is aClually a projecting part or the CUlling edge and struc-
t urally is built up entirely in Ihesame way lcf. Figs 6/ 120and 6/ 121), with the sole
exceptio n that its stiffening brac kets need \0 be of heavier design corresponding
768 T U"'~(lU :-;G . " SHAu.oW DEPTH "''''0 IS l.OOSIi 01100"0
 SHIELD TUNtolLUJIoO 769

Flo . 6/ 120. Model of a ,oof

sllicl d

to the increased projection. It is, however, more difficult to steer and I:) keep in
line a roof shield and, therefore, it is usually of such a const ruc tion that whe n
the loose and weak b yers have been passed o'er the hood can be di;manlled.
An additional task of the cUlling edge is 10 resist and 10 transmit Ihe pushing
force of the jacks o~er the shield skin. This must be taken inlO aecount also in
the structu ral design, and stiffeni ng brackets must be distributed oppmite to the
seats of the hydraulic jacks (rams).
The section and shape of the cutting edge must comply pa rtly with the require-
me nts of cutting and panly with the transmission of jacking pressures.
This is best fulfilled by the unequal a ngle shape. with t he projecting horizontal
leg providing for cutting, the recta ngular ,ertlcal leg for the suppon of jad: pres-
sures.
The CUlling edge of smaller diameter shields may be constituted by the ; kin-plate
itself, whe n extended. pointed and stiffened by brackets accordingly. The pointed
surface may be artificially ha rdened (carbidization) or provided with a spe<:ial
wear-resistant eOllting (Fig. 6/ 1228.).
In earlier shields the CUlling edge was constructed as a riveted or wdded Sleet
structure rei nforced by a cast-sleel inlay along the perimeter of its extreme edge
to offer a grealer resista nce to wear due to the quartz content of the ground.
(The effective design of a sufficiently resistant structural bond of this inlay to the
steel structure proper is of major importa nce.) At present there is a tendency to
form the CUlling edge entirely of cast-steel blocks. These bloc"s have to be joined
to the skm very cardutly. The usual method is to give an immediate su pport to
the vertical leg of the casling by a stiffening ring. which in turn must be supported
by rather densely spaced longitudinal ribs acting also for the transmission of
stresses to the skin
170 TUNNELLING I ~ SHALLOW OHTH ,11,1'00 IS lOOSf GII.OU"O

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 SIII((.O TtJNNtlLlNG 771

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7J2 TUN~"'LU"G IN SHALLOW DEPTH AND Ill! LOOSe G~OUz.;D

The support offered by, and the connection to, the inner stiffening ring must
be resistant enough to prevent both the outward and inward turnouts of the cut ling
edge. As the outward turnout is greatly encouraged by the inclined face of the
cutting edge, sections with rather thi n bare projecting legs have been employed,
recently, wilh stiffening brackets instead of the forOler nearly full edge shapes
( Fi g. 6!122d). Inner wrnOlil may be encountered when the cutting edge is con-
fronted with some hard rock boulders or the like. Moments of turnout arc the
biru;er the longer the projecting horizonTal leg. therefore this hazard may bt: les-
sened by reducing it! length.
The influence exerted upon the advatlce and lh~ ,Ires,in!! of a shield by the indination of
the eUl1ing-edge point may be be~t illu~tralCd by the experience ga ined w,lh the first ,hield
of the new Budapest l'nderground. In Ihis ease the lower cullinll-edac inlays were mounled
with a slight iowa rd inclination ( I : 20) at the bonom quarter in order 10 anlid palc progressi IIC
sinkina ("obbl ina) of the shiel d inlo Ihe previously assumed "\Qft !roa urn layer. The t<tyer
"as in fact nOI as compressible as assumed and (he shield, afler bein, forced only a few met~s
ahead suffered a verlieo,l diamelrical deformation o f 300 mm (12 in) when il had 10 be SlOpped.
After I he removal of the eUll inll-edlle poi nt in\.<:t< menloone,1 a nd r~pladnl! them wilh pa mll"l_
faced ones. si milar ( 0 Iho5" applied alonll Ihe whole ci rcumference, the work was a ble to
prlx;""d Wl(hout any turther detornI3tion.'·"

It ~oml:times happens that insets halle their point~ ri~ing outwards in ord e r to
redllC"e fricliu n rl:sistance through excesstve loosening. T hi~ arrangement, how-
ever, may lear off the connections and lead to a turnout.
The same care amI f()T"sight which is n=ssary in choosing Ihe ""edge-shape a nd
inclination of th e cutti ng edgl: i~ nl:cessary in the choice of Ihe measure of liS projec-
tion relat ive to the shield skin. whi ch is in correlation with the magnitude of acting
earth pressures and throughllhal wilh Ih" p u~h in g force required for advancement.
Whereas a cU1ting-edge shape outwardly inclined and slightly 0- 2 em) in excess
o f the shield diameter is adllisable in hard grounds (cf. Fig. 6/122a) producing
a slight annular space around lhe skin incurring a certain 10oSl:ning of thl: su r-
rounding material and, thus, itlllolving a cerlain decre<lse in the act ing earlh
pressure, such a shape is unsatisfactory in weak gro und because lhe annuillr void
ini tiates a progressil'e loosening action leading to an inc rease of rock pressures,
ad 2. T he follo""ing shield section, the mmk, is attached 10 the cutting edge.
It is prima ril y a housing fo r the hydraulic equi pment necessary for the a d llanee-
ment of the shield. As Ihe shield is sliding on the outside surface of the steel s kin
ahead, all po~sible projections and sockets should be avoided there and it s hould
be kept as smooth and el'en as possible. T he thickness of the skin varies between
15 mm and 70 mm (5/8 in and 2·5 in). Thicker skins are multi-layered, con nected
with alternately overlapping splices either riveted or welded, Ri ve tin g is rare ly
used now, but if it is outside, cover plales are to be avoided and counter-sunk
rivets arc to be used. Any projecting heads are qu ickly worn off by the soi l in
addition to involving a eonsiderahle an d superfluous increase in frictional resist-

• .u Similar distorlio/Ui were reported by PIRRIE from the conslru<.-1ion or Ihe Toron!" sub-
way cr. !',or. Iltst. Civ. Eltg. 1966 May 71,
 SHIEW TUNSELUNG 773

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714 ru/l,~U.LI'iQ II<> SHALLOW OHT" AND IN LOOSE GIIOUND

anee and 10 increasing the extent of the back-space. For the same reason an
outside gradiation of the skin-plates is also to ~ avoided.
The trunk pan of the skin can be stiffened in several ways. For example, in the
Soviet Union where shields are destined fo r conslanlly repeated and long-term
use the skin is composed of cast-Slt:cl ~Iemcnts provided with stiffening ri bs
ter. Fig. 6/ 121). An other solution, the si mply- ri bbed mi ld- steel ski n plale a5 c us to-
mary for smaller diameter shields is shown in Fig. 6/ 123. The skin orlarger-diamele r
shields is usually stiffe ned by ring-Shaped riveted or "'tided inner dia phragm
girders of J-sections. The stiffened girders arc spaced al 0·60 1·80 m (2- 6 f1)
unequal distances varying in accordance with thc inner arran gement and wit h
the acti ng forces. Althou gh their number and dimensions depend primarily o n
shield dime nsions tntir inner arm ngcment is aho a function of the type. d imen-
sions and opt:mting machinery of the hydmu lic jacks employed. For ell:umpJc,
with doubl e-acting jacks, they are usually placeu between two stiffening rings.
whereliS with single-actingjacL:s. where additional rctrllc tingjacks are also opemted,
three rings are a pplied as a rule. The first ring doe~ not ha\'e to resist the s tresses
a roused from pushtng the shield ahead, but is merdy to provide a safe s upport
fUl tl,,;: .. utting edge. The main advancementjact.s (ru mS) lire seated ufHln the second
ri ng, whereas retracting jilcks have their a nchorage in the thi rd. The interst ices
between the stiffen ing girders in th e bottom third of the shield ure covered and
used IS a n operation platfo rm. La rge-d ia me ter shi elds canno t be satisfactor ily
~tiffe ned mere ly by rings, but mus t be additionall y brul1,:d by \erllcal posts n nd
horizontal beams so lhat the whole area is divided into scpara te working boxes
(see Figs 6/[ 21 li nd 6/124), where several ga ngs ca n do exca vlltion work si multa-
neously (see Fig. 6/ 120). The boxes should have a minimum wid th of [·20 m (4 rt)
and a mi nim um h~igh t of 1·80 m (6 fl). The working pocke ts of thc large sh ield s
are gen~ra lJ y equipped with sliding platforms v. hicp are operuted by aUlI:ilia ry
hydraulic jacks and which can be ex tended to the fa ce of the excavlltion and u sed
not only fo r th e workmen 10 stand upon, bU I also to form a support for thc face.
Wh en the shield is luJvllnced, the pla tfo rm- and face-s upport ing aUXiliary jacks
a re slackened. permitting the jacks to recede as the shield mo ves forv,lIrd and, a t
the same time, ma int.a ining II constant pressure on the face supports. In the cll: trcme
case of liquid ground the stiffening ring nex t to the CUlling edge llIay be d~vclopcd
to a perfectl y closed din phragm Willi (bulk head) perfora ted with i lui(;e-glllcs for
malc rial tmnsport or commu nication only (see Section 63.22 1).

Slilf~n in. memberi rna$! be dirnensioMd (or Ih., most unra~ounble lo. dina: ~ondi l ions.
r~pre"'nled by It... action of full overbu rokn ""eiaht from aoo>"e c;:ounlcruclcd by an equ a l
bottom rea~lion in lh~ ~_ "hen no lale ra l su pport is afforded owing 10 an exte's i\'o,) over·
break on Ih e 5i des. For Ihi) loading a"umpt ion ..... e oblDi n .•flcr FoaclIlI[t'1 EIl (d".Sei::lion
4 3.22), ~ bc:ndi nl moment actina: upon the rina:.walL;

><'
"' - 4<;O<~'
and an axial force:
N _ pr.in'</>.
 5HJ(U> TUNS(~U";O 77S

--

FlO. 6 124. 8'S m dia shield. stiffened ... ith di~ision ... all s, undcrcrcct ion in the shidd chamber

Maximum blonding mo~nl at the crown and sprtnllinll:

Maxi mum lI~ial ro~ a. the sprin,in, N _ _ pr lind min,mum .x,.l (0",", al the Cm"n
N __ O.
The radial defor mation of the rinll :
I pr'
IT EJ cos 2~ ,

and the shortening of the vcrtical diameter:

Id _ lol..,._ ,
where p _ the unil ' -ertieal rock pressure taLen as equal 10 the o\-c:rburdcn pressure in ~neral,
bec:auSl' on ly qUHe ex~ptional cOlUtrllCtional circumstances and gmnd charac-
teristics could justify the consideration of arching.

Powerful hydraulicjach (,ams) are placed in the central part of the shield be-
tween Ihe stiffening girders 10 force it ahead. They are located just inside the sk.in
in order to bring their axis closest to the cenlre of gravity of the lining segments
and to that of the c~tting edge to reduce eccent ricity and bending moments to
776 TUS:"RLI"G ' I SHALLOW DE"" "''10 I:' LOOSE (lItOUSD
, ~
FIG. 6/12S, Resistance rorces acting against
propulsion
,t
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rt

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•

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,' . ".,.......,.
".~*J
7
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d
..Cl ...... '
7
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Ie.
!, "
I
•

a minimum. They are spaced uniformly around the perimeter allCl arc housed in
openings called jacl: ports in the transverse stiffening gi rders (rings). They con-
stitute the most important elements of shield o peration, and bear on jack seals
on the web of the forward stiffening girders (be hind the cutting-edge structure)
and arc supported on the placed lining segments (see Fig. 6/1(8). To effect ad-
vancement they have to overcome the following resistances :

external fric tion between shield skin a nd surrounding ground (WI):

inner friction hetween tai l ·.~kin and placed Imin¥ segmerlls (W,};
passive earth resistance against the intruding su rface of the cutting cdge
(W,): panilll resiqance of the free face dcpending 011 whether it is su pponed
by faeejacks or some other kind of yielding bracing, or bulkheaded duri n g ad-
vancement UV,).

The determinat ion of the magmtudc of these resistances in advance IS very

difficult, chiefly because of uncertainties about the resistances on the face, which,
however, are usually preponderant compared with the frictional resi stances on the
skin.
Approximate formulae for them may be found in Ihe Soviet literalure as foll ows
(Fig. 6j I25 ):

11'\ _ [ p", ; P, LnD + G,]/I _ [p,(1 + ),~)2LD + C,VI' (6.8)

where p, _ the vCftical rock pressure

p" - the horirontal rock pressure
L _ the length of shield
D _ the diameter of shield
G, _ the weight of 5hield
II - friction coefficient between shield-skin lind ground.

Ws=11Q" (6.9)

where Q, _ the w(ighl o f lining segments erected in the shield-tail

I. - Ihe friction coefficient between skin aDd segments.
W~ = lID k tJp,)',. (6. lOa)
 ';H !EW TUN NELLING 777

where Dk the shield diameter measured in the centre line of the cutting edge
",
o '"the thickness of the cutting edge
A, '" the coefficient or passive earth resistance,
For Pj )" SAMOYWV',31 gives a correlation based upon the rupture theories defin-
ing the ullima le bearing capacity of foundati on Strips (q.)
(6, IOb)
where k _ slIape faclOr
II
9 "" the angle o f inner friclion,
The CUlling-edge resistuDce was defined somewhat more excatl y by S£l:.CH Y,,·311
Based on P!tA"I>1'L'S basic concept of eutling strength applied by JAK Y for the
determi na tion of Iha t of a truncated wedge he is concluding that

o r with the substi tu tion

I +sin IP
q~=2t' , ..I.
<~,

fo r lhe unconfined compression strellgth of the soil

1 +sin.p
W3 - D~ - :: • I ' (tan (I + jl) . 4c (I + (I) (6.IOc)
cos <P
with
t the measure of pcnt.'tration depth of cutling edge into the face.
CI inclination angle of inner plane of CUlling edge against the horizo ntal,
II coefficient of friction between soil and cutting-edge material (s teel),
c cohesion value, lind
t$l angle of inner friction of the soil mal\: rial.
Finally
WI - p:JJ..F,
where F _ the face area su pported by the bulkhead or by the face bracing
), _ the ra tio of venical Ilnd horizontal pressures, depend ing upon the
process of loosening or compression involved and rangi ng between
the acti ve and passive earth pressu re coefficients.
(An Ilverage nllue of P:J A,. may be taken as 60 I/m~ = 850 lb/in Z, )Ul

.... SA MOYLOV. v. P.: USIIi. v05nyk ayush!lhie ... Iru boprovodov (Eanh TC'S;stance 10 be
oHr~omc al the propulsion of shields and Willi pipe·J ack'nl). Sllnilartlll)'fJ Td .nikQ t951 10.
. ... S.... tcIlY, K .: The role of cuuina ... dlle resista nce In the propu lsion of ope n face shield.
p,,,,,_ I. 1"1. CO"ll' on Tr~lon. Probl~m~ 0/ n "'tlrICOMIT""'io" , Sl'iSwn V. Comnr. t I . Torino
''''.
. ... tLLin, J,: A p'l.i:uos ala.ilt~prlts k(ltijn{i!< tek in tellcl a p-.jz:wk tervczeser.::. (Sh ie ld
tunnellina wilh special refcrence 10 ~hield de, illn). /tIt,Mjk l TOI'. K<'pzJ 1 9~4 2J QJ.
718 TU:-'~~LLI"G IN SHALLOW DEPTH AND 1'1 LOOSE GlWUND

The number and capacity of jacks are to be assumed with a safety fac tor of
1-5- 2-0 as obtained from the above equations. This is requi red not only because
of the incertitude of the above computational estimates and the necessity for
operat ional safety, but also to provide for safe steerabi lity which is always affected
by ovcrst rcSliing du ring the ad vancemenl of one group of jacks on onc side and
releasing the opposite group simultaneously 011 the other side.
Shield jucks have 10 perform lWO movemen ts, namely by the propulsio n o f
thei r pistons when they have to advance the shield an d afterwards when they have
to provide for the necessa ry space for the erection of the following ring of lining
segments which is effocted by su bsequently retracting the jack-cylinders to the
pistons. In practice. this double operation may be effected either by double-ac t ing
n:versible jacks or by the combination of single-acting and separate retrac t io n
jacks.
The advantage of double-acting jacks is that the Huid pr~,sure in the cylinder
acts on the full piston (plunger) surface when in propulsion, an d after enter ing
the cylinder. will exert only a reduced effect upon the small an nular surface left
between the cylinder wallllnd piston (plunger) rod, bUI one which is still sufficient
to pmh back the piston proper (r ig. 6/126). In any case, thc inner surface of the
cylinder must be smoothly polished with the greatest care which invoh"cs consider-
able costs.
As opposed to this. single-acting jacks require much more simple mu!; h ining,
because the careflll pol i~hing can be restricted to two small inlaid rings whi!;h,
however, can also be inserted suhsequently (Fig. 6/127). On the other hund. p istons
(plungers) after propulsion can only be withd rawn by spt(;ial devi(;es. T his is
most usually done hy employing special rctra!;ting jacks or auxiliary pistons
(plung~rs) for this purpose. Ret rac ting jacks are small-capacity jacks wit h a
stroke eq ual to tha I of the main advancement jacks but with an opposite move-
ment. T hey are usually placed in line with the main jacks in order to avoid undue
lengthening of the shield and drag the j a (;k-~hoes forwa rd by means of tract ion
rods through the intervention of a pressure dist ribution ring. The disadva ntage
of this arrangement is shown not only by the ne~-essity of applying s~ial devices
for this purpose. but it incurs a definite innease in the shield length. Vario us
au~iliary-pistoll devices in(;orporate secondary piston mac.hillery built into the
main piston body. This. ·of cou rse, will not requi re any Sllrplus le ngthening of
the shield-skin but in'·olves more deli(;ate and mo re expensive machinery.
The ja(;ks must be supported ve ry carefully. Cast-steel seats are placed for the
bearing of the front and un the CUlling edge (ef. Fig. 6/l26), whereas su ppo rt at
the rear on the lini ng segments is effected either by direct beari ng on the m by
means of specially fonned cylinder shoes or by special pressure dist ribution r ings
inserted between these shoes and the segments. It is a general requiremen t fo r
tile transmission both of propulsion forces to lining segments an d teMion stresses
thereform to shield-skin that this should be effected with the smallest possible
eccentricity. Therefore. both the jade shoes andl.l,the pressure distribution r ings
are asymmetrical in section so that pressure should be transmitted nearest to the
 779

biOck

fli50

"

,oct
FIG. 6/ 126. Double-actlnll J"d.

,'''''''''''(DtVIJ&
10m
I7l1g)

FIG. 6/127 . Smille-actinl! jac k

780 TUM':ELLI~' G IN SHALLOW DEPTH AND . -. LOOSE GROUND

~I ?am
~ {ffi'.5Jllre

FlO. 6/ 128. Section of "re~, urc-d j slrjbutjon rmg

centre of gravity of the lining segments. Such a pressure ring of asymmetrical

V-section is shown in Fig. 6/ [28.
I he second group of shield jacks includes face jacks, which are inte nded \0
afford a steady su pport for Ihe eXellvation face ind ependent of the advance of
the shield. These are attached to the inner transverse platforms and vertical
division walls in such a position lhal the plungers when in the protruded position
extend \0 the outside plane of Ihe cuning edge there 10 afford an interm ediate
su pport to the breast-board planks. Face jacks are single acting and the ir stroke
should be equal, alleas!, to the width of onc lining segment ring. When mounted
upon sliding platforms operated between the division walls, this operation length
must also be taken into acrount when choosing their stroke and length. They are
usually located in the foremost pan of the shield hody in the immediate v icinity
of the cLllting edge (d. Figs 6/ 120 and 6/ 121). When shield advancement is finished
and at the very stllrt of a new cycle the face jacks have to support the face with
repelled plungers while the fluid is extruded from the cylinders to he recuperated
in turn into the s)'stem again. During the commenced new 'push' the plunge rs
again protrude.
The jacks are operated hydrllulil:ally and connected to central distributor blocks
and controlled through a battery of valves under the control of the operalOr,
so that he may advance or withdraw anyone or any combination as required.
The block is a steel casting provided wilh bore holes having a valve-co ntrolled
outlet for each jack and a central inlel bore with a conduit to the high- pressure
hydraulic pump.
As the advance jacks have to exert pushing forces up to several hundred tons
each, very high fluid (water or oi l) pressures (250-500 atm) have 10 be ap plied
and thick wall (10-15 mm) condu it-tubes must be used from pumps to jacks.
The pumps themselves may be eventually located apart from the shield in t he
completed tunnel section whe reas distributor blocks and feeding conduits are
always located in the trunk of the shield.
 SHIll.D TU";"(t.lI'G 78 1

JIWIk _lIfdHM -~---.,"' ....... -

FIG. 6j1?!1. Arranaemenl of pressure di"ribul,on blocks inside I~ shjc,l;1

The operation of face jacks does no. require the exert ion of forces of simila r
magnitude. therefore it is usual to feed them separately by a pump distributo r
block and pipe networ k system al II lower pressure (30-50 atm ) wh ic h is suitable.
at the same time, for manoeuvring the stidi ng platforms, installed eventually
between the stiffe ni ng members (beams and POSts) of the larger diameter shields.
0(1 3. The most de~cate sectio n of the shield skin, apart from its joint to the
cutt ing edge, IS its third section, the lail. This is mainly exposed to de:o rmat ion
as the installation of any inner stilTening is impossible because of the lining seg-
ments placed there.
Its free le ngt h is de:erminated by the width of the lining rt ngs applied and it is
considered that at least a n overtap of I 1/2 limes this width should be provided for.
In addition the width of an event ua l pressure-distribution rin g must also be added
and provision has to be made for the removal and replacement of stidd jacks
when necessary (cf. Fig. 6/129),
Certai n authors'''' hold the view tha t the free: tail lenglh should be enough
10 cover the width of IWO entire li ning rings and to alTord, in addi tion, an overlap
o f a few centi metres for t he third ring. This provision should make It possible
for the segments of t~ e first o r second ring to be replaced by new elements while
still within the shield, should t hey be damaged un der the heavy jllCk pressure in
the course of advanc~mcnt. The trend to increase the width of the rings in o rder
to lessen thc number of leakage spots, i.e. the joints, is also in favour of longer
tai l sections.
On the other hand. it must not be d isregarded that not only can the undu ly
lo ng and unsupported tail skin be: easily distorted, but through the i'lcrease of
the total skin length involved highe r jack pressu res will be required for th: adva nce-
ment and a long shield loses very much of its stccrabilit y. In case of absolute

···SINGSTAD, 0. : Tunnel" Am. Civ. EIIf/, Pra",. J 1()"'24.

 782 TU .... NELLING IN SHALLOW Dff'TIl AND IN LAXXSE GROUND

necessity an increase of the skin thickness must also be considered, but thi s can
be effected only inwards to prevent any undu ly high rise in sliding resistance.
The increased thickness will also result in an increase of the hollow annu lar space
left behind after the advancement (cf. the measure ' ,1 ' in Fig. 6/118) leading to
greater loosen ing of the overl yi ng strata. In thi s respect, the grcater rigidity of thc
midd le (t runk) section may involve a certain stress relief for the more flcxible
tail section, by taking over a higger portion of the loads.
It is CUSlOmary 10 make a bonom cut in the skin platc of the tail stctio n cor-
responding in length to the width of the segmcnt ri ngs and with a central angle
of 90' to 1200 in o rder to prevent a sudden drop of the lining fro m the in vert fa ce
of the shield upon the ground surface left behind al the advancemen t (cr. Fig.
6/ 181 ).
ad 4. As special structures built in the shields the division walls. working plat-
forms, face su pports and bulkheads m ust bt: mentioned.
Di~ision ...alls a nd working plurform~' usually div ide the la rger shield s into
working boxes and cunsist of stilfe noo steel plates connected to the ski n plate
by angles or by welding alo ng their full length. The web plates of the ve rt ica l
divi~ion walls arc: led witho ut interruption or splicing from the inside top to the
bottom of the skin plate and it is the horizontal platform plates which are inte r-
rupted and connected to the former by angles.
Wo rk ing platforms usua ll y slide on the horizontal division membe rs a nd are
operated by the hydraulic system me ntioned above. These platforms can be
ad va nced slightly beyond the fron t pla ne of the cutting edge, thus affo rd ing not
only excavation facilities, but also partial edge supports to the face. The extension
measu re of the slid ing platforms may have a te rrace-like arrangement mainl y for
Jarge d iameter roof shields work ing in very soft grou nd (Fig. 6/ 130).

ir.itt
(WI~) f1oil~s -~t rl+~ f
O/rH'.Jc.,
tJfp;a,· ~
•

Silit/d slrm

FIG . 6/ t30. O peration or a bu lkhea ded shield

 Face bulkheOlds are composed of a steel-joist grid covered wilh do uble Sleel
'"
plale shccting and provided wi th inlet openings. These openings are cont rolled
by sluice gales, which are usually opened when the shield is advanced to admit
the entrance of the highly plastic material. The front bulkhead is slilfencd and
supported by the division walls and beams wh ich in this case extend 10 the from
plane o f the cuning edge though under normal conditions they o nly reach its
rear plane. (E rrcclive suppon of the fron l faoc: enn be obtained by various mecham·
cal excilvation devices installed. recently, in the shields: see below under Seclion
63.22 Hnd Figs 6/ 137 and 6/148).
When Ihe abo,'c structural elements and their dimensions ha~'e been decided
upon, we may proceed with the determination of th t: main shield dim,,"sions, Le.
its diameter and length.
Shields ha\'t~, in general. a circular shape, as this shape affords the besl reslS!·
ance TO ouTside pressures, prevailing in recenlalluvial deposits where shield t un-
nelling methods are mostly used. (The pressure conditions in these loose and soft.
heaYily wate rlogged laye rs may be characterized by the ipprollimate equality
of vertical and horiwlltal pressures a nd by their uniform distribution a round the
perimeter.) In addition. this shape il most suitable for forming easy and exact
boiled joints between consecuti~e rings. It is a common experience for shields to
show II rOluling tendency around their longitudinal ax is as they are lldvanced.
This is largely due to o bhque stratification to asymmetrical external pressures and
to non-uniform excavation at the face. If the shields .... ere oval or rectangular in
cross-scction the rota ling movement a round a rigorously followed longitudinal
axis would lead to gradual mis-shaping of the section and an increase in stresses
and might eyen make the longitudinal bolted conneclion of successi~e rin~ im-
possible.
At lirst. shields of 0\'31 and rcctangul:lr crosrsections were tested, e.g. the fint
shield of 8RUN[L was of this type, but it was soon abandoned by GRJ;ATHt!AIJ,
bt.'Causc in addition to the drawbacks mentioned above it WLiS ob$Crved that
a bigger pushing foree is requ ired for thei r advlIr.cement than for circular sbields.
A bigger arching action will take place abo\'e circular shields lcading to a decrease
in rock pressure and, consequently. in frict ional resista nce.
Occasionally. arch-like circular segment shields are also used. mamly in the
cunstruction of large underground struclUres ..... here side walls and springing
supports have been previously built up eithcr in suitahle mining drifis, e.g. German
method. or in the form of smaller diamcter tubes.. Somctimes a bedrock boundary
lying at an appropriate level may also fa\'ourably constitute such a suppon.
These half shields or open shields may undergo consider... ble mis-shllping owing
to their horizonlal deformation. Therefore, they ha\'e to be supplied with hori-
zontal tics at their bottom ends and can resist only a relatively small vertical load
and .so are suit.llble only for smull depths (Fig. 6/ 131).
The d iameter of the shield is rather definitely dctermined by the clearanC(
~u irements of the tunnel proper. As all operations (excavation. mucking, trans-
port. erection) must be done and all mechanical equipment (jacks, pressure p um p\
784

~I

Fl(;. 6/ 1J1. Sketch and view of SClment·shapcd shield for columnar type ~tation (Moscow)

platfo rms and conduits, erectors, loading machines. etc.) must be installed within
the limited inner space of the shield, a reasonable economical utilization of this
space - chiefly wilh smaller diameter shietds - is of primary importance. In the
first instance. Iht reduction of Ihe number of ja!;"ks, Ihe removal of pressure pumps
from the shield and the omission of .... orking platforms, division walls. etc. must
be considered.
The choice of a shield of suitable length is a basic problem. It can be seen from
the above considerations that this is mainly determined by the dimensions of the
jacks and of the lining segments. The operating conditons of the shield are mainly
affected by the rela ti ve length, i.e. by the shield diamete r compared with shield
length. This ratio governs the steerability, mobilit} and the steadiness or its
direction. T he shorter the shield, the more difficult it is to keep it in the correct
line a nd the easier a change of its direction, e.g. on curves, will be, whereas the
 SH IELD TU!loN[LUl'oG

longer the relative length or

the shield. the easier it is to keep it in its original
direction. but the more difficult to bring it back from an accidental inco rrect
direction and. in addition. the more difficult is its advancement. Therefore, defini te
advantages may be attri buted to longer shields in loose and sofl ground and in
relatively long stnligh t stretches. but in more resistant ground a nd in cu rved
(sinuous) stretches short er shields will afford greater advantages.
This relative \cngth will become disadvantagoous mainly with smaller d iameter
shields 3$ the installation or indispensable shield machine ry requires a eertuin
sJ),1ce which cannot be reduced. As the steerability of smaller diameter shields is
rather poor. an altO:Jllpl has been made to inS(rt a n aniculaled transverse joint
in th e middle o f tho: ski n. The longitudinal axis of the shield rna)' then be a lte red
by adjustable bolts, applied in the joints and, th us, it can be brought back to the
correct position.
The ra lio of relative length "aries bct\\,een 0·4 < LID < 1·4 but. acco rding to
present considerations. shou ld not, in uny case, exceed 0·70-0·75. The relative
length and some other important dala of shields employed in some noteworthy
shield tunnel s ""'" ind icated in Table 6/VIfI.
Co"'pa'(lf/u of S,,;.. ltI~ T.o.ou 6/ VIII

.
/)QUJ

N .... 0' ' •• nol

Di... _
••
D lq,)
LO~JOh
,
'm'
,
. .- ...
Numllcr
• -'" I
,.,,"'~-.
..,.• I •••,. •
I ",,,, )
T"' ~1
~
WeitiM

R ..... '~

,-,. ,-,. $1.,.,t

Ant ..erpen 0>.'176
"• 10
""" 27.'J Cast
London City
ROlherhite
1'86

."
2'13
.'1-49
0-.'1.'1
O>S86 ., '86
6700
,-,. 0-" 3<tO
Moscow Melro
6-00
4'7)
" HOO Casl 5to:<:1
Mo§cOW MC lro
,-,. 6-00
4'97 0"
" ' 800 . 20 . CaSI st.,., 1
Bu dapcil FAV
Bud.pest FA V
Queen,-MidtO\<n
,-,. ,-,.
9-6'
'{)9
0>764
OS, "
20

28
20 (SO)
JO (60) ::1 SO
'80
S'70 36""
Me~y (~an~nl) J-ll }-'2 1'13 '0 t9 170
BI ....kw.U '-6 t .'1-78 067
" 6J Ha, 224
Ilolland Vchi~l.d.r 9-\7

.."", "'"
j-7) 063 30 70 6000 400
0.,troi1 Dearborn 6-'4 4'26 " ) 120
Lincoln 9'6} ·4'11 6J + IN 6440 3().1
in the tail
SCl:tiun
Chic'1I0
,-"
undcrJround
Brooklyn llal1ery 9-63
,~}

4'7 J
077
"
"" " 61 + 12-7
in the tail
....
.800 22'

'"
>«llOn
 '" 'nJNN£.LLI N G IN 5ltALI.O"" DEPT" AND 'N l.OOo!lI. " " OUN"

RICH ARDSON and MAYO give thc following formula for the ap pro~ imate steel
weight o f a tunnel shield:
w == I S(D - 10). (6. 11)
where HI _ the weight of shield in tons
D - its c)(ternal diamete r in fee t.
AClllal weight figures lI rc a lso give n in the above table and, as shown, shields
con~truo;:led o f steel castin gs ha ve aboul twice the wtighl of those made of normal
struct ura l steel.

63.2.2. lbe Main Worlo;ing P,oredures or S hick! Tunnelling

Under Ihe protection of a shield the following working procedures have 10

til ke pl aa:;
(a) excavation (63.22 1)
{b) mucking ( haulage) (63.222)
(c) shield advancement (63.223)
(d) erection of funnel-lining (63. 224)
(e) groming, caulking and drainage (63.225),
63.221. Excal"m;OII, This takes place at the front-face and. as regards security,
it is the most diffil:ult part of shield tu nnelling. Shield tunnelling necessi ta tes the
exca"ation oflhe full -face, which in turn is not an easy task considering that shie lds
arc used in less rcsiuant ground and the sta bi lity of face orcas ellcccding 50 m~ is
frequently required .
The degree of expectable face stabi lity of a shield-dri ve n tunnel can be estimoled
in cohesive soils by the method adllised by B RO." 'S and BENNEMARK. G•3V
This is based on the "flow·elltension test" effected on an undist urbed soil S<1 mple
placed 111 a brass t:yl lnder perfomled on It s side \lith a cireula r hole of d ia . 0
(Fig. 6j l32A- a). The soil is progressively extruded through the hole and by
plouing the lIenical slress against the ratio of allial deformation to hole diameter.
the "eetical stress maximizes al fa ilure (0,.) for continuous extrusion (cr. Fig.
6/ 1321\- b). Re lating now this stress to the uncontined wmpression strength
(C~) of t he soil we get a ratioo:. If t his ra tio 0: _ ude" approaches or exceeds sill,
then fie ld evide nce suggests, that site condi tions may be critical a nd the actual
(1. = H . 1 (geoslali!: pr~ss ure) ve rsus extrusio n curve sho uld be ellarnined in

detail to estimate the potential ground loss related to the rate of e~ lru sion. ATT E-
W[Ll,l ..ffl adlliscs that by conducting the tcSI in a triaXia l cell and ap plying a
confining pressure to resis t eXlrusion a compressed ai r tunnelling situation (cf .

. ... 8~OM~. B. B . and BEN NtNARK. 1-1.: S labil ily of clay at ,·",rtical opcni n~. Prot". ASCE
Soil Mun. Fuund. Ok t967 Ja n. 7 1- 94.
•.•• "'nIWf.~L. P. 8.: SonK 3spc-c ls of site invC$lig>ltion pra",lice of ~hallow lunnel~ in
G,."OI O/ilain. Pro,. 1,,1. S"b~'''J' Cun/. Bula/u"jUml 1970449.
 SHlEW TllSNUl.L'IG

Fla. 6/132A. Extrusion lesl a~­

paratus aftcr BKOMS- B~N:.n.tAR~
(0) and determination or
oitiCiI
rat io v,le. (b)

FlO. 6f U l B. Fa,c slabi li·

~.alionby means 01 lhe
JO<Kt,n !itica ti<llti o n
prooess

'0'
788 TUNNELL INC IN SHALLOW DEPTH "NO IN LOOSE GROUND

Section 63.24) can be modelled and the necessary air pressure (as possible means
of artificial support) for controlled exca\'ation ca lculated.
The face may be stabilized and su pported mechanically by the following addi·
tional means:
(a) The ap pliciltion of a roof shield (cr. Section 63.21) transfers the plane of
action of horizontal pressu res (Ph) responsible for the intrusion of ground masses
towards the inside of the fa!;c by the protruding lengt h (xl of the: hood. Through
this. the acting c!\.Lernal pressures arc panly resisted by this earth wall, viz:. the
pressures acting on the original face will be red uced in proportion to the wcight
of the earth mass loading upon the face. Horizontal pressures (P.) are produced
by the vertical pressures (PF) and the !;orresponding weigh t is supported in this
case d irectly by the hood (cf. Fig. 6/ 133a).
Roof shield s also otTer advantages in loose ground whcn the face is breasted
pri or to each push, in that the breast suppo rt may be installed at su!;h a distance
ahead that the push lengt h !;an correspond to the full width of a lining segmcnt
ring. Even if the shield was not provided originally with a protr ud ing hood auxili-
ary forepoling d riven ahead from provisional steel beams beyond the fron t face
may be a very helpful asset is stabilizing rolling ground. These transversa l s teel
cap-beams may be arranged somewhat below crown level and should be easil y
demountable.
(b) The fa!;e can be suppo rted by breas t-boards either in full or in skeleLO n
arra ngement. Oreast-boards are to be su ppo rted from division walls or from s tiffen-
ing rings either by direct struts or by face jacks. In the former system tedio us and
sometimes hazardous dismantling is necessitated.
(c) A very advantageo us supporting effect is obtained by the app lica t io n of
!;om pressed-ai r dewatering. This has a dou ble effect because, besides affo rd ing
a unifo rmly distribu ted su ppoTling pressure on the face. it als o stabilizes loose
lind plastic soils by expelling wa ter from thei r vo ids so raising the ir shear strength .
(d) Similar and still more defini te stabilization may be obtained by the arti-
ficial solidifi!;ation of the face (cf. Sect ion 63.24), which may beac!;omplished
din:dly or indirectly. Direct stabili7..ation as accomplished by injection pi pes
driven ahead in a fan·like arrangement (Fig. 6/ 1320 ) and with an outward incl ina-
tion a round the perimeter of the face is a rather cum bersome proced ure req uirin g
continuous alternation of excavation and solidification cycles, involving t h e t ime
delay of tub!;: driving, du ring grouting and solidification periods. Preference is
given, therefore, to indirect stabilization, when anilicial solidification is effected
from the surfa~"C or from a special upper drift in order to raise the st rcngth of
strata lying just above thc !;rown, in this way obtain ing a corresponding rcleasc
of horizontal p ressure~ ading upon the fa!;c (!;f. Figs 6/ 219 and 6/ 220. and Scc-
tion 63.24).
(e) An original method of fnee ~tabilization is !;on~tiluted by its perforation
by holes and anchorage adits driven ahead into the undisturbed ground. This
procedure reduces the dimensions of th~ unsup ported fa~-e area by affording inter-
mediate supports along the perimeter of these adits. T hese drifts will be ancho red
 SIi IELD TU" NELU NG 789

~
t
I"• ",-
~
<
~
••, "
~
0"

••,•
"
~<".!
-t
~-
-
.' :&~
0
0
•
~~ .,
~ ~~
~~f;
0
•
•,
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~~
~H
'.
~
St~!.:'
~ ~<:l <:::
~ ~:si
"'< 't'i!'j ';:;
'"-"
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•

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""

",
;:
790 TUNNELLING IN SHALLOW OEI'TH AI'D IX LOOSE QJlOUN D

by frictional forces into the ground and will be capable of resisting considerable
tensile reactions in proportion to their length and $urface area.
In addition, they reduce earth pressure by dividing the earth column at the face
into smaller parts, by taking over and transmilling directly a part of its weight
to the bottom. By short ening the length of the sliding Slirface, they also reduce
tht dimensions of the sliding wedge (Fig. 6/ 133).
This concept was extended by KI NTU and FABIAN during the construction of the
Budapest Subway 10 multiple adit anchorages on the temporary front-walls of a

,xCtJOfI 8 8 ,~ecti(Jf/ A-A

Alic/l()f'Jgt
drlf'ts Segments ~
~rm1neflt limn;
CaI'crNe
M k/1eJd WJ!!

F,u. 6/ 134. App lication of Hn~horali:e dnfts ror (he redu~( i on of temporary
bulkl>ead wall thickne ss of shield ch aml>crs tBudapcst Suby,.ay)

spaciolls shield erection chamber (cf. Fig. 6/ 134). Three anchorage adits were app-
lied here: one al Ihe bottom and two somewhat above the spring-line: Ihey all con-
sisted of bolted liner-plates with a diameter of 2·50-3·0 m (8- 10 ft) and were
driven according 10 the system described in Section 62.41. Long· term ancho r-
age adits were also grouted 10 prevent excessive loosening and rock pressure in
the su rroundings.
In the construction practice at the Moscow Subway such advanced bottom
drifts are also util ized for malerial haulage when they are lengthened to the next
vertical operation (ventilation) shaft ( Fig. 6/ 135)_
This initiation was done with a view to facilitate material transportation and
separate possibly from each other the opposite transport directions (i.e. muck-
haulage/rom the face and lining maleriallo the face). In addition the drift offered
a very good possibililY of more exact soil exploration and better ~elt i ng out possi-
bilities thus improving the exaelitude of shield direction.
In addition to Ihesc useful services advanced dnfts as pilot tunnels are used
nowadays in a growing number for the realiza tion of various artificial soil stabili -
zation purposes. Chemical consolidation was carried out in the form of g rou t ing
ehemi<.:als from pilot-tunnels already in the construdi on of some difficult sections
in the extension works of the London UndergrQund (d. Fig. 6/ 170) and in the
 '"
Drillln!l rOd

FIG. 611.1', Orift advanced beyond [h~ face In .. shield u.lnn~1 (Moscow)

construction of the Dartford- Purfleet tunnel (eL Fig. 6/ 169a). With the advent
of mechanical shields - th is seems to ba:ome general practice - mainly in loose
cohesionless suib, where cutting or other mechllnical excavation pr()Cesse~ can'r
be effected but in a ground of some ma terial shearing resistance. In order 10 e:O:/f'ml
fhe applicDtion range of efficient mechanicaf shit'/ds our lhis "try treacherous kind
of soils, preliminary .wlidiJicolion was rl.'$Qrred /0 In mOllY instances with SUfiJjac/UrJ'
' fsufu.
A further ad\'antage is afforded by advanced bonom drifts in soft ground,
where they constitute a firm bottom support and tracking for the advancing
shield and successfully counteract its wobbling tendency. The concrete invert of
this bouom drift is shaped in the form of the shield perimeter and the two rails
embedded reduce friction and fil[ the required straight direclion. (1n loose and
soft ground it is general el[perience thai the front of the shield is impressed more
deeply into the ground than the tail Stt:tion, beca~se breakdowns and loosenings
lead to increased rock pressures a t the face, whe~as equilibrium conditions and
arching action have been re-established to II cenain el[lent at the tai1.)
(f) Finally, in entirely plastic liquid soils none of the above methods could
provide support for the face. Under such conditIons the whole face has to be
 dosed by a Sittl bulkhead th rough ... hu;:h the liquid wil e nters the shIeld inlerior
th rough slots controlled by sluice gales (see Fig. 6/ 130). The bulkhead wall is usually
arranged in the inner plane of the cutting edge and each working chamber IS
provided with II sepam\c slot. Depending on the natu re and compressibIlity of
the ground the shield may be driven parrilllly or tot;llIy blind. i.e. a cenain amount
of material IS permitted to flow into the shield throu!.h the openings a nd the rest
IS pushed aside as the shield mo\'es forward , or in perfectly liquid material it may
happe n that no materilll is allowed to enter the shield which is then pushed
"blind". Total dis placement of the ground as the shield progresses leads to hea~e
at the surf;loe, (d . Fig. 7J ~7) whilst uncont rolled intrusion of the matenal into the
tun nel can lead to excessive excavation lind settlement. Such methods a rc clearly
unsuItable for use beneath an y vul nerable surface structure unless extreme care
is taken to the proper control of the maleriallO be excavated Ilnd rcmo"ed,
For example, in driving the soulh lube of the Lincoln tunnel. New York ,
in Hudso n ri ver silt about 20 % of the total shield displul:ement entered the
Inside through t .....o ~ ma1J inle t·slots making up abou t 0'5% of the total 'blinded '
area. In drh'ing large diameter 5ub.lqueous tu nneis by this method , enough
material has to be allowed to enter the tu nnel to sen'e as ballast to counteract
thc rising tendency of the lining o""ing to the uplift of the liqUid, In ot her cases
el'en more malerialthlln necessary for ballast ma y be permitted 10 enler III order
to minimize the hHenti pressures which might be set up against adjacent structures,
liS was the case when drivi ng the second lUbe of the LlIlcoln tu nnel while the
adjacent tube was already in operation. Agam, in cO::lstrucling some parts of Ihe
Chicago subways by the shield method in hIghly plastic clay under city streets
adjacent to heavy import:!nt buildings, where thc conlrol of heaving, or subsidence
was of the utmos t importance these \~ere kept at a minimum by adjustlll8 the size
of the bulkhead slots to the varying soil condI tions. Almost 100 % of the material
WlIS admitted into the shield through openings 5 20 % of Ihe total face area,
The admission slots are controlled by hydraulically operated sluice-gales
( H g. 6/ 136), It may be mentioned, thai the ratc of ad va nce of 'blin(i" shIelds 10
such liquid and loose ground is rathe r favourable. An average duily progress of
9 m (30 ft) has been o btallled. when in excR\'ated ground it dId not exceed 2·2 m
(7 n 4 In) and in rock ....as only I m (3 n 4 in),
(g) The next slep in the development of 'blind pu~h' was to dose the face by
mec hanical excavators, i.e. to do excavation wo rk with some device providing
support for the face nnd preve nting ils bl't.'Skdown at the same time.
Ii) PJl.I(;I.'S rotary excavator may first be mentioned among the early devices.
This was used for smallcr dia meter tu nnels in ground of medium strength.'il The
excavator head consiSiing oft hrce cross members of girder construction is inside the
shield's skin. Sicel cutters are attached to the cross·members in vaT)'ing positions
and in the centre there is a larger cutter of special shape. The head is moun ted
on a central shaft ..... hich is supported by the girder sten in the centre of the rear

... , a. l "he EnglffUf 1926 AUG , t 78.

 '"

.. .

Fl(l . 6.1 136. Soil displacenw:nI broullhl aboul by lhoe propulsion or • bulkheaded shield
(Iattral Soqll«le and entrance ;nlo shield)

view (Fig. 6/ 131). The inte rnal rack wheel boIled to the ClIcavator head is drhen
through gearing by an electric motor. The buckets which scoop up the material
excavated by the cutters, whic11 is Ihen dropped into a chute are mounted on Ihe
re,olving cross-members. From the chute the material falls in to a conlai ncr.
whe nce it iscom-cyed by an endless belt and dropped into skips which take it
away.
T he energy cons umptio n of devices like Ihis is reJ:l1i~ely large and, in addi!ion,
the su ppo rt a ffo rded to the flu:e is nOI complete.

R';ms --.-

front VIew Rur VIew

FIG. 61137. ROI'ting_bucket ex~avalor of P~ I c:.
 (ii) Anot her earlier develo pmcnt is represented by the pitching milling-hcud
hemisphere of H"LUl"(;(Jt. As shown in Figs 6/ 138 and 6/ 139 eJ(!;:a va tion is effected
here hy a hemis phe rical cutting head built in the front and extending somewhat
beyond the eUHing.edge plane of the shield. This cutt ing head is a sheet·steel
hemisphere mou nted on a central tra nsverse shaft . The steel skin of the he misphere
is provided with cutting slots which peel 01T the ground as they perform a 'nodding'
mo\emen t (Lt a cent ral a ngle of about 30~_4S o . Peeling is effe!;:ted in correspond.
ence wit h the push in 1- 2 !;:m thick slices by the star·shaped !;:ulling inlays and
the slices drop through the slots into the interior of the shield on a transporte r
band conveying the material into ships. The cutting head is actuated by an eccen-
trically mou nted a nd hydraulica lly operated piston-rod, T he excavation of that
part of the lace Iylllg beyond the surface of the hCllU, i.e:, the area corresponding
to the "ertical projection of the cutung edge and thai of lhe strip len between the
two st ruc tures has to be sliced olT by the CUlli ng edge during the push. In conclu-
sion. this shield operates in an exactly opposite manne r to the roof shield when
stopmg the centre of the face involving a potential bR:3lcdown of the roof. Thus.
it may produce unwanted roof collapse owing to e~cessi\'e o\'erbreak in drier
granu lar soils, whe reas in plastic cohesionlcss soil thc slots of the CUlling opening
easily become clogged by the squeezed ma terial. This. in tum. may pre\ent
excavatIOn and stop the push b<x:ause of the full·face resistance, This scraping
head in motion requi res considerable energy which in!;: reases rapidly wi th its
diameter. T herefore, its use wilt not be advan tageous o,'er II diamete r of 5'0 m
(17 ft) even in relatively hard cohesionless or mixed material wi th little moisture
content. This shield secures good steerability through the clutchi ng of the cuning
edges into the virgin soil at t he push.
(iii) MAKOVSKty attem pted to make the operation of bulkheadcd shields more
economical. He employed water jets in the excavation for the liquefaction ofloosc
soil in the face li nd let t he slurry now through bottom slots into a n in terior sump,
from where II could be pumped out. Push ..... as elTccted ia the form of a slow
conslant motion under the pressure of the hydraulic rams. This process., howeve r,
was no t at:ce pted in generu l practice because t he extent of blind excavation could
not be controlled. It often led to unexpected and unwan ted roof ~ub5idence and
e"cntually brought about a considerable Increase and non-uniform distribution
of rock pressu res and surface sub5idence.
(iv) A decisive step forward WIIS made in mechanized excavation in the Soviet
Union by the introduction of rola ti ng CUlling discs. The first of this type mas
used in the COllstruction of the Leningrad Subway in Cambnan clay. As shown
in Fig. 6/ 140 a four-arm cutting head is rotated in f,ont with six sma ller culli ng
discs mounted upon them and revolving in opposite directions. This planetarian
movement eo\ers practically the whole arca of the faue and the CUlling nbs scropc
off the mllteri!!! whic h is collected Hlto a chute and ca rried b.1!;:k into the insidc
of the shield whe nce it is hauled 01T by an a ppropriate conveying system.
Ro tation LS effec.loo th rough a e~ntral shan which operates the revolving discs,
in ILIrn, through a somewhat complicated geanng. A very high rate of construction
 '"
SJUELD TUt-NELLING

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FlO. 6/ 139. Front siKhl of spllcriclil slKlJ Klment cUll i ns race

progress amounting to 10-1 5 m (33-50 ft) daily has been o btained for 6 m (20 ft)
diameter shields with this device.
Another rot ating cutting-disc shield has been used successfull y in a limestone
of med ium strength d uri ng the (:Q nslructio n of t he Moscow Subway. In this rock
 197

the free face and the heading and bench methods were used formerly. the cast·iro n
lining segments being placed by moving erector arms.
However, blasting involved considerable overbreaks leading to an unwanted
increase of rock 1000$Cning.and. co rrespondingl y. of rock pressures arKk:ons!derably
increased the amount of material and labour fo r backfill a nd groUling. Therefore,
the application of the rotating cutting discs shown in Figs 6/ 141 and 6/142 has
proved mon:: economical although the wearing-down of the cutting blades is ra ther
considerable ( I to 2 blades for each lineal metre c f progress) and the time lo~ for
the c hange is also far from negligible. As ;s illustrated two diametrically placed
rotating di scs (each nearly equa l to half the di a meter) are mou nted upon a centrall y
dri ven annu lar Tlng. t heir shafts bei ng dri ven se parately with suita ble g~aring.

FKl . 6141. Moscow ~hl~ld ...·ilh

~unina diocs

Flo. 6/ 142. Newer MO!ICow.typc shield

79. TUI'NELLING IN SHA LLOW DEPTH ""I) IN LOOSE GIlOUl'iD
The discs rotate together with the annular ring, their individual rotations being
in opposite directions. Buckets are moun ted outside the main ring for the coHection
of fa lling rock which is again tra nsported through chules to the rea r of the discs
and hauled off mechanically by transport bands and lorries. Daily progress has
attained 10 m (33 fl) for a 6 m (20 ft) diamete r tunnel.,·2
Tunnel const ructio n with one si ngle revo lving cutting disc. 'continuous tunnel
bori ng' dales back otherwise 10 the introducti on of the so-called 'moles' patented
by GoouMAN and perfected hy ROA R!"S. This was used wilhout shields and is
mostl y applica ble in medium ha rd rocks where the bridge-action period lasts
un ti llhe final ti ni ng can be inStalled and no tcmpora'y support is requ ired. ]t is
used mlli nly in limestone, sandstone and sl1ale and is ll nsuitable in pillstic clays
or in col1esionless soi ls liS well as in hard igneous rock.s,
Basically, the 'mole' consists of a large rota ry cu tt ing face which carries rolli ng
discs and. in somc tylXs, fixed drag-typc cutters, all arranged to cause spalling
of rock from the ",orking flll'C.&'ClI
Behind the culling hClld lire h}draul icalJy activated gripping shoes and propul-
sion jacks. wh ich not o nl y providc to rque reactIon hUl maintain the required
cutting pressure agai nst Ihe rode: fal'C,
Roc k, crumbling from the fal'l: liS li res ult of pressurc and torque applied to th e
cutti ng head, is scooped up by revolvi ng buckets fixed to the rota ti ng hcad peri-
me ter just be hind the cutters. The falling rock is then carried hy a conveyor system
to the rear of the machine (see Fig. 6/ ]43). Somc o f the more imponant advan-
tages claimed for the 'co nti nuous boring' me thod are :
Circular smooth and unsha ttered holes de\'oid of blasting fract uration and
damage arc safer than blasted ones and usually requi re no, or \'ery li llie,
tcmporary support.
Overhrcak is reduced 10 a minim um and Ihcrefo re a savi ng in the amount
of permanent lining materia l can be o bta ined.
T he uniform si1e of the broken rock renders muck hliulagc and disposal
much easier.
In Fig. 6/1 43 a complete sel of machinery for the cOnlinuous bo ring method
is sho wn and il can be secn thai mec han ical devices ca n a lso be aunc hed 10 pro vide
for the erection of ring beam~ if necessary as a teill porary suppo rt for the headi n g.
In cond usion, it may be stated Illat revolving CUlling di~ arc suita ble in rocks
of medium strcngth and m ha rd rlays or sha les of moderate water content und
cannot pos.ibly be used in cohesionlcss soi ls or in plastic clays. The costs of machi~
nery a nd the cncrgy demand increase p rogrcssi~ely with the diameter. Ava i]ab le
Soviet da ta indil"lltc that fo r t he excavation of I m3 (1'4 cuyd) ground a bo ut 5 8
kWh of electric enc rgy co nsump!1on must he allowed for.
An effictem "molc" WIiS used lately III the const ruction of the .sc<:ond Me rsey
Road TunneL' II The apphed machmc excavates by rotal ion of Ihe wh ole CUlling
. ... . W"ONER. II .: Vortrkbsmp..,;h;nen;m TUOIlO!lbau. Dir Balllt"d.niic t %) June .
.... Enfl. and Mining J. 1960 Ma~h .
. .. M"uaw, T. M.: I he: second Mcrsey Road Tunnel. CI~. £,..,. 1968 ()(;I.
 ~ IU ~~ I) TU"NU..l.I NO
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1==-4 .---.. A----j *==* t-=;t ;t=--1j

FICl. 6/ 143. T ile GoomlA.s-Ro.Bt N~ continuous lunnc.1 borin, set

head against t he rock face (Fig. 6/ 144). It is fitted with 55 face a nd gauge cutters
which are bi-conical discs of 9 in (23 mm) diameter, sct tungenlta lly at va rying
radii. T he ro ta ting head is powered by ten 3-specd eleclric motors each of 100
horsepo wer. Ca rried on its circumference are buc kets which scoop up the broken
roc k as it falls to the invert and disc ha rge it into a chule from the lOp of the
circle. The soil is then fed to a series of com'eyors a nd discharged to a siock pile
outside the porlal. T he rock as it reaches the convt"yors is mainly small pieces or
sand with very few large lumps. T he cutting discs are fixed to brackets in front of
the rotaling race so that there is a space of about a foot between the cutting head
and the rock face into which t he broken material fa lls. The wea r on the cutters
varies somewhat with their duty, those al lhe circumference na turally being e"posed
to the greatest ab rasion, and they have to be replaced every 200 to 300 ft (60-90
m) of dri ve. Fo r this purpose access has to be obtai ned by excavating a small
cross-heading from the pilot tunnel in front of the machine.
Su pport for the cutting head allhe front is by means of hydrauJicjacks carrying
t he weight 10 slidi ng shoes res ting on the exposed ground in the inverl. These jacks
allow adjustment of the level of the cutting head and thus control of the vertical
800 tll "N£LUN(; IS SItALLOW DEPTH Io)<D I~ lOOSE C ROlJ"O

ittl;,~ A- A

alignmen t of the tunnel. Thrust on the cutting head can be as much as 500 to n s,
Ihis is carried bac k throug h the framework \0 a position about 50 fl ( IS m) be-
hind the working face and is there transferred into thrust channels bolted to the
completed lining of the tunnel at axis level and wedgi:d !)ctween tile rings so as to
dislribute the longitudinal thrust over at leaS! 20 completed rings. Rea r s u pport
for the machine is provided at about!he same poi,ilion where a carriage runs on
the haunching which will later ~arry the rood ded. BOlh vertical and h ori7.ont a l
adjustments can be made in this plane 10 correct and adjust the direction of cUlting.
The system of segment C,,"Ctors lies immediatel), behind the culting head with
ils rOQf shield, driving motors and muc k -chute. This Olean5 that the lengt h of
tunnellemporarily without lining iJ 16 ft (4·80 m) at maximum reduced to 12 fr
(3·60 m) u the 4 n (1·20 m) ring is erected. There ar: five separate segmen t erectors
serving the different parts of the ci rcle. For the in,ert segment a hoist or crane is
slung beneath the machine carriage to pick up the s::gmcnu from del"-cry ca rs a nd
tra,·"] forward placing them in the invert. The haunch segmenl$ are served by a
separatc placing boom at each side of the hase of the machine carriage: these also
pick up the 'cgmcn ts from the invcrt aod carry them forward to position. For the
upper segments there are two further erecto rs tra'"clling On an arc roughly con-
centroc with rhe tunnel. The segments are picked up from the invert by II hoist at
the rear of the machinc and brought forward over the gantry to be placed by II
fork lift onto the appropriate segment ertttor in its highcst position. Eaeh seg-
ment is then traversed downwardsround the arc and placed in its position in the
circle.
(v) A f~iTly ' .... '·nl dewlopmcnT in m""hani,ed ,hield construction is the d rum
digger type of shield. which was developed by Kinnear Moodie and Co. a ud by
Mc Alpine Ltd. and was successfully used in the construction of the new Vido ria
line of the Londoo Undergroulld. and the Toronto Subway.
The drum digger consists of two drums (Fig. 6,' 14S) of which the shield skin
 -.'-
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p~()pe r co n s ti tutes the exte rn" l Inai" drum. its kading edge being be~'e lled 10
form t h e c uning edge. W it hin the main drum is a rotation drum o f s maller diameter
carr ied Oil two roller races IItld provided with a thrust ri n g 10 take 'he .. ial
load fro m th e Totati ng cutters a rranged in its front. The cutting teeth lherllSl:II'es
are mounte d o n si x a rms form ing /I culling he ad al the fron l of t he shield. Tht
arms carry eight cha ngeable tee th each, and a re mounted at the outer edge of
Ihe inner rotal ing dru m so that Ihey cu t lhe area between th e inner and QUieT
drums. Thcarea in front of the inncrdrurlI iscut by teeth mounted on 11 removable
arm ac ross the dill me te r o f t he inner drum. The di st rib ution of Ihe tee th along
the llrms "aries from arm to arm and they ca n be cha nged.
The inner drum and the cu tt ing teeth with it ca n be rota ted at speeds up to
4-6 rpm in bot h dm:c ti ons wi th mU!.:h lower energy consumptio n than the full-
face cutting di scs driven by a central sha ft.
A further red uctio ll in energy co nsumptio n has bee n obtained by omitt ing the
ta il sec ti o n entirely and red ucing the skin length of the ou ter drum accordingl y.
In solid a nd uni fo rm clays o r marls ll nd sha les fo r which this shield is princi-
pall y suited. cuLting can be done with sufficien t exactitude to allow the lining seg-
mcnts to be placed directly upon t he excavated carth face and propulsion can be
effected by rams supported o n th e segment rin g which is a lready outside the shield
proper. Natu rally, a tail rect ion can be added, if required, although the di m:t
placemen t of the seg men ts o n the excavated ea rt h face will preve nt any unwanted
difference in level (steps) between The subsequen t rin gs as they slide off from the
inne r surface o f the tail (cf. Fig. 6/ 11 8). The speed record in tun nel cons tr uct ion
was obtained by the Kinnear M oodie and Mc Alpine drum-type shi elds giving a
progress of I m ().) ft) per workin g hour for a 4·20 m (14 ft) ex terna l di a meter
tunnel. l •45
With t he scope to ex tend The applicability of mechanical shields also to co hesion·
less soils some new types ha ve been developed lately.
One of t hese is the Cu./weftl..Smilh shield s.i f (Fig. 6/ 146). The shield-skin has
gOt an inclined eutting edge with an overhanging roof. acting as a hood. The
face-sta bilizing effeet of this ove rhangi ng- protruding roof is partly responsible
that this shield ma y be a pplied also in loose a nd cohesion less soils. Excavation
is effected by rotati ng arms upon which specia l cutt ing blade s a re mounted and
which revolve around two adjustab le parallel sha fts arranged at about tile
ce nt re- line of the shield. Both horizontal and ve rtica l adj ustment o f t he front end
of the main-shaft is equally possi ble.
Incli ned o\'e rhanging cu tting-cdge is o ne of the features of The new Robbins-
shield a modification of the Goodman- Robbins conti nuous boring se t (cf. Fig.
6/ 123), too. Face-slability is increased by the shape of the rota ting d isc. which
exca vat es a spherical segment from the face thus increasing its stability by a po-
tcmial beneficial archin g action. This machine works wit h rotating CUlling

.... EnyinurlMII 196 1 March and 80111fclrnik t963 June.

•·.. S('HUI'I', R.: Bau dcr M ("," ch~ n cr NonJ -Siid U-bahn Linic. DI'~ B,,,,ilfl/rnlt ur t967 1.
 SH IELD TliSStLUSCi 80l
FIG. 6/ 146. Frontal view of the
Cah.eI<J _S(ll ilh shie ld

a rms and may be applied successfully in contrast 10 the original Goodrnan-

Robbins set in alluvial deposits 100 ( Fig. 6f I41).t.47
A high-degree of automatization is claimed for the Ba(Ie-lIo/:mOIlIl shield
(Fig. 6/ 148) which is provided a t its froni by a working chambe r suitable for the
application of the plenum process serving not o nl y dewatering but also face-
stabilization purposes. EJicava tion is effected by a ro tating dISC where cutting
blades are mounted on . Muck-haulage is effected automatica ll y by compressed
air in a closed pipe system, whereas for Ihe access to the face a small-size hOrl-

F IG. 6/ 147. The impro,·ed

Robbin~ Ihield

0." Si milar Shields are used in Japan 100.

".
•"

•
 :iton,," man-lock is an-,I"gc:d on 'he double diaphragm wall _ The whole maclllncry
.s o~nlled hydraulically and pr"c,klllly n" man_labour is requIred durin", "'l uI..
operation. A further interestlns posslblll1)" In IhlS field is ,he /w"tOf/rte shidd, on
..... h;ch the dia phragm is placed closel)' behind the cutting head, The plenumeham.
ber thus formed ..... ilhin ..... hieh the cutting head (disc) rotalc:5 is filled with bentonite
slurry at a suitable pressure to reu,in the face independentl)' of the eullcn. The
application of bentonite slurry fo r ground support in tunnelling doublleMly
facilitates smooth exc.1vlltion and keeps movements of adjacem ground and
structures ut " minimum.
A fUflher development of this idea is the "air-on-face only" mel hod. With thi,
system the ai r-tight bulkhead is installed across the forward dl8phragm of the
shield and compressed air is applied only 10 the .....o rkinS face. As it ,",Quid be
extremely hazardous to have men worlmg inside the shield. Ihe method can only
be used with a mechanic:al exl;a\'utor: all the mcn are working in ,he tunnel behind
the diaphragm '-"'811 m free air. The muck from the face is passed into the tunnd
on a conveyor Ihrough a mechanical muck lock which maintains pressure on lhe
face. This allractive solution is unfortunalely a lso nol de\'oid of drawbacks liz.
a) The compressed air tends to escnpe around the shield into the tail space and
then into the tunnel.
b) The volume of compressed air at the face is so small thut even ,I minor blow
will reduce it to atmosphcric pn.'Ssurc.
c) Access must be provided to Ihe face to change or to clean the teeth on the
cuuer and to remo\'e obstructions such as oo:.:asional bouldel"5.
T he main criticism of the value of shields provided with mechanized e.-cantlOn
dev,ces is (besides the danger of mechameal defccts) that their smooth and ebot
operalion is possible only in a homogeneous soil. Whene\'er soil conditionS chan!t,
e.g. bouldel"5. quicksand. len~. elc. are encountered, Ihey fad to function Ind
as the mechanical gcars and rotating or clamshell excavating devices usually do
nOI admit access to the external face much of them must be dismantled to effect
uny chllnge in Ihe CUlling devices.
Thus every dismantling or change in the mcc·hanical devices in\'ol\"es conSider-
able loss in time and labour.
Considerable advantages are offered in this respect by the new B.S.P.-NIJI'TALL
tunnelling machine (see later) where is neither a centre drove shaft nor a rel'oll'mg
drum or disc. The large annular bearing arr,mgement makes it possible fOTonly
the cutting head to re\'ol\'e and Ihis in lurn leaves open the central portion Jcadmg
to the intenor of the shield, allowing good access 10 both the working face and to
Ihc control s)'ilems.
Although perfection of shictd tunnelling machines is progressing ~ery rapidly
1 think t hat the recent remark OrWAlm,·,1 is very hitting under given circumstlnces.
• .•• WAllO, W. H.: Yieldinil of the afound and Iho;: Slruclur.1 bcha~ rour of lin inlP of dif·
rerenl IkllibiHty in a IUnlld in London cia), . Bllildi"tl R~Sfflrt"h SIU/;,,,, ru",,,/ poJNr No.
J~1 70, 1970 <Xl. ••
 " " I"CSC'nt tunndl ing machines are .. m i"ed b leMing; while l hey improve pf"Oll'3l'
when t hey an: ope~ating they are mo~e ha ble to produce ove~b~ea k . and if tho).
encounter a buried channel of waler-bearing grou nd (as happened Iwice on the:
Vicloria Unde rground Line NOrlh of the Thames) progress is dela)ed very sub-
slalllia ll y - 50 much so, lhat ordinary hand shields ha,'e ~n used more r«entl)
on t he Vitto ria Line 50uth of t he T hallles wherc buried ri" er channels were e~·
pC'Cled nnd encountered:'
I entirely agree tha t the design a nd conSlTuctjon of lunnels lire inseparable.
Too often an engi neer produces 1\ design for 1\ completed tu nnel li ning and tilt
process of construct ion is sorted out by tria l and error with an unspecified set of
equipment in the course of bui lding the tun nel. The whole endeavou r of design Ind
construct io n needs 10 be to nsiden:d as an integrated process. in the SRme \lolly as
a produclion line in a factory is d c\'elopcd.
(\,j) Based on wide ex perience, RICHA RDSON and M AYO consider the use oftbt
follo..-.ing excavation methods as most suilable in particular soils:
In liquid slit Ihe use o f a bulkheaded shield is advised. The bulkheadcd frOOI is
pressed agai nst the sou a nd ;an ;amount of material up 10 about 20-2.5 % or tile
cross-sectional Hrea is allo wed to enter the shield - chiefly thro ugh the top &lUICt
gales. This malerial is levelled at the bottom and used as overload 10 counteract
any uplift te ndency due to compressed air. The rest of the mate rial has to br
squeezed a round the circumfe rence when propelling Ihe shield,
ht ~'/}ft duys the use of bulkheuded shields is also ad visa ble, but all the malerial
corresponding to the cross-sectional area has to be allowed 10 enter the shield.
It is, however, possible thaI drh<;ng shicld5 in such material under It relatll'ely
Ihm surface cover in urba n areas Will produce a few centimetres of surface l~iI"e
e' en unde r such circumstances, but this is still mo re lolenl ble than surfaccs"b-
sidence. It may ha ppen tha t Ihe liquid clay asa result of being pn:ssed and squeezed
a t the fronl, will pass to Ihe lail section and force an entry inlo the shield from
the reUJllIcross t he ga p between Ihe skill and lining segments.
I" dry d u)" conglomera led gravel and in all self-suppo"ing ground open.fact
shields, equip ped with the previo usly described mechanical CUlling de\'iC\.'S can be
advan tageously used. The fro nl face can be e)(envnted freely or under the. prott(lion
of lighl strutting nearl y in the whole cross-sectionill area, and only Ihe perimeter
has to be CUI by the CUlling edge during the push.
An awkward situalio n arises when the shield has to be driven through a miuJ
slrufi/irUliQn. II is some what beller when t he top layers are loose o r soft. beaust
the use of a hood or other face stabilizing methods may be successful. But iflht
bottom la)er is of ,"cry hard rock SO thaI CJl:cavat ion necessitates blasti ng, the
greatest precaution and care have to be tu ken as Ibis operJ.tion may be \erydan-
ge rous. If, on the cont rary, the lOp luyer 15 of solid roc k. then Ihis ma y be used a.s
a protective roof for the exca\'alion of the bollom layer and then it can be remo,'cd
carefully with the a id of lelnporary posts and blasting wi th smull charges. Tht
prior installa tion of the lower ha lf o f the permanelll lining segments may also
be helpful.
 51U£lD TUM,'(lUI"G 807

In I>lJnd and graul and in all

cohesionless soils very appreciable
hel p /Ilay be afforded to the uabili- •
zu tion of the working face by the
hood, face jacks a nd horizontal
division (wo rki ng) pla tforms. These
a ll counteract the inr ush ofl he roll ing
material, the latter restricting it 10
a distance of m cot 4J, whcrc 4J
denotes the angle of inner friction,
and III the height difference betwecn
, .....
the succes..~ve worki ng platfo rms
(Fig. 6/1 49). The strutting effect of
these platfo rms IS also maintlli ned
durmg the push and, in fa..:t, the
sloping material which has entered
Ihe shield provides an clastic moving
support. I'rae tical evidence guined in
the SOlliCI Union has revealed thaI
the resistance against propulsion con
be ,",ell regula ted by partial blinding
ofthc falX and jaCking. Forces were
gencf1llly lowcr, when the s.ides were
bulkhclldcd by temporary sluice-
boards, the qUllntity of y,hich had
10 be IIdjusted to the actua l nature FIG. 6j t49. Shield facc $t.b,liulioll ",jlh
o f the soil.II.." In the :;ame wa y horizOlltal di~isioll platrorm, (laminated face)
d i,ision platfoTills may be removed
entirely whell the impro\'Cment of soil conditi ons admits and, therefore, must be
structurally shaped to a llow for evenrual dismantling. To counteract an accidental
e~cape of com pressed air thrO llgh the cohesionless slope~ a clay blanket may
reduct loss.es considerably. The lower th ird is usua lly len more open so that the
soil there can enter the shield.

63.222. Muckiltg (haulage). Effective muek haulage is one of the Illujo r problems
of efficient tunnel driving. In the case of shield tunnelling it i~ performed in t wo
steps. The first is the immediate removal of soil from the shield body a nd the
second is its con\'eyance to thc \-enlilation or .... orking shaft. The imponance of
rapid and welt-mec hamzed removal from the shiek! body CIrlnot be sufficien tly
em phaSIzed a nd the usc of efficlcnt belt ..:onve)OTli is indispensable. Haulage is
usually cffected to ....ards the rcar, but muy be effected sometimes in the case
of speciul advanced drifts (sec Fig. 6/ 135) to .... urds the front when this involves

.... Osn"I"ollia i Flilldammt/ 1964 No. I.

.. 1lINS[lUNG IN SHAUOW ()[PTH ,,"SO IN LO!lS£ GI OUI'O

least intcrfc rclK"c wi lh cltCllvalion, lining and grouting operations. Conveyors also
provide for Ihe loading of muck trucks (cf. Figs 6/ 138 and 6/ 119). If track o r trailing
arrangements arc inadequate or for long distances special loading machines have
to be used for this purpose.
The s«omJ stc:p is the corweyance of muck through the completed lunnel
section to the access shafts or 10 the tunnel poria Is. This process is completed in
the former case by elevat illg the ca rs in cages to Ihe surface and em ptying them
Into ordinary transport vehicles.

AU loadinl Bnd haulage eq uipm"l11 (bell cu",-,,),or, loader car<. traction entines, track,
elc.) mU~1 make Ihe smallest possible de mand on space. Usually sp«ial can and locomoti,"l'$
are used .... ilh t his in view lIavin&, in acneral, a widell ewice Ilial of 1M InlCI: pug.. and since
il il n«cssIIry for 1"'0 can 10 pass in Ihc wnMl , Ih .. pup should he abotn a quarter of lhe:
lunMI wldlh, ranpng hel .. cen 60 em and 90 10m (24 in and 36 in). Wich a sinlk lrac],.. quarter
0( l he lunMI ""dIll is the limi linl puae flclor Ind Ihis is liso alf«led by Ihe cunalUrO$.

Porf.ible srd/'1g ,..ltll FIG. 611'0. Portable

S!!'C/ tJeJ Californian siding

The IharlXr the eu<,'es 1M smallc:r I lie laulc should ""'. Generally," sinaJc lrack' arrln~menl
may ~ adtqualc. providcd Ihallpproprialc passing I...~ckl arc: arranllC'd at the mOSt important
spots. I.e. jusl It the ,..,.r of I he sll'led and in f ronl of the 11ft calJC5 .. llerc a men'c ~I of ca.s
mUSI he Ilways al lIand 10 cnsurc: continuous olXralion. For longer haulage disc.n«s inter.
medi.te 'idiniS rna, bo: ind islXn$.lbk.
In order 10 ,.,·c spa«' III<: use of porl~b'" 'Callfornian sidinlS· (Fil. 6/ UO) may 11..0 be
eool\.d.!.ed. s..."IC pracheal arranlcn>ecnl$ IS .d,i~d by R'CNA"O!iON and MAyO are shown
in nil 6/ 151 and 6/ 152.
A ,·cry important factor in cffic~nt and eo.:onon"c haulaae i. 1M solldily and reliab,lIty of
Ihe pcrmuncnt way . Poorly la,d Irack ",II incrulie haul'lIe trlct ion. rc:ducc Ira~cll"'1 ~pccd
and 'e<ult< c,'cntually in nume.ous and cO$t ly derailments. Track dcfoc ts arc due nOI only
to Ihe rails (oft en laken from !-Crap) and. lie$, bUI mlso 10 careless maintcnaT!(e sen-ie<;. T his
can be prevenled by Ihc (mploymenl of ..,p~rH l c "3ek CrewS ;nd.!~n dent of Ihe lIluck,nK
crews wtoo ure always in a hurry.
Muckina I;IIn arc: eilher sdf-c:mptyinl or dumping can. or when fixed tlley arc: emplied
on a 'poe,al dumpinll pillform adjoininl the shafl by a revoh'ina drum in to the: «'nlnl muck-
hopper bunker. Train umt~ ha"e to be ConlpoKd from a ~I of muck'inl car;, 10 be traclcd
by IOCO'110l,Ya.
Eleclric.baltery locomot ive' Or nolley Iocomol;"O$ are ~ for traction ; Pfl'ferc~ beina
,i.~n 10 tile fOml(' t)-pc Ixcau§e of $IIfely rcqulrenlCnlS. 11M: trolley.bauery ioconlOlllc IS
a desirable C(lmbinal'On of ,"" '''·0. Outside the lunnel or in eompkled sec,ion, thi' loco-
moti,·c opcratu olf l ile Ifolky "ire. In the uncompkl~d KCtion~. past lhe end of 1M w,n:,
thc Iroiley pole is 10"crcd and Ihe locomol i~e coni IOU",,", on the halleT)'. The~ locomollVCi
aro RJf""har~n. part of Ihe current when " 'orkin, olf 1M wire being diverled to recharae
Ihe batterics, Ihus cUllinl ollort Ille id le lime u~d for recharlinR and comply,ol "'ilh safety
requirements.
 SIIJELD TU'MLLISG 809

Novmg Cfi)f/F!

,
/cttJmotlYe

FlO. 611S I. (u) Cross.over arranGement with front loading;

(b) and (c) storage track arrangement

storage track Empty c.;rJ SprJfJg JWftcl!es

Storage track
''''
c

Alr-Ioct

o
FIG. 611j2. Track arra ngements in fron t of 3C<.'eSIi shans
'"
1"''''''81 comb " .. lon 10c<>",o,j~es """ n "" b<' " "., <1 un<le ' poor ,·en. , I.... ;on con,H . ;o n •. The
comb" .. ;"" """'_ or di."",1 l ocoono,j~·e . ....e nol pacti"" ... .. ')' danae'o,,> '0 health beea" .. <>f
U.., absence or ".,boo.. ",on<>~ide b ut ,hoe p .... ..,,,.,., or aCr<> l ein on" .. be conolde.cd (d.SeclIon
46.Hl). If gasoli ne l00:l)molive~ Bre used. efficienl '~nlilalion must be provided and the lir
rreq u~t1I ly tested for 1M presence or co. •
The utmost possible mechanization in muck huulage is a very essential item in
tunnelling as the obtainuble prugren de/rrmi"ed by the {wo moil/lottors. excat'alion
and lining, shUll'" not be hilldered by hall/age ol/d trQJlsporwllOI1 dlffi('ultil'S.
Concrete pressure pumps are very efficienl for the conveyance of concrele for
the lining. These installations co n~'ey the plastic concrete from a centra l miling
plant to the face, to diSliI nces of several hund red metres within relatively small
(200-300 mm) diameter pipe lines.

63.223. Shieh! mfral/cement. Accurate pro pulsion and direction of the shield is
a vcry delicate part of shield tunnelling, because it determines not only how far
the designed alignment a nd gradients will be ~onformed to, but it also seriously
effects the wnstruClion. Should the devia tions exceed the prescribed tolera nces,
the whole operation will fail. because the joints and connections of the cast-iron
or reinforced-concrete lining segments cannot be a n ached to each other without
forc ing and ovcrstresses, or with the required watertightness. Even the addition
of subsequent lining rings will be rendered impossible beyond a cerlain degree of
horizontal nnd ver tical distort ion.
As propulsion is do ne by the propelling rams (hydraulic jac.ks) the first task is
to ensure both their uniform spacing along the shield perimeter and also their
perfect co-operatio n. But at the same time thcir independent action mList a lso be
5C('ured as stccring ca n be effected on ly by exerting unequal ja(:k pre:;sures on the
various P.1rts of the shield periphery.
Occasionally an ex trJ jack may be placed at the bollom to prevcnt the shield
from 'nosing down' (wobbling).
The relatively small interstice between the extrados of the segment lining a~d
the intrados of the shield skin limits the measure of corrections, however, and
a superposition of deviations rapidly nttnins a measure which C-1nnot be corrected
without the regressi\'e dismnntling of a couple of erected rings. Sometim~ the
insertion of unwanted (:ountercurves (boll Ie necks) in the alignment becomes
indispensable.
The reqUired dearancc dimensions may also be impaired.
The efficiency of unequal jack aelion can be improved by some o ther mechanical
means. 100. as e.g. Ihe advance of the face exc-1vat io n on one side and its retention
on the o pposile one. Forced exc.1Vation alwllYs hllS to be appl ied on the side
towards ..... hich we intend to dir~t the shield. A more forceful method is to instal
props or rakers in front of the CUlling edge on one side to divert the shieJd towards
the opposite side. Such rigid a nd rcsisla m strulling may produce considel1lble
torsional stresses in t he shield body whieh may easily involve its pennanent defor-
mation, too. The installation of 'lead-boards' on one side of the shield at t he begin.
 ...
ning o f (he: push ;5 8150 u help ;n corrcelin. its allgnn.enl . An cfreeth'c men, of
keeping the shield in Ihe co rrect vertical p<nilion is ' 0 drl lo'e an advanced bo1lOn>
drift beyond the facc. The invert o f Ih;, drif, is often provided wilh It COnC~I.

bottom which eir.cli,·cl y preve nts 'nosing down' in weak soils. lind, simultaneousl,Y,
assists in stabilizing the [uee (cf. Section 63.221).
The correct d irection o f the shield must be checked by geodetic instruments,
of course. For this purpose a diopter is hung from the top of the tail se<:lion ....jlh
adjustable spider lines. During eae.h push the shield operato r must check 11Ia11~
spinder lines coincide st rictl y wilh those of the dlOplers ha nging fro m the completed
sel;,ions of t he tu nnel. Whell driving in cu rves Ihe exact dircl.:lion C"J.1l be gi\'en
for each push by the corresponding horizo ntal or vertical correction of the spider
lines (sec Section 5.3]).
63 .224. Erf'ftion 0/ tunno:llining. Lining segments will be placed by lulld In
small dill meter shields and usually with light pressed stru ctural·steel or thin
re inforced-concrctc c lements only. The most si mple mechaniclli device is a 5imple
hOisting winch the rope of whi<:h is led 0 11 a moving boom, bo th being mounted
011 a travelling platform. This is also used in the ereclion of the co ncrete block
or rc:inforced-concrete segment lining of relatively small dlame ter public uulny
tunds and the pladng into the exact position required IS aided and directed by
hand.
In tunnels of larger diameter segmental lining elemen ts are erected with .
hydraul ically operated erector arm which can be mounted either directly on the
3"i5 of the shiel(l tail or on a traw:l1ing working platform folJowmg closely beIIllId
the shield (Fig. 6/ 15]). Although the previous arrangement is mechanically SImp/(.
il is much less adjustahk to thc given circumstances, owing to its being in a fiud
position .
The erector arm can be rotated around thc horizonta l ax is to any required
position and e"tended or ret racted as requ ired. The end of the erector arm must
be provided with a suitable gnp also operated hydraulically (Fig. 6/ 154). This
grip must be ao;ommooated to th e Structures and rib spacing of the .segment.
The erection of Ihe lining segments is usually effected in Ihe follOWing \lay.
The boltom clemen I is placed first a t the invert to offer suppo rt for the following
eiementl! to be placed ahe rnat ely o n bo th sides upwa rds. When passing ol'er tbe
spri ng line however some temporary support is required for the overhanging t\o.
menlS. This may be effected In the case of ribbed segments easily by tempor&r)'
bolt or dowel connections between contacting bolt-holes. With block- or unbolted
segments a le mpor.try propplllg or strulling is indispensable unt il the nng IS
completed by pushing in the key-segment, wh ich is usually effected longit udinally
from the front. Exception may be made for the r«emly deve loped block segments
of the hexagonal o r spiral type (Wa)'ss 1I. F~ytag. ef. Figs 6/202 and 6/204).
6].225 . Grouting , caulking unJ Jrainage. Lining segments must be follo'ted as
soon as possible after placing. in almost nil kinds of ground. by the grouting of
the baek space left behind the shield tail lifter the push (cf. Fig. 6/ 118). In order
812 TL~SELL ISG IN SH4LLOW DEPTH A'D 11<0 LDOS£ GROUSD

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 SHI~LO TU"'lLLI"O

FlO. 61U4. Hydraulically oprr-

alcd Cl"Ol;IOI" arm when placina
a linina !e&~nl
...
10 prevent considerable surfac" lubt;idenC<"S and ioc. case1' in rock p."",ure. Tk
ro rmau on and ""to, nl of th., back IOpae" depend on both the natu .... o f the &<0\100
and Ih" type of shield. Th e annullt r vOId leO bet"'ccn Ih" res pectiv" ~Urfllces or
Ihe circular shield-skin and the smaller d ia. limng ring is sickle-shaped, itsmall.imum
height lit the cro..... n bei ng equal to the sum of the thickness of the lail skin (Hi
em, I 2 in), and Ihe width orlhe safety gap (3- 5 em. 1- 2 in) left between the extra-
dos of the hning and the intrados of the tail.
In temporarily self-supporting ground even the tunnel arch can 5:lg durinl the
bridge-action period uJlder ""nical lauds for hick of II lateral su pport should the
void left in the spring line by the advancing lail not be filled in l.Iuickly cnou$h.
Filling of voids .11 rhe crown ,an be ,arried out later. but this must also be done
before the grou nd caves in. The sag of tunnel lining under such conditions cao
also be prc~entcd by emplo)'ing horizontal bo..... ·string bars (turnbuckle rods) It
the spring line (ef. Fig. 6/ 192). Thdr applica tion, ho ....-ever, is rather eumbcT$OIIlI:
and connections 10 concrete blocks arc \'ery d, ifficult to malc.
In plastic. clayey soils voids left behmd the shield tail can be filled by the proper
manipuhltion of the shield. If. e.g., a bulkhead shield is dri\·en. it can be a rraoged
by a corresponding control of the sluice gates that the clay pressed aside lI·m
tightly end rc1e , tbe shield a nd fill out all the voids left behind, with the exception,
perhaps. of that at the crown.
The case is similar in liquid silts. but t he possibility that horizontal prcssurtS
may temporarily exceed vert ica l ones must be taken in to account.
The most difficult soils through ..... hich to driVe a shield are running sands alld
grll\'els, where surface s u ~i dences can hardly be prevented. Here, the possibility
of pressing the grou nd aside for filling the voids is completely out of the question:
thc only rcmedy is 10 push lhc shield veT)' slowly so that grouting can kttp pace
with thc sufficiently retarded advance of the shield.
Grouting has several functions including:
the establishment of a tight backfill ;
water staling:
stabIlization of the surrounding ground, so contributing to a red uction
of t he ground pressure acting on the tunnel lining.
These aims. however, cannot be simultaneo usly attained with every type of
grouting. nor to the same efficien,y. being alwasy dependent upon the natu~
of the ground and the type of grouting material.
A general dlstlllction is made bet ....·ccn (a) the primary grouting intended to
fill the back space. and (b) lhe secondary grouting for sealing and stabilizing.
Primary grouting is carried out under low pressure (5 atm-6 atm _ 70-85
Ibt in1 ) , the injected material being cement grout. monar of gravel or coarse goo.
Secondary grouti ng takes place under high pressure ( 10 atm - 25 a Im - 160-400
tbfin2) usmg more oement fluid suspension. bentonite. ho t bitumen of bituminous
emulsion. The grout is forced in through grout plugs (4 cm- S em; I 1/2 in - 2 in
dia) provided in thc lining segments and closed for the timeof erection (Fig.6/ 1S5A).
 '15

Ail' V(!flt

Grow "CSt!

1"1(1. 6/1558. PQtsi blc wlulion s for the prc"~nlion

of the re-entry (I( 110ul ,nto the: shkld lail-space

In 1:!llo:h lining ring al least four grouting holes are pro\ided with staggered dis!ri·
bution. In kss permeable gfounds close r spacing will be requi red.
(a) For prima ry (back-filling) grouting, fairly weI cement mortar with lI. t-ement!
silod Tatio from I : I to 1 ; 3 was exclusively used at first : this "''as forced in at
the boltom grout plugs as the shield tail cleared them, while the plug nc)[t was
removed to serve as an air vem. When mortur appeared at the upper hole the
grout hose was then transferred 10 Ihat plug. where the injection of grout continued
Imlhal secto r was filled . As shown in Fig. 6/ 155A grou ting is effcned by screwing
II stopcock directl y into the grout plug. The grout hose wilh an air venl is con·
Meted tothestopcock, When grouting is completed, the inner stopcock is turned
10 retain the pressure in that hole until the grout sets, Meanwhile, the grout hose
is transferred to the next plug.
Resides the large quantity of grout and consumption of cement required in loose
granula r soi l ~ and with large annular spaces left behi nd , th e greal objection is that
owing 10 its hquidlty it is difficult to prevent it from Hawing around the segments
and entering the shield. This is to be expected the more the sooner grouting is
effected behind the advanced shield. On the othe r hand, a possibly speedy grouti ng
is a most efficient tool in the prevention of progressive loose ning and thus in the
anticipation of a !;ontinuous increase of rock pressures. Therefore appropriate
measures are to be applied against the re-entry of grout into the shield. This may
be prevented by using "drde boards'", segme ntS of wood cu t to a radiuscqual to
the Insid!; of the tail. These are wedged tightly inlo the gap between shield·skin
""
a nd e xtrados of the ""Slll" n1 r in g a nd by fining tigh tly "sainSI .he ta il m"y pre'·"nt
I.IIk" S" w ith vcry little C8u l king. The other so lution ;$ to apply a flexible s,eel
cover pla tt welded o n the extrados of the shield tail acting as a tight membrJne
a nd dosing e lasti!;:ally t he gap between lining segmenlS and inside face of tail-
skin (Fig. 6/ 1558 ). Owing 10 its liquidity. much of the grout will be wIIsted when
entering t he voids of looser soi ls and passing, e.g. th rough fi ssures. 10 adjacent
sewers. All losses arc disadvantageous because of the high cost of cemen t. More-
o\'cr, it might also occur that air bubbles will remain in the injected mortar leading
to subsequent senlements.
Considerable savings in cement can be obtained if the voids are pro mpll y filled
wilh hi rd 's eye gravel or with granulated slag, screenings, etc. of unifo rm size
( D = 4-6 111m: 1/ 6-1 /4 in) at firs\. Grouting itse lf is done in t he same way as
a bove. using a grout hose of simila r diameter. in the same order of seq uenl.-eand
a ccording to the same principles. As the shot has a pore volume of about 33 %,
ilnd wiTh regard to th e f.lct Ihat t he gravel will no t flow like a grout and will not
pack so tightly, occasional spots may be produced into which grave l fails to How,
Therefore. gravel 'shooting' is usually followed by a cement grou t of I : I mi~
and qui te weI. This consolida tes the gravel backpacking by fill ing th e IQids.
A secondary benefit of this cement grouting is thai it stops mOSt of the leaks
into the !linnet (This effect may be increased by the addition of 5- 8 % bentonite.)
It is also ;1 recent trend in grout ing to utili ze local materials for filling oUlthe
voids. For this effect the excavated mmeri;1i is gro und in a local mill mounted on
Ihe gro uti ng platform. lhen mixed wi t h water and cement and occasionally some
(.hemicals may be added to the slurry produced. In clayey SOI ls gnnding will in·
crease the specific surface area of the particles a nd thus increase their actililY.
T his will increase in turn both insulating prope rt ies and liquidity (penetration
capacity) of local grouls, but decrease their strength properties. These may be
restituted howeve r by the addition of bi ndi ng agen ts (cement). The regulat ion of
sclling time (whic.h is also an important ilem in grouting) may be efleeted by the
addition of va rious amou nts of sodium-silicate (water-glass). Sett ing lime must
be adjusted to t he adva ncemen t ti me of shields in order to prevent leakage and
anticipate ils re-entry into the shield (sce above). 8 y prope r dosage it may be
ohtai ned Ihat the injected grout will produce circum ferentia l stoppa ge betw~n tbe
int rados of shield skin a nd extr.tdos of Ihe last inside ring of co ntacting lining
segmems within Ihe lapse of time unti l the next grouling must be proceeded with.
Gro utin g is a highl y skilled operatio n requir ing experience and judgement to
choose both the proper consistency and grain size of Ihe grou t and the highest
permissi ble but still harmless gro uling pressu re a nd Ihe appropriate operation
intervals as \\'CU .
II must be noted Iha l if the injection pressure is ra ised witho ut forcing in addi·
tional quantities of grouti ng material the increased pressure wi ll act merely as
cxlernal loading UpOIl the erected rings possihly pnxiucing an excessIVe local
overload sufficienllO bring a bou t the fai lure of conn eclions or even.of the respec-
tive lining segments.
 SHIELD Tli:<.S£I. U'G 817

Two lypeS of grou t machines (pnellmatic or mechanical) are distinguished as

they un: used for primary or for secondary grou tin g.
For primary or low-pressure grouting, pneumalic grout placers are generally
used operaling al an air pressure of 5-7 a im (SO lb/in!) supplied by tl1l\elli ng
compressors. Some of these appliances are of quite simple design which can be
produced in a local workshop. Thei r operaling air pressure is, howevn, limited
and not adjustable 10 the actual resisranct encountered III the ground. Pc>putar

Hm·•.~
cll.1mb/'r
AirWItt' H

FII}. 61156. S,nate--chamlxr IIrou! machine FI(; /)J 1 ~1. Doubk--chamlxr Irolll maeh,"c

machines bo th mix and place thc grout. Some Iypes mix by agIta ti ng the water
with compressed air, and some by thc action of paddles rotated around ho rizon tal
or inclined axes.
The main Iypes are as follows:
The single-chamber placer .... ilh a ea~city of I50-ZOO Ifh (Fig. 6/ 156). The ba tch
of cement and sand fed into the feeding co ne is dropped inlo the mixer through
a cup valve Ihcre to be mixed and agitated with water entrained by compressed
air, the quantity of whil;h ca n be controlled by a mixing vahe. When a homoge-
neousgrout has been produced in the mixing chamber, the balch can be forced out
by compressed air mto the grout pipe by opening a stopcock. After discharging
th~ batch. the reeding a nd mixing cyete can be repeated.
The double-chamber placer with a capacity of200-300 li h ca n replace IWO single·
pan pla!:~rs und alTo rds a possibility for con tinuouS grouting, because while the
mixed bat!:h is sluiced from the upper pan inlO the lower one an d forced into the
groul pipe. lhe next batch is being mixed in Ihe upper "an (Fig. 6/157).
The inclined dru m placer (Fig. 6/158) with a <-"Spacity of 180 200 I/h is suilable
ror placing grouts of lower cement a nd wa ler content. With this equipment the
mixing and forcing oul of the grout are done scpanltely. Its main advantage is
that instead or using compressed ai r revolving p;tddles or II spiral agitator fitted
 ·18 TI;NNEUtNG IN SIi"lLOW OEPTH " '0 IN I.OOSI: GIiOUSD

Fill. 6{Hli. Grout mach. 1IC of .he

inc1ine4 d rum Iype

on the inclined ax is withm an inch ned drum provide continuous m illing. The
batch is forced o ut by com pressed air in uoduccd into the drum. The compressed
air was first su pplied by an ai r pump Opel1ll00 by hand (\Vo tfsholz design).
Mode rn devices have their d rum connected to Ii separate ai r compressor. This
sTep hu el iminated the previous objection that the air pressure in the drum
gradually decreases with the progress of grouting.
The mechanical gro ut machine with mixing paddles fitted with wire brushes
is suitable for .he injecti on of the most dense and dry mixtures (Fig. 6JI59) .

,•

i
J

FlO. 61 1 ~9. GmU! machine o f tile horizomal drum type

Spt."CiaJ equipment has been developed (pea shooter) for the injection of gran-
ular d ry material (sa nd or bird's eye gravel). This ope rates umh:r an air pressure o r
5- 7 alm '" 80 Ib/in' (Fig. 6/ 160). The ma terial fed by air pressure from II container
int o the gro uting hose is direct]}' entrained by II 5C: p;l ra le flow of compressed air.
As this material will not flow lib: a cemenl grout II is generally unnecessary 10
use ci rcle boa rds to preven t th e gravel from runnmg into the lai ] of the shield.
Should the grOUI be required - besides filling the back-space - to penetrate
the voids of the su rrounding soil with a view to ~ompa~ting and artificiall y bind-
 SHIEll) TtJNNU.LING 819

."

I
~1

t-
To groll!
lioJe

iriIRsil /'rmJ147 ~
"IG. 6,1160. So~,et I)'pe of l"'a'lrllvd shooter

ing ilS gmi ns, then the composition of the grou t has to be designed to make this
penctmlion possible: within the permissible and available pressu re va lues.
Acconiing [0 recent American investigations,"5o the grain diameter pertaining
\0 the 85 % o rd inllte: of lhl:! grading curve of the grou t (Ds:!) must not exceed a
vn lue equal 10 the one twent y-fift h of the grain diame ter pe rt.1ining to the 15 %
ordinate of the grading curve of the grou nd to be penetrated (D J,). According
to M AAG the c)[lension radius of grouting in homogeneous ground can be computed
from the fo rm ula

, -
(Jr. k III
2 +',IJ'l3, (6.12)

where h
, -- the pressure head
" ·5

" -
the d uration of gro uling

" -
th e radius of the grou t pipe

k
- the voi d content
the coefficient of permeubility of ~oi !.
. ... Pressure GrOUlinl. Pro". AMSC£ 19~8 AUI.

S2"
820 TUNNE LLING IN SHALWYII DIPTH ~'D IN lOOS( G~OU"'O

I'r~JJlIrr O",,,,i"l/$ Uud i~ rh" CO~"'rur'i"" uf lire Undl'fyround Rai/wuy i~ Bud"I''''''

G .., .. t S. nd, . ,. .<1 .... nd , M

1Y.,. of , fQu nd
o~ 2OO - J mm D _ !OO _ O'l mm D _ 2 _ 0"0 l""
1:"","""' ;0, "ouctu<e " Tnoc or , rou,
" "
Shaft cement <"<'men! cement cement ""menl benlO-
murlar groUl mortar groUl, grout nile
benton;t_
k
cen,cnl
grout

Concrete tunnel
large underKro~n<l
,,' hall
cemelit
'nonar
""men!
grout
cemen t
grout
cement
grout
cern.,,,1
~oul.
benlo-
nile
construction or ben. bemon-
IOnile ille
cement
grout

Cast-iron lined tunnel cemenl cement cem .. m cement ~..,me n l bentonite

morlar Hrout morlar grout IIroul or fast-
selli ng
mi~lure

Non , IQ c ...... her. '''0 ty pe. of I IO"' m ..... i. 1 h"," _ " .""""'~, ,..., ptopt. lype to be cho><" m"" ""
T,;. ..... I) i . ~ ... <! i<.o lly uoed .

Experience indicates that cement inje<:tion IS not effective in a ground with

an effective grain·size smaller than 0·8 mm.
(b) T he secondary or scali ng grouting can be carried out with one of the follow.
ing grout materials:
I. L~ m ent
grout, L'C men\ su~pcnsion
2.
lean mixture of various types of L'Cment and plasticizing agents
3.
bitumen emulsion
4.
hot bitumen
S.
various chemical agen ts (particularly a suspension of bentonite or cement
bentonite).
6. local soi l material activated by local grinding and mi~ed with binding and/or
setting regulating chemical agents.
The type of grou t musl be selected - in addit ion to the method, material and
suecess of prima ry grou ting - according to the nature of both ground and ground.
water as well as to the type of the respeeti~e underground structure.
Secondary grou ting is carried OUT severa l months after primary grouting. usually
with the sole purpose of sealing.
 SKIELO TL,-SELUSO 821

" ~.
(M .,l)

" T> ... of &rOU'

" "
«mtm «mc:m ,,",mc:nt CCnlCtlt Cement
mun ~ r mOrlar ,roul monar , ro ut

Contrctc tunnel and ceme nt cement «I'Mnl cement «"",nl ",,,n.,,ll

large underground hall murla r ,rou l or grout or n>anar ,rout or
(:(InStrucllon ~"' fU t- o r pn fast_
~ .. inl
mhlUre
""
1J"I.,·el gtl'-c=1 ~ttin,
.", oture

CUI-iron lined IUnnel cement cement «men t cement cement ~-c=mcnt

mort" , KfOU' mortar g,out mortlr II rout
or fasl_ or pea or falt- or pea or fa st_
>ell in, 'Tavel Ktting grtI,-c=! SCtting
miu ure mJJ;(u re miuure

_HIed ~r_ ,be r... of ......, \10 ... ,. pbccoo _;u. b;p ' .... of ~_. r."....,11,,. P"'" Ie.,. re · ""u.... OJ"

Wh ile the immediate object of primary grouting is to fill up voids and the back-
space, with secondary grouting it is esse ntial to wait unt il gro und movcmcnls
set up by the construction of the tunnel have come to an end, and Ihe ground
sellies into a co nd iti on of equilibrium. As long as grou nd movements occur,
fissures may also arise in the grouted 7.One eausing the seal to fa il. Accordingly,
in eases where long- term ground movemenlS are to be expected, the secondary
grouli ng ..... ill possibl y ha ve to be repeated $e"eral timcs.
T hree types of grout malerial are used in Hungarian underground-railway
cOnSlrtlCtion pracTice: pure Portland cement, a mixturc of Portla nd and bauxile
cemenlS (a fast-setting mix ture), and pure bentonitc or II. mi:>.lu re of benlonile
and cement (cf. Tahle 6/ IX).
In general, hc:ntonite grouting is used in fine-gmine<! soils while cement suspen-
sion grouting i~ em ployed In coa~grtlincd soils. Where flowing groundwa ter
is encountered a fast-5Clling ccmcnt grouting must be used.
The general rules for secondary grouting ure as follows:
A. Grout machincs with automatic air-pressure conlrol a re to be used only.
B. The specific water-absorbing capacity of the ground must, in ellch case, be
de tcrmined before grouting to select the suitable grOUT maTerial accordingly.
822 TUNN£LlISG tN $HALLOW o£pm ASD " lDOS£ GROUND

BroIlf'tJ S'Jr/Ocl' _h'l:l~ FIG. 6/161. Geotogical 5Chelllif

"'--'-'~,-,::.:c...",:,,=-=-=-==-;=:-:-:-:-
~-=_="=_~_=~"_"_, ___ "
i I Itt
of surface upheavat brou,ht
1001,1, by ,rou, pressu~

,ml'!r,7;L·.~

M!lP!'

I tlrovt
p re.t1llf7f ---"---===
For lhis p urpose Ii mixed sample has to be laken from the ground through the
grout from the back-space holes beyond the lining.
C. During the grouting process continuous allention must be iliven to grouting
pressure IIlld grout consumption. It is a basic ru le that grouting must be done
under im;reusing pressure and with a decreasing grout consumption. A decrease
in pressure is an ind ication of a n escape of the grout either intu h()riwntal fissures
or joints o r its accumulation under an impermeable dome leading to surface
upheaval (Fig. 6/ 161).
D. When high grou ting pressures are apphcd the tunnel lining must aho be
checked for deformations and stresses ill the ... icinity of the grouled section.
As is known, great importance is 10 be attributed tu the value of the permissible
grouting pressure. The greater the pressure applied Ihe more perfect the seul
between lining and ground, and the more thorough the compaction and stabiliza-
tion of the surrounding grou nd, while on the other hand. an undu ly high grouting
pressure may cause lhe upheaval. C'iCIl the up-break of ground surface, shou ld
the grout be fllrced between tv.o impermellble layers or into fissures or bedding
planes of such a layer. An excessive grout pressure may be still more ha rmful
if the tun nel lining stiffen no n-uniform lind exeessh'l': loca l loading conditions
hecaust of non-unifor m loosening of surrounding layers and distribution of
back-spaces. The increase of the grout pressure beyond a certain limit clln even
lead to a complete fai lure of the lining. With II view 10 this e\'entuality, it is of
great importance to take deformation and suess measurements in the tunnel
Iiniog in the vicini ty of the grouting site.
T he highest permissible gtou ting pressu re which rema ins wit hin the safety
ma rgin to avoid fa il ure or upheaval of the layers ca n be calculated from TER-
ZAGH . 'S rod- pressure theory (cL Section 31.314, Fig. 6! 16Za) with the followi ng
formulae:
(a) F()f" homo~ncous layers:
+ "d
J 11.
4<"
f>. = 4,.. t.nO [ exp [ """
J "- (6. 1J)
 SHI ELD TUNNE LLING 823

"'h~~ c _ Ihe eOMsion in lon lm'

Ihe dry d~nsily in lon: m'
)I ""
tit - the anile of inteml l frklion ufthe Jround
h = the o.'erall thkkncn of tl>e oVerlyinll; Ilyer
i. = the ratio between horizontal Ind >'ertkal ground pre>~ures
d .. J6A (where A is the volume of in,teetctl aroul in mOl.
The va' "", of p, as cal,ulat~d with tl"S form ula. ho_vcr. mUSt nOI ..xcccd the maximum
value determined by the a"lilllb le p,,,~i'·e canh p~ss ure

" - J:1t .i..

A, "" tan'(4~ + . /2) .

(b) 111 a mu lt ilayer sjistern the "Iculation must be ~arried out ~paratdy fur each layer
in a d~nd;n& order of sequence. Fi n;t the maximum permissible prcnure for (hot uppern'OM
la~r is calculaled in ils botlom plane (Pt,); then lhe permissible ptl$Sure for lhoc: nul layer
i, computd (Pu), IBldllg illto eonsllicrat ion thll In ils lOP plane t hoc: Ilrudy Ic:no ... n PA l pressure
"ill offer a ce rt Uin f~si'la nee alai 1151 uphca '·al. A~"corl"n&ly. lhe muirnum pressure permiSSIble
fur th~ ntll lay~r call be caleulJled ,uPI>U.in& th at th~ r>ermilSible preSiure fur the (n - l)th
ncJIl o",rlyinlll~r is already knnwn (Fil . 6/ 162b):

p
..
-
4t+ /·d
4A.t g¢
r~
!L....
r- _ (6. 14)

111 ea kulati nil; Ihe muimum IIroul ing !1re !oSu~.

thoc: cohesion of the layers immedialely ollCrl)"ing
1M respecllve underground !lnlCtu~ up to a
"
he,gl'lt nf 10 m above the crown ohlle tunnel musl
not be 1~l:en inlO .~ount with u h'Kh~ r "alu~ than
r._IO tonlm' wtll! regard to the possible OC<,:ur- , . I.
I't!fW.'e of ca"i"g~ in scllkmcnls and fissures in
the I;O\Irst of the tunocl conslruction.
It is a limit in pno~li<:e that Ihe ma.timum
-
I',
pressure sho uld nnl ucec:l2" l imes the relevan!
.,
1l00~talic pressure at any poinl.
The iDjection pressure mu.t be controlled
",itl! the Ulmost u...,., as ~.g. durinl the ron-
,
!tructtOIl of lhoc: underground rlil"·ays in lIuda-
'I
pest. surface uphoc:a.'aI5 of te~eral mlilimetres
oc,urrcd al some point, a~ a re<;ull of ex«ssi", - ,
grouling pr<'S,urcs.

ad I. I njections of cemcn t suspensions

l- •
arc unsuitable for filling larger voi d s and
back-spaces as thcy can only be effectivc
if t he dispersed cement gTili nsare prac ticall y
I' ., r
sic~ed out of Ihe Huid and retained by the
gmin ~ k elc t on of thc ground, whcre Ihty
I
J , i:==j.,..
form a gcl on its surface. Cement p.1t1icles
will settle OUI from the dispersing water Flo. 61162. Forces Ktinl .pn,,,1 groul
at a di~lance where the velocity of prnsure (,,) In I h01T\01len_. la~r;
How falls below ~ certain limit valuc. The (6) in I multi-layer ~stem
.N TUNNLLU,.", ,,, ""ALLOW L>EI'T" .. " " 'N L<>O>H C .. OUND

le;,"e ~ ,he suspens io n , 'he g reate r .hi" dista"ce. Morco'>'e • • n high Willer·
co nten t is b)' no means dis.,dvantageous fo r Ih e st abilizati o n of the ground,
as water will flow "head from the retained i;cment particles. the fnlclion left
behind becoming denser and denser, th e pores Hnd voids being gradually filled
regressh'cly from Ihe settlement boundary towa rds the grouting pipe. T hus,
Iht: use of a le,mer suspension is definitely OldvantageOllS considering both the
r<ld ius of act inn and the use of lower grouting pressure which also reduces the in-
herem hazard of ground fa il ure. On the olher hand. the strength orlhe gel formed
on the su rface of retained panicles will be the higher the thinner the water film
surrounrl ing the.n. A high waler coment will, additionally, resuh in a mo re porous
cement stone.
ud 2. Bo lh kinematic vist:osity and action radius of grouting can be increased
considerably also by the addition of va rio us plastiCizing agents (such as pllllimeni.
intrusion-aid. bemonite, Ctc.).
ad 3. One of the bitumen-injection methods used is the cold method (the Shell·
perm me thod), with which a perfect Iy fluid , waler-like bitumen emulsion is injected
into the ground. T his emulsion relldily penetra tes into the pores of even the mOil
nne-grained sand soils as the Silt: of the emulsified bitumen pa rticles is o nly about
I or 2 mic.rons and the viscosity of the injected fluid with a bitumen content of
50% is only I' 5-2 timcs as high as that of watcr. The injcction pressure required
for such an emulsion is, consequentl y. relatively low. Moreover, the bitumen
p.1rticles will sett le oUI only if catalyzed by a subsequentl y injected coagula ting agent.
ad 4. In the U,S.S. R. hot bitu men injections are used mainly in cases w~ere
cement o r t:ement-clay grouting cannot be sut:t:essfully employed bel.:ause of
the aggressive properties or of the ~igh seepage veloci ty of the ground watcr en·
countered. i.c. in cases where there is a risk of the cemcnt grains being washrd
away o r dissolved. A further advantage of the hot bitumen injection is that the
risk of a n escape of the injected mate rial imo fissures is greate ly reduced owing
10 the physical properties of the bitume n. T hus, not only Clln economy be obtained
in the grout material but, in addition, the ha1.ard of fi ss uration of the surrounding
ground is greatly red uced. On t he other ha nd, a disadvan tage of lhe me thod )1
that the bitu mcn becomes plastic unde r pressure, tha t its radius of action by
injection is rather small and that it cannot be a pplicd in soils such as liquid cla)'ty
sills.
For the sake of com p<1fiso n it can be mentioned that the kinematic viscosity
of the bi tumen when heated 10 a temperalUre of 140-160 °C, is aboul 1:1 cmtl'
as against 0·0 I cmzJs for watcr which mea ns that t he crit ica l velocity in a 10 em
dia fissure or void is 0-023 m/s fo r watcr, while for hot bitumen it is as much as
18 ·4 m/s.
Owing to its gradual cooling t~c injected hot bitumcn will deposit on the sides
of the voids forming a layer of incre.1sing thickness soon leading to their being
filled. As t he loss of temperature of the injected bitumen amounts roughly to
60 °c per lineal met re, the llction radius practically never e~ceeds [,5 2 m for
bitumcn injected al a te mpera tu re of 180 "c.
 ~'" LO " " " " '_L U """,,

Any run her uwrease or InjectIon p l'e!l~u re wI ll produce the .rad .. ,, 1 derormatlon
o r plasue bitu m en. p ressing it mOn: In lo Ihe su rrou nd ing fissu re, and o'olds.
In HOwlng groundwater, when hOI bllumen is mjected, b, tumen strIps o r !tnnp
8re immediately formed and entrained. These stnngs ..... hen brought into collision
wi th obstades, will be deposi ted and - wound up into small balls - red uct lilt
cross-sectional area of I-oids. During the back-space grouti ng of the unde rgrouoo
r.til .....ay tunnels in Moscow, the voids .....ere first flushed OUi wuh Wilier, then
filled unde r pressure with coarse grll ined IIggregates and finally grouted II'lt"
hOI bi tumen. This method proved 10 be ve ry successful and appl icable also in
fast.flo ..... ing gro undwa ter, e.g. in maintenance work. as it offered bolh a good
water seal and anti-i;orrosive protcction.
ad 5. The use of cement-day grouting is rapidly becoming more widespread
o ..... ing 10 its follo ..... ing advan tages :

(a) It is economical in cement consumplion 'lIld gil'es 3t the same IImt fairly
good water seal.
(b) The repeated removal of dogging material and the cleaning of injcaJon
pipeS are e"Sler than with cement grouti ng.
ec) Injections with grouts of high clay content cll n be carried out in stages
(staggered in lime) and with II predetermined and controllable selllng time render·
ing the advance of the shaft sin king or tunnel driving easier in Ihe less stabilized
ground.
(d) II can be employed in aggressive and waterlogged soils.
(e) The grout can be more readily pumped. causes far less corrosion to the
pump and owing to its plasticizing properties. readily penetrates into the \oidl
and fissures filli ng them uniformly.

During the construction of the underground r.tilway tunnels in BudapeS t panic--

ulnrly the appl k ation of bentonite·cement gro uls proved Vtry successful compared
with the use of pure cement grouts. which when penetrating into finer \oids or
fi ssu res form a r3ther porous cement stone after setting, ..... ith poor water staling
«'.tpacily, owi ng to the large amoun t of dissipated wll ter. Concrele corrOSIon
is also promoted in cement groutS owing to this porosit)' whil:h allow sreater
percolation and as soft waters leak out, lime from the concrete percolation may
result in considerable da mage (lime sinter).
If the waler·cement ratio of Ihe cement suspension exceeds 0·5-0-6, sedimenta·
tion of cement parlicles wtll take place and the resulting ctment stone \11111 be
porous. This phenomenon is stili more markcd because a cement grout alnnol
penetrate into voids wi th diameters less than 0·1 mm, as a result of whicfllhey
will be siel'cd out, so considera bly decreasing the radius of action of c(lOOlt
grouling. In order to reduce the water-emiltlng capacity of cement grouts. suitable
chemicnl agents will have 10 be added to iI, or finer-grai ned cement must be used,
i.e. the suspension must be stabilized to prevent the earl y scdimentnlion of L'Cment
particle. The moff' fine·grained the solids of a suspension the smaller the risk
826 TUNN£UING IN SH ... LLO ..... DEPTH '''0 IN LODS£ GROUJI,'D

of their sedimentation, which is also hindered by the surface activi ty,,·JI i.e. by
the elecuie charge and by the adsorption film on the particles. It is prerequisite
for the stability of Ii suspe nsion tha t it should have a continuous grain-size disu!-
bution cu rve, i.e. that no fnu:tiun should be missi ng and no jumps should be
revealed hecausc otherwise sedimentation will take place at each size limi t. Accord-
ingly, the grade of SLability of a suspension can be misod by the admi:uure of
additives (e lectrolytcs. colloids, bentonites, clays) the particle sizes of whIch will
secure the transtilionfrom the cement particle size to those of the dispersingmedium.
Of the most important clay minerals the p.1r1icle size of kaolinile grains an:
nearl)' 100 % above (}2 micron, while in montmOrillonite the percentage of this
$arne grain-size fraction amou nts only to 20%. The higger the specific surface
area and the water adsorpt ion capacity of the mineral particles the greater is the
stability of il5 ~uspension. The most stable suspensions can, thus, be produced by
the addition of Nn·bentonites with II montmorillonite content. The addition of
bentonite provides both a plastici7.ing effect and beller water scaling lind increases
the sctting lime of the grout but, at the same time, it lowers ils final crushing strength
(i=ig. 6/ [63). Tests carried ou t in connection with the const ruction of the under_
~L;~S'
J Sfi4 crlMfit-lJmlomte
2. S54 t;t'!'Itnf·c~
J. S54 Uflltnl-r.~';«t/I~ ~
I

"

III FlO. 6/163. Eff""'IOfbell [onite or

, , , , clay additiva upon I:T\lshing

Itrcnath
" " '"
.... NOT!. SH .... 'OS e~pl"\"S_ the culloid activilY by Ihe followinll nlio; Or = PJ A.
",here 1', denoles Ihe plast icity indell. and A the .fay conl~nt. Accordinilio thil .falSiflcation
the value of ° i~ in inactive days len Ihan 0'75, in normal c\ay$ 0-15 and in aCllve days more
Ihan 0-75.
 SHIELD TU,,"StLw-a 827

FIr.. 61164. [fl'C(1 of l he quamity of

bentonite upon cru~hinll strengt h

OJ

"
"
'"
If)

, M~.,
.0

t , ,, . .v
BenwllIu IdfTIlKlllrC(X)
gro und railway of Budapest~··' clearly showed that Ihe addition of bentoni te
resulted in the following eff~ts :
sedimentation of the cement particles decreased:
the crushing strength of the sct grout was reduced:
the groutes ~mc morc rcadily injectible and. when wet, more impervIous:
setting time was increa:;ed;
an economy in ccment consumption was obtained.
All these effects a rc of considerable practical importance. Gn:at importance
is to be attribu ted to the fact that c-ement-bentonite grouts ~lIn be more e.1sily
tnjected, thus requiring lowe r injcclion pressures and so affo rd ing higher 5.1fety
against surface upheavals. According to test results ( Fig. 6/ 164), the addit ion
.... lbl."1.~, KILIAN, K EL£M~S and SA_osl: Iklonok \'lu!r6s!a;\nlk nllvclbe II kijtllanyag
javlt'Ja injin (The incr~~,e of the w.t~r Kalina capacity of CQncrell:S by the improvement
or bin dinl add itives). Ep. b K/hl. Tlld. KlJ:l. 19j7 J~.
828 TU~~ELLlNG t ~ SHALLOW D[PTH ...:' D t~ 1.OOS£ GROU/'iO

" f--+
.L

, I ~
t I
o w 2Il'J XKJ 'IX!
>tfmr~ cf II1ft/d grlJtJt ( f)

F,u. 6It6S. Comparison of injectlblc lrout volullXs

of C~-bcnlOnitcs will result in highu crus hing strength values bu t the action radius
of grou ti ng is mueh la rger when Na-bentonites are added. Fig. 6/ 165 shol'.s clearly
thllt the volume of the grout injected under the same pressure is much greate r
.... ith cement-bentonite grouts than .... ith a pure cement suspensio ns.
The Ildvantages (.If bentonite-cement grouting ove r pu re cement may be su mma-
rized as follows:
(i) better wa ter sealing;
(il) easier inj ecti bility with a co nsequ ent incr.;as.; of injL"Cted groul vo lume:
(iii) II more complete filling up of the ~oids due to the dccrClscd possibility of
early wate r eS(;ape from the grout (increased resista nce against l:orrosion);
(h') economy in cement consumption and grouti ng costs, greater SIIfety against
surface upheaval ha z.1Tds.
Grout machines employed for secondary grouting are, io general. reciprocating
pumps suita ble for suppl yi ng rather high injection pressures.
T he grout machine which has pro ved most sui table in pract ice is the si ng le-
pi ~ton-typc recip rocating pump of H},:"v (Fig. 6/ 166). Wi th t his equipment the
mi ... iug and injection of the gro ut a~e carried Ollt separately. The equi pment
consists fundamen tally of II reciprocating pum p com bined With a membrane,
with the following opcTllting principle. Compressed air enters c)'IIflder (0) and by
displacing the fluid (oil) lIets o n II membrane (M). Durlflg its return st roke th e
piston sucks back the fluid ullowing the membra ne to retreat, so ereall ng a pressure
redllction in the pum p bo/\ (b), liS a rcs ul ~ of which th e cement grou t wil l be sucked
up into this 00/\ out of th e co nta iner (t) This volume of grout is then forced hy the
 829

ne.xt stroke of the pump into the delJ\"(~ry pIpe (d). ThIS process is repea ted until
the predetermined lIllI .... im um pr.:ssure is reac hed wilen the pump will StOp auToma t-
Ically. In case of a fall in pressure. due TO the discharge of the grou t from The
ueli vcry pipe. the pump is automatil:ally restaned. The fixed injecul"m pressur e
is thus automatically mailllllined . (TIle equipmen t has a capacity of 25·1\ Il min,
i.e. 1· 5 Il\"j h at an injection press ure of 18 111m.) Its main advanlage com pared
with earlier redprocating pumps is th nt cement grout docs not come inlO contac t
with the oil _lubricated and carefully machined SllrfuL""CS of thc pllmp which are,
therefore, not cxposc:d to the abrasive actio n of the grout.

.- O;Jer8lmll >iI'¥F

.i\::-:"~ :l;;;;:~ dl=k.;Fr~Wl'::;rn""

SIll· dr,.u 1IJ!v~
I stcnflfl ....... ,wtmfll/f(}1' ~.r; '
ronUln!!r v
!Jw-fblwNi Ilrtd _
"Cf1IlJ"surf IIrmle!

The ' MAVAG' type grou t machine. manufactured in Hungary (Fig. 6/1 67) is
de~igned on similar principles to HA NY'S machine, as shown in Fig. 6! 167a. As
the piston moves ahead in the fluid chamber. II membrune is pressed into the suction
cham he r where. on iTS reTurn stroke, it creoles a reduction in pressure by whic h
the grou t i$ slld:ed through the b.111 check·valve into the same chamber. During
the next stroke this volume of grout is fo rced through a second ball check-vulve
(2) into a pressure lank to be discha rged from the re into a del i\ery (injection)
pipe. This proa:§s is repeated and ma intains Ihe pressure tank (air chamber)
which acts as a prenure equali7e r to maintai n the injection pressure at a n appro ll(i-
ma tcly constant \'3.lue when the injection valve is opened. This singie-piston grou t
machine has a capacity of 6 m3/ h at a maximum working pressure of p_. _ IS
alln. In this IIllIchille the groa t docs not come into contact with the piston and
Ih.: cylindcr of the pump.
The double-piston type grou t machine, developed in conjunction with the con-
struction of the underg ro und rai lways in Leningrad, is also used in Hungary.
Here tht;l grout enters th c pump cylinders and thus comes into d irect contaCT
830 T UNNELU !<G IN SHALLOW DEPTH AND IN LOOSE G ~ OUND

')

bJ Hmt!J77eter Gwrd s/le/I r Switch (!/St'

HOUJr
r Air pressurt! et;1J3 -
/lZmg clMmber~ kbtermle.' /·
j Ilnmt .p.fo( ./ I

\ Ptston
kMer tanl:

F IG. 6jl67. 'MAVAG' grout pump

with the pistons. A schematic plan of the machine is shown in Fig. 6/ 168. The
pislons operate alternately in opposite phases. In the figure, pislon [ is in the
suction posi tion (i nner ex treme) at which the grout is suc ked through the open
inlet-valve into the pu mp cylinder. AI the same time, piston 11 (shown in the
figure in its oute r ext reme position) forces the grout through the open oUl lel-
valve and discha rge pipe into a ~ ntral pressu re chamber and from there through
the pressu re pipes into the injection lubeS. In this way, continuOUS grouting is
possible.
Cleaning. rinsing and che<:king of the machine, its hoses and valves, especially
 5Ht[W TU,,""[LLlNG 831

Piston II

SuCIIM
pipe
Il~ton I.
SNnk-
SWftC/J

~
{'r."';.('JIff
Cr.;'7k ~~<1"'b£r ,vetor

FIG. 6}J 68. Double-piston injection pump of tile l cnin,rad typc

after use, as \\ell as frequent grcasing of the rcspective parts is of the greatest
importanl;c. Grain sizes of above 3 mm must be !ieCret"ned out. Operation without
a suita ble manometer is forbidden. With pneumalk grout mal;hines no safety
valves are required. while wilh re-
ciprocating gro ut pumps they are
indispensable. In major injection
work the use of registerin g manom-
eters is advisable. As grouling is
a work nOI without certain dangers.
owing 10 the high pressures applied,
great I;are mus t be taken in the use
of safety equipment and dothing
( prOitClive clOlhing, goggles. I;ap
and gloves, siable scaffolds, etc.).
The eyes and bodies of employed
dpersonnel in particular mus t be
protected against recoili ng grain
... ,'
lllrrJdIt.r:s Ibrmlm

particles.
Grouting, as I;an be seell. is an JNI-nng
important supplementary to shield
tunnelling, where the erector or
crane used for the placing of the Fro. 6/ 169. D erait~ of ,rollHll, rulle.
 ' <""-"-"LLl N<1 .N SIIALLOW DEPTII ""'0 'N 1.00II'- GWOU M '

lining dement s b di<<:c.ly followed by the grouting equipment, which i. beit

mounted on II u;tvellillg platform (cf. Figs 6/ ll'J and 6 / 1$3). (In elise o f con_
crete liTled IUTlneis the injection pipes are previously placed in Ihe eOTll;relC and
plugged. Detai ls of the coupling of the injection hose are shown in Fig. 6/169.)

Groul!n!: is imporlanl. nOI only in the IO-'aterproofing of underground llmncls, butllso in

the su~quent ....·ater sealing of tunnels and Ol~r underground structures (cr. $«tion 72.21\).
Grou ting pl'()CC~urC$ and materials used in the construction of the underground rllir~'ly in
Rudapest are tabulated in T.able 6f1X. The prin~ipk Followed here was 10 underlake grout in,
in D sequenCe from the bollorn upwards and from the rur towards the Front. The o~ration
"'"liS at""ays continued until .he groU I nowed OUI From the nu t adj~ocnl grout hole.

63.23. Li ni ng Segmcnls for Shicld- I)ri\'cn T unnels

In the co nstruction of tunnels by the shield method. it is esse nt ial for lining
elements to have instantaneous bearing capacity, to be watertight and to allow for
rapid and simple positioning. The main requirements for such lining segmenuare:

1. Immediate bearing capacity against ~xternal earth and waler pressure without
detrimental deformation or lea kage.
2. Resislance 10 imp:)ct stresses due to rough handling, transport or ereelion
operations.
3. Resistance 10 high axial stresses produced during tl:e advancement (push)
of the shield by propulsion jacks.
4. Resistance to moisture and groundwa te r efrCl;ts of the segmenl itselF and
of its joints and watertightness as well as resistance to corrosive action.
5. Economy in construclion and maintenance. (It is to be borne in mind thai
more expensh'e st ronger materials may compete successfully with cheaper
materials of less slrength when the difference in dimensions. erection and
durability is a lso co nsidered .)
Linings may be single or double. Double la yers are em ployed when the double
rasks of resisla nce to external pressures_ and watertishtness o r aesthetic appear-
ance can nOI be oblaincd with a single layer.
In the earlieST periods of shield tunnelling brick was used for lining, but soon
cast-iro n segments had to be introduced in order TO resiST the la rge horizODtal
pressures during pushing lind, at the same lime, to provide sllffidenl waterlighlnm.
More than half a centu ry has passed si nce concrete blocks a nd structural stetl
segments and. more recen tly, reinforccd-concrete and prestresscd--concrele seg-
ments have been in use. Al1CmptS to introduce brick, timber or ashlar stone blocks
have generally fai led. but the application o f fresh co ncrctc com pressed by the
advance between a rigid inner shul1ering and the rock face is possible.
Present pnlctice is 10 apply cast-i ron or reinforced-concrete segments in the
constructi o n of larger diameter (railway and vehicular) tunnels, whereas concrele
blo.::ks are given preference in .he construc.ion of smaller dia",e.e. (public u';luy)
• u",,<:Is. Frt'~h con cre.e is jus. beginning .0 compe le with Ihese materialS.

63.231. Cus/.irolllillings. The permanent lining for larger diameter shield-dril'en

tunnels is usually (for subaqueous tunnels almost exclusively) constructed of
cast iron. Its main advantages are that it can be quickly erecled and is al full
strength to resist shield jacking pressures and external loads immediately upon
erection. 11 is mon: watertight than other types of lining and being re lmil'ely
thin for its compressive strength is not too hcavy and is (.'conomical concerning
the required arca of excavation. Cast-iron lining for tunnels of circular section
is made up of successive segmented rings bolted to one another by means of
circumferential flanges which at lhe S<lme time act as stiffening elcments. The
dimensions of the segments ;Ire determined by the weight limit required for easy
hilndling a nd erection operations. The length of the segments is usually between
1·5 m and 2·0 m (5 ft and 7 fl) whereas their width. i.e. the length of the single
rings is subjcct to several considerations including:
I. The distance that a miner ,an reach in advancing the ex,a\'alion from the
old fa,e to the new one, ..... hi,h is also a fu nction of the shearing strenglh of
the ground.
2. Foundary pra(;!ice and capacity and dimensions of mac-hinery tools.
3. Weight which can be convcnieml y and economically handled and crtl:wl
and whic h is also a function of the shield diameter as skin thickness is a fu~·
tion of extemal stresses.
4. The permissible I~ngth of the shield tail, where about two rings have to be
placed considering that ex(:essive tail length increas~s resistance to advance
and renders stccring more difficu lt.
5. By increasing the ring width. the ad . . ance of the shield is also increased ptr
push and reduces the number of joints and bolted connections as possible
leaknge spots.
Present practil."e reveals a tendency towards an increase of the dimensions,
and ri ng widths of 1·0 III (3 ft) may be considered as standard fOI" tunnel diametere5
up to 6·0 m (20 ft) and 0·75 III (2 1/2 ft) up to diameters of 9·0 m (30 fI).
Figure 6/ 170 illustrates t he section a nd plan of a lining segment ring of 6·0 m
(20 fI) extemal diameter tube with a detniled section of a single segment. As can
be seen, t he joints of t he segmen ts are staggered between ildj.,cent rings in order
to improve both watertightness .,nd longitudinal flexural rigidity.
A full ring is composed largely of equal segments (N). with the exccpti[)n [)f
the crown segments (K), where the comact faecs of the flanges cannot be radially
directed as this segment has to close the ring by being pushed in from inside.
As a consequen,e, the ,ontacting flanges of adjacent segments (A) must "al'e
also a ,orresponding special indinH tion on one side.
The cont.,ct f.,ces of the flanges have to be machined to close tolerances
(±o-S mm: 0·02 in) fo r fit and watertightness. This is necessary at first to c5tab-
.34 TUNNELLING IN SH~ L LOW DEPTH AND IN LOOSe GROUND

F,,;;. 6/ 170. Cas t_iro n lining rin K "'jlh

a segment un it

\
-;
I
N ,j ~I TN I
A I N
I I N I.4I1 . 4 I N I N
I I II I I
I I I II I
I I II
I I I II I I
I I II
I I I II I
I I II I I I
I I II I I
I I II I
I I I II I
 '"
!ish a srnOQlh and perfcctly unifo rm bearing "".face for the adjacent ring> ..·~n
Ira nllrnining the gu,,,, pre..sure of the hyd .... ulic ram s III the p ush and then 10
keep the po5lliblc di!IOrlion of t he ring due 10 una.,oidable in e"actitudes in ere<:.
lion within the smlliliolerances of 2-3 em (I in) between shield and ring diameters.
Should a perfect bearing contact surface not be available, the rda ti \<dy ri!id
cast-iron material of 10..... flexural st rength ","ould suffer hall' cracks and fail under
the large non-uniform th ru sl.
Axial flan ges and stiffening ribs of lining segments should be arranged in line
with the 3Jlis of hydruul it" rams ~hene ... er possible ( Fig. 6/ 171 upper section~
Practical d imensions for cast-iron segments are recommended by RICIi AlilSOS
and MAYO, who suggesllhat skin thkkness may vary betweell 25 mm and 40mm
( I in and I 1/2 in) Iw d the depth of nangell should be tllken as 42 mm for each
metre of the tunnel diameter, i.e. 1/2 inch per foot of tunnel diameter. Soviet
pruClice IS given by Vou:ov.." in the following table (see Fig. 6/ 172a).
Ring width J = 45- 100 cm
( I·S- 3·5 ft)
Depth of flange (after Hi:.WtlT)
in clayey soils
in permeable soils
m
m
-- 0·OJ3 D
0·042 D
Thickness of nange
" 0-' ~ f
i = 1/30--1 / 16
Inne r incli nat ion of fl a nge
Diameter of bolt ho le 0
- (J + 6mm
(1 /4 inch)
where d _ d iameter of bolt.

The skin thickness o f the segment mll y be determ ined from the force-pl~)' of
II girder subject to eccentric compression brought about by the combined dJ«'\
of external rock and water pressu res and of a.'lialthrust (IV), from pushing prtSSUct
with fi.'led su pports III the flanges.
The ma~i mu m stress for a unil width will be correspondingly
II' pl~
a - r + T,T. 16.1 5)

In the com pullliion of shea ring stresses the jack-thrust may be neglecled and the
va lue obta ined for skin thickness (t) is to be rounded up by a measure which lI'ill
not se nsibly change Ihe moment of inlertia and extreme fibre distance of the seg-
menl.
In the determination of the whole segmenl section the bending ani normal
loads (M, N) - as com puted in the a nnular nng beam in correspondence with
Chapler 4 - may be co nsidered as deci si~o,: .

u . Vouov. v . P.: T_1Ii Vol. I. Gosu,,".!O(h<:ldOfizdal. MIKCO'" 1945.

S'''ClSTAO. 0.: TIr, Q"~tM_},lldIP ..·1f Tu","'. Ne,,· Yorl.: Cily Tunnel Aulhonly 1944
Trulfl . AMSCE. 1943 P.~r No. 2219.
'"

0)

.)
FIG. 6/ 17 1. View or II larae diameter (a) and or a smaller diameter (b)
lined ",ill\ lI,lnneJ cUI_iron selmenlS
 8)7

, -'-
f

."",
~ - "
-it

I
1- k- -
-''',
"'",H,

r, -~ ,
J3:
..4- H
~ '. 1
~
- '--
- j-
1"10. 6f l72. Deterrninlll "Jn \If 1M principal dimensionJ of I casl-iron ~~nt (VOLl:OV)

EJclreme fibre stresses are obtained u~lI in from the formula'.: of eccentric com-
prwion

'. - N My,
- <- J
F

The nut ste p is the dimension ing of bolted con nections (Fig. 6/172b). let us
assume that the joint ..... tIl open owing 10 the bending moment and cont;equently
the fIJ I! thrus t is to be tra nsmitted upon the area of the reduced width b. The pro-
duced tension force T: will act upon the bolt rows. its maximum aCllon heing upon
those most distan t from the ex treme fibr<: In compression.
Taken the moment upon the centre line of com pression the followmg relatio n
may be derived:
(6.16)

From the moment of opposi te sIgn. compression will be concenlnued upon

th e othe r side, and bolt rows on the opposite Side will be su bject 10 tension, whence
similarly
Ml - "'1(" - Yl - b/3)
T1 - - , (6.17)
,f - d\ - b/3

where b is taken at'Cording to Soviet practice as 6 em (21 in),

III TUS""ElU"Cl I"" SHALLOW DEPTH AND IN 1.()()5l ORDU"D

After the determination of the lensile forces T , and T•. for Ihe 5ITCSSl:S in the
bolts we get
4T
(6.18)
n1rd~

where n _ the number of bolts

d _ the diamete r of bolts.

The merit of this computation lies in its simplicity and clarity, bUI lIS defects
arc the neglect of the resistance orthe inner boll rows and the a rhi lrary assumption
of t he wor ki ng wi dth b us 6 ern. This width b is, in facl, a fu nction ofmllny para mo
meters, such as the specific deformation capacity, casting, Ihe detlCl;lion of flanges,
the ccccntricity of thrust, etc. whkh cannot be ca lculated cx.aclly in advance.
Tapcr rings in ..... hich Ihe circumferential flanges are not parallel arc used in
mclll.l·linai tunnels in order to follow designed \'utica l and horizontal curvature
and fo r correcting any possible deviations from the theore tical line and gl"lldicnt.
These sttlments are not usually ribbed but have the full depth of t~ f1aIlJlcs.
For sake of watertightness the flanges arc provided with dove tail-shaped mll-
ehin ..-d rettsses. The groves formed by these at the adjoining flanges arc carefully
caulked by inserted lead wi re or by asbestos th read soaked with bitumen. In the
Soviet Union expanding cement monar has been successfully used for this purpose.
The watertight caulking of boiled connections must be providt..-d fo r, and this
is effected by bituminous washers as shown in Fig. 6/ 173. These kns-shltped wash-
ers consist of a thin-shouldered steel upper cover filled from underneath with hard
bitumen reinforced by an asbes tos thread. When the bolt is tightened the shoulder

Jtrl,ol' A_A
FlO. 6/ t73 . Boh conDe<.1ions for cast_iron linin; §ellmenl$
 LINING SEGNf'-"TS ro« SHIELD-DIlIHN TU~~[U 819

of the steel plate becomes flattened lind the extruded bituminous material enters
the space between the hole and the boll thread. and ~nders the connl;l;:tion water-
tight. Rolts li re tightened by hand·wrenehes or by hydrnulie o r pneumatic bolt
tightening machines. (Tightening has to be repeated after each grouting.)
Cast iro n complies well with the requi rements inherent to tunnel lining. They
require special protection. howt;:~er. against corrosion by soil (tar or ferrofuol
coaling may be used; cr. Section 46.41).
In add ition to liS high strength propenies it has high resista nce to damage
in transport and ha nd li n~, and iu ....atenigh tness and e ~en ilS corrosion resista nce
qua li ties arc not bud.
A disadvantage of cast-iron segments is the heavy iron dClnand . i.e. 3·5 tim
(1·27 tift) for a 3·6 m (1 2 ft) d ia tunnel, 6·0 tim (2·2 tift) fo r a 5·5 m (1 8'5 ft) dia
tunnel. and 20 tim (7'35 ti ft ) for a n 8·5 m (211 fl) dia tunnel. Furthermore, the
eonsidefuble weight of the single pieces (500-1500 kg) and the unaesthetic ap-
peara nce of the bare surface may also be deprecated. The a ir is also conlaminated
by the d ust which settles in its corners and recesses 50 that II smooth surfa ce cover-
ing (secondary lining) is frequently indispensable (mainly in Ihe case of vehicular
tunnels).
Wit h rega rd to the advantages offered by Ii nCAible lining in the reductlon of
its dimensions. and to avoid t he difficulties inherent to bolted connectiOnS. un-
bolted nexible jointed cau-iron segments were used ill olle section of the new
Victoria lille (Fig. 6/ 174). The lining of the 4·0 m (13 ft I inCh) diameter tun nels
was composed of six segments each 2·5 cm (I inch) in thickness for a ring width
of 0·60 m (2 rl). One end of each segment is concave a nd the other conveA, so thut
the ends of segments for m knu ckle joints fitt ing into each other. The erection of
the segments is starl ed from the bollom. the firsl two formi ng the invert a nd
offering provisional supports for auxiliary posts needed during the courSe of

"nllfT/1I l4"r
PJckmgJ H" I"ng.
J!4 ...id,
Cffnl ' "clion
11'" IJI",nt
FIG . 6/ I 74. K Huckle jointed bohl~ss ronnC!t't ions ror cast-iroo lioinl Kloxnls (Victoria linc)
 TUN:-OELLING IN SHALLOW DEnH AND IN LOOSE GROUND

erection. The segmeng have shallow interior ribs which a re enlarged to form
perforated hin ges regula rl y spaced round the periphery of the riog for handl ing
purposes and to provide in due course for fixing va ri ous railway appliances.
With regard to the reduced a rea of the flanges, wood packing pieces were iuserted
be tween the cast-iron segmen ts to distribute th e thrust of the shield rams. In
com;l usion, the application of segmeng without bolls offered a considerable
saving in material and a red uction of erection time of abom 50%. A further ad-
vantage of the omission of bolted connections ha~ been, that it speeded up con-
struction progress by about I()()....200 %.
Another rema rkable developme nt is the use of "duc/ile caSI iron" th e material
of cast-iron segme nt s.~·lof In the co nstruction of the newer lines of the Tokyo
Underground railwlIYS this kind of material is used with an admissible tensile
stress of 1400 kp/cm" (20000 psi) and with an admissi ble compression stress
of 1800 kp/cm 2 (25700 psi) and with a rupture-c longation value of 10 %. The in-
troduct ion of this male rial admitted a considera ble reduction in the dimensions
a nd weight (about 30 %) of the cast-iron (" K ubota"") li ning segments.
Additional strive for the r<:duction of dimensions, weight and iron demand
il1spired the idea of the utilization of still more resistant steel materials. The usc
of cast sleel was att empted at first for the product ion lind manufacture of the same
type of lining segments with flanges a nd bolted conne<:tions but with a reduced
weigth. Their application is restricted to lining station tunnels of very largc diam-
etef or of adjacent t ubes lying close beside o r above ea~h other, or where thc
co nstruction of sueh closely spaeed tubes and an inherent .tress superposition
initiated therefrom may be expected in the future.
63.232. Structural steel xegmen/x. The same endeavour was the source of the
attcmpt to fabricate steel segments from structural steel. These were fabricated
from the usual roJled se<:tions (plates) and we lded to an appropriate form, or
from plates pressed to Ihe required form - fo r smaller diameter tunnels. Owing
to its distortive effect, the use of weld ing has to he kept to a minim um and pressing
must be used whereve r possible.
The fa brication of these segments is started by pre.~si n g the plates to the required
radi us and be nding up th eir transverse edges to form the rims. Rectangular steel
strips can be weldcd on the boltom of these rings for improved rigidity. On the
longitudinal edges flange-plates of corresponding shape and cu rvature are welded,
whi ch bave previously been perforated according to the spacing of the connecting
bolts. For larger segments, stiffening clements may be of special T· shaped or other
rolled sections. Fig. 6/1 75 shows the bigge r section lining segment used in the
constru ction of the Q LI~ns- M idtown tunnel (New York) provided wilh welded
fl anges on all four sides. ul

... IC"' ''!}''A, M. a"d WAUNAO E. T .: Glasscs-type shictdi ng works. Ci,'. Eng. lop. t970
Sept. 43 •
.... S'I<OnAo. 0.: Q"u/fs-Mid''''''/f T"'IIf~/. New York City Authority t944 Trait;·. If MSCE.
1943 Paper No. 22 19.
 '"
lISI)'G SEGM["TI rOl. SHI[LD-DRIV[r- TUNNU.5

The weigh t of it structura l steel lining ring may be computed afler RICHARDSON
from the correlation
W~I 'm _ 125D2,
where IV = weight in kg/m
D = the ex ternal diamcter of the rrng 111 metres
( Wlbll'l = 7'5D~ with V 111 rt).

Experience shows that in dry clay {l s..wing of 50 % and in submaged silt one
of 65 }~ may be obtained in comparison with the uS(' of east-iron segments.
In IIddilion. II great advantage of struC1ural-Meel lining segments is lhat when
1111 subso:quent Ino,'ements after placing have ceased, all j01l1ts may be closed
with perfect wa tertightness by welded seams. Naturally. the contacting Oanges
of tho: single elements can be provided v.. ith mach ined groo~c:-s - like cast-iron
segments and caulked by lead-wire or expandIng cement in the sallle way.
It m{ly be mentioned, that in Jnpan special big-size rolled U-secti ons I1rt used
for lining purposes. These 90 mm (3 ft) ",ide "Fuji" sections are Ixnl first in lengths
of abou t 3 metres (10') to the required cu rvature and th cn reinforced by welded
internal ri bs and by conta ct plates at th eir end.
In conclusion. structural stecl segments may be somewhat cheaper than cast-
iron ones. but have t"'o important drawbacks. The first is their ve ry high sensi-
tivity to corrosion (except when corrosion·resistant Sleel is used, which in~'olves
considerable excess expendit ure). The second drawback is the insufficient eJ{acti-
tude in their fabrication , rendermg them undcr nonnal conditions not 100 % suita-
ble for resist ing and transmi lling the ,'cry bIg prtS.\'ures exe rt ed by th e hydraulic
rams during the push. The requIred toterancl.!$ wit hin a few tenths of a millimetre
cannot he secured even by the most careful fabrication. assembly and .... elding,
but only by subsequent mi!lmg which im:rca~es costs considerably.
The trend for economy in iron demand has ~till revived attempts from time to
time for the application of structurul ~Iccl l ini ng ~egme nl s. Thus. they were recently
842 TUNN£ltlNG 1"1 SHALLOW [lEnH At'O IN LOOSE GROUSD

applied in the (OnSlruction of the new San Francisco Subway again. AU stiffening
ribs and lateral "ange-plates (rims) we re welded on the plain steel·plate and shap-
ing \0 the required Cl.lrvi-linear fo rm was cffe<:\cd afterwards by pressing.
The greal flexibi lity of liner-plate rings in transversal direction may be advan-
tageously used also in the construction of bigger d iameter tunnels. J n this case the
lo ngitudinal rims con~lituling the bolted joint.li between the single clements arc
arranged in the axis of the propelling shield-rams thus providing fo r the re-
quired rigidity in lo ngitu dinal di rC(;lion. The hollow-trough of their inside may
be filled with concrete.

FIG. 6/ 176. Composite lining of the ne .... Meoey Road Tunnel

A sound eombinutiun of steel-sheet lining with concrete was used in the construc-
tion of tht new Mersey Road Tunnel.·· ... In th is case 12" (30 ern) thick precusl
concrete segments 4' (J ·20 m) wide li nd about to ft (3'U m) long have been applieJ
(Fig. 6/ (76). The elements were ellS! on II 1/4" (6 mm) thick mild-steel curved skin-
plate provided with adequate ancho ring hook studs. After placing, the joints
were made wa tertight by euverinl! them with mild-steel strips, welded continuously
on the skin-plates by fillet welds after the inside l!roovcs huve been caulked. The

. ... Mm,o.w, T. M.: The second Mcrscy road lunnel. Civ. Eng. London 1%8 Ocl.
 UNING SEGMENTS FOR SH IE LD-DlWE,'I TU)<l)<"[LS 8"
articulated action of the joints is secured also here through the different curvatu re
of the contacting surfaces. [I is to be noted that the longitudin:l [ cooperation of
Ihe subsequent rings is ~urc:d als.,) here hy th rough-going longi tud inal tic-
rods. The advan tages of II perfect wa tertightncss a re coupled here with the cou-
pera tion ~twecn steel skin and concrete incrca~i ng effectively the structural
rigidity of t his composi te lining.

63. 233. CUrlcre/1! 5('gm"'''5. To avoid the high cost of cast-iron lining early
attempts wcre made \0 develop some type of precast concrete blocks. TIle greate st
dlfficulti cs encoontered up 10 quite recent times have, agam. been cau~d by the
required perfect and uniform contact of adjacen t block rings. Even when t he
considerable difficulties o f e;tlllet casting could be overcome, there remained the
inequali ties of placing from the shield tail and the di [fere ne~ in level (s kin plate
thic kness: J o necessarily rcsllltmg in II d istortion of the block ring (cr. Fig. 6/ 1(8).
The big ram pressures produced by the propulsion of the shield have brought
about bending pressures even wi th the slightest unevenness of con tact whkh
led to immediate crad:ing - chiefly during the tirst few pushcs.
The measure and struct ural im porta nce o f cracking can be considerably reduced
by the usc of reinrorcement (w hich is :In additional item of expense) but spalling
off 3t the edges and hair-l;"rolcking cannot be prevented by thi s meaSLlre.
Another early difficulty was revealed by Ihe erection process when it was neces-
sary to find some method of holding the upper blocks in position unlil ihe ring
was keyed. Cast-iron segments were held in position by bolting to the pro!vio us
clea n cu t ~ and rin gs, but concrete blocks shou ld be held by some tc mpo ra ry
pro ps unul the ring (lIn.-h) is completed.
A further difficult y WIIS presented when
placing the kcy block. The first standard
key block could not be placed until the DO
~h ield had advanced another ri ng. i.e. the
pressure distributing ring was com :sllOnd-
mgly retracted. This requ ired a longer
tall on the $hield in any casc. A dummy
key block of wood was placed temporarily
in thc unl:ompleted ri ng to assure stability
duri ng the push, v.hich in tum necessitated
that the top ram could not be used, so
re nderi ng steering more difficult. A more
con\'enientmethod is lo app[y sma !l~ st-i n­
plllcc concrete keys of rapid hardening
1:'- .~-] ~ .. w

I:ement which become a perma nen t pa rt

of the lining.
T he fi rs t successful developme nt was
the O' Rourkee block. As shown in Fig.
'11:;;- ~~ ..,~~w
6/ 177 these concrete segments, 0· 75 m FlO. 6/l7? O'Rourktc concrete bl(><:ks
 TU'I'[lU>;G 1"- SHALLOW D[PTH AND IN lOO$IIl GROIIND

(2 1,1 2 t) wide and ubau t 2 m (6 1/2 rt) long have two projeclionsand/or reces.<;es on
both faces. Those on th e forward face are dep ressed 32 mm ( I 1/4 in) and those
o n the rear edge proj~'('t 38 mm I (1/2 in). The heads of the rams bear against a n
oak cushion in the reCess. T hese blocks a re erected 10 break joint a separatio n of 6
mm ( 1{4 in) co rrespondi ng to the above d iffere nce between the dep th of recesses and
th e height of projections bcw.een the faces. Thus. the co nce ntn!.led and more
Uniform transmission of ull jack mg Slresses th rough these restricted contact
surfaces will be secure:!.
Another inleresting fea ture of the system is the key-block which is in two
piect:s. the IWO sections IHlving an overall length equal to a lypical blod. After
the last pie<:e has been placed ill position a
co ncrete pi n is pushed into a groove to lock
the twO l ey pieces which may be erected
se para tety from inside the ring. The blocks
are placed by erector arms which are mount-
ed on a trai ler closely following the shield.
AI the fro nt of th is trailer is II frame carrying
a series of Telescopic steel beams (as (.rown
bars: cr. Fig. 6{Q) wh ic h Me designed to
afford th e required temporary support for
all blocks in 11 new ring above the sp rin g-
line unlll the key is ~t and the ring is made
self- supparu ng.
Gra\'el holes 3lI mm ( I 1/2 in) dia are pro-
vided m some of the hlock! for shooting grav-
.., ...... 61178. Crou·seaions nf lhe
Wlter Jupply tun",,1 under the Danube el mto the an nu la r void left behind the ta il
(t9H) Wilh the curn:rCle blockl of of the shield and other holes lire arran ged
for grouting the 6 mm (1/4 in) interstice
left between the faces of adjacenl nn gs
after suffic ien t time tms been allowed for the m to adjust themseh'e~ to rock
pressu re.
Considering that the bigger the dimenSions of the lining segmenu the more
difficult it is to secure II un iform bearing for them. the use of smal1er concrete
blocks may be advl~d, particularly in the const ruction of relative ly smal1 diameter
public uti lity tunnel s. The system adv ised by ERI)t.LYI an d V Am i\ and sueees..~ fully
employed in th e cOnst ructi on of the suooqucuus water suppl y tunnel at Kflposzt:!.s-
meg)"er unde r the river Danube is show n in Figs 6/ 178 and 6/179. These eonrete
blocks 25-30 em (10-- 12 In) long. 25 Cill (10 in) thie k a nd 33 (ffi (13 in) wide had
eurved conta ct raIX$ - concave at one end and convex at the other in the directIOn
of the ring - which made II hinge-like action possible li nd rend ered the lim ng
flexible enough to adjust its defonnalion to the thrust line and redul"C bending
moments to a minimum. All edges of the blocks were ehllmfer!!1..l by 2'S m (1 in)
10 prevent spall ing off under the heavy pressure of propulsio n rams.
The blocks were cast with the utmost exactitud e in accurately ( ±O'25 mm)
I"G. 6 179. , ,,,,ilk "M:W
'"
of the rudy.mad~ 'un~1

machined cast-steel moulds. The acce pted tolerance was ± O· S mm, The uniform
dis tribution of pushin g pressures by the rams lIpon the relatively 5m(1 1i blocks
was secured primarily by a special rigid Sleel pressure-distribution rin g and also
by the l:arcful and aecunlle placing of the blocks themse[vl:$.
A similar lining was designed recentl y for a main sewer in Budapes t (Fig.. 6/ 180).
In order to ensure perfecl watertightness under groundwater level, the in ner
bituminous insulation was supported by a monolithic R. C. ri ng bearing against
ex ternal water pressu re. In addition 5~i al vit rified brick pavement ought to be
applied in the invert pari of the section 10 resist acidic attack of domestic sewage.
... fUI'oN( W I'IG IN S .... U ,OW DlPTH AJ<D II'< LOO5E U IlOU'<D

;;~.1}

Flo. 6{18O. CrOSS-Soe("IIon of . leWlet' .un.xl in Budapest (I96J)

When no special measures arc 10 be taken against eXlernal water p~ure and
wlllertightness altoge ther is not requi red concrete block li nin g embedded in cement
mortar .can be safely applied (Fig. 6/ 181).
Difficult ies arist however, when the shi eld is advanced and Ihe lining ring is
sliding out from the tail-skin of the shield suffering a drop equal to the skin plale
thickness 00 The produced step will lead to considerable bending in Ihe lower
<

concrete blocks which in turn are likely to infer some cra cks. This was fairly well
counteracted in Buda pest by cuuin g out a lower St'gmental sec.ion of the OOUom
skin 50 that the blocks could be placed on the grou nd directly.
This bottom-cut was eXIC: nded over about OrK" quarter of the invert, but it ltd
again to cin.::umfcrcntial slips and to shuffled contact faces between subsequenl
lining rings. A better solution is offered by the a rra ngement indicated in Fig.
6/ 182.
A circumrcrcnlial internal selling (bea ring) ring-plate is mount«i in the inside
of the tail-s kin, provided with appropriately arranged grout- holes. Although
the thickness of the ann ular void left behind on the advancement or the shield
will be increased in thIS way from lin to Og + 01 (i.e. by the 0, thickness of the
 '"

FlO. 6/ 181. Prevention of block sll""idcnc~ by tt>c ap,)lication of internal Ixcarin, rinl

1'10. 6/ 182. Inside view of concrete

blod lininl left withol,n ~pe<:ial
..·.tcr-proolin.

bea ring plate) still this a rrangement admits that the lining elements gel un-
interrupted support on a grouted embedment injected behlOd the tail-skin through
the groul-holes; keeping proper pace wilh the advancement of the shield-rail.
This viscous embedding - when injected in due time will offer a proper bearing,
admilling neither o.ettle menl no r d,slo rt, o n of the lining_blOCK". In addition 10
Ihe thu $ obtained preventio n of spallings lind ,,", .. kings a more perfect conlan
and caulking of the j OlllU may be Obtained, with a fairly walert ighl grout (nvel.
around. helping eventullity also in the reduction of comprt!ssed air losses. The
prcvcmion of thc e~'Upc of ai r may be u rather difficult and cumbersome job,
mainl)' when under shallow and nol airtighl cover. Soil-sol id ificatio n methods may
constitute an asset as appl ied from Ihe surface in this casco
The great development in recen t decades In t he improvement of concrt'te quality
(careful gradmg, water control, steaming. \ibration. etc.) has been largel)' respon·
sible for the usc of precnst·concrete segments in gcner,lI pntctil..-e. This is'llel1
illustrated by the fact that 11 water-supply tunnel in London'l? ""as built rea~tly
with 15 m (6 in) thic k Itape:.o:oidal blocks orthe Doll-Seg type (Fii- 6/ 184a) similar
10 the T . M . block5~'''' (Fig. 6/184b). The~ , however, have no nnl sides. bUI
have longue [lnd groove joints 011 alt four sides.
The primary ru nclion of the shield in the London water-suppl y tunnel IUS
to c ut a circular hole in the good London day of an exact diameter. The protrctile
function inherent to the shIeld was of secondary imponance hert'. The most
Imporlllnl requirement was 10 cuI the hole ror the precast lining of fixed diameter
lery accurately. When the clay was exposed behind the shield, the pressuu lIt..s
released and Ihe clKY expanded. When Ihe lwing was erected a nd tightened the
clay became rel:ompressed to some extent. It was important. therefore, to establish
a correct relation hetween shield diameter and lining diameter ma king proper
a llo ..... ance for the expansion of the clay lind producing the required degrtt of
compression in the ring and corresponding pressure against the cia)'.
Each Don-Seg ring was 54 cm (21 in) wide and tonsiSled of ten equal .....edge-
shaped ~gmen ' s weighing 163 kg (360 Ib) each. The longitudinal edges ...·ere
coated wi th a bitumen paint. Alternate segments were placed in a ring ..... ith lhe
wide end againsl the laSI assembled ring and the new ring was Ihen tighlened
by using the shicld jacks 10 wedge home t he liuermcdiale segments with their
narrow ends towards the last assembled ring. (Each segment .....as pushed by a
sepanlle jaek in Ihe Shield.) The segments \>o·ere bearing tightly llgainstthe t\Cal1.led
clay face ,Ind became pre-tensioned through the passive resistancc.
A further developmen t of the Don-Scg type lining blocks IS that not all Kg-
ments a re wegde-shaped in Ihe ring but only one key clement and the adjolDlng
two elements have inclined joint faces. All the remaining blocks ha\'e axis parallel
joints ( Fig. 6/183b). It is worth to be noled Ihnt Ihe applicntion of Don-Seg type
lining olTered n savi ng of about 50% agains t the bolted rib Iypc R.C. segmen1i,
and about 66 % nguinst cast·iron limng.
T. M. blocks are also trapezoidal in shape but are tongued and grooved o~ all
fo ur sides (Fig. 6/ 184). They arc laid up within the shield SklO with their \tiide

t .n TATTUUI., W .. KEUM) and WAIID: In\l:s, iplion inlo the Desi,n 0( I'ressure Tul!Ddl
in London OIy. Pl"()(". Insl . Cie. lAg. 19.H July.
ClnIIIl[ItT_WOOO: The Th,lntCS to Lee Tu1'tntl Wal~r Main. Prtx-. I~sl.
C(P. f~ . 1%2 Ftbr .
.... RICHAIIDMIN li nd "-1""0 : Prll~liCQI Tmmff Drirmg. McGntw WII, Ne ..· York 1941.
 UMNG:S£GMEIIT!l FOR SHlfLO-D M1VEN TUNSU.s
."
Flo. 6/183. Trapezoidal
concrete lininll ~lImen t s:
Don-Sea type Q-::>==~
, I
-- +
J

,
1-+--"]
, I
, , , c
,.
Axf<1lp nt ,,, Aly
• "=i[
Tr.;nsverW jOint
:j I ; +-f- {Jon-Seq tvpe

cnds alternately tu the fro nt an d to the rear ; in effect every other block constitutes
a key-block. The blocks P arc laid fi rst joining tightly to the last ring whereas
blocks Fare pushed by ha nd into the interstices. When pushing eilher the applied
pressure distribution ring will push all the F elements into their position at once
or the St: parate jacks will do so, simulta neously bringing about a tigh t connection
and solid bearing agn inst the surrouding ground. In order to avoid bending in
the block. on ly one jack bears agai nst a block. All the tongues are coated wi th
thick aspha lt which acts as a cushion in the transmission of jack pressure!; nnd
is squeezed into the joints where it acts as a water-seal.
It must be noted. however, that hituminous COOts as described above do not
comply with higher wate rproofing requirements. In such cases a concrete block

II Jl;
. ~. F
""" ,'"
1" , 'p , ,, ,,"
,I~\,.
,
, , , ,, p.'\
"
;
F ,, , ,,, PPi
-
F

FIG, 6i 184. Trapezoidal concrete

linin~ seGments : T. M. Iype
C >C -,
". "-
. -

54 Szkh y : The Art <of TunntJ"",

 TUNt-:E LUNG IN SIiALLOW DEPTH "SD IN LOOSE GROUND
"" ImllsI CCIl,~~ A«i l"""f FI G. 6/ 185. Cast-in-place conC~le
wM '~~r ,~/ mniJ"I

'--
I;n ;n \l. wit h anchored Ileel.sheet water-
proofing

lining must generally be subsequentl y com pleted by an ad di tional inner waler-

proofing whil:h must be capable of resisti ng waler pre~su re. This inner lining
ma y consist of II carefully prepared bituminous paper or P.V.C. sheets su pported
by an inner, ca~t in ~il u , monolithic reinforced-conen:te lining to resist water
pressu re : or II welded sled sheetin g may be anchored to the outer block ri ng to
ensure its resistance against e!\.lernal waler pressure (Fig. 6/ 185). Wit h adequate
anchorage, the externul concrete rin g and the illlernal steel sheeting may be dimen-
sioned as II co mposite struchm: to resist the uni ted action of external rock a nd
"''liter pressures. (d. Fig. 6/ 176).
However, in watertight uniform unfissured clays the inner auxi liary ring may
occasionally be omi tted an d a thorough caulking of the joints between the lining
blocks may be satisfactory, chiefly when coupled with subsequent grouting which
has to fill partl y the back-s pace of the excavated rock-face with the ext ra appropri-
ate add itives (benton ite) in the grout.
Some favourable resu lts have been obtained recently by the application of ca st
in si tu fresh concrete linings.'·!U In this case a ri gid and resistam steel form wo r k
an d shutteri ng has to be ereeted in the interior of the sh ield tail. The press ure
distribution ri ngs bear diTe(:tly upon the an nul ar space filled with green concre te
(advan tageou .~ l y placed by concrete pumps through suita bly spaced fai rl y la rge
diame ter inlet holes) and the push prod uces perfect compaction and tigh t bearing
against the excavated earth-face. The erection employed, the removal and s<x:tion-
length of the steel formwork, as well as the number of units and thc overlap ping
length wit h the tail skin must be in accordance wit h the setti ng time of the cement
applicd. The length of the shield tail may be shortened to reduce frictio na l resist-
ances during propulsion (Fig. 6/ 186) .

..... P.. r ROTI< . E.: H~r3t~lIun" rb,u H(mplUlmmlus 1m Tunne//J.auu,/ahrrn. Schriftenreihe

No. 9 1963 .
HoDOl!, V. A.: Tu nnel conslruction with monolithic pressure concrete lining (Soorushc:nie
(onndey s rnono]i tno-pn:$.Wvan nom bel0nno~ obd)·elkom. Russ .). Pror. Mrl'o Con[. 801a-
torifiired, 1970 433.
 Ll I'I"G SEG",,:-.:n rQIt Sililto-DRlytN TUNNEll 851

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 ruNSEU IN(l I~ $HALtOW O€PTH ANO IS I.OOSt GI OU'o'O

A rigid formwork and easily disulUntled shuttering is another essential pa n

of this constructiOIl. the use o f which was ghen ~markable technical and economi-
cal results in Gennany (G , H ALL' ~GCR) and, recentl y, also in the So"iet Union (the
economy obtained is more than 50 %).
The advantages claimed for this type or lining are the perrect omis~ion or joints
between single rings. the a"oidllnce or difficulties in placing and mllterial reduction
in the amount or subsequent grouting for filling the voids len in lhe back-space.
In addition the considerable compression exerted through the compaction
effecl of propu lsion rams will produce a fa"ourable prestressing. ~dudng c)tternal
rock loads around and securing II perrect embedment of the tunnel.
The applicabili ty of this method grellily depends on the bridge-action period
(standing-ti me) of the surrounding ground. a e<:rtain length of time bei ng
necessary fot the ad"ancement a nd adjustment or the mo"ing inner formwork
lind thererore this method will be suitable mainly in grounds with some cohesion.

63.234 . Reinfurcrll-ronrrele lining srgmtnlJ. In order to Increase strength and

to redu ce weigth. concrete lining blocks !Ire replaced - chicfly in larger diame te r
tunnels - by reinrorced-(:on~rcte: lining scgmcnts. It can be stated decidedly t hat
in the course of the development$ of thc Illst 30 YCllrs, these prinCipal requireme nts
became fairly well satisfied; the major problem still to be solved is 10 secure satis-
factory watertightness both for the joints and lliso for the concrcleof the thinne r
reinforced-(:o ncrete element itself. The: solution of this problcm has been sough t
in tWO dirl'Cljon:r.
The fir:rt dirt'clion was to co py the form, shape and r.:onn~tions or the casl-
iron lining segments and to apply the so-(:alled ribbed- type (coffered) segmcnts.
The first trial was made in London in the construction or the l lford Jine a .OMI
where ribbed-t}pe reinforccd-concrete segments we~ employed (Fig. 6/ 162).
The form,··11 reinro rcement and d imensions or these are shown in Fig. 6/ 187.
As can be seen, the whole design is pe.rrectlysimilar to the cast-iron segmen ts, the
difference being only in d imensions. The thickness of the slab was 5 cm (2 in)
and the height or the ribs 13 em (4 1/2 in) for a 3·90 111 (12 ft 9 3/4 in) outside
diame ter shield. Bolt holes were lined with a steel sleeve. and wooden plate pack-
ing with inlaid billJ minous sheeting was used between the contact surfaces ror
willcrproofing.
This was the protOlype for the e)tperimelllS started at the very begi nning of
the: construction of the Budapest underground rai lways in 1951 under the direction
of K. SLt.cHY. L. PALQT;:S and J. It.dssv."-= Fig. 6/ 188 shows the design of
o nc rc:inrorced-concrc:te element designed for a 6·0 m (20 ft) diameter tunnel

.... G aoo~u. G. l ,; Tho: nrord Tube . P",... /tU/ , (""i~. Etfg. t946 S .
.... a.on$. G. l.: Tunnel Unini' " 'jlh Sp«iaJ Rc fc/cncc: 10 R. C. Linin, PrM. !nst.
c.~ .EntJ. 194 ) Pa per No. B04.
P ATIU.DON. S.: ibid. No. S4S.l
t •• SdCHY, K.: TeSts on Con ~rclc Tunne l Linin&,. Concrn~ and Cons,n,rl"onol E1fI/;neel"-
"rig 1959 Mllr~h..
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T UNNi LU NO I I'{ $ItA LLOW [)[ PTlf AND ." lOOSE CItOUN D

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with 1-0 .. 2·12 m (3-)><7 0) su r rlllce dimensions and 28 em <I I 'n) depth . The
" , ...,n81h or Ihe segrnenl5 was £ccured by chOOlling .. carer ully &r"ded "1I&reple.
by the addition or 3~ kg P.e. per m~ (590 lb/ cuyd) and by thQrough vibrlLIOfl
with a consistency of 0-37-0-40 wau:r---t;:C:ffient mlio. These measurc:s provided
only for adequate strength, the watertightness of the 8 em (3 3/ 16 in) Ihid Kg-
ments of concrete shell against iI water pressure of 12 aim was obtained only
by specia l steam.curing in cylindrical kilns under a pressure of 7 1/ 2-10 aim al
u tempemlure of 167 be (270 0!-1.
The connections were designed similarly to those of cast·iron segments, swell-
cement caul kings and asbcSlos-bit urnen-filied shouldered sleeJ·shelJ washen
providing for Ihe watcrlightness of bolted joinL~ (Fig. 6/ 188).
It may be meillioned here IhaT neoprene rubber gaskets a nd washers (u nder tbe
bohs) ha\'e been applied successfully for wa terproofing the joints of a sewer tUDMI
in New York_I."
After these promising early experiments iT <.:arne oul that the stearn cUrln!
unde r considerable pressure in kilns on a larger scale would be too eltp(nSl~t
and lengthy and thus would nOI admit etTecti\'e and economic mass production.
On the ot her hand, it also came oulthat - although bolted conneclions increase
longitudina l rigidity and cooperation of subsequent lining rings - the omission
of bolts may increase the speed of ad vancement by about 200 to 300 %. Therdcre
this type was later abandoned and block (plllin) type segments have been applied
(sec later Fig. 6/199).
Tesl loadings carri ed out in a test pit with II series of vertically placed segment
rings have proved tha t The bolted hinge-hke connections couplcd with the residual
deformation of the rings: resul led in a considerable decrease in the stresses. compiu-
ed With the values calculated for a mo no lithic circula r ring. The deformed Wpe
of Ihe hning ring adjusted iudf much mo re 10 the thrust line, as shown in Fi,.
6}189. thus eliminat ing bending stresses 10 a considerable eXlent.
This fa vourable behaviour against tmnS\'erse loading was nOI maintained
against a~ial (jack- preMu re) loads. AI an avent ge axial stress of 25 kglcm~ (356
I b/in~ and with the secured fabrication tolerance of + 0·5 mOl «(}02 in) spallin!
occu rred at the edges of contacl surfaces and at the rear race of Ihe hnin!! se,-
me rll . The best arrangement an d amount of applied reinrorcement were found by
direcl bending tests in laboratory test mllchines (Fig. 6/ 190).
Ribbed-type segments were nlso used al first in the construction or the Jle*er
lines of the Moscow Underground (Fig. 6/ 191) and in the extcnsion of The Lenin·
grad Unde rground (Fig. 6/ 192). Il must be mentioncd that in Leningrad not only
the runnmg tunnels but a lso the 8·S m (28 fl) dia . station tunnels are hned 1I'lth
ribbed-type R.C. segments ind icating that in this city not only the type, fabrl-
calion and erection tcchnique. but also the given hyd rogeological and ground
cond itions may justify Tbe use of Ihis Iype (see laler) .

... cr. Walerti,1II Primary Lininp Cui COSI QF T\lIlnelling s.c",'Cf. CU", ',uclr',m MtlW
t96S S~pl .
856 TUNNELlING IN SH",LtOW OEn t! AND IN LOOSE GROU:-'O

@
P·fM{}.W(()jat m pt'rt?'/9

,
(};fyin;J/ ax:s

@
~·$~Ig(W8tm) (;iU1"I"9

C.d
,

Flo , 6/ 189. Test-loading results of experimental reinforced_a;mcrete lining ri n~

 UN,NG SEG .. O'U r OA SH'U.I)·I)~ ' VE.N T\lNNEU
'"

Flo. 6/190. Bendina te~ t of experimenta l reinfon:c<.l-concrete lining specimen

~: c<l:
Fl(). 6/191. Reinfon:ed-concrete linina of ,he M{)!;OOw UndcrifO!lnd (rib type)

Extensive use was made of the ribbed·type R.C. segme nts in the recently built
extensio n of the Yon ge Subway line in Toronto. Fig. 6{l93 sholO.-s a trial
erection of rings of these segments whereas Fig. 6/ 194 prese nts an inside view of the
casling ractory with vibra ling pla tforms and moulds.
The bolted co nnec tions provided between segments and also between the
single rings nOI onl y racilitate erection work bUI also se<:ure a better lo ngi tud ina l
'" TUl'oN(I. US(] I,. S>lJt.LLOW D~PT>l "'1'10 11'1 I.OOSE GkOUNO

."
•
l'rtns-4tctIDff ~f
~flmt'nt

~: 11 "I a
IfXItI ItO ••

FIG. 6/ 192. Rnnrorccd-<,:(lrw;~L<: I;nln& of t~ LcninJ,r&d Undel"lTound (nb 1}' ~)

FIG. 6/ 193. Trial erection of tho: R.C.

!Oi'!'OiIllininll rings of the Toronto Sub...·.y
(by counesy of Messrs Atli:iM. Hatch
......J and Asso<:i ales)
 LININ<) S( Cj \lE 'in FO R StIiELD-DRIVt/lo TUNNELS
,,,

!- IO. 6/194 V,ew of th e casli ng factory of Ihe Toronlo R.C. ti nin, IIClmenls

coopenltlOn of the lining rings which ofTen ulluuubtedly a bigger reslstll.n~

againsl Ihc dynamic aCl ion of the runn mg tra ins.
Before getting into det ails of the mo n: recent develo pment of R.C. lini ng seg-
mentS viz. t he Slllh (hloc k) type, some general remlHks must he made about the
merits an d defects of t he ribbed-type scgments.
An undebatable advantage of the ribbed (coffered) R.C. segments is t heir
considerahly smaller weigh t (a bout 50~'.. of the block-type) and their much bigger
flexu ra l riEidity in ~xial directi on.
The id ea 10 estnb ltsh connectio ns between R .C. elements hy means of steel-
bolts seems to be a bi t a wkward e .. en wit h bolt holes lined with steel-tubes and
contact faces unde r Ihe bolt heads provided with bitume n·filled clast ic steet-shell
washers (cr. Fig. 6/188).
T he casti ng of the Ihin-walled and ri b-stiffened cofTered elements with the re-
quired exactitude offers also II l.klica tc: pi ohlem - not wi thou t d ifficulties. Another
drawba ck that spalli ngs and cracks of Ihe edges a nd ribs during hand li ng, hau ling
and placi ng are nOI to he a vo ided even wi th the grefltest can:. These a re co upled
wi t h those of the watenight sealing o f lite joints. Owing to the big propulsion
th rust 111 ax ia l direction ha ir-cncks and fissura tion will freque ntly a ppear mainl y
at the transition spots between shell and ribs. dest roying the wa te rti ghtness of
the carefu ll y cast concrete. T his process is promoted at the crown. where the te n -
sion·zone is sit ua led at the rib-~id e o f the segments just where t hese are weake n ed
by the bolt-holes. Cracks do not o nly impair wa tertightness. but promo te a lso
corrosion of the rei nro rcement bars. At last the confection o r relati vely thin con-
crete shells resistant against a ny percolation of water unde r conside ra ble pressure
is in).J:sclr a n expensi\e and rather involved job: oceusiona lly necessi tating not only
860 TV"NELLll'G IN SHALL OW DEPTH AND IN LOO!iE G IIOUSO

steam cun ng unde r pressure but requiring also the use of expensive chemical
additives.
The 1 ~nd 10 eliminate these defCC'ts has led to several improvements in the
design of the eoffe~d R.C. segrr.eniS. First of a ll the transitions from the slabs
to the ribs ha~e been haunched, t he intermediate ribs omitled and the thic kness
o f the pcriphcrial ri bs around the rims of the elements IIlCl'e'd£<i (cf. Figs 6/ 19 1-
6/ 193) . In add ition the quali ty of Ih" concrele was m:He riaUy increased and lately
in Moscow the grip of periphcri al bolts was eliminated by the a[lpti!.:a tion ofhcad·
and nutless dowels, in o rder to diminish the danger of crac king a nd to uduce
erection time a t the same time. Cracks - as a matter of fact - may d evelo p not
onl} when bolts a re tighte ned bUI also when the shield IS propelled. The arrange·
ment of radial-bolts has been ll iso cha nged. The usual two-bolt connections
were replaced by a si ngle-bolt connection somewhat displaced towil rds t he inncr
edge o f t he rims tha t the bolts shou.ld not perforate the caulking ma terial applied in
the do vet ail-shaped grooves (Fig. 6/ 195).

Fu;;. 6/ 19'. New bolt-connec(ion

arranactTenl in MOKOW
The ribbed segmcm can be placed mo re readily :lnd exeat l)', and, thro ugh the
ri gidity of its jo ints. it assures greater longitudinal ri gidity in va rying layers against
differe ntial sellkments. Troubles have a risen, however, in watertightness at [he ribs
und at the con nectio ns. Both the roots :Lnd the bol ted rims o f t hc ribs are inclined
to fissuration imlllrr<1 during rabc-italion o r erection (bolt tight"ni ng, clllulking)
processes. The smaller structu ral thickness of their segment skin o ffers less fC5isl -
ance to water infiltration. In present pract ice, therefore. prefere nce is given to the
block type in somewhat greater cover depths where a unifo rm pressure distri·
bution may be expected, where'ds in shallow depths the more ri gid type of segments
is used.
In order to reduce the da ngers of rib fissura tion during shdd propul sion as
well as at bolt t ig htening. a nd to reduce the t ime necessary fo r [llacing the boll.s,
steel pins Ilre used in Soviet practice in all a~ia l joints a nd tl:e circumfeun,ial
bolted connections are somewhat modified. Only one row of connecti ng bolts
is applied nCilT the inside edge of the ribs, not [liercing throllgh the do\'e tail-
shaped recesses provided for swelling cement caulking (cr. Fig. 6/ 195). As to the
 LINING SfQ,II ENTS FOR SH IELD-DRIVEN TUNNELS 86 1

watertight seali ng or
joints, e~perience has shown that · swelling-cement caulki ng
frequent ly crumbles o ut when exposed 10 hig her variations in te mpera tu re a nd
to greater dynamic effects. Therefore, experiments a re being carried out wit h
various artifical resi ns a nd plastics (Polymers, PVc., etc.) wi th a view to thei r
use not o nly in the grooves but also fo r their insertion in the form of strip::s belwee n
the contact surfaces. Inserted ncoprene stripes may prove also efficient. I .M This
lalter a pplication may also ha'/e a beneficia l influence on the more uniform distri-
butio n of jac,k pressures upo n the contllcl fuces when the shield IS advll n{'ed. The
Wntacl faces of slab-type segments a re usually not plants but slightly convex
or concave to ensu re a hinge-like action. Wa tertightness is ensured by the inser tio n
of plastic sheets and a seal of plastics or of swelli ng cement in t he recesses urranged
on the inside face. To red uce tolerances and to obtain greater exactitude, experi-
me nts are bei ng {'arried oul 10 fabricate the rei nforced~oncrete segments in suit-
able squeezer moulding machines instead of casting them on vibrati ng platfor ms.

fZ> f,

Jlf/fllm; c~mtl/t or ~rtl/iCl,]1

~~~\' reS11/ =1101/;
Ionor! shut

FIG. 6/1 96. Eve nt ual joinl arrangement

of block -type segmen[ ~

The secol/d direction was based on the experience gained during the first a ttemp ts
wit h the ribbed-type and led to the develo pmen t of the slab (block) type segmt:nts
wit h a vicw to simplify casting operations, to improvc the quality and homogeneity
of concrete to omit bolls a nd to increase shell thickness in order to o btain greater
percolatio n res istance from th~ concrete muss itself. ~·fl
The radial joints of t he block-type segments are not flat but formed wilh con-
~ave resp. convex {'onlact surfaces of different nldii, thu$ (Idmill ing hinge-like
action. T he insulation of the j oints is effected by inserted layers of vario us plastic
sheets a nd occasionally hy caulking the duveta il-shaped grooves provided at the
intrados by plastics o r by expansive cement-paste (Fig. (5/196). It is a gc nera l
.. G< Wate rtight Pr ima ry Liningl CUt COSt of TU l' nclling Sc.",er. ('on.flmN;o/l Mnh(}ds,
t965 Sept.
, .U T rNls, A. K . and Mo.,..,..", H. n .: New T unneb neH POllers Bar. Pro". /IIsr. Civ.
£1I.(j. 1%1 Apr. 239.
862 TUNNeLLING IN SHALlOW O(rTH AND IN LOOSE GIIOUND

trend to slacken required to lerances in casting and tests are going on to produce
the segments by pressing the concrete into milled steel moulds. In this respect
the c)(perience gained during the construction of the new Budapest under-
ground must be also mentioned, insofar tbat the initial101eram:es of ±2 mm might
have been ralscd up to the ±8 mm limit without harmful consequences (i.e.
without undue cracking). T he admissible measure mus t be a pparently a function
of t he ru~hing fo rce, required for the adva ncement of shield. Greater tolerances
being admissible in the case o f smaller propulsion resistance and vice-versa. It
may be also theoretically proved that bigger tolerances and thicker insulation
pads at the j oi nts are increasi ng ring compressibility and thus its adjusting capacity
LO the t hrust-line leading lO a reduction of stresses. UOIl

FlU. 6/197. Reinfor~ed-o;on<;rele lining of Ih" MO~<;QW UndergrQun<J (1962)

Figure 6/191 shows the block-type lining applied in Moscow in some mo re

recent sectio ns of the Underground as a typical solution. The lining segmenls and
rings are connected to the neighbouring elements by two steel-dowels each.
Another atte mp t has been to provide not through-going 15 em (6·) deep groves
between the elements of subseq uent rings. Ancho red steel plates constituting the
contacting faces, through which bolt connections could t>e establ ished thus pro-
vide for axial cooperation.""

.... SztCHY. c.: The effect of manufactu ring tolerances upOn t he stresses broughl about
in lining segment-rings. Proc. Mnro Con/. Ba/alOn/tired /970 4OS-4 16.
S":OCHY, c. : The effect of manufacturing tolerances upOn the SI"'SSC~ brouilill about In
lininil SCilmcnt·rioilS. PrQt;. Prccusl Con<"TCI, Uning for TunnelB, BratiJfat·u 1970 SS-60.
0." M ANl)~", G. and WAUNllI, H.: VerkehTll·Tunn.:lbau I. 217. Verlag Wilhelm E. &
Son •• Herlin 196M.
 LI"I SG SEO)oI I:vfS f Ok SHtrLD-OkIV ;:N T\;Jo.HU 863

At some sections of the new Victoria line in London the 4·25 m (1 4'0") exte rnal
dia. t unnels were lined with the articulated segments shown in Fig. 6/ 198. Previous
tests have proved, tha t 6~ ( 15 em) thickness could resist external forces when re in-
forced and with a thickness of9" (2] cm) all reinforcement could be omitted when
a cube-strength of 8500 psi (600 kg/cm ~) could be gra nted. In conclusion no ne
of the segmems was re inforced except t he small key-e1cment. This was not on ly
lhe result of t he excellent quali ly of t he concrete, bUI a lso of the fa vo ura ble load-
ing and em bedding conditions of the unifor m and wa te rtight London·clay where
in addition no c}(terna l waler pressure
was to be resisted.
Each tunnel ring is made up of 14 ideu·
tical segments (Fig. 6/ 198) having one
end convex and the other concave. so
that they fit together with kn uck le joints
similar to those for cast-iron segments
(cf. Fig. 6/ 174). When the 14 segments
are erected a gap of abo ut 18 cm (7 In )
remains a t the to p. This gap is fillec..l by
a pair of rei nforced-conc·re te foldi ng
wedges having plane eonla!,:( faces a nd
convex and concave faces respectively in
cOnlact with the segments on each side.
The wedge with t he wide end nearer 10 t he
shield is driven home by a pai r of small
hydra ulic jacks, while t he other wedge
is held in positio n. ThCSt" two wcdges
hold the whole ring firml y in place. n o. 6/ 198. Reinrorced·oonerete lining
The segments a re cast with fO UT holes segments or the Victori a line ( \ 963)
equally spaced round lhe interior circum-
ference. These a re used fo r hand ling a t t he erectio n and, later, wi th expand-
ing bolts for fix ing tunnel equipme nt, they serve t he same purpose as the: ribs
of the east-i ro n segments. Handli ng is effected by hoists at the working facc,
an ex panding bolt placed in one of the holcs heing used for lifting. This lift ing
is done by a manipulator arm mounted at the rear of the shield and held in place
by pull-o ul pins until the fixing wedges are drive:! in.
No grouting is used with the tunnel lining and there is not hing between the
rings, except that wood packing pieces are inserted between t he segments to
distribute the thrust of t he shield rams.
The watertightness of reinforced-concrete lining rin gs may be improved not
only by an increase in wall-thickness, but also by reducing the number of joints,
i.e. by increasing the length of the si ngle elements. This necessitates, of course.
t he application of more powerful erection maehin ~ry.UlIi

... No Bol l Lin in,s Ilihe Tunnell;nl Time. Elrgll,u"/1fI 1961 4t4.
864 TUNNELUr-'O IN SHALLOW O E ~T H AND IN LOOSE C ".OUNO

"
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.
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t i-rl ~;
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-
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F===i:!~ . .;[~.====\
-- I,.-----------
- . ----- i --T-
---------. ----------_.•
---t;f {':L::::_
'19 g",;-.;I
t{j
11 _ .",.
Flo. 61199. R.C. lininl SCllmenlS of the Budapest Undef,round (lg67)

Block type R.C. lini ng segments were recently dPpJied in some sections of t he
Buda pest unde rgro und (Fig. 6/ 199). T hese were used inste;:ad of the previously
tested and above described ribbed- IYpe elemenlll (cf Fig. 6/188), mainly for eco-
nomic and fabrication reasons. The 5·10 m inner diameter ri ng was composed of
6 normal elements (2 194-4 mm long and of 1180 kg weight per picce) 1 invert
block ( 11 50 kg/piece) and of a small key-element (s plit in th ree units III longitudi-
nal direction). The width of the clements is I m (3 '-4') and their thickness 0-20 m
(SO). A crushing strength of 400 k g/cm~ (5700 psi) was specified whereas an allo-
wance o r ±2 mm was made in the 2194·4 mill r.: hord length ror the rab ri cation.
(This had to be raised late r however to ± 5 mm r~p. to ± 8 mm.)
 Altho ugh a perfeet watertightness of the steam-cured R.C. prototypes (cL
Figs 6/ 188 6/ 190) has been atlained d uring the previousl y described experiments
(up to a pressure of lOatm) this could not be smnted by far under the require<!
normal fabrication condi tio ns (i.e. without stearn a nd vac uum curing) of block
segments. T hus it seemed to be indispensable to pro\'ide for the wate rtightness of
the lining segments by some additional impervIOUs coating. As a cOnchlslon of
experiments ca.rried out with va rious polyest hcr and resin paints and ashest-
ceme nt and asphalt coating, an impervious asphalt coati ng has been chosen,
applied hot o n the extrados of [he elemen ts orabout 5 mm (3/ 16·) thick, which had
a beneficial scaling efTect also o n the watcr-tightness of [he joints. Experiments have
sho ... " that unde r a pressure of 1·5 a tm the allowance of 0·3 lit/m: intitt ratms
quanli ty of water will nOI be surpassed. Each lining segment is connected to the
adjacent one by IWO stee l -d o\~ets in periplu:rial dircction, whereas no axial con-
neetion whatever is provided between the singular rings. The sealing of the hinge-
like Joints (see detail of Fig. 6/ 199) was cffccted by e.\ pand mg cement caulking
appllcd in spechll groo~ cs.
Fabricution on a la rgc sca le was preceeded by ~ery careful e~peri m en t s in
order to find o ut the best suitable type of cement (not inclined with the required
dosage to exttSsi\'e shrinkage) the best water-cemem mtio and the most suitable
type of cuting corresponding 10 the economically required set ting I csp. ha rdeni ng
time. After t he initial a ppearance ofsomc cracking a do:.agc of 485 k&lm3 cement
(C 5(0) a wa t e r-~-ement ratio o r 0- 36 a casting c)cle of 48 hOUr! lind curing on
normal temperltlure has gi\'e n the req ui red so1Iisfac[ory results.'·
When compari ng the previously described three solutions it is obvious. tha t the
number of segments composing a full ring ranges bet"'een rather wide limits.
(8 in M OKOW and Budapest and 14 in Londo n mspite of the smaller diameter.)
This reflects 1wo aspects from which this question may be looked upon .
The number of joints IIlcreases the rins's flexibility and t hus offers lldvllntages
in the statical behaviour and for the required dimensions of the lining nng. whereas
increases the number of disconti nuities, i.e. the number of joints exposed [ 0 wate r
infiltration. Wherever no infil tration of ground wate r is to be feared of. prere-
rence ma y be given to an increased numbe r of articulillions (I.e. of joints us in
London) whe reas o pposite trend ma y be represented, where ground water is to
be encountered.
One of the latest developments in this respect is the construction of the Donner-
bu b! tu nnel in Bern (Switlerland)"1'Il whe re the reinforced-concrete lining ring
wit h an external diameter of 10·10 m (3 2 ft 6 in) was composed of four mil in
precast segmenta l slab--elemems 7·5 m (25 ft) lo ng, 0·50 m (I ft 8 in) wide and
0·55 m (I ft 10 in) thick, the weight of which was about 5 to ns each. T he four
main segmental elements were completed by quite a small key-Slone, which was

... O,.,LOOH. J , KELr"'[ .... J . a nd S:.:Ocs, M.: Verwtndun& >on >orgeful i&len Slahlbeton
Rlockst~inen bc.im Rudlpt!ller Melru. Pwr . CO'll 011 TItIlMI lillillfll of p~(1m (011('(1'11',
HNl/ /slov(J 1970 12 1.
..'" O E:llP'01<DII, R .: IX. Donnerbilhl Tunnel in &:rn. Srh ... BUR. 1960 10-11.
'60 Tl1""ELUNO IN S HALLOW DEPTH A:SD IN lOOS( aIlOU~D

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 LlNINO SEGMENTS f OR S'lIEU) I) ~IV EN TU:'<NtLS 867

FIG . 6 / 20 1 . View of the construction-

sile Donnerbiihl tunnel (by courtesy
of Messrs Hallinger and Prader)

not placed at the crown but sideways, just adjacent to the buttum piece (Fig.
6/200). This location proved to allow a more ready and exact insertion of this
important piece by pushing it backward from the face. The clements were designed
with projecting collar flanges affo rding temporary support from the previous
ring. The joints between the four main elements arc arranged diametrically in the
axis inclined a t 45°, thus practically coinciding with the zero bending moment
points. Careful grouting, following the erection of the rings. provided a tight
contact with t he adjacent soil. This was the more necessary because the tunnel
was driven through moraine-debris formations with sand layers intermingled
with gravel a t a very shallow de pth (H ::: D) under an urban area, where surface
subsidence had to be kept to a minimum, all of which necessitated immediate and
thorough grouling. (It is interesting to nOle thai the con tractor had 10 undertake
the financial risk of any surface damage and this was effected by a cont ract with
an insurance com pany.) To ensure this, not only the backspace of the rings was
grouted but thixotropic suspensions were fo rced behind the shield skin not so
much fo r waler sealing, as for soil solidification, impregnation and compaction.
The application of thixotro pic material is to anticipate the danger that grouting
would increase friction resistance and render propulsion more difficult. In this
way the tunnel could be driven in the heavily water-logged soil with direct pump--
ing only, without any excessive surface subsidence. (Fig. 6/201).
868 TUNNEl..lI'IQ IN SHALLOW DEI'TtI 111"0 IN LOOSe GRO{;l"O

FIG. 61 202. Tunnel lin ing with. t he hexagonal type 'iapp burg
(by courl~'y of Mes~1"l! Wayss and Freytag)

In very much the ~.ame w.ay n ~tion of The H flmhure llndcfgfOund was driven
with an external diameter of 6·60 m (22 fl), where four segments 90 em (3 fl)
wide, 35 em (I ft 2 in) thick and about 4 m (13 ft) long of 15 tons weight made
up n ring. 01 The segments were connected to each other in a transverse direction
by steel pins, and the rings by ~lcel bars. An inner insulation was applied supported
by an inner monolithic reinforced-concrete ring against water pressure.
The omission 0/ key-slolles and of the Il.'mporaTy SUpport nceded for the erection
of the block-segments has constilUted a further step in the development of block
type segments. At first t he key elements have been transferrcd from Iht; crown
to the inverl section fo r easier manipulation. Then in order to preclude difficulties
encountered with the pushi ng in and with eventual wedging operations of this
element, inlerstil.1:S wt; re left at its place wi th tempora ry steel-blocks or hydraulic
jacks inserted. These gaps were filled out in t urn with in situ concrete (cf. Fig.
6/207) in order to eliminate the defects which may be attributed to key-stones in
general and whic h are as follows:
Troublesome placing requi ring the temporary SUppOri of the adjoining elements,
its troublesome connection 10 the adjoining interlockings, the fabrication a nd
manipulation of a greater number of different elements.
These defects were greatly eliminated by the hexagonal type lining segments
"Happburg" introduced by Messrs Wayss + Freytag (Fig. 6/202). The placing
process is shown in Fig. 6/ 203. wht;re it is to be ~ecn that the peripherial joints
between ring-elements a re staggered lind the hHl scgmcnt o ffe rs a partial
support to the overhanging crown element. It is clear that in this way the far.:e~
of the lining elements a long t he ring d o not fall in one plane, rectangular to
the tunnel axis. Thus when the shield is advanced either strokes of the propulsion

•. " MA~DE L, - UG . : Bahn Bau ill Hnmbur" Srh .... Bug. J959 43.
 U!'-tNG 5lGM£NTS fOR 5Itt(~D-OlltvEN TU,"SU..s

FlO. 6/ 203. Placina of tho: hc:xallonal

segments

ram pistons must be activated differentially or the differences between contacting

faces of the lining elements must be compensated by an appropriately conce!"ed
pressure-distribution ring.
A further disadvantage of all annular lining rings was eliminated by the intro-
duction of the so-called .\·piral or Wentlel-typc linmg segments,t.n The alternating
working phases adFuncemem- and the following segment placing-SlagI' whilst the
shield is not in motion. will undeniably lead to a progrcssing increase of friction
resistance around the shell of the motionless shidd. It is namely well understood
that specific fri ction along a body kept in constant motion is considerably less,
than along one at rest.
The spiral I}'pe lining (conceived also by Messrs Wayss and Freytag) is shown
in Fig. 6/104. The assymetrical chamfer al the joints affords a safe support
for the following segment and the slightly inclined direction of placing is going
on following a spi rallike motion along the tunnel axis. A staggered and alternat·
ing operation of the propulsion rams is requir«l also here for the continuous
advancement. A stroke of about 1!4 of the segment.width is usually applied . As

._7: ScHUPP. R.: Bau der MCinch.ener Nord-Sud U. Bahn Linie. DH BDuingn,it'ur 1967 1.
870 TUNNELUNG IN SHALLOW OE""H " :-00 IS LOOSE GROUND

a measure agai nst possible spalling the contacting faces at the joints were protected
with a thin steel-plate cover and the longitudinal rigidity and cooperation o f
adjacent ri ngs was Sttured axially by 3 high-tensile through-going axial bolts
led in precast channels. This type has been successfully introduced in the construc-
tion of some new li nes of the Berlin Unde rground and also in Munich.
Dejecls of ...·merlighln('ss may Ix full y e liminated, when a cont inuous bituminous
o r plastil,; ins ulation sheeting is ap plied on the interior face of t he plain-IYpe
lining rin g. This must be sup ported afte rwards against wate r pressure by a cast
In situ mo nolithic R.C. ring ( Munich. and cr. Figs 6/ 179 and 6/180) .

•
FIG. 6{1.04. Li nins " 'il h corllinuous (spiral) sc:gmenl$

It is gene rally agreed, that R.C. li ni ng segments do offer a saving of about

35- 50 % as compared io cast·iron segments. This economy restricts nowa-
da ys the use of cast-iron segments to underground sections perforatmg h eavily
wa terlogged soils of greatly va r ying compressibility and of low bearing capaci ty.
furthermore to s ubaqueous tunnel -sectio n ~ and wherevc r a perfectl y wMcrti g ht
lining is an indispensa ble requi remenl.
Summing up t he comparison between ribbed an d plain R.C. lining segmcnts
the fo llo wi ng conclusions may be draw n.
The placin$ o f ribbed segments may be elreeled more acc uratel y and more easily.
alt hough the accom plishme nt of bolted connectio ns has a g~ater ti me d emand
and rna)' slow down the progress. In addi tion, the bolted conditions in axial
direction ensu re a greater longitudinal rigidity between successive rings against
di fferential settlements, - as important Item - ma inly in la)ered ground .
Difficult ies ma y a rise, however. from the improper wate rti ght ness o f ribs and of
joints. Ri bs ha ve na mely a great tendency to fi ss ura tion just as a t t he ir transi tory
sect ion 10 the slabs as at thei r edges and around the bolt-holes. Fi s~ ures and
cracks rna y appear during placing o perations when bolts are tigh te ned or even
dur ing the man ufacturing process a lready. In addition the smaller thi ckness
of t he shell-plate o lTers a s mallcr gua rantee against the ()(rco lation of water.
 LINI NG SEGMENTS FOR SHIELD-DRIVEN TUNNELS 871

On the other hand following drawbacks may be attributed to block segments.

Difficulties in placing (eventual need for a temporary support for the uncom-
pleted ring) and mainly the imperfect longitudinal connections between separate
rings and bigger difficulties in caulking the joints in general. These imperfections
could have been partly eliminated during the course of gradual development - as
indicated before with the result that at present generally preference is given to
block segments. This holds rather undebatedly for deep-lying tunnels of bigger
diameter and running in homogeneous impervious layers.
Generally speaking in case of bigger overburden depth, when a uniform dis-
tribution of rock-pressures may be counted upon and when the exclusion of water
is not of primary importance, preference is to be given to block segments, whereas
with small overburden depth and jn heavily waterlogged layers, i.e. for tunnels
which must be watertight and variations of loading may be expected not only
from the alternation of layers, but also from water pressure and from moving load
on the surface, the application of the more rigid ribbed segments must be con-
sidered.
In a recent survey made from the costs and methods used jn tunnel construction
tbe Road Research Laboratory of the Ministry of Tran sport"" has arrived at the
following conclusions as to the use of various lining segments in Great Britain
(cf. Table 2/ 11).
For soft grounds the choice at present usually lies between segmental linings
made from cast iron or concrete. These will be either expanded (Don-Seg, cf.
Fig. 6/ 183) or bolted linings ; expanded where the soil is a unjform clay and the
tunnel shield has to cut to an almost exact diameter, and bolted for all other
conditjons. In good soft ground where there are no groundwater problems and
the soil is uniform plain concrete lining may be also used. Evidence gained during
the construction of the Thames- Lee tunnel water main shows that the price using
expanded concrete linings can be less than 40 per cent of conventional cast-iron
linings. These figures are supported by data from the Victoria line where the price
of the lining of plain-concrete segments was approximately 50 per cent of tbe cast-
iron Jjnjng.
Whereas bolted cast-iron lining segments are used for larger diameter tunnel s
whenever the construction is in bad ground, bolted concrete segments have been
used a good deal on the smaller tunnels, but rarely on larger ones. The costs of
erection are much the same as for cast iron , but the initial price of manufacture
is only about one half. This type of lining does not, however, appear to be popular
in spite of its lower price. It is allegedly

(a) more liable to damages in handling and therefore does not seat as well as metal ,
(b) suffers more breakages from bolting- up stresses combined with very high load-
ing from shield-rams, and

1;.73 MARGASON, G . and POCOC K, R. G. : A preliminary st udy of the cost of tunnel con-
struction . R. R.l.. Report LR . 320. Crowthorne, 1970.
872 TU NNELLI NG IN SHALLOW DEPTH AND IN LOOSE GROUND

(c) it is more difficult to caulk and thus is short of one of the greatest advantages
of cast-iron bolted segments.

As a result of his extensive investigations, WARD suggests that in the choice of

various R.C. lining segments the following considerations should be made:
1. In clayey soils it may be counted upon that after the elapse of a certain time
a uniformly distributed axial thrust will develop in the ring corresponding to the
full geostatic load. In other types of sediments one may count also with a uni-
formly distributed pressure, but of smaller magnitude.
2. The deformation of the lining rings primarily depends on the behaviour
of the surrounding ground during con struction stage as well as in final posi tion.
The extent of deformation to be expected - may be taken satisfactori ly into acco unt
by experience, exception being made with heavil y folded or layered formation s.
3. The va lue of transversal bending depends on the flexibility, arrangement
and number of longitudina l joints, i.e. from the number of lining segments in one
complete ring.
4. Tensile stresses - due to bending are to be redu~ed by both, decrease of wall
thi ckness and increase of axial thru st, or occasionally should be even totall y
eliminated.
5. The contacting faces along longitudina l joints should be shaped, that no
spalling cou ld be produced by the expected deformations.
6. The contact faces along radial joints shou ld resist even local overstressing
due to propul sion pressures during advancement.

WAGNER discriminates between flexible and rigid R.C. lining and is of the
opinion, that a flexible lining (Le . s maller size segments with more hinges) might
offer definite advantages in loose cohesionless and dry so ils , whereas preference
shou ld be given to a rigid lining in stiff grounds and under groundwater level.

A s to the dimensioning of precast reinforced-concrete lining segment s a specia l draft

speci fication has been laid down in the Soviet Union. a.;4 Acco rding to this draft, dimens ion-
ing should comprise the following three items:
J. Dimen sioning of th e full annular ring not on ly against external loading when completed
but al so for the erection stages is required . A s to the meth od, one of those taking the lateral
elastic soil support into account is prescribed , preferably that of ORLOV, or the polygonal
chain method (see Section 4.332). M ore exactly defined, sta tica l co ntrol is to be effected for
the two stages:

(a) erection stage before the accomplishment of the first (back-space fillin g) grouting;
(b) co mpl eted stage after the accomplishment of the first grouting.

For stage (a) th e specification prescri bes that the supporting pattern of the ring is to be
ass umed in accordance with the di stribution of external pack in gs or block s as pro\'ided in

6.7" (Temporary prescriptions for

Vremellllye metod IIkazltaflya po rast. zltel. obdel. 101111
dimensioning R. C. lining segments), Mintran sstroy, M oscow 1959.
 USll'oCi 5lG \I[l'o"T5 roll stll[LD-DIlIHN TUNN[LS 873

the erC(;lion programme. (Packings provided in the interior of the shield skin should not be
taken inlo aocounl. )
Sho uld there be no definile tempora ry support ro r the e1'«'lion, thcn a single knife.edge
support is to be assurmd below Ihe OO1to m of Ihc rinK. Bendina momenl diagrams ror lhis
Cllse a re aive n In the Sp«lfic8110n ( Fia. 6f20S). WMn comput;n, the wei,ht of lining the
spec ific aravlty of rci nforcc d-o;oncrcte segments is to be laken u 2'S t/m' multiplied by a
safety r"CIOT of 1' 1. The effective weishl of erection machi nery is also to be increased by
I facto r nf po _ 1'3.

-lH'lgr'

,)

"

,) ')
FtG. 6/20S. B.M. d ilgT1lm5 owina 10 self- we i,h! with a single knife-euac support
at lhe OOllom (Soviet rel ulal;ons)
 TUNNELUNO 1'1 !HALWW DEPTH AND I N LOOSE G~OUND

80th vertical and horizontal rock loads should be taken as uniformly distributed when
projected upon the horizontal o r vertical diameler of the nng. Rings wi th no uia l conne.: tion
betw«n one a nother may be dimensioned independently, but for those which art dfe.:tively
connected to e/lch other in an axial direction the in-
crease from adjacent rinli' load~ transmifled by load

I su perposi tion owinG to composite dcformations mus t

al~ be taken into accounl.
2. The sinale selments must be: ch~ked for all SU·e55eS
induced by ini tial and unequal gaps resultlna from deficien-
cies in fabrication and in erect io n. In add;tion, initial gaps
may be due to improper strUCtura l hnlo:! .nd connecti on~
bc:tw«n adjacent rinllS. Aco;ording 10 tHIS, reinforced -
concrcte linin, !\elment. arc very sensi tive to these. COIl-
crete faces will crumble at relllllvely low stresscs a n d
edges will breale do .... n rea!.lily.
The prescriptions limn the maximum wid th of allow-
able msu res 10 0-2 mOl in the inner face irrespective of
whether the linin, is cOllted wilh • w.terproof insuhuiort
or not.
FHi. f>{206. Assum pt ions for The )tat ic.1 bc:ha\iour of the ring ...·mbe altered fun -
defe(:tive ~on ract bel .... «n damentally b)' initial gapS, as stre~s .... ill not b<: trans-
milled o'·cr the whole, but onl), on one part of the a rea
of adjoiniog fa~e~. In case of such a t)·pe of load-tran s-
mission, the ma,nitude of hendi n, momenU (I.e. the location of the tluust line will
depend not so much on the non-uniformit)· of e~ ter nal loading as 00 the relati,'e situat ion
of tnc Jlp) ( Fi l- 6/206).
The eccentrici ty of thrust (N _ norma l fOI«) ",.11 deJ"'nd upon Ihe di~ lribution lind
magnitude of contact p r~sures . Assuming certain apprOltimations, the initial eccentricity
to be coo§idered accordlna to the specifications may be computed as

r.= N'.
d - - -,

where
""'"
d = the diSlance between the ce ntre line of llravity and el\l reme fibre outside or the
bouom of ca ulk;na rCCtSS in$ide (FII . 6/2(6)
UN - unit compressi on strenllh of concrete
1<. = homogenei ty fa ctor of co ncn:te (I<. < I)
b ""' the width of the segmen ts The aetua l P PS due to erection and fabrication
deficiencies «(') have to be added to Ih l$ valuc.

T he tOlal additional b:od ing moment will fina lly be

M.: fer. + tlN.

J. Finally, the deforma t.on of tbe art iculated aon ular rin a is to be co mpu ted with regard
10 the danger that if this should attai n ao exceuh-e value not only Will the thrusl linc be
danlcrous!), mCMIilkd bU I alw lhe stabilil)' o f the articulated struelure (wh ich is primaril y
secured b), Ihe cmbedment itself) may be cndanseted under yield inl embedment co nditions.

63.235. P,e-tellJiolled ami post-tensioned segments. Furthe r possibilities o f de ve l-

op me nt are offered fo r the wides pread use of reinforced-concrete lin ing segment s
t hrough the application o f pre-tensioning a nd post-tensioni ng.
 UNING 5EGME1'o'Tll FOil SHI[lo-O~IVEN TUI'1'oEU

Prestressing. in general, diminates many of the defects of precast concrete-

'"
block linings besides oITering considerable economy in material. In addition, it
increases watertightness and promotes monolithic co-operation between the indi-
vidual rings. and bri ngs about a favourable reduction of bending eife<:ts owing
to the big initial thrust induced into the ring by prestressing. which also prevenh
an unwa nted opening of the joints between the elements in eontael. In addition
to the transvCfse prestI"CSsing, applied first. longilUdinal prestressing has recently
been coming into practice.

AiY.f'r~

---"' '" "'",

Wnfte tmermJ{mg "~I>: !-~

~:;
_._.J
, Tffls/omng jact
I
I
SIeeI "''''

- '1+
-
. /rl'j/ V'

Block •.4'

Andiorl/Jg fEi - st~1

FIG, 6f1f)7 , FaO'S$lNI!T'S p ~tr~$~ini melhod ",ilh e;tlemal tlat-li lccl hoop b.andage

Transverse prest ressing was first realized by an external hoop bandage arter
It project p~pared by FIIEYSSINET for a subaqueous sewer tunnel constructed
under thc SclOe .u~ These tunnels of4·15 m (14 rt) and 4·80 III (16 rt) diameter
were driven under compressed air by hand . The concrete hloeks 1·45 m (4 ft
10 in) long. 55 cm (I ft [0 in) wide and 41 em ( I ft 4 in) thick were placed with
a mtatmg erector arm in the interior of the shield skin upon the previously placed
flat steel tension tapes of 270 mm by 5 mm (II III b)' 1/5 in) (see Fig. 61'2 (7). These
.....ere always arranged in two groups, one half group beneath the blocks of the
previous ring and the other beneath the ring under construction , At about the
spring line two 50 ton jacks were inserted in suitable interstices left between the
two half ring5. Then the jacks were tensioned untillhe streSSC$ in the tapes attained
the ~ t rnin required for the pre-tensioning. Then, IWO blocks were pushed on

.... LALAI<Ol. M. : Diyer$it~ des appl ica tions du tieton pr6contrai nt. Troo'Qux . 1949 Febr.
876 TUNN{LllNG IN SHALLOW DEPTH A)-O IN LOOst GROUND

both sides or the jacks and by driving suitable steel wedges at their top, the jacks
could be released and disma ntled and the gap 0 filled with concrete. In this case,
tensioni ng was increased to 30 kg/cmz (430 lb/in 2), a value approximalely cor·
responding to t he external soil pressure. T he joints we re t he n dipped and the
back-space around the tensio ning grou ps grou ted. Finally. a 3- 10 em (1-3 in)
thick gunilc re nde ring was applied inside. This method, howeve r. could no! spread
in practice be(1luse of the difficulties and uncertainties in the control of the externa l
tensioning. The idea of a., ial (longitud inal) prestressi ng was initiated in the con-
struction or subaqueous tunnels " oated and then s unk in prefabricated units.e., e
T he most recent realiza tion of
this idea is the constr uction of
t he Liljeholmen fUnnel in Slock-
holrn, ~' '1'l where 40-85 m lo ng
seetion~ were produced from 1 5~
25 m long precast units and sunk,
after prestressing and fl oaling,
to the bottom of Lake Mala r to
house the double track of Ihe
Stockholm unde rground railway
(!;f. Fig. 6/309).
Another recent application of
prestressing is to be fou nd in cer-
tain sections of the sewage tunnel
under the R hine at [)\jsseldorf.~-;H
FIG. 6/208. Concr,,\c tun nel lining poSl-lensioned The precast-concrele blocks were
by the F1NSTERWAI.OEk ~)"~tem ( lJ u.seldorf) only used here on the embankment
section of the tunnel. T he circular
section of 3·80 m (13 fl) inner diameter was composed of four 69 cm (2 ft 3 in) wide
and 25 em (10 in) thick, high-strength (600 kg/cm t cube strength) plain concrete
s~gments weighing 1·5 tons each. The ri ng is completed by a special key placed
somewhat above the spring line (see Fig. 6/ 208). The single elements were cast
with shoulders projecting somewhat beyond the face of the contacting joints. In
t hese shoulders the tension holes were housed into which the high strength (90 kg!
cm ~ = 130000 Ib/in 2) prestressing bars (FINSTERWAI..D£k method) we re ancho red.
One end o f t he pre-tensioni ng bar was su pported on these shoulders bearing u pon
a steel packing with its head, whereas prest ressing was elf~cted by scr~wing t h~ nut
tight upo n the t hread of the free har end. T hus, only adjacent elemen ts were
always stressed to one another (Fig. 6/209). A great advantage of the method was

.... Fo<\HR , H. A.: Le befon preeon] rain l applique;\ la construction des lunnels sous_
fluviaull. La Terlrnique do TrUI'u"I', 1954 Jan .
• " VR ET Bl.AD, E.: Tunnelban"bro under Lilj"hulmswiken. Teknisk Tirbkrifl t959 13 .
VIIETBLAIl. E. e/ QI. : Yom weiteren Ausb.au der Stockholmer Un]ergfundb.ahn. Dil' 8alf-
tec/rnik 1966 Febr.
G_;' Rheintunnel D us..: ldorf, H<x"/rtie/ N" ../rri,·/rle" 1960 Aug./SepL
 LINING st:G"'El'o~ FOR 5HIIi:LD'I)IUvEN TUt<SEU 817

Fla. 6/209 . Int erior view of the $01: .... 11' tunnel at DQsseldorf

that prestressing could be calculated conveniently and tensioni ng forces measured

accurately from inside the tunnel. Asbestos insulating sheets were inserted between
the contacting surfaces of the segments and a thorough grouting applied to ensure
tight contact with. and a solid bearing upon Ihc surrounding earth face (Fig.
6/"")·
Another economical mel hod of transverse prestressing is preloading by external
grout pressure. An additional advantage which may be claimed for this mel hod
is that in this way 1I preliminary compaction of the surrounding ground and better
co-operation belween the composite Siructural clemenls - tunnel lining and sur·
rounding ground - is also obtained. As an exa mple of Ihis, Ku,su's method may
be mentioned (Fig. 6/210)...111 As a first step. a circumferentilll concrete bedding
is cast in situ. and tightly compacted against the excavated rock face in order to
provide a tight connection between them and for the production of a regular and
as smooth an inner face as possible. The former purpose is served also by a pre·
liminary grouting by which all fissures, cracks and voids are filled in the rock 50
increasing jls strength. The lining ring of concrete segments is then erccled, leaving
an annular gap of 3 cm (I 1/4 in) between the previously installed bedding con·
crete and the extrados of the ring. This gap is filled first through grout holes left

I.'" R OV5S~LII' R , M .: Le revj:term:nt des aaleries. AIlIf. /If.f/. Tnll . B. T. P. 195259.

Kr[$t;I. ; D,,,C'/rslollt'lflx! ... SprinacT. Wien t961.
"8 TVNl'ElU NG IN SH ALLOW OEnlt ... NO IN LOOSE GROUND

Al7glJiJl' .JJ)Ke to /;e

I entered bJ! u>nslOll
I fTlJI/tlf7!/

FIG. 6/210. KiESER'S mCth OO of pre-tensionin g

in the segments with a cement-mo rta r mix under low pressure. T his opera ti on is
al ways continued unlil lhc mortar a ppears in the next hole above. Then, a cement
suspension is forced in a t a pressure of 150 % of t he wo rk ing load upon Ihe t un nel
lining. T he pressu re is maintained unti l the ha rdening process is com pleted in
o rder to cOutlleract slackening effects.
A great importance of prcloadi ng by press ure grouti ng is to be ascribed in the
construct ion of pressure t unnels, where the pressure of water-heads of several
hundred mete rs must be resisted by t he combined action of tu nnel-li ning and SU T-
rOUlJd in g rock. As rocks a rc usually fissured gro uting is responsible at first fo r
a !1o Ologt;:neo us a nd uni form embedme nt of pressure lunnds. The n it may e flec-
ti '!d y coun teract the considerahle inne r wate r-pressu res nf several atmosphe ric
heads. An exam ple IS descri bed by K UJUNDZ1CS}i/l in connectio n wil h the constr uc-
tion of a pressure tun nel of 5·0 m (IT) dia o n the Rama river. On the ba sis o f
careful prelimi na ry gro uti ng tests il was attai ned t ha t the greater part of the inne r
water pressure of 10 kp/cm~ could be safely counte racted by t he press ures of
extemal eement-grollt ing.

0.00 K U1UNDZ IC. 8 . e! at.: Sotutio n du revelcmem d'u ne I!;alerie en charge par I"applica lion
d 'inje<; l ion. a baute p,..",sion. Proc. lI . 1m. Co,,/' Rock Mech. Be/wade 197C I I. 867.
 '"
,"
i
•"
0
0

,•
,~
0
•

•
••
0
,
"-•
~.

~-
~~
--
~

-~
•• 0

,, •
0

•
-
-0
~
-
%}
.j~
1•
,s
•

~
• • ,•
-
0

"••< ,
-0
1 0
~ ~
--.,
~
•

--"• ••-..
·0 ~

il 111' ~

.'l •g
•
•il",• ,~
"•
~
-1 - -,,
'"
ii0

- •• 0

-.
0

:3
-.-,>
0
0

•g,
.-"
,
"
880 TUNNELLI NG I N SHALLOW DEPTH AND I N LOOSE GROUND

The application of prestressing must be naturally restri cted either to preloading

of co mpl ete lining rings thro ugh direct ex ternal (grout) pressures o r to ex panding
the ring against the surrounding embedment by inner o r axia l pressures (cf. Fig.
6/183, D o n-Seg type). Occasionally inner post-tensioning of full rin gs may be also
effected. Pre-tens io ning of precast circular seg ments mi ght practically induce exces-
sive initial bending moments in the elements. This may be the reason why no
development may be noted ill the last 15 years in thi s field with the exceptio n of
precast full recta ngular secti o ns, where the adva nta ges of prestressing ca n be full y
utili zed .
Attempts have been made a lso wi th the lo ngi tudin al post-tensioning of sub-
sequent lining rin gs, with the sco pe to inc rease longi tud inal rigidity through
establishing effic ient co-o pe ration between the single lining rings. 6osL T his co ncept
is mainly utilized wben sma ller precast secti ons of subme rged tunnel s are coupled
to lo nger units (cf. Fig. 6/309, Liljehol men tunnel) a nd whenever a co nsiderabie
resistance agai nst longitudinal bending i, required. The cross-section of the Lilje-
holmen tunnel (Fig. 6/211) shows bo th Freyssinet-cables and Dyw idag ba rs
used for longitudina l resp. for transve rsal prest ressi ng. The secti o ns were cast in
tw o stages in a temporary cofferda m wi th joint a t th e ha lf of the wall he ight. The
joints were carefull y finished but left without a special insulation strip. The risk
of leakage was materiall y reduced by the vertical prestressed rei nforcemen t in
the walls.

63.24. Application of Compressed Air (the Plenum Process)

and Soil Stabilization in Tunnelling

Shield tunnelling is usua ll y employed in recent waterlogged a llu via l deposits

with a small bearing capacity for the construction of metropolitan subwa ys or
subaqueous tunnels. The most difficult problem in shield tunnellin g is presented
- besides the suppo rt of the front face - by dewaterin g the working si te. Two
methods are co mmonl y used for this purpose. The infiltrating water is either
collected in drains and canals and led to sumps, whence it is pumped off, or it is
pressed back or rather retained in the po res of the surrou nding soi l by increased
aIr pressure.
The preconditi o n for admitting an y seepage of water into the tunnel is that it
sho uld no t be com bined with any loss of ground, i.e. it sho uld not co ntain and
wash out any fine particles fro m the surro undin g soil. This ma y be the case when
water is infiltrating from the fissures o f ha rd clay o r from coa rse gra ined soils.
The most delicate dewaterin g problems are encountered in fine sa nd, and in very
plastic clayey soil s, and fo r this purpose the compressed air method (plenum-
process) is best suited . The co mpressed air working chambe r must be established
just at the front face and restri cted to a minimum tunnel length backwards. This

G. 81 FOSTER. H . A.: Le bel on prc!conlraint appl ique a la cons tructi on des Lunnels so us·
flu via ux. La Technique des Tw voux 1954 Jan .
 ."
is greatly facililated by the fact that in shield tunnelling a permanent bearing and
sufficiently watertight lining is installed at once and this may be exposed to the
full design load soon after the first grouting. Therefore, the ainight bulkhead
separating the com pleted tunnel section from the working area, where clIic8vation
and lining are accomplished, may be placed III quite a short distance (some 10-
20 Tings) from the front. Communication and transport from the area under com-
pressed air are effected through boiler-shaped horizonlal air locks (Fig. 6/212).

FI(l. t'i/212 . Ilorizonla! locks embedd~d inlo the bulkhead wall

Sometimes this working area is divided inlo two compartments because excava-
tion work and dewatering at the face demand much higher stabilization than do
placing and caulking of the lining segments. This idea was realized at the construc-
tion or the Spree (Unnel. Berlin (Fig. 6/213) where in the front eompartment
a pressure PH equal to the rull hydrostatic head H was maintained, whe reas in
the following propulsion and tail section of the shield as well as in the adjoining
not rully completed (ungrouted or ullcaulked) tunncl section a reduced pressure
or 1/2 PH to 2J3 PI! only had to be maintained. This was done with due considera-
tion or the ract that III the section already supported either by the shield skin
or by the erected lining rings the essentially reduced infiltration of water cannot
possibly wash soil particles through the not fully caulked interlocks of the lining
segments and involves cave-ins, On the other hand, work under the reduced air
pressure is mOTe efficient, less injurious to health and, in addition, assures a gradual
tmnsition to the open air fo r the gangs.
882 TUNNEL LING IN SHALLOW DEPTH ASO IN Loose GIIOUND

Naturally, this section of reduced air-pressures has to be separated with a bu lk-

head wall fro m the completed section, and communication and transpon opera-
tions through it mus t be effected through horizontal air locks. This divided pressure
space has not mel wi th a favo urable reception in practice and is very Tardy {!;:Sorted
10, chieny because of t he d ouble lime loss due to waiting before the air locks.
Although perfect dewatering may be obtained by compressed air even under
the most adve rse soil- and grou ndwater conditions it is associa ted with considerable
disadvantages too, which cannol be overlooked.

,'" ' " ", ",

FlU. 6{213. Double-Slage compressed-air working chamber

The most important a re the high cnsts due to the necessity of t he installation
of a special plant of machinery, t he slowing down orthe progress of work and that
it may be injurious to healt h. T his last item is urgi ng day hy day more and more
to replace it by some efficient substitute.
As maxi mum permitted duration of shifl decreases and decompressio n time
increases ra pidly with increased wo r king pressure - this affects the output of wor k
considerably.
Inspite of these strict precaulional measu res a continuing incidence of bone
necrosis is found at tu nnelling jobs of longer duratio n. T he rate may gu up to
10 to 20 per cent of compressed air workers which makes it a ve ry serious social
problem. Should no remedy be found against this hazard, t he plenum process
mus t til: gradually eliminated fro m tunnel construction and substit uted either by
well-point dewatering or by chemical grouting (soil stabilizatio n) which may be
considered as able and potential substitutes (see Section 65.22 late r).
Another haza rd is associated with the plenum process when applied for the con-
struction of subaqueous t unnels overlain by not sufficiently air- and watertight
cover of the river bed. The possibilit), of t he escape of ai r towa rds the river-bed
may lead to catastrop hic blOW-OllIS (cr. Fig. 6/214).
 PLl'.liM PROCfSS AND SOi l STABILIZATION 883

Whereas no pre\'entive medical treatment has been found as yet against the
bone ne<'rosis hazard, the danger of "blow-olI/" may be efficiently counteracted,
and the earlier serious accidenls or this nature (cf. Fig. 2/26) may be practically
eliminated.
It must be considered that in contrast to pneumatic caisson sinking, where the
escape or the compressed lIir from the working chamber c.1n take maximum wllter
head and the friction resistance of overlying earth masse! everywhere equally.
the pneumatic working chnmber of a shield tunnel is a horizontal cylinder, where

.... _- 1

? ' .... -"'--~-

FrG, 6/214. Pressure co"dilion5 in a tunnel driven un'kr ~omprcsscd air

the unifonn air pressure is resisted b) II smaller water head and earth friction
resistance III the top than at the bOllom, the difference (m) beiug in proportion
with the external shield diameter. For the complete exclusion of water the air
pressure PH in the cylindrical working chamber muSI be adjusted to the full ex-
ternal water head related 10 the bottom level (I' ). Consequenlly, an uplift pressure
m (= D) will be acting which will be counteracled by the resistance against air
5C(:pag~ of the soil layers lying betl"een the shield top and ~ ternal water level
(Fig. 6/21 4). Should thi~ measure not be sufficient either because of its insufficient
thickness (r) or of its insufficient air-insulating capacity then compressed air will
catastro phically burst out owing to the excessive pressure from the front working
chumber (cf. Tunnet under the Elbe 3t Hamburg, Fill. 2126). The escapC' of the air
will be followed by a sudden drop in the pressure within the working chamber and
when below the value of PH il will no longer be able to keep the outside waler
pressure in balance, with the result thai water will rush in catastrophically uc ross
the face. washing all Ihc soil into the worki ng chamber. As shown above (Fig.
6/214) the bigger the shield diameter, the greater is the blow-out hazard. Therefore,
it is always essential to check the thicknes! and specific air-sealing capacity care-
884 TUNN ELLING IN SHALLOW DEPTH AND IN LOOSE GROUND

fully, i.e. its resistance to the exfiltration of compressed air tbrough the covering
layers above the top of the tunneI.'·82 The rate of expectable escape must, in any
case, be comparable with the supply capacity of compressed air and if an ample
safety margin cannot be assured, either an artificial increase of the air insulating
capacity of the cover (e.g. by covering the river bed with a clay blanket or raising
the air-tightness of the original cover by various grouting processes) must be pro-
vided, or the idea of shield tunne lling must be abandoned and other tunnelling
methods (e.g. caisson sinking. cf. Section 63.13, 6.41, 6.42) be resorted to.
Another remedy that the escape of air can be also efficiently restricted is the
application of PVC sheets, which represent a moving and flexible curtain covering
the shield-face reducing air-seepage. A similar effect is expected by the use of head-
walls of bentonite-slurry just before the front-face coupled with the use of mechan-
ical cutting tools for the excavation of earth.
Should either the establishment of an additional upper airtight cover or the
artificial sealing of tbe pervious layers not be feasible, the inner air pressure must
be reduced so that it balances the hydraulic head relative to the top, the axis or,
occasionally, the lower third of the shield only. This latter solution is frequently
employed and, in order to reduce the blow-out hazard , water infiltrating into the
bottom section of the tunnel is given due attention. The action of an unbalanced
water head is sometimes utilized, e.g. in shields with a bulkheaded face, for increas-
ing the rate of flow of the outside material through the inlet openings into the
shield.
The resistance offered by the soil against the escape of air is also shown by the
fact that for the dewatering of the working area (chamber) it is not necessary to
provide an air pressure corresponding to the full hydrostatic head . This can be
accounted for by the fact that part of the static head is transformed to seepage
pressure subject to friction losses similar to the friction losses encountered in
the escape of the air. In this way, effective water pressure - as manifested in the
working chamber - will be less than the theoretical hydrostatic head. According
to an American practical rule about 0·227/0·3 = 0·76, i.e. 76 % of the theoretical
value is generally needed . The actual value depends on the nature of the ground
and the depth of cover.
Under exceptional circumstances it may also happen that hydrostatic pressure
values greater than the theoretical head have to be balanced . For example, this
is so when an impervious dome-like and airtight clay blanket overlies the water-
bearing strata. Air escaping from the working area through the face is trapped
under the blanket bringing about an increase in the pressure on the water surface

6 .8 2 An example of thi s may be found in the con struction of the Queens-Midtown Tunnel
under the Ea st River, New York, where a natural cover of 3' 1 111 (10 ft) thickness only was
available above a 9·6 m (32 ft) dia tunnel. Considering that the submerged specific density
of the air-tight soil was 0·7 t/m 3 (48 Ib/ n 3) only. the unbalanced pressure amounted to 9'6-
3'1 x 0·77 = 7·2 t/m3 (450 Ib/ft 3) , thus necessitating an add itional cover from a soil material
of 0'9 t/m 3 with a submerged specific density of y' = 0·9 t/m3 (68 Ib/ft 3) , t = 7-2/0'9 = 8·0 m
(27 ft) .
 PLENUM PROCESS AND SOIL STABILIZATION 885

(cf. tbe superposition of grout pressures under similar geological formations:

Fig. 6/ 161 ).
Naturally, the length of the sections under compressed air are to be shortened
whenever possible to reduce the compressed air demand as well as to extend
undisturbed working conditions over the greatest possible length. Its minimum
length, however, is determined by the back-space grouting and caulking operations
and by their setting time. During this latter period all preliminary work for the
rapid installation of the next bulkhead wall with the portable air locks is to be
done, so that after the elapse of the hardening period the section len;;th of the
working area under compressed air is bordered by this new diaphragm and the
previous wall can be removed .
Compressed air is not only the most efficient means of dewatering in treacherous
soils, but it may offer considerable support for the ground and may also improve
its strengtll properties. This latter is manifested by the action of compressed air
in expelling water from the voids of various soils, in this way reducing their water
content. As is well kn own, thi s is accompanied by an increase in their shear
strength. The degree and performance of the ground-supporting action of com-
pressed air are manifested in various ways according to the nature of the ground .
(In general, the more airtight the ground the more effective this support.) Accord-
ing to RIC HARDSON and MAYO this effect is the greatest in clay which is both air-
and watertight and, therefore, pressure supports the ground to such a degree
that very little and sometimes no support of the face is required; unbalanced
pressures on the face whether high or low rarely make any difference. Even in
tunnels driven by mining methods very little or no timbering is necessa ry. This
support offered by compressed air will usually extend well over the bridge-action
period (Section 3.51) up to the installation of the permanent lining.
Assuming a tunnel through solid clay (with a specific density of 1· 77 t/m3 = 110
Ib/ft 3) under a cover of 9 m (30 ft) at the crown, then the maximum geostatic
load will be 16·1 tIm' (3300 Ib/ft'). Thus, an air pressure of 1·6 1 atm (23 Ib/in')
will, theoreticall y, support the clay. Owing to the natural a rcbing of the grou nd
(bridge action period), in practice about 1/3 to 1/2 of this pressure is sufficient
with min imum su rface subsidence if the in stallation of the permanent lining is
accomplished within 24 hours.
Silt o r liquid mud when first encountered and exposed to com pressed air looks
and acts like clay. It will sta nd on a vertical face and the roof will be self-su pportin g
while being trimmed and liner plates or other temporary su pports are placed.
However, silt is a pervio us soil. Any unbalanced air pressure at the crown drives
water back to the soil , drying the si lt until it cracks and finally spall s off. At the
same time a deficiency of pressure at the bottom allows wate r to percolate through
the ground. Tn large diameter tunnels, where considerable differences are encount-
ered between the external top and bottom pressures, the lower part of the face
may resllme its saturated mudlike consistency and start to flow. Owing to the
variability of pressure and soi l condi ti o ns, co n st ~nt. carefu l cont rol is desirable
a nd the actual pressure must be adjusted to the place and nature of the work in
886 TUN "~ U 'N O IN .~HALI..O"'" DEPTH AND IN L.OO:'IE G ROUND

hand. A low pressure will be used while the arch is being lined, but when lhe li ner
plates are set he re and the upper pa rr of the face bulkheaded and well mudded
to prevent the escape of air, the pressure may be increased 10 dry up the silt in
the bench and invert. This higher pressure will be maintained un til the invert is
excavated and lined.
Water-bearing sand Of quic ksand is entirel y pcr"ious and the refore the air will
nol act on thc s urface as in clay, but will penetrate a cel lain distance into the sand
until a point of equ il ibrium is reac hed where it forms the surface of su pport some-
wha t in the shape of Fig. 6/2 15. ( Provided that
SvrClce ol'suppurt the sand layer is of ample th ickness and of rela-
tively small permeability!) The bulk of the
grou nd beneath or inside the air-su pported
, material is then, theoretica lly, all that ha.~ to
he held by thc temporary liner plates. AI the
invert, the deficiency of air pressu re will allow a
fl ow of quicksand into the tun nel. T herefore, the
lower part of t he face must be tig htl y breasted
and caul ked to prevent sand ru nning into the
tun nel. The installation of well points in the
invert section may be a very helpfu l asset to
counteract this tendency, and cou ld render any
FlO, 6/2 t 5. Drying effect of undesirahle increase in air pressurc superfluous.
compressed air in fro nt of the (Generally speaking the employment of ho ri-
shield face zo ntal well points is also importan t in the sta-
bilization of the whole face.) The appare nt c0-
hesion which is characteristic of most fine sands a lso assists the face to sta nd
ve rtically for a certain period which can be prolonged by driving horizontal steel
rods or tubes as 'face-bolts' ahead into the undisturbed zone. Through the com-
binatio n of these agents it may be possible with smaller diameter tu nnels for the
fa ce a nd top section to become se lf-supporting unti l crown plates are placed.
Coarse-grained granular sands wi tho ut a ny cohesion are just as bad as quick-
sa nd s and are sim ilar in behaviour to gravel o r ballast, const ituti ng the worst
ground fo r tunnelling, Because such ground offers practically no resistance to the
escape of Ihe air, it is ve ry difficult to maintain an y unbalanccd prcssure at the
crown and to establish suitable wo rkin g conditions at the face. All that can be
done is to apply ample clay- mud sealing in addition to tight breasting which
makes the work ve ry cumbersome and the progress very slow, besides involving
the biow-oul ha7.ard with any undue increase of ai r pressure above that balanced
by the water hend. AI an y nile. it is advisable always to attack o nly a small area
at a nyo ne time.
T he best way to conserve co mpressed air in porous grou nd is to keep the concrete
lining close to Ihe heading (i .e. to the shield) and to 'mud' the joints of the li ner
plates. The act ual volu me of a ir req ui red in a tunnel 10 maintai n the desired
pressure depends emireiy on Ihe porosity of the soil and on the nu mber of passages
 887

through I he lock. For informative use the following rule of thumb has been devel-
oped in lun nelli ng pra~li~e. About 5'701'(20 ft3) of free air per minule is 10 be
calculated for every m~ of the face area, when eSllmating the probable numbe r
and Si7.e of compressors.
The questio n of compressed air demand and cover depth has recently been
deal! with theoretically by SCIIIlNCK and WAGNER.U.1
I.n their study they give a correlation for the determination of the time delay (T),
necessary for drying oul a soil stra tum of thickness 11 under the action of com-
pressed air pressure PI

(6. 19a)

and when t he ini tial resistance of capillary wa ter is also considered

1 If'
(6.19 b)
T - 2 k'(pi II,,) •

where h" _ the capillary ra i~e

k' = the actua! seepage velocity.

Then the)' discuss the question of a protcctivc covcr on the river bed necessary
10 an ticipate blow-out haza rds. They discriminate between an impervious and
a pervious blan ket which might also secure temporary safety when the rale of
driving progress is grealer than that of t he forma tion of the ai r-percolation CODC
(Fig. 6/ 2 16.1), The required dimensions of such a blanket, as indicated in the figure

FIG. 61216. A i r-set:J»I~ OOJlditioJls

"ilh Ihe appli cation or (a) a ~ar~ ly
'J blanket or porous material, (6) an
airtight blanket against blow-out
.. .., SCIt ENCK. W. and WAON~R . H.: Luf..'crbrauch u, Oberdeckung bcim Tunnclvorlrieb
mil Oruck lurt . Ball/f'ch"ik 1963 2.
888 TUNNELLING IN SHALLOW DEPTH AND IN LOOSE GROUND

are 6D in width and I m thickness, at least. The application of an impervious

blanket is more effective (Fig. 6/216b), because the escape of air will be possible
in this case only beyond the blanket and in this way the percolation distance is
lengthened and tbe velocity reduced. The minimum dimensions may be given for
a top soil of 1·5 tim" (100 Ib/ft') dry density, as a thickness of D/2 (or after HEWEIT
and JOHANNESSON at least 3·0 m = 10 ft) over a width of 6/D.
The compressed-air demand is given in first approximation by the equation

Q = 70 kiF, (6.19c)

where i = the hydraulic gradient

F = tbe area of face.
With somewhat more exact assumptions it is given as

k, PI - P2 PI + P2 F D - ilk ( '/ )
Q=w - L - m sec,
Y. 2 PI D
where

= the hydraulic gradient

PI + p, .
.:....:-::2--'-'· = the mean capIllary pressure
k. (- 70k.) = the coefficient of permeability for the air
w = a correction factor.
Finally, the minimum cover depth against upheaval is given as H <: D. No
mention is made, however, about the determination of the depth or cover necessary
to prevent the escape of compressed air. Some approximate conclusions about
this can be drawn from Eq. (6.19). Namely, should the air-percolation time T
exceed the time period necessary to drive the tunnel over the safe length of 6D
then the danger of a blow-out is most unlikely to occur.
The early applications of soil solidification were restricted first to the artificial
increase of watertightness and airtightness of the shallow and permeable cover.
This was successfully demonstrated in 1945 already in the construction of the
Dartford-Purfleet tunnel'·" under the river Thames (Fig. 6/217). As shown in the
figure, construction of the 8·50 m (28 ft 2 in) dia shield-driven tunnel was started
with a circular pilot tunnel of3 ·60m (12 ft)dia designed in addition to soil explora-
tion, for preliminary artificial solidification of the surrounding river ballast and
fissured limestone layers. This was effected by cement grouting pressed in through
radially arranged injection tubes filling the larger voids of the Thames gravel
directly overlying the weathered upper zone of the chalk to a thickness of 5- 15 ft.

8.M DRoscHA, H.: Ba u des neucn Thcmsc-Kraftfahrtunnels, Bauingeniellr 1960 2 and

River Gravel Solidified for British Tunnel. Ellg. News Rec. 1957 Nov. 14 ;
KELL, J.: The Dartford Tunnel. J. "1St. Civ. £lIg. 1963 March.
 PUSUM PROCI'.S5 AND SOIL STABILIZATiON "9
/)etai/ of Solet3nche
ilJjection tube

J) 6tn UImIJ lu«

b) fin:JrJt f),(
r) PrrflNv{~ w/1t~""'''1
d)J'!Jufloli wtt 15 m/ft (J
FIG. 6/2 17. ".lIfida' waterprooflnl o f co\'crinK laycl"$ by combinc:d chemica. and ben ton ite
conMllidation (Dlirt ford. Pu rf!cet tunnel)

This was fo llowed by a special c1a)'..chemical grouting system 'Solctanche' ca rried

au( fro m ground level (or from stagi ng) through a series of venical holes spaced
at 3 m (10 ft) in len'als over the area to be treated. Points at which the tu nnel had
to penetrate open gravel with its upper face were the main objective of this gro ut·
ing fo r he re the risle of excessi\'c loss of compressed ai r duri ng tu nnelling was the
greatest, with the consequent dange r of 'blows' and difficulties in maintain ing
sufficien t wo rking pressure. Where gravel occu rred at these levels it was grou ted
10 a distance of 6 m (20 ft) on each side of the tunnel, and up to a level where this
layer started over a mini mum cover of I· 50 m (S ft) of chalk. This width of cover
was considered adequate to afford protection against failure.
First, a cased bore hole 76 mm (3 in) or more in diamete r was sun k to the bottom
of the gravel. Inside this, a special sleeve injection tube (sec detail of Fig. 6/2 17)
was placed consistmg of a 38 mm ( I 1/2 in) dia tube (e) ..... ih groups of rad ia l per·
890 TUNNELLING IN SHALLOW DEPTH AND IN LOOSE GROut"m

forations arranged at intervals of about 300 mm (12 in); each perforated section
was covered by a flexible rubber sleeve that fitted closely around the tube.
When the sleeved tube was inserted the outer casing tube was withdrawn and
the sleeved tube simultaneously filled with the special grout. This did not penetrate
the ground but formed a watertight plastic seal around it. Then a smaller 25 mm
(I in) dia tube connected by a flexible hose to the grout pump was inserted into
the sleeved tube, with its bottom end closed but provided in its lower portion with
a short perforated section. Above and below this are expanding stoppers (e) which
form a tight seal against the inner surface of the sleeved tube. By raising or lower-
ing the inner grouting tube its perforated end could be brought into coincidence
with the sleeved perforations of the outer tube. When grouting fluid was pumped
into the inner tube it emerged into the space between the isolating stoppers, lifted
the rubber sleeves and, rupturing the sheath of the special filling surrounding the
outer tube, flowed into the ground, filling the voids and fissures. Injections started
normally at the bottom of the gravel and proceeded upwards. In the given case
the original permeability coefficient k varying between 0·1 m/sec and 0·3 m/sec
was reduced to 0' 1- 0'5x 10 - ' m/sec.
Once the sleeved tubes had been installed in the ground, grouts of different
characteristics could be repeatedly applied at any interval of time without the
expense of rcbofing. A further advantage is that separate injections can be made
at short vertical intervals. The grout travels radially outwards from the injection
tube at the chosen level which makes selective applications possible suited to
variations in the bedding.
A similar successful method of making airtight was obtained by the Soletanche
soil-solidification method in the construction of the new Express Line of the
Paris Metro. This double-track tunnel was driven with a 10 m (33 ft) diameter
shield through various alluvial layers. Unfortunately, when nearing the Seine
valley some waterlogged loose permeable layers had to be pierced and the depth
of cover gradually diminished. Owing to the big shield diameter a very considerable
pressure (/Il) developed at the top (see Fig. 6/188), considerably augmenting the
escape of air upwards. To eliminate the blow-out hazard and uneconomically
high loss in compressed air, bentonite grouting was applied :in the cover, which
became soaked and clogged to such a degree that work could proceed with suf-
ficient safety and with a much reduced loss of compressed air.
Even earlier than these chemical soil-stabilization (the Joosten process) has been
repeatedly and successfully applied in the construction of the more recent lines
of the London Underground,··85 where driving tunnel shields under compressed
air was rendered possible under a few metres of cover consisting of very permeable
layers of sand and gravel directly under permeable river beds (Fig. 6/218). In other
instances, when the tunnel had to be driven at a shallow depth under exisling
buildings, their undue subsidence was prevented by prior thorough silicatization
(Fig. 6/218).

(L8o lmproving London's Tran sport. Ry Gaz. 1946 May 21 - 23 .

 PLENUM PROCESS Ai'lO SOIL STA BIU ZAnQi'I
"

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892 TUI<.SELUSG II<. SHAL LOW D(PTH ASD IS LOOSt: GlOU'D

\
~"""'f-<-""
At n"ng 25 At ring 50 Ai rings 225 ~nd 2SO
FIG. 6/219. Roof stabilization with silicati1,ation
Some examples or this procedure undertaken during the extension of the London
Undergro und are shown in Fig. 6/218, whereas Fig. 6/219 presents an example
when the driving of a 3·60 m ( 12ft) dia tunnel could not be allempted directly even
WIth the shIeld method because of the small bearing capacity and looseness of the
overlying cover. Therefore, a pilot tunnel of 2· 10 m (7 ft) internal diameter was
driven with grout holes arranged radially in its liner plates. Chemical grout was
pressed thro ugh the holes to such a distance that a solidified cover of 60-90 em
(2- 3 ft) was obtained abo\'e the crown of the tunnel to be subsequently driven.
In addition. chemical consolidation was also effected from the ground surface
under the foundations of heavier buildings to act as a curtai n wall and establish
a connection with the solidified layer underneath. The extent of the solidification
varies according to the level of the underlying elay laye r and the elevation of the
tunnel crown relative to it (see cross-sections in Fig. 6/219).
The silicatization process was applied nOI only to prevent the escape of com-
pressed air, but primarily for the stabilization of the face. particularly thai of the
arch section (cf. Section 63.221). Contin uous stabilization of lhe face is somewhat
cumbersome and appreciably retards the rate of progress. The principle of it"
accomplishment was shown in Fig. 6/ 11 3 and it may be mentioned that It was
applied r~ntly with success at the construction of some sections of the " Metro+
Express" in Paris, with the modi fication ho .... ever. that the grout·tubes were driven
ahead in a fan+lilce arrangement from an advanced top drift (Fig. 6/220 and cr.
Fig. 6/217) when stabilization operations might have been accomplished well
ahead of tun nel excavation and thus did not slow down tunnelling progress. The
stabilization of the roof may be combined with that of the face. whence the
advanced exploration drift is shown JUSt in Fig. 6/218. Face stabilization may be
effected also from the surface with the advanta~ that in this case it can be accom-
plished separately ahead and thus will not interfere with tunnelling operations.
The double object of face and roof stabilization will be equally reali zed also in thi s
case (Fig. 6,122 1). This method will be economical of course with moderate dept hs
ofcC'ver.
PLENliM PROCESS AND SOIL STAB IUZATION 893

,
•
••

.,
89' Tl!NNELU NG I" SH"LtOW O(fTH AI'O IN LOOSE GROUND

Soil stabi lization however has de ... eloped on these lines lately so far tha t it can
be considered nOI only as in combination with or an aid to compressed ai r tunnel-
ling but also in itself as an efficient tool in the realization of very difficult under-
ground works. The most daring example of this possibility was performt:d in the
conslructioll of the central stu/ion "AlIbcr" of thc Paris Express Metro. This spa-
cious u nderground han of about 36-1 met res (120 ft) width and of 19 m (63 ft)
height had to be placed by about 36,) m (121 ft) below su rfll ce nnd by about
18 m (60 fl) below groundwater level.
The general outlines of this mighty structure a re shown wi th Ihc SOIl strutifica-
lion in Fig. 6/222. As seen underneRlh the alluvial deposits of thc soil is it perme-
able fine sand, which is underlain by porous and waterlogged marl-boulder-<;lay
whereas the bottom invcrt is situatcd in a fairly hard somewhat fissured limestone.
The structu re was to be constructed just below an existing and parallel running
Metro line No.3 (which ought to be operated du ring the construction w ithout
interruption). In addi tion, a main trunk sewer and a diversion tunnel were
trossing the station, which \\ere also built just below Melro line No.3.
Construction was realized in 5utcessive steps as follows:
1. A top heading was driven in the height or the cr own paoia11y above g round -
water level.
2. Grouting was effcctcd rrom this hcading through radiaJly arranged tubes driven
la terally and sli ghtly downwards covering the area where the late ral drifts would
be arranged.
J. Successive grou ti ng from the top heading through upward dire(; ted radial tubes
arranged in the shape of a fan to form an artificial arch-roof o f about 7- 8 m
(23-27 fl) thickness abo've the unde rground sp1'.ce.
4. Lateral drifts were driven in the solidified ground and grouting was effected
through upward dire(;too lUbes to provide artificial abutments of the roof-arch
and through downward directed tubes for the establishment of a safe cut-olf

-
•••
.

'.
......
..
'
..........
. ~. FlU. 6/222 CQnmuC1ign schc:me uf
the Au~r Undc:raround stalion
 PIPE JACKING AND HORIZONTAL EARTH BORING 895

into the solid limestone layer and to complete the watertight and bearing en-
closure around the spacious underground hall.
5. Under the protection of this artificial settlement- and deformation-free enclosure
the excavation of the whole space could be effected by usual mining methods
and the reinforced-concrete structure built up freely.
6. An adjoining special underground-hall was constructed in a similar way. The
grouts used for the solidification of the various layers were different.
Fine sa nd was treated generally by artificial resin. Marl, boulder-clay and
fissured limestone with bentonite- or clay-cement and alluvial deposits with ace-
tates.

6.33. CONSTRUCTION OF CULVERTS AND SEWERS

BY PIPE JACKING AND HORIZONTAL EARTH BORING'·"

Pipe jacking can be considered fundamentally as a kind of shield tunnelling,

where the propulsion jacks remain in place and the permanent lining (the pipe)
is pressed ahead instead of the shield . The principle of the method is that vertical
shafts are excavated to the design level of the pipe, at each of its end points. Then
precast pipe units are placed at their bottom, which are pushed forward one after
the other underneath the surface or dam with the help of hydraulic jacks strutted
against the rear-face of the shaft. In between the muck must be excavated at the
front of the advancing pipe and hauled into the shaft, from where it must be
removed. A rather smooth and continuous operation may be obtained if the stroke
length of the jacks is in reasonable ratio with the length of the pipe units.
This method is generally employed for the construction of culverts in newly
backfilled embankments or for sewers or public service-line passages under rail-
ways or highways. Us use in practice is rapidJy increasing in urban areas and is
gradua lly extended to the construction of various public utility conduits. Recent
experience shows that below a cover-depth of about 16 ft (5·0 m) it is more
economic, than the cut and cover method. Lengths in excess of 300 ft (90 m)
have been successfully carried out using small diameter 3 ft = 0·90 m pipes and
lengths up to 200 ft (60 m) are not uncommon with the largest diameters (12 ft =
= 3·60 m). The limiting factors in driving are the increase in jacking forces with
length (cf. Eq. 6.20a) and the deviations from the direction. Both of them may
be materially influenced by driving from both sides and by the insertion of inter-
mediate driving pits (shafts). An additional asset in the facilitation of driving is
the app lication of artificia l lubrication of the exterior face by thyxotropic fluids
(cf. Section 63.34).
An early arrangement, showing the basic items of pipe jacking, is shown in
Fig. 6/223 whereas an interior view of the long-stroke jacks, jacking wall and pipes
is to be seen in Fig. 6/224. An up-to-date lay-out of pipe jacking under a railway
dam with all requisites of operation is displayed schematically in Fig. 6/225.
1;.86 EBNER, L. : Durchpressungen ein zweckma ssiges Arbeitsverfahren im Tiefbau . Tie/ball
J 970 3.
.96 TUNSELLI NG IS SIlALLOW OErTH ASD IN LOOSE GItOUI<O

FIG. 6/ 223. Principal arrangcmcnl

I of pipe jacking
,r -------- -,
,, ''
,, __ ___ _ __ J''
~

~ ds'.r!xWlIg /l'<1'T
Jri

Pipe jacki ng has the greal advantage of being a n extre mely safe met hod of work-
ing undergrou nd, because Ihe men wor ki ng at the face arc al all li mes wit hin the
pipe. The nature and speed of driving allows the cover used to be greatly reduced
(occasiona lly to 2-4 ft - 0·60- 1·20 m - under roads resp. railway tracks) wit hout
fea r of su rface disturbance. The speed of operation is determined essentially by
the speed of cutting the muc k atl he face and by its removal down the tube. Driving
mus t be elTected continuously wit hout sizable interr uptio ns. T he mai n reason for
this is that if a jacki ng job is len for an y li me, it has a te ndency to " freezc", i.e.
the ground grips the pipe line, The amount of "freeze" varies according to the
nature of the grou nd. but a stoppage or a third or half a day may lead to an
increase or about 30 % in the jacking rorces needed 10 re·start.

FlO, 6/224. View or pipe: jach, jackina "'all and jacking ri8 in the shoFt
 I'fFE '''CKINO "SO HOIUZO:-''l"L £A UI{ IIORIJ\G 89'

,
I

f IG. 6/225. Sochemalic "iew of pi ~ jacking lay-oul

I - reinforced ~"oIlCn::IC jackin8 wall: 2 - drive pad: J _ j.eldna ring : 4 wioch (for muck
haul age) ; 5 _ Jack inl bcam~: 6 _ ISO Ion Jack~: 7 - J»ctml pump: 8 _ ae~ralor; 9 _ shield
jacks; 10 . Ieel cu mnl shlcld ; I I -jacki nll rill

T he requIred jacking cap.1city depends On the na ture of soil. on the depth of

cover and on the lenglh of th e lube. T he wall thld: ness of the lube must be ab le
to carry a lso to the maxi mllmjacki ng-force. T he number a nd capacity of h y drauli c
jaeks must be Ik'Signed, thai only 60 % of il would be cxhaust<..'l.i during foresee n
workin.!! conditions.
'.'

n.

IH H HI ~1 ~4 N /"8 l ·Q m
hUrall_1Stkr

Z'
.
~ 1-

I-
7L~
~
--
FlO. 6/226. SpecIfic fricl ion resistance
of \"a rious diall)Clet" pipes in \"arioos
wits
, .. " ~4 11 1-6 2-1)
blff/wi "".tle~
...
898 TU,,"SELLlN(l IN SUALlOW Df.PTH A>:O 1'1 LOOSE GIIOUND

The correlations may be expressed by the following equation

(6.20.)

with [Q denoting the total jacking capacity, F the crOSSosectional area, (jH the
limit stress of pipe material and W the cUlling-edge resistance of lube (see later).
u the pt:rimeter and I the maximum lengt h of Illbe, jlhe specific friction resislance
to be considered, dep:nding not only upon the nature of soil, cover.de p th but also
on the diamete r and material of the pipe.
Figure 6/226 shows after the experiments of the Hung. Build. Res. [nst.
how specific friction resistance increases with the diameter of concrete pipes in
various soils. T he progressive increase of friction resistance may be attributed
to the increase of progressing loosening (ovcrbreak). It may be: a lso seen t hat
the rate of friction is bigger in granular tflan in cohesive soils and among these
it is also increasing witfl the size of the grains.
Frictional resistance must be occasiOilall y completed by the cutting edge resist-
ance too.
T his item may be expressed similarly as in the case of shields (cf. Eq. 6.8-6.10),
I.e.
(6.20b)

with D. = mean diameter of pipe,

" - wall thickness of cutting edge,
p. = acting vertical pressu re (unit overburden load),
;.,. = coefficient of passive earth resistancc.

The p rincipal details and mai n features of pipe jacking may be given o n a some-
what more detai led scale in the followi ng.

63.31. Prcssure Shafls (Driling Phs)

The shafts (drive.pits) must be enclosed by tempo ra ry circumferential walls.

T he one at the front must be provided with a temporarily closed opening, cor-
responding to Ihe external d iameter and shape of the pipe, whereas t he o ne at
t he o pposite rear-end must be strong enough to act as a counterfort to resist
propulsion reactions of the jacks. T he length of the shaft is defined by the pipe
unit. by the pressure-distribution ring or frame, by the length of the jack - and of
its piston. the st roke of which must be in practical correspondence with t he
tube-u nit length - and finally with the height of the eventual reaction dist r ibu-
tion stack.pile. In addition adequate ope rational length must be p rovided for
the haulage (winch) a nd hoisting of muck cars.
T he width of the shaft must have adequate dimensions not only fo r housi n g
Ihe pipe, the load distribution frame and the jacks, but has to provide also for
 '11'11 JACKING AI<D HOlllZ0~TAl. EAIlTH 110111'-0
'"
some opermional room necessary sideways for handling the muck-cars and tIM:
pipe units. In general it is designed at least for the douhle width of the: pipes.
Th= bollom of the shan must be covered b), an R.C. slab used as driving pad,
wit h em bedded rails secu ring a safe and definite guidi ng at the start of the pipe
uni:s..
T he best struct ural urmngemen t 0\3)' be obtained, when bottom sla b. side walls
and the rear abutment wall are cast in situ in form of a mo nolith ic R.C. unit and
the tllcavatio n for Ihe shaft is done within a sheet-piled enclosure (Fig. 6/227).
In thi~ way not o nly the futl cooperation und ll:Sistance of the bottom-slab and
side walls are secured against the propubion reactio ns, but the recesses a nd cut-
off depth of the sheet pile walt additionally Increase this value. The construc-
lional arra ngemen t of t he opening o n t he fronl wall of the shuft hilS tu olfer first

----- ------ --- -- - ,' ~

-- --"'<-:----------
Dr1:111 orf co nal
A~-- - ~
-T- GuO:.iorJ9 '0,1, A

f.'!!c' ''':- + -- - -l- . .- -~ -- . .1'

- ;. -

Sfleft polt WIll!

n o. 6/ 227. Shaft arrana<:menl for pipe jackinll

900 TUNN~L I.I XG IN SItALl.OW D~f'TH AND IN UJOS ~ (l R OUND

orall a definite and firm guidance for the pipes, but an ap propriate sealing around
its ci rcumference against the infiltration of groundwater o r against that of eventu-
ally applied t hi;>;otro pic fluids must be also provided for. Finally, the embedment
of guiding rails and t he location of water-col]ecting canals in the bottom slab are
also important requisites.
Propulsion faci lities may be occasionally a rranged also on the surface, when
culverts, underpasses o r cond uits are to be constructed unde r existing railway or
highway embankments, but the floor orthe subway is to be at surrounding ground
level, thus the no rmal reaction provided in a propulsion shaft (driving-pit) is not
obtainable.

FIG, 6/228. Jacki ng lay-out for driving pipes over tile surface. I - jacking rig, 2 - drive
rams, J _ ancllor blocks. 4 _ concrete tubes, S _ hooded shield. 6 - 12 in casings (auger
bored) carrying ties. 7 - anchorages. 8 - sheet sleel pi led headwall: reac tion facc. 9 - shcet
steel piled headwall : drive facc. 10 - sll ield rams, 11 - th rust frame

In this case parallel rows of steel sheet-piling are to be d ri ven o n bOlh on the
adit and the exit sides of the embankment. On the exit side these rows are con·
nected by a rectangular head wall ( Fig. 6/228).
Two a uger bores are then bored at to p-level from one set of pil ing to the other,
enabling the two lines of sheet piling to be tied together by passing high-tensile
steel bars th rough the inserted casing. A fu rther pair of similar sleeves are bored
al low level and further high-tensile steel-bars are passed and all the four bars
are ancho red to a fabricated steel thrust-frame o n the adit side and erected at the
rear of a standard jacking rig. The hig h-tensile steel-bars are the n extended to
anchor the steel thrust·wa11 so that t he reaction from the jacks passing th rough
the jacking frame onto this wall is carried by the high-tensile steel-bars through
the far face of the sheet piling head-wall which bears on the fu ll embankment.
Where it is requi red to drive ve ry long lengths this can be facilitated by the use
of an intermediate j acking .ffafion, consisting of a slider made of a steel sleeve,
which fits into recesses in two specially prepared as required (in average spaced
at about 200 to 300 ft [60-90 01]) distances a nd by inserting rams between the
races of the two pipes; the pipe can be moved rorward in stages.
 PIPE JACKING AND HORIZONTAL EARTH BORING 901

63.32. Excavation and Dewatering

Excavation is carried out from inside the tube as driving proceeds either by
manual or by mechanical means. The soil is excavated usually to a distance of
30 cm from the front of the pipe, at the same time taking great care to prevent
the soil from caving in. Pipe jacking can be carried out in most types of ground.
In very unstable silts, sands or ballasts, the safest and frequently also the most
economical method is to <.:arry uut some kind of soil stabilization by some chemical
treatment (grouling eitber from tbe surface or by horizontal injectioDs) or by some
kind of dewatering (well·points or compressed air under very hard conditions)
otherwise the strutting of the face must be considered.
Sands, silts and peats may be perforated without stabilization. In ballasts and
water-bearing gravels a free rUD-off and direct pumping must be applied when
driving uphill to allow water to run back to the pit. All types of clay are very
suitable to the method. In rock the profile is to be cut ahead and the pipe to be
driven into the hole formed.
Work in unstable soils generally proceeds with the application of a special steel
cutting edge (small size culting shield) with an overhanging roof (hood). This
device will be forced into the soil to a penetration depth that it admits the removal
of a certain amount of ground, whjle sufficient material is still left to retain the
face. Sometimes with bigger diameters laminated face (horizontal platforms) may
be installed within the cutting shield (cf. Fig. 6/1 51). No excavatioD tool is neces-
sary in this case just a transport band has to be installed for the continuous
removal of the muck.
In stable ground however excavation must be also provided for. This can be
effected either manually by percussive or rotary pick-hammers operated by com-
pressed air or mechanically by some special kind of excavators or scrapers.
Dewatering in stable ground can be effected by direct pumping from sumps
arranged in the driving pit. In unstable ground (quicksand) however either the
well-point method or compressed air must be resorted to. Groundwater lowering
may be effected previously from the surface just as an occasional artificial solidi-
fication treatment, which may essentially facilitate safe excavation and progress.
Vacuum well-points however may be applied also horizontally when driven abead
of the face keeping pace with the advancement of pipe jacking. Water, infiltrating
through the joints of the tube may be removed again by direct pumping from
sumps.
1n treacherous ground however the safe way is compressed air dewatering. With
regard to the relatively low overpressure required, harmful biological elTects aDd
overd ue expenses are not to be feared of. Because of the relalively quick advance-
ment, the face will not be dried out so easily by the exfiltraling air, but remains
in wet and solid condition.
The horizontal air-lock will be placed usually betweeD the first aDd the second
pipe joints (Fig. 6/229). Doors and shell of the lock are of structural steel plate
stilTened with appropriately arranged and welded channel, joist or tee sections.
90' TUr-KELUNG IN SHALLOW DEPTH ".'10 IN LOOS[ GROUND

Ii;< <wI ~

FIG. 6/229. Air-Jock Hrangement

I n order to prevent any leakage in the lock-shell which might be due to advance-
ment operations, both headwalls (bulkhead-walls) of the lock must be solidly
anchored to the cutting edge. Thus the firs t two pipe-elements (units) are solidly
coupled to each-other and move forward together with the cutting-edge. This
means also the advantage that the magnitude and volume of the space under
compressed air n:maim constant and then::fore air losses and pressure losses will
be considerably less than usual with tunnel driving in general. For the application
of compressed air a minimum tube diameter of 4 ft (1'2 m) is required, however.
For small diameter pipes with lengths over 250 ft (75 m) some fo rm of forced
ventilation must be also provided.

63.33. P ipes and Cuttin.ll Edl!;es (C utting S hields)

The pipes to be jacked can be of steel, of precast concrete or of corrugated steel

uni ts and should have an inside diameter of at least I m (3'-4") to allow a mall to
work inside them. ( I n practice, even pipes of smaller diameter are jacked, in which
cases, however, special tools, such as scraper rods must be used for excavation
and guidi ng.)
The two main types of tube o r pipe used are sfeel and concrete, Steel is more
expensive t han concrete but lighter and obviously more convenient to handle.
Steel tubes are used extensively for "crossings" where the pipe line is laid under
rai l-Imr.:ks and has 10 be contained in such a sleeve (10 facilitate also supervision).
Suggested t hicknesses may range from 3/S" ( 10 mm) for 3 ft (0·90 m) dia. sleeve
to I" (25 mm) fo r 7' (2-\0 m) dia. sleeve. Diameters in excess of7' aTe best fabricat-
ed in t he form of a thin shell with internal stiffeni ng ribs, which latter in turn can
conveniently be used for jointing larger tubes by forming internal flanges which
are used to bolt one section to the other.
Thick wall sprl/l concrete precast pipe elements or precasf R.C. unils with special
joints are mu~l widely used for pipe jal;king. It is necessary however to design
each section according to actual loading and site and ground conditions.
Cast iron pipes have been used on infrequent occasions but are not considered
ve ry practical. "Armco·' corrugated steel tubes have been successfully jacked to
lengths of 100 ft (30 m) - mostly in the United States.
 rIP! JACK.SO ANO HOR l los-rAL EARTH 0011.1"0 903

The pipes arc connected by lap joints for concrete pipes, or by lap joints or
welding or threaded internal fish-plate joints fo r steel pipes. Con~t r uctionally
sound joint arra ngements for R.C. pipes are shown in Fig. 6/230. Care must be
taken thllt no protruding bos~s, ribs or rivet heads appear on the outer surface
of the pipes. Pipes made of r.:orrugllted steel-sheets may also be provided with fiat
guiding strips welded to the outer surface of the pipe to reduce frictional resistance.

FIG. 6/ 230. Walertight joint~ for IC C. Plr>CS

An important role mUSt be attrib uted to the nd/il1g edge constituting the fron lal
element of the pipe Units. With the exception of very smull and very short tubes,
this must have a spetial shape and construction.
1n the case of s/e~1 pipes only the prolruding edge of the fi rst pipe must be
sharpened and occasionally reinforced with an additional inner steel bead-ring
stiffe ned with adequately spaced triangular diaphragms.
In the case of concrete or R.C. pipes the rear of CU lling edge must ha~e a short
sleeve admitting the fitting of the ann u];tr far.:e of the pipe element (cr. Fig. 6/231).
With larger diameter pipes and longer tubes the cutting edge may be practically
utilized 31$0 fo r the dire-ction and steerins: of the conduit. A simple solution is
shown in Fig. 6/232 ..... ith an adjustable ribbed cutti ng ring. T his solution admi ts
to effect a ~Iight r.:h ttngt or direction eith.:r by inserted auxiliary jacks bearing
immediatel), on the first concrete ripe and operated hydra ulically by remote con-
trol. or the control or this cutting n ng may be effected also b)' connected tension
904 TIJNNELLI"G IN $IIALLOW DEPTH AND IN lOOSE GROV ,,"D

,,
,:

, I .

Sed,"" A - A

FIG . 6/23 1. Layoul of bentonite lubrication

FIG. 6/ 232. Adjustable

cullin8-ring arrangement

bars, wi re-ropes or tie~ by being differentially tightened or loosened from the driv-
ing pit by corresponding winches.
In the case of shorter lenglhs the inclination or direction of the tube Illay be
controlled by differe ntial operation of the propulsion mm s directly from the:
driving pit.
T he most efficient is undeniably the application of "cutting-shield" structures.
The tcr lll "shield" may be misleading, for these are much lighter and less complex
than tunnelling shields. Their purpose is to pro\iide a s uitable cutting edge and
a means of controlli ng the line and level of the drive as it proceeds. T heir junct ion
to the concrete pipe elements may be similar to the previous \,:utting rings (cL
Fig. 6/2J2). They are however longer and may occasionally incorporate the pipe
elements and for the sakt: of face stabilization may be also hooded. This solution
however is applied o nly with larger diameter pipes and wit h longer tubes, in soils,
where boulders or other obstructions (debris) may be also encountered.
Thc maintenance of both t he proper directio n of the pipes and the concentril.;
action of the pushing fo rces is of t he highes t importance, as otherwise pipe fai lures
 PIP£ JACKING A:-OO HOft IZO:>O"TA L EARTH WiliNG
""
could arise, jeopardizing the success of pipe jack-
ing. Frequent checks effeeted in time are the best
warrant for keeping the correct position and direc-
tion. Direction control can be camed out by sight-
Ing th ro ugh sigh ti ng squares fixed in the pipes
(Fig. 6/233). Also levels and pl umbs wcre used in
Slot
combination with a theodolite. These are substitu-
ted nowadays more and more by la7er-heams (cf.
Fig. 5/44). Minor deviations can be corrected by
overbreaks made in the req ui red direction, and
at the same timc setting an adjusting screw-jack
betwee n Ihe opposite side and the edge of Ihe pipe
(Fig. 6/233). Excessive excavation ahead the face is
dange rous from this point of view too and it must
be always cared for that the cutting edge should
not be set free , but il sho uld alWayS ··cut ". This is
the best warrant for a definite direction.

63,)4. J.lcking and Reduction of Frictional Forct'S Fra . 6/;!.H. (II) Si~htjn8 square
for e~c k inl the al ig nment of
For jacking the pipes the application oi about p ipe in Jaekinl; (b) method ror
4-6 propulsion rams is ad\i..ed. The propulsion .1illlmen! correction
itself may be effectc:d in two wa ys:
(a) The rams are supported directly on the abutment watt, whe n approp riute
extension pads (rods) must be inserted directly between the ram alld wa ll afte r
each stroke.
(b) The rams arc built into a sliding frame. when this frdme is advanced accord-
ing to the stroke and the alterlllS position of the fra mc is to be fixed from the wall
by the insert ion of pads and wedges (Fig. 6/234). In this latter case the repeated
di smounting and mounting of the rams is omitted and thus their original level
and position cannot be changed.
An essential dement is constlluted by the prfSJllre-diJlrlbm;lIn ring or frame to
be inserted between the reur fa ce of the pipe and the piston face of the ra ms. This
must be absolutel y rigid, i.e. free of deforma tions. For this effect a ppropriately
shaped 16" (400 mm) steel-joists arc required already for 3'-4" ( I m) dia. pipes.
It is advisable to apply futt pressure dislrihution rings e~en wht:n the rams ure
pressing the tubes at their two sides only. The propulsion forces may be resisted
namely by the total (,Toss-sectional area of the pipe and the dange r of longitudina l
cracki ng \\o uld arise if not a full pressure distributio n- ring would be applied.
Thc fo r~s required (0 jack a pipe may ~ary from 100 to 500 psi (7- 35 kg/em:!)
of surface area. [According to German prac tice this may he us high as 100 kg/cm 2
(1500 psi) in the case of high-strength spun-concrete pipes.l An appropriate
gUIda nce is to be provided also for the ring agninsl the pipe and against Ihe rams
 TI,IN"lLU:-;G IN SHALLOW DtPTH "'D IN lODS£ GItOlJ"D

II

"""--
'.."pac. \;
,
d'"'''''''.... i

FIG. "/ 234. i\rnrnjICment of propulsioll ."".notus wi lli a sl idlnl frame

as well, that the possihilily of any devia tion from th e line should be s3fely pre-
vented. In addition Ii co mpressible clastic underpad must be inserted between
the steel- pressure dist ribution rin g and the concrete face of the pipe too in ord er
10 equalize a ny surface projections a nd unequah ties. For this effect a hard-rubber-
hand may be successfully a pplied.
The beSI loc3tion of the jncking pump IS olliside the shaft, on Ihe surface (ef.
Fil!-. 6J I99). [I may be op ~rated by water by prcference to 011.
The Slroke of Ihe j3ck is praclil:ally equal 10 Ihe length of one pipe, as o ther -
wise an eXlensio n p.1d inserted between the jack and the pipe has to be used after
the stro ke length of til e jack has been c}(huus\ed.
For this effect jacks with special pis ton lengths may Ix: applicd (cf. Fig. 6/2 24)
by preference. Sti ll th e most common t)-pes are double acting hydrJ ulic cyli nde r
rams with 12" (30 em) .m oke. For dri" ing smaller pipes a standard ng l1HTies four
ISO Io n rams but fc r Ihe la rger su bwa)' or cu herl seclions a rig will have provision
for six rams. In normal circumsla nces Ihe tOlal force needed 10 drive suc h lubes
is fa r below the 600 or 900 Ions bu t experience shows tha i a large rcserve of jack-
ing fon:c is essential. I n orde r Ihal the mms and equipment nUl)' be kept in a form
whic h may be of modemle ~i7.e a nd conveniently handled it is nt'CdSllry 10 work
wi lh high pressu res (up to 10000 psi .. 700 atm.).
Jado';ng force may be co nsidera bly reduced by the a pplicatio n of some kind
of arlificial lul;ricQlioll.
T he magn itude of the specific frictional resistance depends upon Ihe Ilature of
th e soil. Ihe extent of ovcrbreak around th e pi pe and the diameter of the p ipe.
T he euenl of ovcrbrcltk around the pipe is usua lly a t about 2 ) cm. With g reater
di'l. pipes, however, such a gap behind the pipe would produce a conside rabl y
bigse r settlement of the roof la yers than wiTh small d ia. pipes (arc hing of th e
 PIPE lA CKING '<'''1 1) HOR IZQ:-.tTA I. ~"' RTH 8ORI/'oO 907

ground). Owing to this fa ct, the specific frictional resistance also Increases with
the diameter of the pipe, its va lue va ryi ng from 0·5 to 2·5 ton/m: on an avera ge
(see Fig. 6/226 above).
The specific frictional resistance and thus the required propulsion force may be
effectively reduced by lubricating the pipe skin with some thixotropic fl uid (ben-
tonite). This is to be em:ded ma inly arou nd the top :>«t iol1 of the pi pe and t he
flu id must be di rected to the cUlling edge which in this case must be fo rmed to
leave a sickle-sha ped space free arou nd t he circumference. A practical a rra ngement
is shown in Fig. 6/231.
In simple cases even soap solutions o r grease can be applied to the exte rior
face of t he tubes as they a re dri\'e n from t he pit.

63.3:5. Hori:w nlll l Bori ng l\l erhoch''''

Unde rground pipes sma ller than 30" in. (75cm) diameter a re frequentl y estab-
lished by simple boring met hods. T hese may be discrimi nated between :
Thrust bori ng, and
Auger boring.
The slccl pipes installed in this way may accomplish public utility services,
i.e. housi ng of cables, gas- a nd .... ater-l11ains a nd sma ller diameter sewers.
T"rust borilrg is t he fo rcing of a hole o r pa ssage through the grou nd by tech-
niques which displace a nd cOlll press the surrounding earth, i.e. no spo il o r muck
is produced from the bore. Screw-jac ks, h) d rauJic rams, pneumatic and vibmlory
ham mers and closed·end steel pipes are used for this purpose.
Owing to t"e soil displacement produced by t he t hrust the possibi lity of su r-
face upheavlII must be taken into account. While the amount of covcr req uired
depe nds o n the diameter of p ipe and on soil conditions, experience s uggests t hat
it shou ld never be less than 4 ft (1,20 m) o r 60 (wit h 0 = diameter of pipe).
Special drivi ng o r th rusting machine ries a re developed fo r this purpose.
Auger borlllg is the technique of making a hole th rough the ground by rotary
or drill ing nClion fr(lm wh ich the spoil is removed. T wo basic me thods arc dis-
criminated :
(3) separa te casin& where the hole is completely augered o ut and t hc casing or
pipe drive n o r pushed into the hole,
(h) simulta neous casi ng, when casing proceeds in the stages as thc hole is a ugered
out.
Most casings va ry between I' (JO ern) a nd 2 1/2' (75 cm) diameter. T hey are
screw.jointed o r bUll-welded ordinary steel t ubes.
It must be noted, that where excessively long borings are unde rta ke n o r condi-

' f ' RA 81(i~R , F.: Das Dun;h prcsscn von Cisen bahnObe rfOhrun&l' n <.lurch Bahndlimme
unler beson de~r Ikrud:s,chtigung dl'$ Ei~n ba hnbelriebe$. Dn Ti41H1u 1%5 4.
Tllo-.ao". J. C.: Horizontal Earth IJ.onng. "'(Jc. Insl elf. Eng. LUI/d"", 1957 Apr. 819.
908 TU"'''Elll 1'oO ['Ii SHALLOW D[PTH A"O I" lOOSE G RO~O

lions are difficult bori ng must proceed without und ue delay, because stoppages
fo r several ho urs can lead to "fre-ezing", i.e. the grou nd gripping the tu bes exces-
sively tightly (see also above).

6.34. SPECIAL UI\OEMGROU,",O STRU CTUR ES AND RAILWAY STATIONS

T he undc:rg round struclUres discussed in this chapler are mainly built in COIl-
junction wi lh undergro und railways though they can also serve for olher purposes
(access shafts, underground stores, worksho ps, machi ne halls, etc.).

~"T- -,---~,<"

$mlOl1
I •
$r .~urf),rl'
• • • . •
,taJd
• • • • • •
•• l'enpe"ble !J3ter •
. • bean~g*r
• • • •
•
•
· • . • • • . . • •
•
•
"-'-
.0,...A( rlB ~1xY' .
I mP!'I"mI'JIJ/e ./;f/f'I' ,0;elo' ..j,.

, :'-, . " "'''\'

( ..l'>'~'I1fl MIt "'
( i,' ___ / ) ) ( (' - J)
.
• C-

PI"" .;.~rtI dsmDer !il' ,~ detr'Nr Nt I

FIG, 6,1 235. Layou l of un dercround Situctu re, necessa ry to starl shield tunnelling

The conS1Tuction of any underground structu n: must be started wi th lhc sinking

of a, generall y, ~erth:al access shaft Bnd from this, afte r outbreak at the required
level, a horizontal transverse adi t of indefini te length ""i)] be driven. The construc-
tion of the various unde rground structures can be stane<! from this drift o nl y
(cf. Figs 6/235 and 1/ 10). Their eonstruelion will be dealt wilh below in the order
of sequence adopted in the construction of undergrou nd rai lways, where they a re
req uired 10 provide access to the shield cham bers from where the shields are
Slaned after erection.
 SPECIAL Ur-DERGIWU,,"D STRUCTURES .\1"10 RA!lWAY STATION!
'09
63.41. Access or Ventilalion Shafts

A shaft required for the construction of a tunnel can be ei ther vertical or

inclincd. The sinking of the most frequently employed \'crtical shaft can be carrit:d
out in \arious ways depending upon the nature of the ground as well as on the
rcquired depth of the ~haft (Fig. 6j23OO- f).
(a) A shaft can be sunk in solid rocks to any depth, III medium grounds up to
depths of about 10-12 m by the mining method with which tim ber frames or
steel rings and planks either forepoled or subsequently placed arc u-;ed for fI tem-
porary support. the permanent mason r), walls then being built from the bottom
upwa rds (Fig. 6/2300).
(b) In cohe,ive ground and in wet, but not watt"r[ogged, granular soils readily
drainable by pumps and self-supporting at a depth of 80 100 cm for a time of
al least 5-6 hours, circular shafts can be deepened in successive sections of that
length and immediately supported by permanent rings of prel,:ast concrete blocks
or by cast-iron lining segments by underpinning the ring next above. If the ground
is not sufficiently self·supporting, shaft si nki ng can be carried OUt by partial
exca\'ation, immediatel), placing the respectIve section of the ring of concrete
wh ich is rammed into place (Fig. 6!236b c).
(c) In "-aterlogged gmnular soils or in 50ft silts. shafts are sunk in a simi lar
way as is done with wells or open caissons. i.e. in a pit e)(cavated to the ground-
water table, :I CUlling edge is assembled upon which the shaft walls are built and
successively increased in height with the progress of sinking while the earth material
from its intenor is constantly remo\'cd (Fig. 6/236d).
(d) [f the shaft is to be sunk to a greater depth in waterlogged ground. open
sinking must be combined with plenum (com pressed air) methods in order to
allow a more predse removal of the ground and of the possible ob)tacles from
beneath the cutting edge. This. again. can be accomplished in two ways. Either
a working chamber is bui lt beneath the permanent bottom or the shaft to serve
exclusively for the purposes of shaft sinki ng, while above it the waterproof per-
manent shaft·walls can be gradually built up (e'). or the lower part of the sha ft is
separated from its upper part by a load.bearingand airtight deck to fo rm a working
chmnbc:r. when the shaft is sunk to its final depth and a waterproof invert arch
installed. This deck will be: remO\'ed (c). The latter method has the advantage that
the working chamber allows a safe break-out and construction of the eventual
connecting adits (see also Fig. 6/254). On thc other ha nd. a disadvantage of this
method is that when shaft sinking comes to an end before reaching the required
depth. construction must be continued and completed by successive underpinning
(see Fig. 6/236 h), which means that lhe level of the ai rtight deck remains consta nt
and thus the volume of the working chamber and the compressed.air su pply
required will steadily increase as excavation work progresses.
(e) Finally, if the shuft is to be sunk through waterlogged soils to great depths
preference is to be given to the artificial freezing method. where watertight shaft
walls can be built in a conlinuous course within this enclosure (Fig. 6/236f).
 ~
I •i ,•
i ~ ,J
.JJ
--- -- - ," - )
, , ~
"

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l
., _ ...J, l HI ,Hl
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~)
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,
" -
'"

,
!

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.
•
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t
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;
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,!
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~

, •
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~
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i- - ~_ x
 TUNNll.l.'NG " SIiALLOW DEPTH AND IN lOOS~ G~OLl"D

This method is applied main ly in the construction of the deep shafts necessary
in mining e ngineering. Link describes the construction of a 320 m - 1060 ft
deep shaft with a double steel sheet-wall filled with concrete where artificial freez-
ing was applied. us ,
In plan the shaft is to be designed generally with a circular shape in spite of
the facl that this offers less advllntageous utilization of space than the rectangula r
one. However, this is outweighed by far by the considerable advan tages offered
in the reduction of external pressuresdue to arching effects in a ho rizontal plane.Ui'lb
Around a circular shaft much mOfe efficient arching will develop in the ground
masses sliding towards the shaft when it is being su nk than around a rec ta ngula r
shaft. T his arching effect besides promoting the self-su pporting ca pacity of the
soil, so enabling it to stand with vertical walls during underpi nning operations,
also reduces friction resistance, thus facili tat ing a more ready sinki ng. As access
shafts generally must attain suc h depths that their sinki ng presents the greaTest
constr uction difficu lty both advantages arc in favour of a ci rcular shape. In those
cases, however, when the shaft deepening is done not by sinking but by the
method of successive deepening under the protection of strutti ng frames as shown
in Fig. 6/236a_ the circular shaft is no longer II rcquircillen i. Morcover, timber
frames can be installed more readily with a recTangular shape.
The ma terial a nd construction of the shaft walt depend not only on its intended
purpose but mainly on the method of sinking. In the cases mentioned under
(a), (b) and (f) concrete or brick masonry made of high-quali ty bricks coated
with a suitable waterproofing can be used, in which case the water sealing. struc-
tural and frost-resisting capacity of the walls and the invert arc adequately secured.
In case (c) precast concrete, reinforced-conc rete or, exceptionally, cast-iron lining
segments or ram med concrete cast in situ is used, whi le in cases (d), (e') and (e)
the shaft lining should be made of reinforced concrete. DeTails of The shaft walls
and inverts can be seen also in Fig. 6/236a- f.
When a shaft has to be sunk in loose and waterJo!!ged soils, where direct exca-
va tion and acc urate undercutting with direc t pumping is not feasible, it orten
occurs that in spite of the artificial redUCTion of the frictional resistances on the
sides (cf. Fig. 6/2 40) the sha ft can not be sunk to the prescribed dept h. I.n such
a case an airtight roof has to be installed aT the boTtom of The shaft to allow for
the fo rmatio n of a working c hambe r above the cutting edge. Additional sinking
may then be secu red under compressed air, by an exaCT undercutting of the cutting
edge in the d ry and by placing It surcharge on the airtight deck. As shafT sinking
usually involves an undesira ble surface subsidence due to the develo pment of
a depression cone, the application of the comp ressed-air meThod also offers
adva ntages in this respect by preventing The enTrance of water and soil under The
cutt ing edges into the wo rk ing cha mbe r and thus reducing the possibility of

I .... L tN~. H.: Die Bcanspruchungen cines Schacht8usbaus aus vcrschweissten Stahl-
blcchen mit Zwischcnbeton und Asphalt Gleitfuge. Gliickau/ Forsrhllngs/,,' /re , 1965 D<:z.
l.lOb SztcH Y, K.: Foundation foi/llrn. Concrete Publications Ltd. London 1961 101.
 SPt:CI ... t U,,"DU.GII.OUND $TII.UCTVII.f.S ..... D R... IL ....... y S1 ... TID";S 913

loosening in the surroundings. As it cannot be foresee n with safety al the begin-

ning of sinking operations whether the application of the compressed-ai r method
",ill be required or nOI, in practice, shafis are designed. when providing fo r any
later anachmenl, e.g. pretast roofs, in Ihe fo rm or an inverled cone,·8II· (cf. the
doned line in Fig. 6/236e).
The sinking or deep shafts mllY be coDsiderably facilitated by the ap plication
of lubricating wllter jets arranged circumferentlaJly at subsequeot levels spaced
at 2G-30 ft (6-9 m) distances (Fig. 6/ 237). Care mm! be taken that the jets should
be d irC(ted upwards, that Ihe waler can lubricate th~ outer mantle face w hen mov-
ing downwllrd in a curtain-like film.

•••
,"•
~
•
11 /.-''''"'''' .."
FIG. 6/237. Mel,on or tjrcumre~n­ FlO. 6,1238. ArrlnBt'ment of water ~ts ... ith pressure-
liol ..... all w,th incorporated pressure pipes under It>e cast_iron euttinlledjje of an ",,'Ce~s
pipes and ...... ter jim shafl fnr loW Clyde Tunnel in GluS"ow

Cmting-edge reJi.ftant:e may be also reasonably reduced by wnter-jetS as it was

applied in the construction of the Clyde TII/Tllt'l III Glasgow (Fig. 6/238).
Another mo re cfT"'l:tive met hod was used by mining engineers ill Japan, whe re
shafl! down to 2000 ft (600 m) depth \!o'er(' successfully sunk.' SOb Here comrresscd
air was fon;cd out to the space between the extrados of shaft-wall and su r rou nding
ground In ordcr to forte soil-gmins from the wall-face back nnd establish an oir-
curtain bctw~cn them. Owing to the extremety SlTall friction coefficient between
air and concrete, friction resistllnee will be la rgely reduced. In o rde r t o p reve nt
the C'S('ltpe of air upwards and to reduce the amount of compressed ai r supply
.... SdCHY. K.: A pm:umat ikus aial'Oz;i"OI (Pnt~mati~ found_uons). Yiziifl}'i Kii:l.
1936 July- Sept. 38-42 .
• •- FItI'l!ICIIr. OMONI and F I'TTWUI : (in neues $cnkschachl"errahren fUr grOS$e Teufen.
Glikkuu! 19S4 1- 1 .
 914 TUNNF.lUNG IN SHALLOW DEPTH AND 1)<1 lOOSE GROUND

,, required the exterior face of the shaft wall

,
," ,, was provided with undcrrcamcd (over-
hanging) plain surfaces, arra nged in sub-
sequent rows (Fig. 6/239). Thus, circum-
ferential air-pockets are formed in which
air pressure may be somewhat regulated
and adjusted to the demands of sinking.
The benefial efTel.:l of bemonile slurry
lubricants was already described in Sec-
4, tion 63.13. (Figs 6/110 and 6/ 111), But the
applicability of bentonite-slurry lubrica-
tion is more restricted in depth 100--200 ft
(30- 60 m) Ihan that of the air-pockets.
The reduction of frictional resistance
is effected by pouring the thixotropic
fluid (bentonite slurry, mixed eventually
with baryle to raise its specilic weigh t)
between the shaft wall and the surround-
ing soil. This thixotropic fluid exerts a
counterpressure opposed to both eanh
and water pressure, keeps the soil away
B, ;
from the wall ami al the same time sup-
pre~ses the fo rmation of a subsidence cone.
Moreover, as the coefficient of friction
between the wall and lhe soil isconsiderab-
ly reduced, thesinldngresistance is decreas-
ed correspond ingly. Likewise, the pre"-
sure diagram will be more favourable; see
Fig. 6/240. showing one of te shafts built
for the underground railway in Budapest.
The horizontal steps shown in the dia-
FlU. 6/ 239. Shaft wall provided with gram are due to changes in the physical
"air-pockets" properties of the soil layers encountered.
The thixotropic fluid is continually poured
into the annular \-'oid formed around the circumference during sha ft sink ing,
produced by a 10 cm wide outside projection at the bottom section of the
shaft wall.~·V(I
Access shafts in rela tively shallow depths 30--50 ft (10--15 m) may be constructed
in cofferdams. Either sheet-piled cofferdams or bentonite-slurry walls may be
applied when watertight enclosure is required, o r ordinary shori ng may be appl ied
' .INI S ....OGH. J.: Aknak sij1Jyes~tcse tixolropoS anyagok 5egilsegcvei (Shafl sinking
with rhe use of thixotropic fluids). Mllp'p . Tlld. Suml.. ]954 Ma)'.
loRENZ. H.: Senkkaslengrund ung mit Reibungsvermindcrung durch thrxotrope Fllinig_
keiter! . B","/uhnik ]957 250.
 SPECIAL l"'O[ItO.Oll"O STltliCTlIRE5 AI'D lAiLWAY STATIONS 'IS

FlO. 6/240. Rwu<:ed loads aCling .... hen §,nkin& .... ,to toi~Quopic fluids

with adequately spaced ~ertical joists drht!n to a 501fe cut off deplh provided with
a honzo nlal lagging to retain the cxcavall:d earth-walls. T hese shafts are of bigger
siTe (Fig. 6/241) but of similar a rrangement as the drive-pin liSed for pipe-jacking
(cr. Hg. 6/227). They may be used simultaneously as shield-erection chambers
(see later).
The fon;es ac ting ag~ i nst the shaft walls are. in ge neral, those: due to eX lernal
earth and groundwater pressures. beside which, if compressed-air sin king is
ap plied, internal forces may aet due to a possible e~te rnal surcharge of the wo r king
chamber deck by water or piled up soi l. or by both (fig. 6/242). While Ihe wate r
preSliure can be determmed definitely if the hydrostatic head i~ known. the deter-
mination of both eanh pressure and the ,ertkal tensile uresses induced by friction
is. e~rn nowadays, more or less uncertain.
The use of water for internal surcharge, though \'ery convenient a s regards
filling and removal, results in considerable internal loadings with grea te r filling
heights unless Off$el by c~ternal ground water pressure and. in addition, IS very
sensitive to any inequality in vertical sinking.

".
'" TUNS(lUt-G I N SH ALLOW OE.rH ...... 0 I ~ I.OOS[ GROOl'10

Flo. 6/241. View or I shield ere<:lion

pll used simuJlaneoosly for access-
5harl purposes

i ialfl9 ~~!lmtr.!

/ /
J"'tld .rtClJq~
r~mbtrni
NrtSSJIt#fJ

,,
"

",/,,,
"bn-w.;//

Fro. 6/242. Log,h actm!! upon stlan ski n and ",·orl<ins...:hamb.::r deck
 JI'ECiAL UNDUG ROUND 5TRUCTl!US A"D RAILWAY ""noNS

O n t he other ha nd, if t he inte rnal loading is attai ned by dumped soil, the n o rma l
pressure ac ting o n the inside o f both t he shaft wa tts a nd the roof of the wo rkin g
chambe r will be rela tively low, as the greater parI o f its weigh t will be transferred
only by friction like: t he pressures de\eloping in si los. T he horizontal p ressure
can b( calculated from the fo rm ula

" bx _=
-
F'c), (l_e - K~' )
Vtana
(6.2 1:1)

while the vert ical press!Jre. also ac ting at the depth =, from
Pbx - Y [=+ UKF('".
e- f' - (6.2Ib)

where F
-
,-
U
the cross-sectional a rea of the shaft
the CIH;umference o f the shaft

K
-
~ the dry dcnsity of Ihe soil
the coefficient of earth pressure which is equal to
tan 2 (45 0 - l/J/2) x tlln 11 a nd a :;;- 41/2.

The interna l ea n h pressure aeiS on a ho rizontal ring as uniformly dist ribu ted,
thus, inducing tension only in the walls of a circular shaft, being not decisive upon
the dimensions of the wall thickness. On the other hand, the vertical pressure
ac ti ng on the roof of the working chamber mUSt be I:onsidered as a standa rd load .
The external pressu re - though its determina tion is more complica ted - is of
abo ut the same importanl:e us lhe inlernal pressu re for the structu ral dimc nsioning
o f the shaft walls. This pressu re can be considered also as uniformly distributed
along the perimeter of the shaft. thus inducing no bending stresses but eT(clusively
normal stresses in its masonry walls. These normal stresses can, of I:ou rse, be
safely dealt with by the mason ry walls which are usually mude of materials o f
high crushing strengt h, even when built with the minimum wall thickness to reduce
the weight. The problem of their determina tion has an i n n uen~e upon bot h t he
structural calculation o f the deep mining shaft and of the prelimi nary estimn t ion
of sinking resistance, as t hese depe nd upon [he mugml ude of the normal pressu res
acting on the shaft walls fro m outside and their dete rm ination is a precondi tion
for selling up a reliable sinking progrumme.
Accordi ng to the classic earth-pressure theory of COU t O'l I'l, ea rth p ressure
increases li nearly Wi lh dept h. At the begi nning of t his cent ury it was al reudy
realized, however, that this has no generul validity. T he relative displacemen t of
earth masses hus 1\ greal infl uence upon eart h pressure and where dis phlcement
produces arc hing action in the soi l mass this Will lead to changes in pressure
distribution, too. T his is responsible for the fact that in t he mining industry very
deep shafts, excccding severnl hundrt:<l meters, can be safely constructed with
masonry wa lls of re latively small thick ness. The fu ndame ntal tests ca rr ied OUl
by TEJt.ZAGfU have shed the fi rst light upon this problem, indicati ng that carth
918 TUNNEl.UNO IN SHA llOW DEPTH ANI> IN lOOSE GItOUIiD

pressure depends also on the displacement and deformation of the supporting

wall. TERZAGHI, when calculating the active earth pressure acting on the shaft
walls, considered that the shearing resistance developed on the vertical mantle
su rface of a co-moving concentric earth cyli nd er reduces the displ ace men ts req uired
for the mobili za ti o n of active earth pressu re. The radius of this earth cylinder
depends upon t he ratio between this shea ring stress and the radial press ure.
According to T ERZAGIII, the minimum external radial earth pressure is,G.D'
(6.22a)
whe re
Z )'1' ;'1' - (l.... - 2)n ~
+ I
'0 2;--;- - ).1' + n:"+l
and njT O = r, denotes the critical rad ius of the eart h cylinder, on the mantle of

which thc prcssu re-reducing shea ring st resses are acti ng(1I 1 = J )., );
)'1' 2
if z = 0 ,

thenn\=l

~ -
,~ O
• •
/,1' '0

!, o. - 2l··~ ~JI:
whe n z = = ) an d m~ = 2 (6.21b)
OJ, II I
) , - .' 1I~·lt ta ll cp~

(rP2 call be taken as equal to rP _ 5°).

KARItF1ATll o."" mallc ll1c assl,mpt ion that "'hen Dn elementDry canh seament in Ihe course
of shaft ,in li ng has a tendency 10 slide on to the shaft wall an d e ~erlS a pressure there. this
tcndency will be coun terDcted hy the lateral earlh pressure P exerted by the earth ma~~e~
,l(ljacent on both si des (F ig. 6/243a). The resultant of these (aleral pressures, the force H wi ll
be directed out wards opposite to the earlh pressure. Thus in t he v~tor dial/ra m (d the resul -
tan t forces due to Ihe self-weighl of t he st id ing e1rth mass (G) and t be friction resistance (Q)
actinE on the plane slidinE surface are coumerbala nced by t he earth pre,;;,ure (El minus the
vector H (F ig. 6/2431:».
The remaining fricti unal fu ...:es exerled by the adja.;cm lateral wedges as assumed by
K.ARAFlAnt will Ix: proportional to the corth pres~ure at fe.l t originall y pfe~ailinE in Ihe eart h
mass . (His force diagram. however, does not sati sfy the equili brium condition of moments.)
Wilh theM: appruximations he e "enluall y derives t hat E = K. m~y, giving tabulated va lues
for K0 for va rious ' silo factors' mlr an d (:oelfll.:iems of nalural eHlh pre~~ure (C); the respe(:t i ve
values for Ko a re calculated from t he mini mum condition of the sliding ~urface angle. (Experi -
ence, huwever, u{)es nOt suppurl K ANA.flAT H·S >'alues!)

&.01 TJ:R ZAG IIt , K.: Tht:orl'licQ/ Soli Mu-hQnlrs, Chapman and Hall - John Wilt,y 1949
208- 2 11.
.... KARAflATll, L.: On Some Problems of Earth pressure, Acta T~ch. Aea". Sci. Hlmy.
19~3 7 )-4 J28 - J~7.
 '"
r--- - I
I!!. aJtJila,

0
•
I l
.' . -,

, ,
l
i -5 t#tIfA- F)-N
P
8' - ,- ', .
r m ,"'lUI¥' mroUt/~t!:
(l;
1- ,
~

, N - /PM

p p
@

9# -'
IfI J .;nt{r.l-FJ-lIJla
,. 1 !W'a"'(fIJ·(a -"'-~II"A·ul
FKl. 6/24). M . umplion of eKt~r nal loads actin, o n shaft wa ll (after KAUHATII)

STEINFELD',II) assumed arc hing effect in II si milar wa y as KARAFI,.\TH, giving in

additio n an equation in closed form a fter d ouble integration fo r the ang le IX of
the develo ping critical Sliding surface o r rather t ha t of the truncated cone s urface,
when arching (or ring) effect is a lso taken into aCCOun t (Fig. 6/ 244a), as follow!>:

3
tan \'I ) •• -m; ta n rjJ -
r 3 1+ lan!::r f21., -;
'" + 6111n rjJ - 2 -;",) +
+ tan r.r ( 3
Ill)., -
Ian t/J -I- ) + I
-m) + 2 -no _ O. (6.23)
r tan" r

. ... SHI"H •.n. K.: Ober den Erddrucl< a uf 5thachl lin d BrU Il nenwandungcn,
u" au"gru"dl ugullI/. Hambur& 19S8 3 126. Ernst u. Sohn. 1939.
920 TUN!<.EI.U:SO IN SHA LLOW DEPTH ANO IN LOOS~ GROUNO

"

FlO. 6/244. External loads acting upon shaft waU (after SnIN FEI.D)

The greatest pressure will act at the bottom of the shaft (at depthm), ilsapprox-
imate value being e = y m tan(~ - q,) • In . W h·Ieh , ormu 1ate
h va i
we 'or rz mus t
Ian a:
be calculated from the above equation of the third degree. In this equation )'$
denotes the earlh pressure coefficient of the lateral earth masses which, owing
to their frictio n. reduce the active earth pressure (thus having the same role as
the coefficient of KARAFIATH) and having - accord ing to STEINFELD - a considerable
influence on the pressure acting on the wall (the greater its assumed value the lower
the pressure acting against the shaft), STEINFELD suggests plolting the pressure
diagram as an envelope of these maximum pressures calculated for the shaft
bottom. The bottom line of the shaft can be considered as a boundary bencath
whieh the pressures acting against the shaft should be calculated by the following
formula:

,~ , [[m-r z + ztan:x __r1 Z2 ) "" (0 - oj - 1. [mr=- - 1 z-'1] . (6.24)

tan 0[ tan 0[ ,
But, in practice, it is sufficient to consider the carth pressure beneath this
boundary line as constan t.
The lateral pressure coefficient depends - according to STEINFELD - also upon
both the rigid yielding of the shaft wall and the compactness of the soil, inasmuch
as with unyielding walls and loose soils its value will be low (0·5 < J.. < 0·7),
 SP':CI AL U~D[RGROUND STRUcrUIl.ES AND II."'LWAY STATIONS '21

while with yielding walls and compact

soils it will have a higher value (}. • .:;;: I).
According to both KARAA.l.TH and ST(lN-
ITLO, the angle o f the sliding surface (a)
inc reases wi th depth. (This has been con-
fi rm ed also by th e theoretical and research
results of M. HORN 6 J.1 obtained for pres-
sures acting upon closed tu nn el faces.)
STEINFElD compared the va lues obtained
by his formula with various lateral pres- .)
sure coefficients (from ).• _ I to )., = 0·6)
by a numerical example with those calcu-
lated with the formulae of COULOMB and
T[RZAGllt and also with the actual values
obser"ed by LOIIM EYER and SCIIOKLITSCil
whic h corres pond with those obtained by
COULOMO'S formula up to a depth of 10
[4 m below which they are constant ( Fig.
6/ 244b).
Theoretically more exact solutions were
derived for the earth pressure acting on
a cytin dr ic~. t wall by BI:KES .... NTSEV.··fJ
Considering tha t si nki ng operations (i.e. 4AT
excavation. dredging) will bring the
ground aro und the shaft into plastic FlO. 6'24~ . Ea rl ll pressure around a
cytindrical s llafl an"r lJEIIESANT~~V
condition (manifested by surface subsi- (0 ) Numerical exampte for theexac! tlle:ory;
dence-settlement funnel) he has ghen (b) Retaled diaanommal;c values for .he
first an exact solution fo r [t he ax ial-sym- approximative theory
metrieal problem, which m ight be com-
pared with Rankine's solution gi\en for the two-dIme nsional case. T he established
d ilTe rent ial equat ions may be solved by somewhat lengthy successive approxi-
mation. i.e. by finite dilTerences. Thc derived rupture faces arc curvilinear as de-
monstra ted on hand of a simple example by KtZDI.··.. Figure 6/2458 shows
for a given depth lind for given soil characteristics not o nl y the curvilinear r upture
faces and the ean-pressure diagram but with dotted lines also the comparative
diag ra m for the two-dimens ional case.
With the adven t o f e lectronic com pUlers the dillicuhies of application may be
largely eliminated. In addition BCRESANTSEV has gi \'en an a pproximative solution

.... Hoa N, M. : Alagu/ok ImlldJ'irUIIJ'OOO hOld riS:;IIIt'J homlokll)'Omds (On tile: hori:ton!al
a~iat pressu,,<, aetinl on tunnct faces). Scientific: tllesis for tile: Master's De,ree: .
.... B EII (l)Af'/TSlV , V, G . : Earlll pressure on cytindrical retainin" walls. Prot'. Europ. COllgr.
on Eorrh PrfSsurr Problfllls II , Bruxelic$ 1958 21.
.... Kbo!. A. : Erddruckilicoricn. Springer, Berlin 1962299.
 TUNNI':I.I. I"G IX S H "LLOW DfrTH ""[) I N LOO5E GROOM)

IOO,·.f'I assu mi ng linear rupture pla nes incli nl:d a t 45" + "'12 10
the horizontal.
From a si mplifie d fo rm of Ihe differe ntial equation he has derived that t he rad ial
pressu res may be gained from the followi ng ex pression

(I
, - '0 " , (45° - 1~/2) [ [- -R
~.
[" J"-'] +
(6.25)

with
J.: = 2 ta n 41 ta n (4 5" + 41/2)
R - ro + = Ian (45 ' - ""2)

In Fig. 6/ Z45b a re given 10 function of the re lative depth zfrOt the radial pressure
va lues related to unit radi us a nd to unit specific gravity. It is clearly shown that
owing to a rchi ng ac tion in the surrou nding soil mass the increments of enn h-
pressure values progressively dec rease wilh de pth and beyond a certain limit
a llai n a defini te co nsta nt value, Just as 10 t he case o/" lateral press ure in a
si lo. Th is critical de pth is the smaller, the bigger the angle of inne r friction a nd the
smaller the rad ius of the shaft. The straight dOlled line indicates the ean h pressu re
fo r the two-dime nsio na l case fo r comparison.
The specific pressure acti ng agai nst a maso nry shaft ring wit h a unit height of
I metre can be taken as p = e + IV, whcre t he value fo r ~ i5 to be calculated.
of course, in consideration of both the uplift and t he submerged soil density.
w being the hyd rosta tic head . It C"dn be written tha t

P'
pr = (If" ,,= ~. (6.26)

whe re r - the radius rela tive to the centre line of the shaft wall
v = the t hickness of t he shaft wall.
T ra nsversal di me nsioning of rectangu lar shafts lTIust be carried out fo r t he same
effects, but (he sections must be dealt wi th as closed fra mes.
The shaft wall nlllSl be dimensioned against axial stresses for tension and bend-
ing, to be resisted d uri ng the course of uneven o r sudden sinking. According
to t he Arffhor, t he most unfavourable tensile stresses will be induced whe n the
frictiona l forces ac ting on t he upper :1: me tre hig h section of the shaft's man tle is
e.~actly equal to its dead weight. tha t is. is sufficient to suspend t he shaft. The
most unfavourable situation may, thus. a rise at the last stage of si nking (Fig.

problem of limit equilibrium in a eohesion-

I.V B £R UAI'ITS~\I, V. G.: An a~l a l·symmctrie
less medium tOSlsimmclrichnaya :tadaeha teorii pred~el nolo ra.novesiya sopuchey uedi,
Kuss.). Moscow 1952.
 SPECI ... l U,,"OER(;ROUSO 5TRUCTURU ... :..U .... II.W .. V ST ATim,S 92'

FlO. 6/2M!. ApprOXimate com-

putation of vertIcal loads (rom
frictio n resistance and of
I.J<,m1ina momentS from torsion
(Sz~r"y)

I
r; - tllla.
H-n·9

I"
I
t-
ft- f R·.'
6/2463). the frictional force being in this case as follows:

while the weight of the total wall section will be

from whic.h
,
U7 tan:(45° - q,/2) Ian ~ .; = FfJ 1171>,
t.e.
. ., ,
U1 t8n-(45" - q,j2) tan ~ T - FfJ h7. = O. (6.::!7)
924 TU!<i"NELI.I I'«l IN -SHAllOW """I·}1 "'1<01) IN l.OOSlI <JIlOU,," O

llased upon o bservatio ns and measu re me nts obtained with shafts of the under·
gro und railway in Buda pest, Ilo RN and K OVACS~·" a rrived at the conclusio n t ha t
the highest tensile force occurs du ring a sudde n sink ing and not in t he static ~t ate.
bUI as a condition of the si nki ng movement. its "alue amou nting 10
9 _
H ~
Z
L• S, - IE G, , Grl =--:--'
9
Q
(6.28)

0 f sm
·
whe re a = t IIe acccIt" ra tlun · k·
mg, ·
bemg JG
equal to AI '
JG = fG - rs~ (the resulta nt of the friction forces acting agai nst the shaft
lining)

Fro m t his relationship the greatest va lue of the tensile fo rce can be obtai ned
from the sched uled sinking program me. Tha t the value t hus o btai ned is smaller
tha n t hose obta ined previously may be partly due to t he considerat io n of cohesion
prevailing he re.
Also, the bending stresses due to sha ft -tilting duri ng the si nki ng process can
be calcula ted again if certain appro:\imati\-e a~su m ptio n s are made. If ta n :x _ I/n
is assumed to be a measure of shaft-tihi ng, the maxi mum va lue of the ho rizontal
component deriving fro m t he overall weig ht G of the s haft wall will occur a t its
state of suspensio n (no reaction force aCling o n the cutting edge) a nd will have
the value H ___ GIn. Considering this fo rce to Ix: li nearl y dist ributed o n the shaft
mantle proportionally to its dis place ment ( Fig. 6/2#b), the moment M = 2{3Hh =
= 2j 3Gh la n IX has to be considered a nd the wa ll thickness and the axial reinforce--
men t have to be calcula ted accordingly.
The wa ll thick ness (1') obtained i ro m the fort·cs ment ioned above is generally
increased in practica l design consi deratio ns, the chosen wall thicknes in practice
being eq ual 10 about 1/ 12 ofthc shaft diameter [11= I~ J.

63.42 _ inclined S hafts and Escalator T unnel!!

63 .421. Inclined dlaj/s. Though commonly employed in the mining ind ustry t hey
are seldom built in conj unction with tu nnelhng work. but constitute ... ery important
struct ural p'l rts of deep-lying underground stations as escalator run/leis. Inclined
shaft are driven preponderantly by tun neling methodS, i.e. either by the full- face
•.... HORN, M. and KovAc" G.: SOllycszten d O mO tariIYak kBpc:nyfalan fclltp6 huz6erOk
uj ~cclmiui.si m6dja (A novd calculation method of tenSile forcr, produced in shaft wall in
the eourse o f slnkln£), Mllylp. TlId. S:t"m/c 19.54 May.
 SPECIAL USO[lG R O U ~D STRUCTUItU A"O RAILWA'" !TAnoss

method , by classical mining methods or by shield driving, depending upon the

'"
nature of the gro und . Wit h sma ll indinations the hni ng of an inclined shaft Cll n be
built with ve rl:cal masonry rings, stepped a t t he joints. In inclined acce~s shafts
special hoisting ;md safety eq ui pme nt (car br.lkes, catc,hes, cable sheaves, hoists,
etc.) must be provided, owi ng 10 the increased hazard of the r unnmg away of muc k
I:ar~. I f shield driving is used, the inclined shaft is drh.en, in practice, from ils
highest level downwards, as in th is case its fa~e will be self-supporting when exca-
va ted at the nll,ural angle o f inner fri ction of the gro und . If soil-strength pro perties
permit, inclined shield driving may be replaced, by the full-face t unnelling method ,
t he lining clements can be directly su pported fro m t he precisely trimmed ea rth
face, t hey are often placet! in a sequence opposite to the usual (from bottom IOp) _
Inclined shafts may be a dvantageously used for soil- ami ~round explo ra l ion
purpo~cs . E.g. more than I km lo ng inclined shafts have been driven lately with a
wid th over 6 m and a height over 5 m fo r the exploratio n of the geological condi-
tions of t he future Sheikan Undersea tu nnel in Japan . Very steep gradients (25 %)
were applied in o rde r to get a possible short access to under t he seabed whcre
the exploratio n was continued wit h a hori70nUlI exploration drift.
Tbese types of inclined shaft will be utilized later lor ventilatIOn and othe r o per-
ational purposes (cf. Fig. 4/ 151).

63. 422. EscaltJ/or tunnels. Us ulilly considerable constructional difficulties ore

to be o ve rcome whe n t he dee p-lying station is located in a watertight impermeable
day stralUm ('!Vhen t he running t unnel IS aduntageously placed) overlain by a
waterlogged SII nd y-gravel layer, whe re the subsu rface or surface entrance and
lickelhall are iit ua ted.
The excalo tor is to provide the interconnection between Ihese two localities
a nd through the perforation of the protecting watertight clay co\'er could lead
ground water down to the construction site of the d eep-lying statio n. It is clear
tha t a reliable water-sealing is indispensahle nround t he perforation area to pre-
ven t ··inundation" of this site, where othe rwise no dewate rin g measures shou ld
have been taken lit all~·1111 owing to its impermeability.
To anticipate this hazard, various methods have been developed in the construc-
tion of thc Budopest Underground.
T he first indined escalator tunnels ha ve been constructed ..... ith the help o f the
anificial jrt't':lng met/r()(1 as developed in Moscow and Leningra d. Incli ned ho lcs
were established by means of flu sh-boring, using a " heavy liquid" a~ usual in the
mining industr>'. C losed-ooUOIll steel.casinf!s (abo ut 6" _ 15 cm din) we re in-
stalled into the flush-bored ho les to SCT\'e as "freezing lOoells·'. T he wells were
arr.mged arou1d t he periphery of t he mclined shaft in a circular fo rm spaced at
3' - 4' (0·90 - 1·20 m) centres. T he wells "'ere connected to each other by a
double nelwort. of tubes in which the freezing bri nc was circulated. The indilled
watertight curtain thus established (Fig. 6/247) made possible to dispense with II ny
"·.S l..t;CHY, K..: 8e~ond~rh~i !en dn neuen Unl~rllrundbahn in Sudapest. (J,urr. Inll.
Z~jlse"r, 1967 4.
926 TUlIoNELUNG 11'0 SHALLOW DEPTH AND IN I.005I: GlOU",O

FIG. 61'247. Inclined escalator

shari eonS!rUcled under Ihe
protection of an ificia! frt:czing

type of dewatering t~l"ept some very limited direct pumping lind owing to the
bearing capacity of the frozen grou nd admitted the use of any type or tu nneling
and any type of lin ing. (Cast iron Of R.C. lining segments are used by preference.)
This solution however has proved to be time-consumig and uneconomical and
therefore Olher methods were attempted. The following solution was based on
the establishment ofa watenightjunction to a steel shect-piled enclosure (working
pit in which thc subsurface ticket hall was constructed). This could be efT«:tcd
either directly when an adequate eUI-olT depth DC sheet piles into the watertight
c1aY-Slnllum conic! hr provided for (i.e. the level of the clay la yer was relatively
not too deep). In this way a sa ft: and watertight start for mini ng the escal ator
tunnel was feasable (Fig. 6/248).
Should the surface of the watel tight layer be ina grt:atcrdcplh, i.e. beyond the

FIG. 6/ 248. Escalator shaft started from a sheet-llIk: cofferda m

J.:~I.rr~" .."
f""",,&, ~II

FIG. 6/249. Escatator tun net started from. cnmb,na lion of ~hcet-p; te enclosure:
and compressed air
 SPECtAL U";Oo.OIlOU";O STIIUCTUIIf.l A1'oD IIAILWAV STATIO,",,' 921

practical reach of a perfect sheet-

pilingenc!osure the n a horizontal
nir lock was to be installed in the
ndit section of the inclined shaft
which cou ld be constructed
within the colferdam provided
with a temporary bottom of
tremie-concrete above the clay
surface (Fig. 6/249). The con-
struc tion of the escalator tunnel
further on was proceeded under
compressed air.
The latest solution hov.ever
was to incorporate and peTcast
the inclined escalator tunnel
within a large R.C caisson,
which could be erected, i.e. cast
In a working pi t on the surface
(Fig. 6/250). The sinking of the
caisson could be effected by
dredging in the usual way (cf.
Section 6.4). Should difficult
sinking (unduly high cutting Flo. 6/250. View of a pre<:a5t R.C. caiHOn incorpora-
edge resistance because of tina lhe escalator tunnel and 5ubsurface hall
boulders or construction rests (Budapest, Blaha Lujza Squa~)
or excessivel) high frictio nal
resistance) be expected, then
the open caisson was to be
built upon a pneumatic work-
ing chamber In which all ob-
stacles could be effectivcly re-
moved. A thixotropic curtain
established in addi tion around
Ihe sidewalls did effectively
reduce frictional resistance (Fig. Flo. 6/25 I. Escalator IUnilel incorporated
6/251). HI a precasl caisson
The SpaTC space thus estab-
lished below and abo~e the inclined escalator tunnel s~tion cou ld be advanta-
geously utilized for the installation of electric transformer-stations switch rooms,
ventilation premises, pumping stations etc. and for the :.torage of sta ndby
parts, permanent-way and lining materials and maintenance equipments etc.
The longitudinal section of an escalator tunnel with some structuml details
and view of the escahllor machinery are shown in Fig. 6/252. A seclion of a com-
pleted escalator shaft is shown in Fig. 6/ 138.
928 TUi'I:':E LLl NG I N $ItAI.1.0W DEPTH AXD I N I.OO5E (;ROUND
 SPECIAL UNDERGROUND STRUCTURES AND RAILWAY STATIONS 929

63.43. Connecting Drifts (Ventilltion Ducts)

There is no difference between the design of connecting drifts and other circular
cross·sectioll tunnels, but as connections are relatively short, the use of shield
driving would be unlXonomical, so they are driven either by classical mining
methods or by employing full·face attacks, movable steel supports and roof bol t ~
ing. The driving 5I:hemc of a ventilation tunnel driven by the core-Ict\ving (Gcrman)
method is shown in Fig. 6/71. The usc of precast lining scgments may speed up
considerably the progreSl; of work. If dimension~ may be adjusted to these of the
running tunnels it is advantageous to usc Ihe same elements, which may be placed
by a moving erector-arm.
AUTIIOR has advised the practical use of a supporting liner-platt: heading in
loose ground.··)OO The point of this method is the use of a smaJler diameter liner-
plate top drift which is prindpally utili~ed as a mighty hollow ci rcula r crown-bar
and then, from which ~ventually soil solidification can also be effected by grouting.
Through this a bearing roof can be secured, which will be su pported during the
following operation stages by the tubular drift proper actin!.! as a large-diamete r
crown-beam.
Under this protection ex.cavation may be effected in steps to the full depth of t he
section (Fig. 6/ 253). The su pporting effect of the liner-plate top drift may be secu red
by substituting the gradually removed earth by the installation of steel trestles
placed on the fi nal lining element at the invert. The same precast elements of
permanent lining may be placed then one abo\"e th e other - as used in the s hield·
driven section. The key el~ment and the two adjoining ~Iem~nts on the sides must
be placed however from the in~ide of the tubular drift, through gaps to be opened
by the preceding rem oval of respective liner-plale elements. The tubular drift
proper offers seats of temporary supports for eventual lateral strutting outside
this tu bular crown· beam.
The most dclicatc structural parts of these connections are the outbreaks from
the shaft and the crossing and junction to thc wnnel (Fig. 6/254). [n the s haft
walls Ihe area of outbrcak is lined prcviously with bricks or Ican con!;rcte, or
blocked by a temporary steel door to fadlitate its opening and the load-lran s~
milling arches or beams above the future opening arc also built-in previously.
The dimensioning of a spatial vault or of a break-through is a highly compli-
cated problem. s.w1 Further, su(;h work requir~s special care and attention w ith
respect to the possibilily of the formation of a funnel of loosened soil around and
along the shaft wall, in which groundwater and loosened soil could be drawn
down even througb impervious layers. Without dra inage and preliminary su pport
of this zone of subsidence a hazard of an inrush of groundwater and r unning

··'''SztcHY. c.: Tun~1 Conmuction in loose or sof! ground with the help of a lincr-
plat~ drift. Pro{". Mtlra Carl/. lkl/a/a"j;irtd /970 2!J9 .
•. ,., ESSUI<GEII.. M .: Ikrechnung von K.ohrS(u l~el) . .'i/ahlbau 1 9~1 OCI. - Nov.; cf. atso
NtMETH, F.: F;;!da/a//; cJ6kere.w noja/eta (Force dia&ram of undcllIround pipe crossings).
Scientiftc t hesiJ.

59 S,6<h~: T il< Art .,r Tuntldlm.

'30 TU,,"SflLlSG IN SHALLOW Ot:PTH AND IS I.OO5E G~OUNO

,
,, l
,,,
,.
-.
•
-.
<

•
'0
 SPECIAL UK OERGROUND ST~UCTU~f.S AND ~AILWA Y STATIONS 931

FIG. 6/254. OUlbreak of

Ille side. with connecting
adit

JOI/ oW.i"oi/lc.;t!!lff
,md wat~f" /e,;/;np
grovt/!/P efl'ec-
!~d hel'oN out -
orp.;k

ground into the working place is 10 be exp«:ted and the outbreak may even lead
to fatal accidents. ulI2 In practice drainage is effected by compressed air, while
the loosened suil can be consoli dated with preliminary grouting through grout
holes installed in the. shaft walls. If drainagc is not done by the compressed-ai r
(plenum) method, grouting must be carried out with such grouting mate rial s and
to such an extent as to provide an efficient water seal, too (Figs 6/236 and 6/ 254).
Should the shaft sinking be carried out under compressed air, the rate of prog-
gress is limited by the rather low capacity of vertical air locks. It is t herefore ad-
visable to construct an airtight venical diaphragm \'Iall in the adjoining section
of t he horizontal vemilation adil (cf. Fig. 6/2 14) just after the outbreak and trans-
fer the limit of the zone under compressed air from the shaft bottom into the ad il
by installing a cylindrical horizontal air lock of steel in Ihe diaphragm wall (cf.

,.,., SZEcHY, C.: f OUlfdalioll [ai/urn. Concrete Publications Ltd. 1961 IOJ.
912 TUNNELLI NG IN SU"LLOW DEPTH "NO IN LOOS[ G ROUND

Fig. 6/212). The dimensions of this lock must secure the capacity that at least two
or three full-loaded muck cars could be trans-shifted in a single decompression
phase and forwarded into the vertical lift-cages to be mounted in the adjoi ning
vertical shafts, after the roof has been demolished and free air (i.e. atmospheric
pressure) has been admitted into the whole shaft. Thus ventilation adits may play
a ve ry importa nt role in the rale of I:onstructionai progress.
From Fig. 61235 is clearly coming out that at the other end of the connecting
(ventilation) adit, i.e. al the junction to the r~pective underground-structure (e.g.
shield-erection chamber) also the installation of some special load transmitting
structufe must be necessary. The nature and constructiOll method depend not
only o n t he gro und but also o n the structurJ.! arrangement of the respective
underground hall as this will be shown in the following section.

63.44. Underground Halls (Shield Chambers, Power and Substation

Rooms, etc.)

The difference between wnnels and underground halls lies only in their purpose.
size, the degree of safety required and the magnitude of the loads to be carried
(e.g. air raid shelters.) Fal:tory and storagt: hails, turbine chambers, etc. as well as
shield chambers arc of considcrable width and consequcntly of considerable
height so the fo rma tion of a statically favourable horseshoe section is usua lly
desi rahle. These halls and chambers being relatively shOTt, are driven by one of
tht' classical mining methods or by the more up-to-date rock bolting and full-face
tu nnelling me thods, as the use of shield driving would be unel:Onomil: because
of t he costs and the trouble associated with their assembly being charged for a
relatively short section only. As regards rock pressures, the closed (spheroid)
shape of these structures offcrs definite advantages (cf. Section 31.1 11 ).
The constr uction of an unde rground hall 13 m wide and nearly 20 m high
driven in lime~tone has been described by P. MtKl6s~' 1(C (Fig. 6/255). First. the
sidewalls wefe built by the aid of bollom and wall drifts ( I). From t he wall drifts
cuts we re made down to the bottom, where lhe concrete for the sidewalls had
been placed (2). The concrete was poured from the surface through feedi ng pits
specially sunk fo r this purpose down to the wall drifts, while mucking was done
separately through a centra l bottom drift. The construction of the walls in this
way did not interfere with ha ulage and communication. The concreting of the
sidewalls up to the spring line was followed b)' the construction of the a rch (3).
For this purpose, a central top heading was driven to a length of 6- 7 m, then
widened out and concreted from the spring line upwards. The e!\cavated soi l was
dumped into cars in the central bottom d rift th rough pits o r chutes, the concrete
having been poured in again from the surfal:c thro ugh chutes leadi ng into the top
heading. When the conc rete of the arc h was sct, the inner earth core was broken

•• ,0> Vd/ogo/ort f~ja~uk a jO/da!aui t'asuI':pill'$ is bdrryds:ati mllyepflts kiireMI (Selected

<;,hap(ers from u nderground raitwa~' and mining <;,onstrucliun). Mii~zaki Kiado, 1953 2 38 1.
 ,
~
",
~

{{, .,.~
,
,\l 1;-c;
~
~ -•
~

-~
•
,c
"

------~--------
------- T-----14 --~

r~t ~, _~
I I 'I

'\:
og :
- -H -
It
~
\~~ :i/
\ \ I

'. . .-z.t--
-:::=T ----~
I I

_______ J
 934 TUSMLU I>G IN SH .... LLOW DEPTH AND I'> LOOSe GROUND

i-r- 1 r , cl!"~ 1
~-lil
,
-,
I .- - ,

,•
1 . "

1 Lfpbre,#
1=,
I
2 +-4
•
"
L
'co
'--' ,'"
,,~
2
fl"----
J
L
=j

7 _ _I

,,' , '"
. . " r>f'" .r-, -.'-,.,.
" ,.-. ..-
- f-
't'
' I ',
,
/

1 ' '

",.~ "'I-' .~i'~

-1- k ,
I"
_'1_ ..".._-t!o-fr"'~- i
+i
,
•
.
'I' , T II II I ]1 I, , -j

1
"
8ott17m Jlld WJ/" drift JPst! 11I
2 Smmd;ry dn!'t wlt/l upam;ks to top sectlO.?
f
1
/ 1

$teCM8r!! drift 2
II

..
f !3ottom drrft
1

II J III:

" l'
. c'
f
H :t~r6
r-.. .!\.- f
. l- I- c
I '".. ",. "", . J -2
,
, 1 I,
~

+
U
,
FI G. 6/ 256. Successive ftages in the
 SPECIAL U"OERGROUNO SnlUCTURES ANO RAILWAY STAnONS
."
J

., -I

- - -h
'
,'
====
5
Combmd waf/-drift sg5tem
- -
• ,. ,
J
"• "", L . -- -
,
Jlz
" }
f--
-" ,
,
(, , ,
, , ,, 1I r, /
/
, , ,' , ~. 5
,
f'- _/ ,. - .+ -+
'~-<~ ~.
2
,
,
I;
:1
"

.,
4
"

F, ,
J i'
J
,

construction ()r p sh ield chamber

9)6 TUNSU. LlNG IN SHAI,.LOW I)~~ rH AND IN LOOSE G~OUND

out and cleared away through the central bonom heading and 3 centra l haulage
lunnd, whic h had prc:\'iously been dri\'cn to a length of 500 m before: IUnnelling
was started. An underground power plont had also been built previously to su pply
the electric energy required for lighting. the operation of the compressors and the
working machines.
The s hi e ld~rection chambers of the underground railways in Budapest had
relatively smaller dime nsions, but had to be driven in unfavourable ground. These
chambers were th ree-bayed, the IWO late ral bays being actually the shield c hambe rs
and the smaller central one housed the transformer substation (Fig, 6j256a-c).
These shield-erection chambers had overall widths of 10 m, 6 m, and JO m, their
height being 8-11,5 m and their length 10 m. Their construction, like that of the
above example, \\oas commenced by driving 0 peripheral bottom and wall drlrt
system (I), from which the sidewalls were buill (Fig. 6/ 2500). When the side- and
headwalls had been built up to the le..et of the spring line, a second (:entral head-
ing was driven out on a somewhat higher le ...el (2), from which to break up (F) and
drivc separate top headings (G) in the arch of each bay. These top heading.~ were
then widened out (3) and Lhe masonry arch finally built upon the sidewalls from
the springHne upwards ( rig. 6125Gb).
The use of the double bottom-drift system, as weJl as the building of the under·
ground str ucture in two separatc stages proved to be uneconomic, requiring too
much time and resulting in an undesimble weakening of the supporting ground
core. For this reason, the method sho\\on ill Fig 6/256c was resorted to later, the
general working procedure being as follows.
Somewhat above t he bottom le\'el of the hall a straight li ner-pla te drirt (I) was
driven whic h c rossed all three bays in their complete width. From this drirt
break-ups (F,F J were eccentrically set out and raised in the plant of the separating
walls up to the spring line. From these hreak-ups a perIpheral wall drirt system
was driven (2). From the wall drifts pits we re sunk in which to place the concretc
of the sidewalls and separati ng Wl:Ills (3) in bulk from the bottom upwards.
These works we re followed - siaggered in time - by the driving of other break-u ps
(F 2 ) laid out o n thc othcr side of the nOllom drift and dri ven up to the fu ll heig ht
of the top heading. Then from these break-ups top drifts (G) were dri~'en out and
enlarged, and hen: the masonry arch was plaeed (4). In both cases the inverts
were placed after the core had been excavated and cleared away. The inlroouction
of this method reduced the time required for the constructIOn of these under-
ground halls by nearly 5O %.t.lot
Some recent shield-erection chambers of the Moscow Unde rground have been
built wit.h a combination of the classical flying arch ( Belgian) mining method and

..... T ,W AllZV, F.: J>ajzs nelkOli alagulhajlli.si mbdszerek es rendszerek tlnai tapaszta-
latai (EJI~riellces obtained in Hungary wiltl tunnelling syste ms and methods ",ittloui usina;
tunnellinil shields), Mern. J'Qv. Krpz6 17$1 1954.
With B view to reduce the dimen sions of shield chambers, thc headroom left free for
erection maneu"crilla; may be materia lly ~dueed by the introduction of ~t)CCial shjcltl _~~jll
ptate splicini and cm:tion procedures. cr. Pmr. ftm . C;v. Eng. 19('(' May 71 .
 SPECl ... L UND(RGROUND STRUCTURES AND RAILWAY STA.TIO"S 937

of the cast-iron segment·lining (Fig. 6/257). The upper half of the respective sec-
lion perforates a dry loam whereas the lower balf a dry sand la)'cr...lw Work
was s tart~d witb the driving ofa bottom drift, from which a vertical up-break shaft
and from that a tO p-drift was driven along the whole length of the 28'-4 w (8.50 m)
dia chamber with classical tim bering. The first two lining rings (2)( 2' - 6~ =
_ 2 x 0·75 m) were installed as in the nying-arch method using transversal poling-
boards bUI the lining was constructed of cast-iron segments instead or in sit u
concrete. The foll owing lining ring.<; were built in also with cast~i ron lining seg-
ments but placing was effected as shown in Fig. 6/257 not in the usual but in the
opposite order of sequence. i.e. from the top to the bottom. In between tht: face
y,-as braced by steel rakers finding support in the bays of the previous cast-iron
lining rings. Lining segments were placed hy ] I winches. In this way a stepped
full-face (heading and bench) method has been rtalised.

(rellt,1
11;;/11;
~
{
?

'/
1
FIG. 6/257. Construction of shield-erection chamber with stepped full_race method
and the use of cast-iron lininS segmcnl~

Bill shIelds have nOI only to be erected but after completed dri vi ng they mus t also
be dismantled to which effect also shit>ld-dismollllillg chambers are required.
Th~ construction of a chambe r, like to Ihat of the erection chamber is, ho\\-cver,
a very lengthy time consuming and expensive job. Therefore dunng Ihe construc-
tion o r the new Underground in Budapest the const ructio n of a special chamber
around the shield was abandoned and the stiffened steel-skin of the shield was
left in place to constitute the corresponding length of the runi ng or of the station

•. ,~ Sele<:ted Chapters from Tunnel and Mining Construction 38 1 (VliJ oSltOU fejezctd; ....
Hunl.). Mil szaki Kiad6. Budapest t953.
938 ' I UN)o, ~ L Ll N G IN SHAlLOW DEPTH AND IS LOOS.E C ROliND

Flo. 6/2$8. Stcel ~I;i n of a

shield stiffened by cas t in
sit u concrete lining (a sub·
stitute for d isman tl in g
chamber)

_
lS~rllan
lID
rs,rtl
.. I
iJIJ
Ptripmllf f't11l~rrMl(llf ;1' . Sti!'fupJ ' 1/JS
~lltt! af :lNIrl'tte 810Q rts JlJM;t H.! stul IJm

tun ncr.G.IC8a Much time and money could be saved in doing so, because the me-
chanical outfit and machinery has been first removed, than the circumferential
inntr stiffening steel rings have been removed one by one after a reinforced con-
crete stiffeni ng lining was cast in the space bl:t ..... een them. Befort casting the
concrete an insu lation layer was bro ught up on the interior face of the s hield
skin and the R.C. lining was dimensioned to carry full toad, taking into account
the evtnluaJ perfect corrosion of the steel skin.
Figure 6/258 shows this substit ute for a dismantling chamber with indica·
tion of the successive construction steps.

63.45. Underground Stations and Adjoining Senice

and Communication u.calities

Underground stations, in general. represent subterranean localities of consid·

erable width and height, whose structural arrangement and shape depend pri.
marilyon their depth below the surface, on soit conditions and on construction
methods, whereas their dimensions must be determined to mcet alt traffic demands.
,.,- SZEcHY, K.: lksunde rh<:iten beim Bau dcr ocum Untergrundbabn in Buda pest.
thl~Tr. lng. Zeiuchr. 1967 4.
 SPECIAL UNOfMGIIOIiNO U lI lIcrUNI:S A"O NA ILWAV STATIONS 939

From the point of ~iew of thei r struclUral arrangement it is of decisive importa nce
whether subsurfa ce or deep-level stations arc to be huil!. As to thei r lraflk capac,ity
the central or lateral arrangement, width and access facilities to thei r pl,uforml>
are of vital importance. T he decisions on both questions have to be take n at a very
early stage of design and are intimately connected with general town pl,wning
and public traffic planning. A full discussion of these factors exceeds the scope
of this book and the foll owing treatment IS restricted to the discussion of construe·
tion;l l problems only.
As a rule, subsurface stations are always bui lt from the surface by 'CUI and cover'
methods and deep.level Slll tion~ by some tun nelling method ( usually by the shield
method but also some free·face or mining method) may be applied. The difference
in const ruction rr.ethods has a considerable i nll ue n~ upon the shape, constr ue·
tion materials and structural arrange ment of the station s.

63 .45 1. Subsurfau underground ~Iations. T he isometne arrangement and cross·

section of a subs urface undergrou nd sta tion is shown in Fig. 6/259a- b. This
structure was built in an open excavation pit. The condil ions and methods used
for enclosure. excavation and dewa te nng arc the same as used ill 'f\,Ju ndation
engi neering'. The figure i~ intended to indicate the Ilow or traffic, its faci lities and
the reasonable armngement and connectiong of the single units and installations
assuming Ihat a subterranean ticket hall IS provided and direct escalators give
access 10 the (.-entrall y arra nged plat form s. Under elu,:eptionally favoura ble ground
conditions combined wi th heavy urban surface traffic e\'en subsurface stations
may be built with rtal tunnelling methods. For example, in Stockholm the appli·
cation of the open-face method was assisted in some sections of the subway by the
solid granite (Fig. 6/260), whertas in P<lris. Lisbon and Rome the hea\'y urban
traffic excluded any <l pplica tlon of the 'cut and cm'er' method . OWlOg to the ra ther
unfavourable subsoil conditions and to the care which had 10 he taken to preven t
su rface subsidence. the 'German' method (cr. Section 62.32) was applied here,
in principle, with some ~ariat i o n s, however, in the construction of the arch .
In Rome and Lisbon, in fi rmer ground and with a somewhat greater de pth of
cover this was effected wilh the succcssi\'e tra nsverse widening of the lOp-heading,
whereas in Paris a special segment-shape shield was installed fo r some sections
on the top of the previously const ructed sidewalls and propelled forward at the
spri ng hlle 10 prOI(.'Ct the erection of the precast hnlng segments, forming the a rch
(Fig. 6/261). Stations built by these methods usua!ly have a lateral platform
arra ngement because in this case <I bigger rise can be obtained for the arch. owing
to the smaller clearance requirements at the sides (Fig. 6/262).
The fa vourable possibilities offered by the "slurry-trench" method stimulated
engineers to attem pt thei r utili7..ation also in the construction or unde rground
stations,
In Munich the side walls of some underg round stations were constructed by
this method reaching down possibly inlo the impermeable clay laycr. Then n
central top heading was started from which narrow crosscuts were made to bolh
9<"

I &/bsl,Ir/llu mlrMr~ Nl/lI1tlt tick!

amul
2 ~ll'tsh"'!1>1s
J. Tictd·<1l'IIIW
-I. bCllIiar (,su,I'W4j/)
$. Plii/br",

_.""

~
•
,

FIG. 61259_ A .uhsurface .. arion: (a) ;.ome1r;c .l«lion: (oJ orO«-O(lC\ional arran~menl
 ,.,
sides. The width of this cut had to admit the installation of horizontal sheet-pile
driving equipments. Both for guidance and support flat steel arch ribs were erected
and supponed by hydraulically operated trench jacks of adequate length placed
al the bottom of the cut. Then the horizontal sheet-piles were driven forward
and supported by adequately spaced further arch.ribs, which in l urn were support-
ed by corresponding rows of the hydraulically operated special trench jacks
(Fig. 6j263).'·loetl

FlO. 6/ 260. Subsurfa~ SIMion hall e~ca\'aled by the free·face method

(SlOctholm)

The per manent roof will now be constructed under the protection of the hori-
zontal sheet piling after the eanh masses - left eventually between the cuts - are
removed. Formwork and shuttering will be erected from the bottom of the exca-
vated top section and the roof arch cast in situ. In between the recuperation of
borizontal sheet-piles may be attempted, but in case of failing this - in order \0
avoid any kind of loosening - they must be left in place and got lost. The spring-
ing of the concrete arch will find suppo" on the previously accomplished vertical
concrete wall-cast in the slurry trench.
Prefabricated elements were used on a large scale in the construction of the
stations alo ng the recently built extensions of the Moscow Subways. ID these
•. ,-" GA'S, E. : Erstmali,e AusfUhrunl von Tunnelstre<:ken mi l eincm StulzatwOlhe zwi-
schen Schlitzwlnden beim Hau der S-Bahn Munchen. £iunoohningnrlrur 1970 9 268.
SACK, K .: SliltzlewGlhe zwischen Schlitz ..·anden .15 be50nderes Bau\"erf.hren heim S-
&hnlunnel in Miinchen. £isnroohningm/rur 1970 J 91.
." Tt,.J<,1<.lLUSG I~ SHALLOW DEPTIt Ai'i'D IN lOOSti GROUND

ar~as the Underground Jines and subterranean public-utility conduits (t unnels)

were installed first, preceding the construction of residential bui ldings. Il was
possible here to combine the cut and cover method with the uti lization of prefabri-
cated reinforced-concrete elements very advantageously ( Fig. 6/264).

63.452. Deep leL'c/ SWt!OIl,f, These arc splil actuall y into two levels. The up~r
Ic\'cI under shallow cover accommodates the ticket hall.
Fro m there. access 10 the lower platform level is o blained by escalators or lifts
each serving a single o r, occasionally, both traflk directions. This lowe r pari of
the station houses the railway tracks, platforms a.1d access passages 10 and from
the trains lind escalators (Figs 6/265 and 6/266). Tt:e construction of t his lower level
requi res real t unnelli ng met hods a nd structures differing from those common to
founda tion engi neering and the refore will be dis:ussed in greater detail below.
As the shield method IS predominantly used fo r tht:ir construction, their sec-
tio nal shape represents various combinations of circular sections.
The most simple system was develo ped in Lon:ion. It consisted of two larger
sectIon tubes (Fig. 6/267). These accommodate one track and one platform each.
The run nine !"nnch ente r the larger stlltion tunneli eccentrically at their sides,
headwalls being buil t at the entmnce to retain the ground. The twi n !Unnels a re
connected by suitahly spaced passages connecting the platforms. T he first or these
ransits has am pie dimensions to receive t he escalator and distribute passengen;

' ;; i
, H~mm.
Stage /.
--- -- --- Singe II

//
/"
//
/-
---------"' .......
"-
I
/
//

I
/
",,-'
"\ \ \
/ / Steel.fJ!st gnf!Jge \ \
I , p/Jlform \ \
- 1.- -

I I Lt.n cCf/crete
1\I , II
I I
, \
-~
s!dt wall
-
I ,
I •

~,\ '- --- - --_.-'--------

_____ +______ •
_1'=:~
< .
•

FfO. 6/261. Construction sta tes or some

 Sl'EC1A L tJ"OEIl GROUN D STRUCTlJRES AND RAILWAY STATIOSS 943

S!3ge VI

PropulsIon rim

Jegment -shaped
.III/tid

fit-be<1m firt jlcks

steel grllJ.;ge
platform

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ L~~

I
H·mm
Stage /V
, Sta;e V

Cere remoYJI LIf1fr; blocks

,

~==lJ
- ----------'
_____________ ~

subsurface !;eClions of Paris Metro

.
, TUN"ELUNG 11'0 SH ... LLOW O(PTH AND IS lOOSI: G II;OI.lNO

P3ris

,•

LIsbon

_m

f -.- - - - - ---"lQ"''''----- - - --
Rome

""Y
<1<
~ {!..;.
\'\'f.,.
~,

--4t,.-+5J ---·,~---K----
~~,;-- -I - >2. - -
_______ ,_______ ;>1-------'
,

,/ I

FlO. 6/262. Section or su bsurf.ce 51alions in various cilies

 '"
SP(O"L USDERQROUt.D STRUCTURU "1"0 RAILWAY STATIONS

S'lJm« I.m
Flo. 6/263. Construction
of subsurface ' tatlon com-
--l-r-----=c:::..::"'- --l=l=;;;:,;;--
bin~d wilh slurry trench
sidewalls

Seri/on

1~I
,

in both directions. T he same principle was Rs lized in a somewhat more IIp-to-

da te form in Toronto where a shorter and smaller central tube is provided fo r
passenger intercha nge ( Fig. 61268),1.1<17
A special arranaemcnt "'as employe d in the comt ructiun of Ga nlS Hill stat ion""" durioS
the Qtension 0( Ihe underground system in 1950 td. FiJ. 6/2(6), .... htre !levend lubeS were
combined. The succeulve s..,es or construct ion arc ~hu"'n in Fig. M269 a nd il may be seen
,.,.. BI\Il TLt-rT. NOSK1~"'1CZ and RAIoUAV; Soft Ground Tunncllinll r UT the T oron l O Sub-
way. PrO<'. 111$/. CID. Eng. 1965 ~pl .
•••• C" KTY. C.; Lei trava ux d'cKlensio n dll reseau m~lropo1ilain de: l ondres, La Tuhniq ll"
de Trar'aux 1949 !kill. and; lmprovinll London's T ranspon. R. Car. 1 \l~O March.

60 Szokby: l be An of Tnnd.ln,
946 TUN1IoEI.LISG IN SHA l.lOW Otl'TH "';-'1) IN LOOSE (iROUI'oO

FIG. 6/264. Subsurface stalion rrom prefabricated cklTlC'nts in Moscow

,.,
E's2

FIG. 6i 26S . Sc:~matic

l.yoUI or • deep-level

Flo 6/266. Isomet ric representation of • deep-level

s\1lliol1 (Gants H ill)
 SI'lCllol U'OU()ROU,"D 5TJ.UCTUklll 10/100 RMlWAY 5lATIC'-'S 947

• ,•
o

•
,;;
•
~

...
948 TUSNElLING IN SHALLOW D EPTH AND I N lQa)[ GROljNO

FlO. 6/268_ Section of deep-level station in Toronto

r'- - - -I

------
------0 - I
~-- -;-_ _ _JPfNQ
- - --I
2) ,
~.~ I
e- -"""'+--
I

S~/.urfd/~ St~1 (o/umn

lo.o·btl1ing bcliom :;;;~5 ~~.:::'~ ~;g;~

FIG. 6/269. Successive construction Slal!es of Gants Hill Station (London)
 -

7i1;

-O'iFi~~! o

-
950 TUNNELLING IN SHALLOW DEPTH A N D IN LOOSE GRO UN D

that altogether 3 smaller diameter secondary shields, 4 full diameter station shield s and one
segmental shield were used rendering the con struction work very lengthy and expensive. The
total width of this stalion is 22·5 m (75 ft) . Because of its long construction period and high
cost no other station has since been built in London by this method, but th e twin tube arrange-
ment mentioned previou sly is usually used in spite of it s rather restricted space for inter-
change and communication .

Various types of deep-level stations have been developed during the course of
the construction of the Moscow and Leningrad Underground systems. Here,
the intention from the very beginning was lo construct spacious coherent under-
ground halls. The first type is the standard three-bay type constructed in Moscow.
The cross-sectional arrangement and the successive construction stages are shown
in Fig. 6/270, and the complete arrangement in model scale is shown in Fig. 6/271.
As shown, construction was started here by driving the two outer shields of 9·5 m
(31 1/2 ft) , later 8·5 m (28 1/2 ft) diameter. These gave accommodation for the run -
ning tracks and platforms. The third central (concourse) tube is shorter and lies in
the prolongation of the inclined escalator tunnel used not only for access and exi t
but also for interchange of train traffic. This central tube extends about half the
length of the outside tubes and is connected to them by closely spaced lofty open-
ings which give the impression of a coherent hall unit.
The subsequent driving of the central tube induces stress superposition in the
previously driven outside tubes (cf. Section 35.2) and to counteract undue defor-
mation and overstressing, hori zontal ties were applied there (see Fig. 6/270).
(In Budapest, temporary vertical columns built of cast-iron lining segments were
erected to strut the crown directly for this purpose).
A s to the magnitude of overstress ing it wa s concluded in a recent theoretical study(\·ltIl:I
that the interaction between two neighbouring circular tunnel s beyond a relative di stance of
four radii (4r) will become negligible. With smaller di stan ce howe ver the B.M . values at
tile opposit e inner spring-lines will be smaller (by up to 40 %), whereas thru st values in both
crown- and springing section s will be bigger than in single tunnel s. The magnitude of these
differences will depend not only on the relati ve di stance between the parallel tunnels, but
also on the lateral pressure coefficient A, on the relative co ve r-depth and on the COml)ression
modulus or the surrounding ground. Jt may attain differences up to 25 - 30 % (cf. Section 3.52).

The central tube was constructed first , by mining methods (bottom and top
heading) but quite soon a third shield of the same diameter was employed . Open-
ings to be formed between the tubes were foreseen in the design by forming frames
or 'eyes' with special castings in the lining, from which the filling segments could
be removed when a junction had to be established (Fig. 6/272).
The overall width of such a station was 31·2 m (104 ft), a very great width,
for which the bigger clearance and dimension requiremenls of the running lines
used in the Soviet Union are partly responsible. With due consideration to the
progressive construction time, material demand and cost which vary at about the

THEENHAUS, H .: D cr Einf'luss von mehreren Tunnelrohren auf die Spannungen in der

6 ,1011

Tunnelau skleidung und in dem umgebcnden G cbirge. Ph. D. Thesis Tecllll. VI/iv. Dm'lI1!J'tadt
1970.
 SPECIAL UNDERGROUND STRUCTURES AND RAILWAY STATIONS 951

square of the section width a steady trend is noticeable in the development of

va riolls structura l and constructiona l arrangements of stations in order to contin-
uously decrease these width requirements.
The simplest method of obtaining this decrease was the reduction of the tube
diameters from 9·50 m to 8·50 m, which resulted in an overall width of 28 ·20 m
(94 ft). (This solution was also adopted in the construction of the new under-
ground in Budapest. The genera l arrangement of these deep-lyin g stations in plan
and in cross-section is shown in Fig. (6/273).
Subsequently, various columnar types have been developed. One type, th e
Mayakovski type, is shown in Fig. 6/274 with an indication of the successive con-
struction stages. Here again, the two large diameter outside tubes are driven first
in which cast-iron columns and strong overbridging purl ins are erected near th e
margin of the somewhat smaller platforms. 1n succession, a third segmental top
shield is driven in the centre line of the whole secti on bearing against the inside
purl ins and columns. The installation of this segmental arch ma kes the remo val
of the earth core left between the outside tubes possible, as weil as the successive
demolition of the inner sides of the lining rings of the outside tubes them selves.
Afterwards a uniform platform could be constructed for all passenger traffic
and interconnection purposes and providing a uniform coherent hall space.
Further development was necessary becau se the operation with the segmenta l
arch shield was very difficult a nd the omission of the space below the pla tform
deprived the track and tunnel maintenance services of very important stores and
operati on rooms, which ought to be provided in all cases and which had been avail-
able in the previously introdu ced three-tube station arrangements (cf. Figs. 6/270
and 6/273). A more recent and somewhat modified type of columnar sta tion is
shown in Fig. 6/275 (Moscow, Arbat) where purlins are replaced by cast-iron
arches overbridging the openings. Another new feature in the construction of this
type was that the segmental arch was not driven by the shield method but by free-
face mining methods, the lining segments being placed by erector arms. The arch
had a bigger rise to reduce horizontal thrust. The continuous platform was dis-
mantled in the same way as before.
The development of the Leningrad Metro stations indicates some deviations
from the above ideas. In the columnar type station 'Kirov', the columns and over-
bridging purlins were erected within the central full diameter circular tube, the
shield of which was dri ve n first. Then two outside shields (5 '50 m dia) followed
with truncated plane faces towards the central tube, bearing at the truncated top
and boltom lines on the support offered by the inner row of columns. The fairly
wate rtight solid clay allowed the contacting parts of the lining of the central tube
to be dismantled within thi s shield which was practically open towards this
lin ing, without se rio LIS difficulties in retainin g th e ground and in dewatering. a.n o

a.]lo LIMA NOV, Ju. A.: Metropolilelli (Su bways), Transheldorizdat, Moscow 1960,
'51 TL"NSElUNO IN SHALLOW D£PTII " ND IN LOOSE GROUND

SJage l

-+-
I

, Stagell
SUri of r/nmll of (fntul WH

" •

fit rods

, , ,
\, ...-'
",.-

-""
8tJUf/f/I dI"Il'I

Stage III
p

....
•

' . ,
,ill

I Ofm,'g afdrrf'b llull:l!)ntd i/l f'lr'~r

Min1 ,.,,;
0/'

FIG. 6/270. Successive construction stages of a

 SPECIAL UND ERG MOUJ\U STMUCTUII,ES AND RAILWAY STAno"s

Stage Vi
Conllrvctll)n of It'rtU ()prnlflg1

WlltrpriJl)""; DI,trt1S ()ptllillgs

I Sta!le IV.
L lnntf fJl/lnillll; d,?d piJ/f()rm COMJructl()fl &d SjNct 1IIImg
I~d ;routm;

!2fX)

three_tube dccp-le~'el station tunnel

", Tt)N"-ELL'SO IS t H ALlOW DEPTH "'''0 .'< LOOSf G Il OU~D

o
o

-••

-
"1••
;;
SHOAL UNOntGIlOUND STIlUCTUIlES A:-O IlAtLWAY HATIO'"

FtG. 6 '27:!.. Special lining segments lind rra~ segments

around • rutur~ .CC~" opening beh.een adjacent tubes

Tr"'Sftfnl urllDil
Ar"" OJH.'"

FiG. 61273. General arrangement of the deep-I);ng parI

of 1m: Budapest Metro stalion s
956 n;"'MLLING I S SIIAL LOW DEPTH AND IN L.OOSF O.OU" "

Suge/l
,.p~

,.".. /Jt;tbrr,t /Ir!W~M

CCIIl.77r/ Jp.Kfl19

It»d-&Uf'I"g
/'>I/r/'tl'

SI8,Qt' V.

FIG. 6/ 274. Succcssh'e const ruction SllIlIeS of n th rtc-bay co)umMaNypc: sta tion ( MoS<;Q'....)

A mort recent dcvclcpmc:nt of this idea is shown in Fig. 6/276 which represents
the 'new type' station. This allows for a funhe r reduction in width to 18-33 m
(6 1 0) although a~suTing the same clearances for run ni ng tunnels as well as fo r
thc entering escalator. The column row, however, leaves no free platform splce
for the cleara nce of the trains and t herefore a moving gale system closes the open-
ings in the colum n row ..... hich can be automatically operated from the train only.
When the train stops these moving gates are opened simultaneously with the car
doors. This arrangeme nt also pro ~ides for the store and administration rooms
necessary for the mailllcna nce services below t he platfonn (see Fig. 6/276).
At lhe construction of the dee p-levci stalions for t he new undergro und line in
Budapest the thret:·tube syste m (cf. Fig. 6/273) was employed first with 8-5 m
(28 ft 4 in) dia wbes and with a total width of 28·20 m (94 ft). Recently, a new
licensed five-bay stat ion type has been developed (Fig. 6/277A) based o n existing
 SP[ClAI. U~O[IIGIIOU"D STIIUC'TUIIU A~O IIAI LWAV STAT I O~5 .57

Flo. 6/215. Modified <:olumn ~ r.IYpe Slalion ( MO$<:Ow. Arblll)

Rrt,,//)rffl/- (ohtrd~
. """'I nJm~n(

. RIItmI"9 'vlIII~1

fiG. 6/276. Section of new type station ( Leningrad)

or previously buill outside running tunnels (5'5 m; 18 fl 4 in d ia),·1LI The suc-

cessive constructio n phases a re numbered on the figure as follows:

I.: Der Ilau ci ner F iinflu nnel·Tiefstation am Kossuth Llijos Platz. Proc.
• •• " L AF II Al'OCO.
M nro Con[. BaIU/Olifiirffl 1970 275.
S7.tcIIY, K. and R6uA. L. : Design and COnSlruClion of lhe new Budapest Underground.
Ellrop. C/o. Eng. Bratislava 1970 2 .
95' TU~!'I£LllNG IN SHALLOW DE PTH AND 1)<, L005£ GROUND

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 SPECIAL UNDERGROUND STRUCTURES AND RAILW AY STATIONS 959

I. Outbreak through the previously built composite concrete and inner rein-
forced ..concrete or cast-iron segment lining at the place of the main underpinning
beam at the bottom in 4·0 m (13 ft) long staggered sections followed by the resto-
ration of the support for the lining ring by establishing a lean concrete junction
to the cast-iron ring at the bottom beam.
2. Placing of structural steel columns upon the underpinning bottom-beam
sections spaced at 4 m with up-breaks through the lining.
3. _In situ construction of the main longitudinal top beam under the protection
of a brick-l ined longitudinal drift produced by manual mining methods.
4. Driving of boltom and shoulder drifts for the construction of sidewalls
cast in 4·0 m ( 13 ft) long staggered sections.
5. Excavation and construction of the arch of the adjacent bay housing the
passenger platform using mining methods (flying arch or Kunz method, see
Sections 62.31 and 62.44).
6. Excavation and construction of the arch of the cent ra l bay for traffic inter-
change also by the above mining methods.
7. Removal of the eartb core from the central bay.
8. Removal of the earth core from the platform bay.
9- 10. Excavation of the invert section of platform and of central bays for
placing invert concrete and constructing platform.

All work was executed under compressed air and in va rved clay. The method
has some similarity to the construction procedure of the Gants Hill Station (Fig.
6/269) but all auxiliary drifts were driven by mining methods instead of shield-
dr iving.
In addition to the stores and administrations rooms located below platform
level all stations must be equipped with other accommodation rooms such as cabins
and lavatories for the attendants, sewage sumps, pumping stations, exhaust ducts,
transformer rooms, electric transformer substations, ve ntilation ducts (cf. Fig.
4/157) and accomodation for stand-by and emergency generating units, com pressor
houses etc. A comparison between the outlines and thus the cross-sectional areas
of the three-bay and five-bay stations is shown in Fig. 6/ 2778 from which the ob-
tained economy is obvious.
The construction of the centra l bay of a deep-level station has been solved in a
different way for the Shil1-0cllOlIomizu Station in Tokyo.6.lte! Two circular shield
tun nels of 7·74 m (25'_9") external diameter with cast-iron lining were driven first
at 9·74 (32'- 5") centers. In addition to 6 normal and 25 cm (10") deep segments,
special support segments (D), adjoining and key segments, have constituted the
complete ring of a weight of 6·68 tons per ring, i.e. 8·33 tons/m (Fig. 6/278) .

6. 1I~ ICH IM URA. M. and WATANABE, T.: Glasses-Type Shield Works. An Execution of Shin
Ochanomizu Station. Civ. £l1g. Jap ., Japan Soc. Civ. £l1g. 1970 Sept. 43 .
KUNI ZO N ISHIJAMA: Present Status and Future Prospect of Urban Tunnel s in Japan.
Proc. 61ft Tllnnel Symp. '70 Tokyo 1970 14-16. Sept. 5- 10.
960 TUNNELLING I N SH,\LLOVI' O(I"TH "NO IS I.O()S£ GIlOO,,"O

".
"

Flo. 6f277 B. Co mparison of the cross-se<:lio ns of the oullines o f the five-bay and
threc.-bay station in Budapest

Then t he constructio n and exca va tion of the interspace between shield-driven

I unnels had to he carried out. The total stalion lengt h of 257 m (856 ft) was de vided
into 6 blocks and constructio n work was carried out within each block in 4-8 m
(13- 26 rl) long sections.
At first temporary load.bearing H beams ~ere pushed res p. pulled one beside
the other from onc tunnel towards the ot her with the help of a predriven pilot
reference t ube. The total jac,king force necessary for the penetration of onc H beam
was about 60 Ions. The H beams were seated on the specially shaped exterior
shoulder of t he (D) su pport segments and the overlying soil was artificially solid i-
fied by chemical grou ting being occasionally completed by grouting from the
surface.
Then the invert concrete was placed in both tubes. The fo llowing step was the
installation of lower and upper lo ngit udina l beams respec tively tha t of the 0·65
m (2'- 2") dia w bular steel columns spaced at 4 m (13'--4' ) centers.
In order to prevent und ue d efor mations the ha lf-frame com posed by t he in ve rt
s.Iab and by the vertical post constit uted by the longit udinal beams and ve rt ical
columns was completed by an additional half-frame composed o f temporary steel
posts a nd horizontal struts fi t the to p, before starting with the removal of the
lateral separating lining segments. In t he firM step t he segment lyi ng just unde r-
neath t he spt.'Cial supporting segment (D) was dismant led in order to admit e}(ca-
valion and casting of t he final K. C. bearing top sfab. This !':ould be effected under
 SPECIAL U~D~ kGROUNO STRUCTU RES ANO RAI LWAY STATIONS 961

,
,

,
/) l''''''rIIID~ )K'm, ~frHl /INtI fntl MId rnf,,,;
of","ri "'IIN',d. ,," romplttl AIi,/I "'""I

~#f
1IIft/,,,

4) !#r.r ,,,... 1,•• I~"."""" uri", m ",Ii'hf

"f ~O/I.", wh

FiG. 6/278. Cross·r.ecl ion

an d executional dctails of
the Shin.Ochan omizlI
(Gla ••u t)peJ .ta tio n In
Tokyo
962 TUNNELLING IN SHALLOW DEPTH AND IN LOOSE GROUtlo.'D

the protection of the previously insta lled H-beam grid with a structural depth of
about 1-25 m (4' - 2"). After the hardening of the concrete, excavation from the
central (concourse) part proceeded keeping pace with the removal of subsequent
inner cast-iron segmen ts, until at last the bottom slab-form ing the platform could be
cast between the tw o longitudinal bottom gi rd ers. When all this was completed
the temporary steel posts and struts could be removed from both tunnels.
The total width of this station-type is 17·50 m (58 ft) only whilst providing for
a 9·0 m (30 ft) wide concourse platform, which figures very well indicate the
economy of the construction.
It is inte resting to note that surface settlements due to shield driving made out
about the same amount as that due to the const ru ction orthe connecting concourse
sect ion varying with the type settlement being 26 mm (I") in sand and 38 mm
(J 1/2") in clay. Considering the average cover depth of about 22 m (73 ft) these
are very moderate figures ..
The most complicated underground structures are the deep stations which are
built at th e crossings of several underground lines placed at different levels.
Whereas these stations were formed out previously in stages an accordance with
tbe extension and increasing demands of the underground-network (e.g. "Picadilly
Circus" in London or "Chatelet" in Paris). Nowadays provision has to be made
for the locations of and con nections to the future lines (e.g. Deak Square and
Calvin Square stations in Budapest). These requirements, however, mostly
governing not only the size, layout and location of these stations, but are decisive
also for the construction methods applied.
Outstanding examples of modern methods were appli ed at the construction of
the "Auber" Station of the Metro-Express in Paris (Fig. 6/279 and cf. Fig. 6/222)
and of the "Stach us" ("Karlsplatz") station of the new Underground of Munich
(cf. Fig. 6/106). In this latter case the extensive application of the slurry-trench
method while in the previous case that of soil solidification is most instructive.
Allention must be given to the somewhat standardized "SOCOMET" station type
developed in Milan (Fig. 6/280) and app lied at the construction of the extension
of the Underground in Rome.'·lJ3 The essential fealure is the application of
slurry-trench walls reaching with adequate cut-off into the underlying impermeable
layer (made watertight occasiona ll y by artificia l soil-solidi fication). The slurry-
trench walls provide not only for a lateral watertight enclosure but constitute the
lateral bearing walls of the stru cture at the same time too. The construction of the
intermediat.e R. C. decks and platforms may keep pace with the excavation, thus
offering permanent strutting to the sidewalls.
Shield erection for running tunnel shields may be also advantageously effected
in this station space. (The indicated outlines of running tunnels indicate that
the lise of horseshoe-shaped shields bas been introduced here with a view to a more
economic utilization of the cross-sectional area and to the omission of the lateral

0.11 3 II/f. COl/struction 1969 Sept. 87.

 SPECIAL Ul'ID UGROUl"D ST RUCTURES AND RAILWAY STATIOSS %,

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964 TL~I<oElL I NG IN SHALLOW DEPTH A'ID IN LOOSE GROUND

FIG. 6/280. Standardised

~taliontype (Staz;one
Piola) of the Metro in
Milan

third rails, which are replaced by overhead electric transmission wires.) Owing
to limited space it must be referred to the literature for further detai)~.
Modern deep-level stations are provided wi t h escalator!. Wherever possible.
escalators should be arranged to I,:onvey passengers from street level to platform
level. E~a lators arc accommoda ted in inclined tunnels adjoining at both ends
to special machine chambers provided for the opt:raLion and control of the escala-
tors and accommodating all d riving or stretching machinery. Heavy concrete foun-
datiolls support the escalator trusses which, in turn, give support to the moving
stairways with all thei r equipment (cf. Figs 6/252 and 6/ 27 1).
Since modern escalators have a slope of 30" from the horiwntal, spec;:ial emphasis
must bl: placed upon the accuracy of tunnelling work.

6.15. CONSTR UCT ION Of SUBWAYS AND UTI LIT Y

CO l\" D VlTS I N OPEN CUTS

As indicated in the title. the method 10 be discussed here can only be considered
as a tunnelling method in so far as its aim is the const ruction of underground
cond uits o r tunnels. This aim, ho",cver, is not achieved by unde rground excavation
but by excavati ng an open trench eit her with vertical sides supported by sheet
piles or wit h sloped sides wi t hout support: in the trench, prefabricated lining
elements (panels) are placed from the surface. The use of large lini ng clements is,
thus, made possible, as with this construction wo rking possibilities are nol limited
by the small cross-sectional area of the tunnel either for hoisting capacity or the
availahle wo r k ing area. All these circumstances greatly improve the economy and
efficiency of the tU llnel construction, and, at the same time, reduce the number of
unavoidable joints in the tunnel-lining, so allevia ting the problems and difficulties
of drainage and water sealing.
A fairly good example of the application of the method is represe nted in the
construction of the latest extensions of the Metro in Moscow (the Kaluga line).
Owing to far-sighted and careful town planni ng, the construction of t he unde r-
ground railway preceded the building of houses, roadways a nd public-service
li nes in this district. so that the adoption of the safe cut and cover method with
 CONUR UCTION or SU~W4VS 4:-'0 UTlI.ITY CONOUIH IN OPt>.! CUTS %5

the use of sloped trenches was made I

possible without the slightest danger to 1
the surroundings.
The tu nnels built for the Metro are,
in general, double-track tunnels of J,-l I
rectangu lar cross-section, sepa rated into
.
I
two si ngle-track tunnels only just ahead
of the sta tions to allow thc nccesS<try
I
central platforms to be const ructed'· 11 1 I '-J ,/
(cf. Fig. 6/ 264).
These single-track tun nels which
ha\'e II crOSSo-section of 4·56 rnx5'30
" .

m lire schematically shown in Fig. ../0Ir:t.S fl;£d If': J'W WIt/!

~(rr.e
6/ 2MI, while the double-track tu nnels FIG. 6,181. Subsu rface (sinaJe) tunnd
can be seen in Fig. 6/ 282. sectio n compo5oCd of prcfal>ricated demenls
After the trench had been e."(cavated (M oM:ow)
with a bucket excavator and the bottom
hlld been levelled, II ~im" l c concretc sockct was placed to give an exactly plane
surface con ted in succession with waterproof sheeting. Following this the in~·ert
(marked on the figure by L-3) and two sidewall p,meis (Sz) were placed, each
having II length of 3 m . When assembling these lining elements, a 50 em wide
gap was left at the joints to allow for the welding of the exposed ends of the

FlO. 61282. Isometric view of the twin_tunnel section of prefabrica ted demenl$ ( Moscow)

KRI VQSHEtN and Rt ZNtC HENKO: Sooruzhcnie IUnneki Me lfopalilena o llrililll sposo-
•• 11 1
born (Construction of the IUnnels of the Metro wilh open_surrace melho<h), Tr""sPfJr'fI.
Stmit. tll39 Nov. 20 23.
966 TUNNELLING IN SHA LLOW DEPTI I '\1'00 IN LOOSJ: GROUND

reinforcemen t bars; this ga p was then filled in sit u with concrete. After thai fo l-
lowed the placing of the ]-5 m long, trough-shaped and ribbed roof panel (P- J),
and the concreting of the abutment joints. The double-track tunnel section is
similar in a r ra ngement , with the exception that, prior to placing the roof panel
and <.:om.:rt:ting the gaps in the joints, a central ballum panel a nd a separation
pa nel are placed. A single punel weighs more than 10 Ions, and this weight is
expected to be fu rt her increased with the develo pment of mechanization. wh ich
again will result in t he further speeding up of tunnel construction.
Several public·service tunnels - though much smaller in size - have been buil t
in Hungary a lso acco rd ing to the same pri nciples, mainly in new settlements
for the placing and accessibility of public-service lines. 8 . m Channelled concrete
frames weighing 1· 3 tons amI measuring 50 em in length. 12 em in thi!':kness and
with cross-scctional measu rcments of 2-0 m)( 1·90 m we re placcd in d ry trc nchcs
with supported vertical sides. by a travelling crane. T hc channels between t he adja-
cent frames were subseque ntl y filled wi th cement grout and then made watertight
from the top.
Other examples can be found in Europe of the application of this met hodG.u&
which IS exceoolOgly SUItable for mecha ni zat io n. 'I hus, e.g., some precast pre-
slfessed reinforced-co ncrete panels. 5 m high. 8 m wide and 2 m long wilh central
intermediate pOSts are being adopted in open trenches excavated under t he pro-
tection of groundwater lowering in the recent extension of the double-track
underground railway t unnel in Ham burg ( Fig, 6/283). All these panels (each weigh-
illg 37 tons) have iro n bands protr unding from their sides which, after they have
been placed on carefully levelled concrete sockets and afler an adjustme nt to an
accuracy measured in mi ll imetres, are welded to t he iron ba nds of the adjacent
panels along thei r entire periphery. This results in an absolutely watertight lini ng.
Though the o perations were carried out in the night hours during t he absence
of !fame, only fo ur sets of panels making a doub le-t rack tunnel section 8 III in
length eould he built per night.
Whereas in the pre\'ious examples the whole cross section was composed of
prefab ricated elements, a partial a pplication of them may be demonstrated in
connection with the const ructio n of the pedestrian subways of the Par k Lane
improvement scheme London.~·1l1 Here " precast concrete U·shape units 4 fl lo ng
and 9 in thick form the floor and walls, with in situ joints between t hem . The
roofs a re of !':omposite !;onstruction !;on~is ting of 9 ft 6 in long precast units
with in ~itu reinfo rced concretc on Ihe top" (Fig. 6/284),

' .ll.l Ro.Gs,o, L.: Zankerct(l etOregyAr(ol1 "a~bcton kiizmual agut ( Pu bti<.:_:;ervict: tunnels of
precast l'C'inforced-concrete pa nels), Ali/yip. T"d. Sum/" 1959 OCI.
,.", cr. Neue Bau weise im U-Bahn bILU, Df'r S/Qd/~~rkf'hr 19588. a. alSO: Der U-Bahn-
ba u in Hamburg, S,h,.,. Bz/g . 1958 43 .
•. n. GRANTFR, E.: Park Lane Improvemenl Scheme : Design and Constructio n , Prot:.
bl$l. Civ. Eng. 1964 Oct, No. 67 54.
 C'OS!iT !l\JcrlO' Of' SU BWAYS ASO u nliT,\, C'O ,ourrs I" OPt '" e m s 967

FIG. 6/283. Section of Il amburl subway compOSed of pn:fabricat~ demenl5

1(J' rr c{tar

...• n•"
10
ff.bsolC till'S
• ~

•
• Ttnl l lO ftOOt' tiln

• •

FtG. 6/284. Cross-section of a flC'deslrian subwa y ,.-jlh U-s llaflC'd precast bollom units
968 CONSTRUCTION OF SU8AQUEOUS TUNNELS

6.4. CONSTRUCTION OF SUBAQUEOUS TUNNELS

Subaqueous tunnels as a rule are very seldom constructed jn rock or in solid

impervious clay or shale where free-face methods (Section 6.1) or even classical
mining methods (Section 6.2) could be resorted to. These means of communica-
tion are typical of metropolitan harbours built upon geologically young Pleisto-
cene and Holocene deposits. Up to recent times these tunnels where constructed
- nearly without exception - by the previously (Section 6.32) described shield
method. This offers special advantages, when saturated weak and varying
layers of poor bearing capacity are to be perforated. Here, the best means of
dewatering is constituted by the compressed air (plenum) process, which may be
associated well with the shield method. An indispensable requisite of this de-
watering method is still the existence of an overlying airtight cover (an impervious
layer of adequate dimensions), capable to prevent any escape (outburst) of com-
pressed air through the riverbed. The eventual outbursts are triggered out usuaUy
by the overpressure acting against the roof of the working chamber, its value
surpassing there the acting hydrostatic head by the height (diameter) of tbe tunnel
(cf. Fig. 6/214). Counter measures may be taken either by artificial soil solidifi-
cation or saturation or by depositing an additional airtight cover on the river-
bed surface or by the decrease of the applied air pressure below the maximum
hydrostatic pressure acting only at bottom level. This latter measure infers how-
ever the necessity of the removal of infiltrating water by direct pumping at the
bottom. Under given circumstances the increase of natural cover by the deeper
location of the tunnel may be also considered, but this will result again an increase
of the "loss in height" and thus that of the operation costs, of course.
These facts explain why the caisson-sinking method is in recent times more
and more resorted to in the construction of any subaqueous tunnels let it be
of the vehicular, pedestrian or underground-railway type whatsoever.
The applied sinking methods may be divided into two main groups:
6.41. Sin king methods with caissons of the covered-roof type (working-chambers).
6.42. Sinking methods with floating caissons.

6.41. SINKING METHODS WITH CAISSONS OF

THE COVERED-ROOF TYPE

This methods is basically similar to the case described in Section 63.132. Dis-
tinction should be made between two cases:
A) The working chamber is to make feasible excavation and sinking operation
only and the tunnel section is to be constructed in the free space above the roof,
enclosed by the sidewalls cast grad ually above the roof in proportion with prog-
ressing sinking. In this case the working chamber will be filled with concrete when
sinking is completed .
 SlI'oI;ISG \/ETHODS WITH CAISSONS or THE COVERED-ROOF TYPF. %,
This method was used for the construc tion of some subflu viat sections of the
Paris Metro (d. Fig. 6/ 113). As a recent example the 139 m long cent ral section
of the tun nel unde r the tj at Ams terdam may be mentioned. The crOSSoscctional
arrangement is shown in Fig. 6/285 whereas t he view of the spacious R.C. caisson
at the site is shown in Fig. 6/2861\. The nea rl y 30 m wide and 32 m to 40 m long
caissons have been precast in a foundation pit within a specially str utted s heet-
pile cofferdam at the site (Fig. 6/2868 ). T he sheet- piles were arrolngoo in a series

,
FIG. 6/2X,. Sectio n of the Cli~son and working chamber used
ror the con5truction or
lhe central !'(lrl ian or the I.J Tunnel, Am§tcrdam

of ho rizontal arches, t he spri ngings of which havc been formed li S concrete buues-
ses which were strutted by nearly 30 III Ions, 1·0 m diame ter hinged hollow steel-
tubes to one another at the top level of the cofferdam. The caissons were housi ng
the double tu nnel section and were sunk to about 25 m depth.
8) The o ther case i~ constit uted, when the wo rking chamber of the caisson is
formed a nd cast in a way that after effected sinking it can be transformed and
collverted into the tunnel section required. As an example, the construction of
a subaqueous sewer outfall tunnel unde r the Danube in Budapest has been a lready
described (cf. Figs 6/ 114 and 6/ 115)
970 CONST'U.1CTION OF SU8AQUEOUS TUNNELS

FIG. 6/286A. View of the caisson before sinking (by courtesy of Messrs COllin )

FIG. 6/2868 . View of the coffe rdam

in which Ihe caissons were caSl, with
special strulling (by courtesy of
Messrs C08IJT)
 SINKING METHODS OF FLOATING CAISSONS 971

6.42. SINKING METHODS OF FLOATING CAISSONS

Subaqueous vehicular, public-utility and even railway tunnel s are constructed

recently in a rapidly IIlcreasing number by prefabricaling tunnel boxsections
in dry docks or within temporary and arlifically dewatered (groundwater lowering)
deep excavations (foundation pits) ashore and after removal of the bulkhead
dam or after lifting up the housing lock's gale, get them floated by the inrushing
water and towed on the water-cours!! to the sile and get them sunk there into a
trench dregded previously in the riverbed and then bury the structure with dredged
river ballast. Smaller size floating caissons may be cast or erected also on the
shore proper and then get slid down on a launching way upon the water surface.
As early examples, the Washburn (a steel tube tunnel), tbe Rotterdam, the Amster-
dam (Velsen and lj), Ihe Rendsburg and the Deas Island (Vancouver) tunnels
(reinforced-concrete tubes) may be mentioned (see Fig. 6/287),·JIS, The dimensions
of the prefabricaled steel and R.C. units increase day by day and at present
they may vary in length from 30 to 130 metres and in width between IOta 50
metres. (The own weight of one 100 m long unit of the recently opened second
Schelde tunnel in Antwerp, Belgium, has been about 50000 tons.)
The delicate question is to provide for proper bearing conditions and for solid
and warertight joinst between the units, to be effected after seccussful sinking.
This type of tunnel requires but a relatively small cover just enough to protect
the roof and external insulation against potential harms from ship anchorage
and from excessive scouring. Observations and various tests have shown that a
cover thickness of )·5 m should be sufficient unless special excessive scouring effects
ought to be taken into account. This means that after SIMMONS··llSb the road level
of a subaqueous tunnel, when constructed by this method, will be about 10 m
higher, than of that constructed by the shield method (cf. Fig. 1/9). (This differ-
ence has made out actually 7 metres in Antwerp and 8 metres in Hamburg where
the level of the previously built shield-driven tunnels can be directly compared
with the recently built caisson-type tunnels.)
This advantage is mainly responsible for the preference which is given more
and more to this method , when the construction of subaqueous urban tunnels
is considered. The obtained shortening of the access- and exit-ramps decreases

6 .11 811 Le Tunnel Wa shburn , O;)'saillre M etalliqlle 1949 /0.

FRlTZLlN. M . c.: La construction du tunnel SOllS la Mcuse a Rotterdam . La Techniqlle
de~' TravlIl/x 1949 March.
EOGINK, I. R. A. : Dc tunnel s de Vei scn. De /ngeniellr 1953 Sept.
De Ij-tunnel. Werk ill Uitvoeri"g Dienst der Pllblieke Werken , Amsterdam 1961 Sept.
The Street Tunnel under the Kiel Canal at Rcndsburg. 8/111. of Wasser /I. Sd,iffahrls-
direkrioll. Kid 1961.
PER HALl. : The Deas Island Tunnel, Proc. AMSC£ 1957 Nov. /436.
LASSEN, M . and NIELSEN. C. N .: Projekr Ii kallalflOUle/elt /Itgelliiirell 1962 Febr.
G.! 18b SIMM ONS , 1-1 .: Zur Gestaltung abgesc nkter Unterwassertunnel. BOllmoschine II. B{lII-
l ecllllik 1966 10- 11 .
912 CONlITRUCTION OF SU'''OU((){)S TUN1>EI..S

FIG , 6/287. Launch inll of a prefa bricated SI~1 tunnel se<:lion for Iht Washburn tunnel ;
and of the rein fo rced..::oncrete tunnel se<:lion for Ihe It Ollcrctam Illonel

IJrdtr If
RHttJ/JIIII
., plm#1
1M _~II

---- / ....",'.
bll'tJ,"I
",,,.

I I

~ --:---"""'---.,- -
I, 1, J, . ,' ('rltl/,..tlll,,~1 "",cr,i. iII'I'" r I. 11."'''1 mr sujfl,l,
S. 6 1M I. /0 4"u/ <l1li("11 p/.«II ,fJ,r '''~'''I
Fl O. 6/288. Schema tic cross-sect ion and succession order of layina1he Inner concrete-linina
and dec k ,lrOClures
 SISKIN(; METHODS OF n .o.-.n'o;G C.-.ISSO:"'S 97J

beneficially nOi o nl y inves tme nt costs but deduces also materially the interference
wit h ripanan buildings and road ne twor k. As a consequence. it may be adjusted
muc h better to town- planning schemes.
Two st ructural kinds of t his me thod have been developed: namely steel struc-
t ure uni ts of cin;ular SCl.:tion (U.S.A.) and reinforced-concrete units of rectangular
section (Europe).

64_21. S truclu r.1 S teel Uni ts of Circular

Section wit h S tl'l'l Insul.tion SIM.-cting

As it was already demonst nlted ea rl ier (cL Section 22.32), t he circula r section
offers the greatest structural flnd statical advantages for tunnels I)-ing in loose
and wf:ak gro unds saturated wn h wa ter. (As regards t he economic utilila tion of
the cleamnce 115 compllred to the gabarite ofvehides. this d oes nOI hold, however,
fo r double or more track tu nnels, where preference is to be gi\en to rectangular
sections. cf. Sectio n 22.35.)
lu addition , the external steel sheeting ofTer~ II great 8~sel in the accomplish
mem of wa terti ght a nd safe conllt:ctiQIl$ between the si ngle units - as wi ll be
shown Iliter.
Buoyancy of these units is obtained already with relatively sma ll submersion
values (I _ DJ) to D/4}. Consequently sinking can be effected by additional load-
ing only. In addition to t he previo us installation of inner lining, rOlld-deck, parti-
tion wa lls etc .. usually also inner te mporary water ballast is 10 be applied. These
lun nd unils are practically construCled ..... ith double wall sheeling of a thickness
or 6 to 8 mm, from which the external one is octagonal and t he inne r one circula r
in shape and bot h of them are welded and stiffened by diaphragms spaced at 3 10
4 m.S (10'- 13') (Fig, 6/288). The enclosed space is filled with concrete affording
also a certain protcction steel sheeting may be subSlituted occasionall y by a shot-
cre te coati ng (2 to ] em (]f4"-5/4") thick) applied o n a welded wire-mesh base.
The sin king scheme of tunnel units of this type is shown in Fig. 6/289 where
a simple solution of the connections is also presented.
The semicircular section or t he previously sunk tunnel unit protrudes II I t he
bottom half fro m t he bulkhead wall b)' Ilbout I m (3' 4") ahead . The upper half
of the next uni t protrudes by Ihe same meas-
ure-correspondingly. These IWO semicircular
shells will be sel on o ne anot her when sunk and
hold in position by II powerful dowel which
is to be pushed through appropriately arranged
slots on Ihe bearing seats by d ivers.
The units have to be pulled tightly toget her
in the meantime by ropes lead through pullies
mounted on the sid es. Behind t he sem i circular FIG. 6/289. Sinkin& of II floating
shell-like projections (collars) external r«,a ntgu- unit in Ihe Chesllpl:lI~e 811)
'" C ONSTRUCTlO:< Of SUBAQUEOUS TVNNEL.S

FIG. 6/ 290. homel.;.; vie ... of caisson

sinking inlO the previously dredged
bouom trench

lar baffleribs were welded o n the sleelskin. The Iibs were provided with sheet-
pile intcrlockings at their sides, thus admitting, that a small sheet-pile enclosure
could be established, which in turn will be filled with tremie-concrete. Unde r
the protection of this provisio nal concrete-sleeve the bulkhead-walls could be
cut through and the overlapping sem icircular collars get welded together.
A great ad~anlagc of floating steel caissons is offered by the possibility, that they
can be readily manufactured, erected and welded in shipyards without any diffi-
culty and with great skill, accuracy and reliability. Their launching, towing and
sinking does also not constitute an unusual problem. Their steel demand is mtch
higher of course and the y require also somewhat deeper tre nches to be dregded
in the bottom because of their cross-sectional ~hape. At last the width of the u n it~
is also limited because of economical (gabarite) reasons (0""" ::: [)·4 m .., 45').
Asremarkableexamplesthe2x I mile(J07km)long tunnel under the Ches.apeake
Bay and fir st of all the 3·6 mile (5 07 km) long subway tunnel between San Francisco
a nd Oakland may be mentioned. The length of the double-lube section units is
nearly 100 m (330 ft) and the tota l subaqueous section will be composed of 57
units some of them sunk in 7()...100 ft (21- 30 m) deep trenches excavated in the
bay mud (cf. Fig. 6/290). Refore a tube section could be lowered down from float-
ing barges and laid in the trench, a 2 ft (0·60 ems) thick foundation course of
gravel is placed on the bottom and graded to the proper slope. The gravel material
was poured to the bottom of the trench through telescoping tubes. The deposited
gra~'el is levelled to the required slope by a screed box hung by cables from a trav-
elling bridge mounted on two floating pontoons. Actual lowering of the tube
section into the trench was accomplished with another large floating equipment,
consisting of two railroad bmges, splced far enough apart to accomodate a 48 ft
 SII'>'KI~O "'IfTIlOOS Of FW"TINO CAISSOI'oS
'"
(14'5 m) wide tube section. but connected with two steel bridges (Fig. 6/ 290).
Each section in turn was floated out to this barge from which it was lowered by
means of cables into the trench. The hydraulic equipment employed to control
the desce nt was so sensitive that operators wuld control the movement of the
structure by inches.
When the sect io n was 18 inches (0·45 m) away from its in- place section. the winch
moto r.'! were ~ t o p ['led and a diver has submerlled to guide it to contact. Four rail-
road type cou plers on each end we re engaged. Hydraulic rams installed to each
cou pl ing were activated simulta neously by remote control aboard the barge,
pulling the two sections snugly toge ther.
Later. welders cut away the bulkheads a t the section ends and installed a steel
seal inside.

6:1.1:2. Tunnels Constructed of Recta ngular R.C. r loating Caissons

The fi rst tunnel of t his type has betn constructed in Rotterdam under the Maas
estuary in 1940. The precast R.C. caisso ns could be made buoyant at that time
by the hel p of laterally coupled steel po ntoons only (see Fig. 6/291). The consid-
erable pro£rcss obtained in the st rengt h and resistance properties of concrete
and the advent of prestressi ng led to such a considerable de .. n:a~1: ill tl,,;: Icquircd
thickness of construction elements that fl oating can be effected now without an y
auxi liary measu res. Nowadays it may be take n for gran ted, that subaqueous
t unnel caissons wi th two lanes ca n be designed with ordina ry mild-steel reinforce-
ment when normal sinki ng depths a re encountered, but t he use of prestressing
cannot be dispensed with. when t hree or more lanes are 10 be provided fo r in the
cross-section. The length of t he R. C. floa ting caisson units was steadily increasing
in the paSt years and at present has surpassed even the 100 m (330 ft) limi t. la-
teral dimensions of t he caisson units have also considerably increased and hlve
come q uite close to 50 metres (166 ft) at present. The specific economy or the
method undeniably increases with the width.
The prera brication or R.C. ~t r ucl u res of that size represe nts in itself a con-
sidera ble constructional undertaking. The R.C. elements are constructed as a
rule in large foundation pits. excavated o n 1he shore of the watercourse. Arti-
ficial (sheet-piled cofferdam) o r natural (earth-slope) enclosure and extcnsivede-
wate ring usually are to be provided for (see Fig. 6/292). Exceptionally and under
gi\en circumstances dry docks may be also utilized for the prefabrication of
smaller size uni ts. The 100m (330 ft) long units are occasionally composed of several
sections and then cou pled before fl oating by means of longitudinal prestressing
cables (e.g. Liljeholmen subway tunnel in Stockholm Fig. 6/3f!J). The joints be·
tween the sections will render the uni t mo re flexible through which it can adjust
itself when lowered much better to the eventLial une\'enness of the bottom of the
previously dredged subaqueous trench. Bending moments may be materillly
reduced by th is a rrangement. During fl oaung process however Ihis flexibility
must be temporarily take n up by some provisio nal longitudinal stiffening members
976 I;()S!lTRIJCTION OF svaAOIHOUS TUNN(U

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 SINK ING MHIIOO$ O. n.o"TING C"'SSO'lS 917

FlO. 6/292. Aerial "iew of the work.

inl pit. established for the preflb-
rication 0( lloatinK units for Ille
Rendsburl tunnel (by courtesy of
Meuno POlensky- Hoch t ief)

(practically by sho rt pr~t ressed connecting cables). For instance. the 140 m long
centra l section of the vehicular tunnel at Rendsburg (Germany) was composed
of seven 20 m (66 fI) long units (cf. Fig. 6/292) and the 500 m ( I 666 ft) long cen tral
section of the new Schelde tunnel at Antwcrp comprises five 100 m (330 ft) long
units (cf. Figs 6/293 and 6/294).

1' 10. 6/ 2'J3. Aer;al "iew of the workinll pit, established for the prefabrication of "oati ns
lin its for the new Schelde T unnel, Ant"erp (by courtesy of MeSHS Christiani- Nicl scn)
,,, <;ON.'!T~UCTION 01 SUB"QUfOliS TUNNELS

The connection of this type of subsaqueous tunnels to the shore section pre-
sents a special construction task. It can be accomplished within a cofferdam joined
to the last subaqueous element respectively \0 the open cut of the shore section
(cr. Fig. 6/ 294): or through a special connecti ng pneumatic caisson sunk between
the last subaqueous element and the cnd of the shore section. Ventilation build-
ings are erected usually a lso on these special construction elements (ef. Fig. 6/ 295).

FIG, 6/294. View or the 47 m "dde and 100 m lona units OrlM Sellelde:
tunnel in thoe workinll rll (by coutesy of Mes'n< Christian;- Nielsen)

FIG. 6/29~. Aerial view of the left-$idc work in. Ilit of the ScheIdt tunnel with
adjoininll anlil.lion buildina (by counn), of Messrs Chrisliani_ Niel§oen)
 SlNKI'iG .....rHOOS or fLOATING CAISllOSS
'"

"I

8-8

c-c

INl7m
A-A

T
47·!Om

F Ki. 6/ NlJ. Longtludinlll profi le and cross-secl ion~ uf lhe nc" Elbc lunnd . Ha mburg

".
980 CONSTRUCTIO N Ot" SU HAC,JUEOUS TUNNELS

The most recent application of this method is the new Elbe tunnel in Hamburg ,
the construction of which represents al so a sound and reasonable combination
of up-to-date construction methods.
The 3208·7 ill (2 miles) long tunnel will be composed of three sections. The 1056
m long (35 20 ft) subfluvial section will consist of eight 132·0 m (440 ft) long R.C.
floating caisson units, the adjoining tunnel section on the right-hand access ramp
of 1113·5 m (3710 ft) lengtb will be driven by the shield method (cast-iron lining
segments), wbereas the tunnel-entrance sections both on the left- and on the right-
hand side will be constructed with the cut and cover method comprising the open
sections of tbe entrance (Fig. 6/296).
The floating R .C. caisson units are 41·50 ill (137 ft) wide, 8-40 m (28 ft) high
and 132 m (440 ft) long, weighing about 46000 tons each. The thickness of the
roof and botto·m slabs is ranging between 1·15 to 1·30 m (3'10"-4'4") and that of
the sidewalls between 0·55 to 1·25 (1'10"- 4'2"). The external face of bottom slab
and sidewalls will be coated by a 6 mm ( 1/4") thick steel insulation and protec-
tion sheeting and the same will be applied Oll the roof. For the connection
between the sunk units the G INA beme-strip system will be used (cf. Fig. 6/307).
Tbe tunnel will provide for 6 vehicular traffic lanes (2 for trucks and lorries
and 4 for cars) and for two channels for ventilation purposes.
The eight R.C. caisson units will be cast in a mighty 650 m long (2150 ft) and
110 m (366 ft) wide foundation pit established from an adjacent harbour basin,
the inlet of which was temporaril y closed by a temporary locking (earth) dam.
The casting of the units is foreseen for 1971 in order to complete the whole
international motorway Flensburg- Hamburg till 1975.
The insulation of this type of tunnels was effected up to now mostly by an
external steel skin plating which offered also protection against eventual damages
during launching, floating and sinking operations. The fabrication of big even
surfaces by welding is bound however to considerable difficulties because of the
possible shringkage stresses and deformations. That is the reason why steel-
plate insulation will be substituted at an increasing rate by some kind of bituminous
or some other sort of soft insulation coating eventually dressed with a glassfibre
reinforcement.
Other remarkable rea lizations of this construction method are - among
others - in the Nertherlands: the Benelux tunnel in Rotterdam, the Coen tunnel ,
the Vel sen tunnel and the Jj tunnel in Amsterdam, the Deas-I sland tunnel (Van-
couver) and the Lafontaine tunnel (Montrea l) in Canada and the Tingstad
tunnel (Gothenburg) in Sweden . Whereas they are all built upon the same basic
principle, rather a large variation range ma y be observed in the size of the floated
units, in the coupling of their joints and in their embedment and support on the
river bottom . As to more detail s of these structures, reference is given to the re-
lated literature.
 SINKING METHODS OF FLOATING CA ISSONS 981

64.23. Bottom Support and Coupling Joints of Lowered Units

64.231. The floating units will be seated when sunk down either upon previously
constructed subaqueous bearing-blocks or embedded in a hydraulic upfill.
The bearing blocks are constructed either of tremie concrete in the previously
dredged trench (ef. Fig. 6/289) or placed as precast-cap-beams upon rows of sub-
aqueous piles (Fig. 6/297). This latter solution offers the possibility of eventual
anchorage against uplift and security against sliding.6 . llo

Soft cug

f)f!ns~ Sdnd

FIG. 6/291. Piled bearing seat for one section of the Jj-Tunnel Amsterdam
(by courtesy of Messrs COBIJT)

Bearing blocks were accomplished in a clever way in Cairo at the construction

of a subaqueous sewer-outfall,·l'. The units of the trunk-sewer of 10 ft-8" (3'2 m)
inner diameter were precast in 17 ft (5'1 m ) long units on the river emban kment
and then pretensioned into 186 ft (56 m) long sections. The appropriately stiffened
rigid formwork of the provided four bearing blocks was mounted already on
these precast sections before launching. When the floated sections were towed
to the site, the form work boxes were filled with the coarse aggregates and they
were sunk down into the previously dredged bottom trenches. Sinking was effect-
ed from pontoons resp. from shear-legs (Fig. 6/298) and when this was effected
the coarse aggregate placed in the formwork boxes was grouted subaqueously
by concrete-mortar and thus a safe and tight bearing seat was established. In
order of succession the connections were constructed between sections followed
by trench upfilling covered at bottom level by a rip-rap layer 6-8" (20 cm) thick,
offering protection against unwanted scour effects (Fig. 6/299).

6.11& SIMMONS, H ,: Dber die GrOndung und AusfGhrung des Ij-Tunnel s In Amsterdam .
Vortriige der BrlllgrundragulIg 1964 Berlin .
6 .120 Hochlief Essen : Bau cines Unterwasscrlunnel s in Kairo. Der Tie/bell 1966 ] I.
 CONSTRUCTION OF SU8AQUEOUS TUKKELS

,
- --<
FlO. 61298. Sinking equipment for a subaqueous scwer oUlfalltunncl in Cairo
(by courtcsy of Messrs Hoc hrief)

For the estahlishment of solid supports the usc of uJHo-date big bearing capac-
ity piles (Benoto, Bade, Salzgitter, etc.) is especially sui lable, because wilh their
big bearing values of some hund red Ions a relatively small numbe r can afford
the required support. Fix su pports are important for subaqueous sections lying
in a grade, where the possibility of sliding and displacement must be also consid-
ered. It is why Ihe 3)( 35 m (1 16 ft) long sections of the I; Iwmet (Amsterdam)
have been supponed in this way. The lowering, i.e. sinking of the units has been
also effected by the usc of pullcys anchored 10 thesc subaqllcolls supports (Fig.
6/300).

I "w,," ,,," !lJr ·C(l/rrtl.·

FlO. 6/299. Secti on of the sewer-outfall tUfl!1el after completed

iOinki ng and bottom co,'cr

Practice has shown however that most rectangular tunnel sections are flexible
enough to adjust themselves to eventual minor unequalities of the elastic embed-
ment (subgrade) wit hout getting unduly overstressed.
This is the reason why most fl oati ng caissons are seated on a fl ushed sand bed ·
'"
•

FIG. 6/301. Sand ftushini process wilh hyd r .... lic joets (Coe n [u nnel , A"'SI~rdarn)

conveyed by hydraulic jetting. This process is shown schemaliclI.lly in Fig. 6j301.

Occasionally a previous screeding of the trench bottom is also In asset to meet
bearing requirements. Special Sl.'reeding rigs are devised and used for this purpose:.
They can be efficient howeve r onl}' when not hung down from floating pontoons
bu t moved with a solid trestle or together with the caisson itself, which is however
exceptionally the case (cr. Fig, 6/ 302).
Exception is to be made in the cases. when the precast tunnel box sections have
got an e;o;cc ptional higb rigidity - 10 Qve rbridgc the span between the underwater
trestles - as that \Po'n the case of the Ij tunnel caiSSonS and of the bo~ section or
the liljeholmen tunne l.
64.232. The oth er problem requiring careful consideration and efficient solution
is constituted by the conception of a $Olid and watertight CQrl/wctiOll of coiss""
units after accomplished sinking and seating. A simple solmion for steel caissons
has been shown in Fig. 6/2S9 and also described there.
The $ide connections of the first R.C. caissons (e.g. in Rotte rd am) have been
accomplished in a similar way.
Into the vertical interlock.ing
recesses (grooves) of the cais-
1.,0"''': sons as sunk one beside the
other, a double stoel shoeting
(haunched steel plate or sheet-
pill:) has been inserted resp.
driven. The hollow space be-
tween the two steel shcctings
was tilled with tremie-concrete
(Fig. 6/303). This was follow-
ed by the immersion on the
top of tnc laterally closed spa-
ce of a floated pntumatic steel
Ftr.. 6/ 302. Scr«<lina 'rame of li>e R end ~burll lu nnet Working chamber within which
 ~INKI NG l'I[TlIOD5 or FLOATI NG CA I SSON~ 985

On",,, t/OUDk .1/"/

med pilr tQ/f

F IG. 6130). Subaqueous eonnectio ns or th~ §u nk u ni lS of the Maas tunnel, R. olleTdilin

the whole sprIlce could be dewatered and the permanent connections cast be-
tween roofs, sidewalls and invens of the twO neighbouring units. These items
were accompanied by the successive demolition of end-bulkhead walls.
These steel-sheeted connections are replaced today more and more by various
contacting ru bber-band stripes. Figure 6/ 304 shows one of these, where rubber
hoses of special section are fastened by bolts on the rim of one caisson's contaet-
face. Con necting operation begins with fitling the ru bber hose with water in order
to bring it to closecontotct wi th the groove of the steel-coven.:J rim of the previo usly
sunk unit . In order to establish a properly watenight contact between the faces
these were provided with hooks and clamp; which offered a possibility for divers
10 lighten theconlacl by transmitted pulley ropes. (Eventually hydraulic jacks may
be used for tltis purpose operated from inside.) The watenight conlacl thus esta b-
". CONSTRUCTION Of SU'''QU[(IUS TUNNELS

,,".-.- -

',' '.,'..
0
,
.'
, ,
>

FIG. 6fJ{)4. H~-Lik~ rubber stripes applied for the waterti,htneu of

in lt:r"$paces of the Tinptad tunnel

lished, water can be pumped OUI from the enclosed narrow interspace. Through
this manipulation however Ihe water pressure acting upon tin:: free end bulkhead
face of the newly sunk caisson unit, will not he counterbalanced any morc by the
wllter pressure acting on the o pposite bulkhead and the unilateral pressure wi ll
press the unit still more closely to the inlerspace increasing its watertightness
(see Fig. 6/3(5).
Afterwards the bulkhead walls may be broken through, towards the interspace
and a permanent connection may be built out from the inside. The first item is

FlO. 6/ JOS . Unilateral water pressure 1<.1'"11 on the free bulkhead fate or the last taisson unit
 SI'lKll'oO MlITlt005 op n .oATlNO CAISSONS 987

Flo. 6{J06. Final a rranaemo:n t or tho: conneclion belween units

usually to establish a welded joint between the steel profiles of Ihe conlact faces,
the second one is to cast a ci rcumferential R.C. rib anchored well into the caisson
walls (Fig. 6/306).
The rubber· hose interlocking bands are replaced more and mo re by special
composite ru bber band (GINA) utilized fi rst in the Netherlands for this purpose
(Fig. 6/307). The compressibility of the subsequent rubber layers is dilferent and
is chosen on the basis of experi ments wit h the scope
that adequate sealing should be attained under
initial small contact pressures as well as later under
the considuable compressio n due to the acting
hydrau lic head (eL Fig. 6/305) without impairing
the resistance of the band layers to any extent.
These baffle stri ps (bands) are fixcd on the outer
periphery of the contacting units a nd enclose ex-
tensive inward grooves which in turn - after the
completion of the previously described mani pula·
tion and p(:rfection of the welded connections -
will be provided wit h ra ther heavy reinforcement.
When suhscquent ly concreted these well-anchored fUrd,..Urr
composite circu mferential R. C. ribs will constitute FlO. 6/307. Profile of mutll-
the permanent connection of adequate rigidity and layen:d rubbcr·jnsutalion band
bearing capacity between caisson units. (GII"A)
'" roNSTIHlCTlON or SUBAQUEOUS TUI<ol'HS

t~n#uIIM-j',"1 With a view to increase the watertig ht

('/,ud ness of the joint , ru bber or plastic in -
sulation bands a rc also arra nged at sev-
eral places embedded in t he connecting
rib and in the groove faces respecti vely.
Combimuion possibilities a nd vano us
a rrangeme nts admitti ng bigger and
smaller dilatation movements are illus-
trated in Fig. 6{308. Through t he ap-
plication of nexible connectio ns ad-
mitting somc displacements, the st res-
r...INN. r dI.ph,,_t'/Il f#r dls,/I...",t,., I~
ses produced by uneven sup po rt or b y
.on ....
FI G. 6/308. Variou~ comhinat ,on5 of rubbe r temperat ure cha nges may be materially
bame boards and plaslic insulal io n bands reduced.
for inTerstices of va rious size At last, il must be noted that recentl y
Ihe Hooti ng caisson met hod has been
successfuly a pplied for the construction of some subaq ueo us .fub'K'Q)' tll/Ille/s
luo (c;:.g. Rollt:rdam). Special auention must be give n here 10 the structura l design
oflhe connections because or increased dynamic stresses and osci llations. A n en r-
Iier example to th is has been the construction or t he Liljeholmell flume! in Stock-
hol m where a 90 m (300 rt) u ni t ..... as com posed o f 3 x 30 m ( 100 rt) sections coupled
by p~stressing cables. T his unit was supported - when sunk down - by u nder-
water trestles. construc ted previously on the bottom of t he l lijeholmen Bay(F ig.
6j 3(9). Th is structu re rep~sents in fact a subaqueous bridge of recta ngular box

Detail •A# of subaqueo()s coupling

Flo . 6{3fH. Subaqueous su bway lunnc:1 anoss Uljcholmen Bay in Sloc:kholm
 SA FETY MEASURES 989

section , where prestressing played 3 ve ry important role also because of the utmost
importance of the crack-free stru ctural behaviour. 6 . 12l
The coupling of the two precast units was effected in floating condition (see
details of Fig. 6/309), special temporary stiffening steel guide beams being provided
to prevent relati ve displacements between the ends. In addition a precast collar-like
R.C. sleeve was formed a round the coupling as working space the joints of which
had to be properly sca led all around the perimeter. Then it could be pumped dry
a nd the final coupling effected.

6.5. SAFETY MEASURES AND HEALTH PROTECTION

IN TUNNELLING

6.51. SAFETY MEASURES

Tunnelling is inherentl y a hazardo us operat io n. The small working areas

available in headings or inside the shields, the wet or slippery working platforms,
floors a nd footings, the a rtificial and most often inadequate underground lighting,
unseen weaknesses in rocks, the treachero us loosened rock roofs, th e loading,
hauling and unloading of muck, coupling of cars and trains in limited space and
bad visibility as well as the operation of loading, hoisting, drilling and other machine
ry are all sources of accidents, apart from the danger in ha ndling and using
explosives.
Still, it can be stated that accident prevention is essentially a matter of good
organi za ti o n, as the percentage o f 'unavoidable' accidents arising from natural
catastrophes (e.g. those caused by sudden breakdown of grou nd , o r water and gas
inrushes, etc.) is comparatively small compared with the percentage of those
arising from negl igence, lack of order, tidiness or discipline.
Strict safety regulations and rules must, therefore, be laid down for each work-
ing place before the start of tunnelling operations, and these regulations must
be strictly obeyed. Permitted violation of any safety rule - no matter how slight -
nullifies the whole safety programme. Some of the most important safety measures
are detailed below:

I . All machines and tools are to be kept in proper and efficient conditi on.
2. Rerserve tools, constructi o n materials or machines must not be stored in
th e tunnel secti o ns.
3. Gangways and wo rking platforms must be maintained in solid and clean
cond itio n.

Technical Description of the Stockholm Underground Railway, 1964.

6.1:!1
PLANTEMA, G.: Tunnelbau der U-Bahn Rotterdam im Einschwimmverfahren. Rev. V .I.T.P.
1966 IS J .
990 SAFETY MEASURES AND HEALTH PROTECTION IN TUNNELLING

4. Working sites must be provided with efficient lighting, and electric wlfmg
should be properly insulated.
5. Telephone communication must be established between working places,
hoisting and lift stations, machine house and the works headquarters.
6. There are many circumstances from blasting'·J.22 to muck haulage which
conduce to accidents in excavation work. Mine cars must not be filled beyond
the provided clearance and above their safe bearing capacity as projecting tools,
pipes or machine parts can easily come into collision with supporting elements,
especially when hauled on uneven, rough tracks scaltered over with muck falling
from the overloaded cars. The coupling and uncoupling of cars and trains, as
well as runaway cars (jack-catches!) are all important sources of many accidents.
7. All elevators, lifting and hoisting machines and equipment must be designed
with a safety factor higher than usual to allow considerable overloadings. They
should not be operated without strict service instructions. The use of automatic
safety brakes and reliable signalling apparatus is, similarly, of the highest impor-
tance. Many serious accidents have occurred when hoisting was started before
the mine car or fixed in the cage.
8. The breakdown of rock or ground is a source of accident characteristic
of tunnelling. Therefore, the careful and frequent check of the roof, and the sides
as well as tbat of the tunnel supports is of primary importance. It is especially
important that the rock surfaces freshly exposed to blasting should be carefully
cleared from the loosened spalls or fragments and that the supporting elements
should be inspected frequently in order to detect possible deformations and breaks.
9. Proper protective clothing (steel helmet, rubber boots, working suits, goggles)
are essential requisites for successful accident prevention. The wearing of a proper
steel helmet is especially important as it will protect the head not only against
falling objects but also when colliding with props, caps, etc. Feet can be best
protected against falling objects, soaking and cold by waterproof and solid boots.
10. In tunnelling work a well-organized fire-fighting service, and its supply
with foam extinguishers, etc. cannot be dispensed with. Fires in sites under com-
pressed air are particularly liable to involve catastrophic consequences.

6.52. HEALTH PROTECTlON

Hygienic regulations relate, ,first of all, to the proper ventilation of the under-
ground working places already dealt with under Section 46.51. Suitable working
clothes (proper footwear and light, yet warm clothing suitable for protection against
rheumatic diseases which are easily caught in moist places and atmospberes)
are of simiJar importance. Still more important, perhaps, is the installation and
maintenance of warm shower-bath rooms, comfortable and clean dressing rooms,
rest rooms and lavatories at tunnelling sites.

6.1 ~ ~ Cf. Robbantas (Blasting), BdllyabizfollS(jgi Szabdlyzat V 2 1259.

 HEALTH PROTECTION 991

The special occu pationa l diseases of tunnelling, i.e. si licosis and caisson disease,
the latter of which resulls from working under compressed air, will be briefly
discussed below.

65.21. Silicosis

Silicosis is a serious pulmonary disease caused by prolonged exposure to high

concentrations of rock dust containing minute particles of silica (SiO,). Most
rock formations conta in silica; quartz is almost pure sil ica, and sandstones are
largely built up of silica. The silica dust particles cause fibrosis of the lung tissue
which so far is incurable and the progress of the disease often continues after
the victim is no longer exposed to the dust. According to physicians, silicosis is
caused by chemical processes which take place when the dust particles, less than
10 microns in diameter, react with the pulmonary lymph. The minimum expo-
sure time sufficient for the development of si licosis has not yet been determined.
It is, however, supposed to be somewhere about 3 years, de pending, of course,
also upon the slate of health and the liability to pulmonary diseases of the individu-
al. The symptoms of the disease wi ll only become manifest after 5- 6 years. The
blood passages in the lung will narrow due to cicatrization, as a result of which
the work of the heart is intolerably increased and finally leads to failure. The
causes of the disease cannot be eliminated, nor the disease cured, although its
symptoms can be alleviated, and the illness a lways terminates fatally .
.In moist air - thus, also, in tunnelling conditions - the silicosis hazard is less
dangerolls tban in dry atmospheres, such as in quarries, or stone-dresser shops,
i.e. in plants where the air is usuaUy dry and polluted with silicous dust. Tn Switzer-
land, for example, it is legally binding to report to the relevant authorities all
those activities where the quartz content of the air-borne dust exceeds 10 % by
weight, whether in the course of excavation, dressing, transport or utilization
of minerals. Jn such cases it is for the Accident Insurance Institute to decide
whether the plant is to be considered as imperilled by the silicosis hazard or not.
If so, the labourers employed there must undergo certain medical examinations,
whi le suitable labour-safety measures and equipment must be installed at the
plant (dust control, respirators, forced venti lation, spraying, moistening, wet
drilling or dressing, etc.)6.1t3
Of the methods used to control the dust from d~illing, the vacuum hood method
has proved satisfactory especiall y with the use of dry drills. The system consists
of a hood that fits around the steel drill at the rock face, from which a suction
hose leads all the dust created by the drill to separators and filters. With wet
drilling it is no longer considered sufficient for the prevention of silicosis, for the
microscopic dust particles responsible for the disease to espace with the water
stream.

G. I~3 Cf. Bd"yasztlli Lapok 1959 4- 5.

992 SAFETY MEASURES AND HEALTH PROTECTION IN TUNNELLING

The most effective dust control methods are water spraying the air-borne
dust and the use of wet and ventilation drilling. For example, in the construc-
tion of the Mont Blanc tunnel the dust in the working place appeared only as
a fine sludge.

65.22. Caisson Disease

In conjunction with tunnelling jibs a separate discussion of caisson disease

(decompression sickness) is justified, the work under compressed air in tunnelling
being of longer duration than work in bridge pier foundation jobs. While the latter
are usually completed in one or two months and, even when built in succession,
the overall time of their construction does not last longer than eighteen months,
in the course of which there are generally interim pauses, or, at least, the air
pressures applied will succesively vary between Jower and higher vaJues, tunnel-
ling jobs are mostly of a duration of many years with no pauses, and are usually
carried out under considerably higher air pressures. The common misgiving
that if the human organism is exposed to high air pressures for long, it will, sooner
or later, become exhausted and more susceptible to caisson disease, seems to
be fairly justifiable. This apprehension, however, was not supported by the experi-
ence obtained in the construction of the underground railway in Budapest. It
could, nevertheless, be stated tbat tbe specific number of cases of caisson disease:
B (i.e. the number of cases related to the number of decompressions: k) did sudden-
ly increase when the a ir pressure reached a value of [,7- [·8 atm (24-26 lbjin')
overpressure. This limit value could be clearly shown, e.g., in the year 1953 for
the 11 th working site, where this specific number was found to be Bjk % ~ 1·8 %
at an air pressure of 1·8 atm overpressure, immediately falling back to a value of
0'2- 0'4 % as soon as the air pressure was reduced to 1'5 atm. Or, e.g., in the
case of the 9th working site. where the value obtained for Bjk at an air pressure
of 0·7 atm overpressure was only 0, )5 %. At the same time the average value of
Bjk obtained in the year 1952 for an air pressure of 1·7 atm overpressure was
found to be 0·84 %. The same figures at the construction of the Clyde tunnel in
Glasgow were 0· 18 % and 0'33--{)'92 % respectively. Accordingly, in tunnelling
work an attempt should be made to ensure that the air pressure applied should,
wherever possible, not exceed 1·7 atm (24 Ibjin') overpressure. Thus, it is far better
to carry out the work under an air pressure lower than that required for full de-
watering at the bottom level of the tunnel - so also reducing the risk of dangerous
blow-outs due to unbalanced pressure - and to apply air pressures equal to the
water head at the axis or springline level of the tunnel depending upon the critical
height differrence which would make soil particles also flow with the entering
groundwater. Thus, in larger diameter tunnels air pressures some tenths of an
atm lower than required at bottom level may be applied (cf. Fig. 6j 214).
Medical statistics made at various tunnels driven under compressed air indicate
in general a range between 0·7 to 1·5 % of caisson deseases per decompressions.
 Hr~L'H PRQT~~

The incidence of sickness is. gencrJ.lly, not influenced by the seasons or by

climatic facto rs and wellther condi tions. According to A merkall reports, however.
the specific number of cases of caisson disease (bends) varied according to the
day or the week. For example. during the construction of the Queens- Mrdto\\o"
tunnel 1.1:1 it was high~t on Sundl1Ys (0·4%) and 10w~1 on Mondays (O·'2},.>
and this lauer percentage increased successively from Monday to Saturday up
to0-2%. The first va lue (for Sunday) can be asc ribed to fatigue caused by Saturday
entertainments. while the last \'alue (for SaturdllY) must be Bu ribu tcd to fa tigue
caused by the whole wet:k's labour. According to American regulations, the longesl
permissible uninte rrupted working time under compre~d air is 4 hours. With
increasing [lir pressure. thc worki ng time must be reduced and the tullC of rest
increased according to the table below.

"'ir PmI,un:

,. .,
{111m
ovcrpressurcl 0'00- 1·26 1·26-1·8 4 t'H4- 2·31 2·)1 - 2'66 2-(.6-3-<11 )·Ot - )·)6 )')6- J-SO
Wor~ inl
(ho u",)
lilnr
,., l" z. ,., .n
Time or nm
(hours)
Workin. hours
.,.. l"
,.
,.,
2•
,.,
,., ,.
6. 6'"
.n .,
"0

11 is bencficilll to vary Ihe rate or decom pression as follows: fo r ai r pressures

of 0- 1·05 atm overpressure it must be. at most, 0·21 atm/m in ; for [·03- 1·4atm
overpressure 0·14 [llln/min: for 1·4 2·[ atm overpressure 0-105 atm/min and for
air pressures e~ceedjng 2·1 atm overpressure 0-07 atm/mm, The so-aliled 'slage
de<:om pression' has also been applied where the overpressure is reduced to half
its value at a higher rate of decompression (0-35 atm /min) using the remarndcr of
the prescribed dceompression li me for the reduction of the rest of the over-
pressure to atmospheric pressure at a constant. muen lower ra te of decom-
pression.
The use of two air chambers, i.e. or double bulkheads has proved beneficial
in practice. Medical investigations ha~c also shown that the usc of oxygen while
under decompression accelerates the desatufIIlion of exccss nitrogen from the
body fluids and tissues. As a by-product of the o)(ygcn breathi ng tests conducted
on the Queens- Mid town tunnel .....ork the use of helium - oxygen mixtures for the
alleviation of car blockage was also de~eloped su~s rull y. A comparison of
the percentages of types of symptoms on several tunnels in Ncw York as indie-J.ted
by the table below shows fair agreement with experience gained in the construc-
tion of the Budapest underground.

,.,0. Sll>o(;STAD.0 .: The Quecns- Midro ..... n tunMI. TraIlS. Am. Sot". Cili. DtsI. t944 t09
619-162. cr. Q\SO : H A)(TO,; aod WHirl : O:mMructiona\ Problems or the Clyde TunneL PnK.
bul. Gi,'. Ettg. 19M Febr. 337.
994 SAFETY M EASUR ES AND HEALTH PROTECTION IN TUNNELLING

As the joinls, fibrous tissues and fals of the body (which have poorer circulation
than other parts of the body) desaturate more slowly during decompression,
this accounts for the high percentage of symptoms which are classified as various
localized pains in the body.

Sympto ms
Buda pest N ew Yo rk Glusao w
( %) t %) ( X)

Localized pain s In the joint s and limbs I 93 89-4 85

Localized pain s in the trunk 1'7 0'2
Pains in the central nervou s system
and the head 2'2 2'7
L ocali zed pain s in the vertebra 5'2 7'3 8'0
Choking 0'9 0'1
Uncomciou sness (collapse) 0' 1 0'2 4'0

Jt can be stated in general that the number of cases of decompression diseases

decreases considerably when a smaller number of more skilled and disciplined
workmen are employed.
Some discouraging observations were made recently with workmen exposed
to compressed air for a longer duration (i.e. for several years). It is namely the
postsyrnptom of bOlle necrosis which was detected occasionally after a couple of
years at patients and which must be attributed to higher pressures. According
to certain sources it may effect even 10- 20 % of the workmen inflicting very serious
and unhealable disabilities upon them (cf. Section 63.24). Therefore a certain
tendency is gradually coming to prevalence that preference must be given to chemi-
cal consolidation by grouting, to well-point dewatering and to artificial freezing
in order to avoid the dangerous ha zards of this illness.
Special precautionary measures are necessary against/ire hazard in all tunnelling
sites under compressed air because of its higher oxygen-content. It is advised that
this limit normally lying at 20 % shou ld not exceed 30 % in any case and the excess
is to be removed by some special mechanical device. Special attention is to be
given to decompression chambers in air locks where oxygen inhalation is pro-
vided. Accident prevention regulations prescribe a lso that the voltage of all electri-
cal wiring. machinery, lighting etc. in all chambers or sites under compressed air
should be limited at 24 V to 42 V, because of fire and explosion hazards.
When boring and blasting manipulations are unavoidable, the following addi-
tional safety measures should be required (according to APEL,·I24):
Exclusive use-wash-boring. Horizontally advanced exploration borings in mixed
ground to fix the transition zones from rock to soil etc. Blastjng with induction-
spark lighter and with explosives suited to wet holes only. Ignition is to be triggered
from outside only. Broadcast and Television cameras must be placed at a definite

(I. l~!l APEL, F . W. : Tunnel mit Schildvortrieb. Werner Verlag, Dusseldorf, 1968.
 "'
distance from the face depending on their capacity (e.g. 450 m "" 1500 ft al 1500-
SOOO W).
Laser beams :lpphcd e~cntually for shield-steering purposes must be temporarily
disconnected. Slor.!.ge of explosives. igniters In tUll llels. shafts orcai5sons are striclly
prohibited. Earthing requiremen ts must be strictly cared for.
When liny lind of \\~Iding or colling by a flame-I orch is effected a man muSI
stand in alarm walch at Ihe fire-figthing equipment. Beyond an o~crpressure of
1-0 aIm (14 psi) no acetylene should be brought inlo the working chamber III all.
In case of any blllslmg, specia l means ofanificial ventilation should be cu red for
In order 10 keep the noxious gas contents below Ihc followin g limits:

co 0-505 y'
CO, 0-5 %
NO~ 0-0005 %
CH, o· 25 ~.~
II,S - .....
Q.()(), ...

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budowlc podzemne, po lish) Arkady, Wlrszawa, 1970
Studio i projekTY M elra w Warsz{lwie 1928- 1958. Wydanjctwo "Arkady", Warsza wa 1962
SWIDA , H . ( 1959) : Vorgespannte Druck stollen, Balilechnik 4
SZECHY , K . ( 1958): Der Bau der ncucn Budapester Untergrundbahn, Ost. II/gel/ieur Z.
SZECHY, K. (1967): Besonderheiten beim Bau der neuen Untergrundbahn in Budapest, OSI.
Illgenieur Z . 4
THOMSON, J . C. (1967): Horizontal Earth Bo ring, Proc. /IIsl . of Ciu. Ellg., London , April
TUMA NS, F. (1965): De E·3, Antwerpeo-Stad en Haven, E·Slrade. Antwerpen, 31
VAJDA, B. (1959): Tunnelausbau in bedingt sl andfestem Gebirge, Raupl. Baut. 1959, 3
Vdlogaloll /ejezetek liZ alagllf(ipiuis es bcinydszati melyepltes kiin!b61 (Selected chapters from
lunnelling and mining con struction). Muszak i Kiad6, Budapest 1952
VRETBLAD, E. ( 1959): Tunnelbanebro under Liljeholmesv ike n (Tunnel con struction under
Liljeholmen Bay), Teknisk Tidsknft 13
VKETBLAD. E. et al. (1962): Vom Weileren Ausbau der Stockholmcr Untergrundbahn. Die
Balllecllllik 2
WAG NE R, H . (1963) : Vortriebsmasc hinen im Tunnelbau . Baulechl/ik, 7
WASSMUTH, H. G . (1968): Entwurf, Bau und Betrieb des Wallringtunnel s in Hamburg. Der
BauillgeJlieur, Oc t.
WIEDEMAN N, R. (1947) : StollenballteJl ill der nelluillichell TW/ll e/blllll ecfmik. W . Ernst, Berlin
ZANOSKAR, W . (1947 u. 1964) : Stollell- 1111(1 TUllllelball. Springer Verlag, Vienna
 .. , .:

,
. .
L I
'. I ,
.1/, .. ,
,'

,\ .'.
i1"'iJ.->
", '.> till·; ;

,. .~~ ,
, ,
,

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, , " J .... ., , ,
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 CHAPTER 7

SERVICE, OPERATION AND MAINTENANCE

OF TUNNELS

GeneraIJy speaking, all tunnels are rather special and delicate types of structures
from the point of view of design as well as of construction. Because of restricted
clearances, poor visibility and the continuous destructive action of natural forces
there is special need for careful maintenance, regular inspection and rather compre-
hensive renovation and reconstruction.

7.1. ORGANIZATION AND RESPONSIBILITIES

OF MAINTENANCE AND SERVICE DEPARTMENTS

The problems of tunnel maintenance may be divided into two groups: such
as those concerned with the track or pavement and the others relative to the tunnel
lining. While this differentiation entirely suits real railway tunnels'" (particularly
subways), it is less fitting for highway tunnels and is practically inapplicable
to navigational and service tunnels.
Here are the main aspects relating to the maintenance of railway tunnels :

l. Regular inspection of the tunnel shape, dimensions and clearances ;

2. Inspection and maintenance of the drainage system, waterproofing and track;
3. Regular inspection of the condition of the tunnel lining (freezing, corrosion
by fumes and water, weathering, leaching, cracks, deformations etc).

7.11. INSPECTION OF THE SHAPE OF THE TUNNEL

The shape of the tunnel is usually checked by mechanical or, more recently,
by optical measurements, using the centre line of the track as reference line.
A special carriage with an adjustable platform and telescopic clearance arms
can be used to measure the coordinates x and y, as illustrated in Fig. 7/ 1. As an

Die neueren Verfahren der Tunnelunterhaltung, £jsellbahntechllische Rill/d·

1. 1 BIRKEL. :
schall 1959 223.
1(100

/- --- al ternative the measu rements ca n also

be taken from a movi ng sca ffold,
/ provided that t he latte r IS sufliciently
"/ rigi d and the track is in a solid cond i-
tio n, i.c. that the posi tion wil h reference
to t hecenlre line of t he tu nnel is known
and well esta blished.
The com pleted sect ions o f t he Buda-
pest Subway were checked every J 3 rt
from a special scaffold. T he di mensio n s
unoa observation consisted of the
dis tances fro m t he centre of the sed ion
10 t he ends of the vertical. horizontal
and 4 5~ dia meter. The res ults wcrc
FIG. 7/ 1. Carriall'!" with I:ross-scclioning ploned to scale and s u~ rim posed on
frn~
the clearance diagra m so Ihat a ny
inaccuracies of const ruc tion could be
obser ved at a gla nce. A ll t his was do ne
wi th a dra wing board , a bout 24" x 3r,
mo un lt:d o n th e fra mewo rk illust rated
in Fig. 7/2 and set up in the p la ne of
t he s«tion to be c hecke d. T he pla ne it -
self was determ ined by a e hal k line
between t he two ends of the horizo n-
8 ta l di amete r, usi ng a level to sct Ihe
board in a vertical position.
T he board itself a nd t he sheet of
paper on it should be posit ioned near
the 3}IIS o f {he t unnel; the point of
inlersectio n of t hc latter on t he sheet
can be determ ined as fo llows. T he
theodo lite is set up over the nea rest
FIG. 7/2. C rOU-SCCl ionlllll frame l,I$<'d in station and backsighted to the o n e
the Huda~1 Subway before. Wit h Ihe upper pl ute clamped,
the telescope is t urned abou t t he
hori70ntlll IIxis a nd a poi nl is d irected on IlIIe o n the sheet. Now the upper plate is
t urned 10 backsight aga in 10 Ihe stalion before, Ihe telescope is turned again and
anothe r point is ma rked on the sheet. If Ihe two marks d o not coincide. then the
ha lf way between them is to be accepted as the o ne req uired . A ve rt ica l line is
draw n next wit h t he lIid of II Icvcl through this point and the axis (0) IS determined
an d mar ked using a level and a levelling rod . T his is followed by mnrki ng th e
ho ri.wntal. vertical and 45° d iameters on Ihe sheet.
With o ne end, of the ta pe held at point O. the d istance5 can be measured nlong
the ma rked diamete rs to poinls Bt J, At F, t, 2, 3, and 4, respectively.
 INSPECTION OF THE SHAPE OF TIlE TUNS£L 100 1

FlO. 7)3. Cross_sectioning wilh

projected li,hl

In the \10scow Subway as well as in some western European subways the

fixed frame is substituted by feeler swinging arms and teiescopi(: rods.H
A ~lIer degree of accur.ICY can be achieved with the optical clearance diagram
projector, developed recently, 'l·~ This projt'ctor IS cyli nd rical and emits II band
of light (d wide) all arou nd , clearly out lining the tunnel lining in that particular
section , This image can be photogrdphed with a canlera, mounted concentrica lly
with, and at a certain distance from, the projector. A reference distance of known
length should also be photographed on the same picture so that the outline of
the tu nnel lining can be eVllluatcd precisely with rerert'nce to the axis or thc projec-
tor and the camera. (Fig. 713 indicates an enlarged detail of the St:(:lion enclosed
in the square inset.) For best results and sharpest pictures the width of the light
hand, (I. shou ld no t exceed 1/1 00 of Ihe radiu~ of the section. This procedure
can be developed. readily inlo a quick method for checking and comparing II num-
ber of sections, provided that the rchllive position of the track and the carriage
is fixed with refere nce to the tunnd axis. In practice, the ac(:uracy of this met hod
has been shown to be aboUl 1 / 1 6'~ 1 / 8 ' ,
A special type of instrument has been designed in the Soviet Union for measur-
ing the projected line on a trigonometrical basis,7.., This instrument consists
of a re ... olving horizontal aJlis mounted on an upper plate with foot screws. At one
end of the horizontal axis and perpendicular to it there is a fixed telescope ..... it h a
built-in light; at the other end there is another telescope which can be turned in
a plane passing thro ugh the fill.ed telescope and parallel 10 the horizontal axis.
The distance between the t"'O telescopes (II) is the base length. The point projected
on the lining by the fixed tdescope is to be sighted on by the second one; by

, . KOPPENW ... I r " :R, F.: Lichtschnill J>rolilm~s,.m. In Siollen, Gt'ologif lind 8oU"'4'5I'n
1959 2S f.
'" Transport"uir S/(O/I . 19S9 and &Juurilllik 1960 is 222.
r. o MI"'IS, \'. I.: Pribor dtya pro"C'rki pbarilnosli lunnclci (Device for mcasurin& Ihe
clearance of tunnets) TrOnSpDrlnoie Sirail. 19S9 I.
/002 Mo\.lNTr.>;A~C[ AND S£klllCE \)~PARTMENTS

, FIG. 1/4. Oplitul cros~5tCtioning

a 1rillonomctri<:a1 basis
on

reading Ihe vertical a ngle the ordinate Q can be calculated from e - A Ian y
( Fig. 7/4). T o cOlier (he entire section t he horizontal axis has to be li ned up wilh
Ihe tun nel and t he first (projecting) telescope has to be tu rned about the hori -
zontal axis ; each point so projccted has 10 be sighted on by the sti;ond lelescopc
and the pola r coordinates of each point can then be calculated from t he recorded
angle.
Deformations of the lining, and particularly the develop ment of such d eforma-
tio ns as a functio n of ti me will provide va lua ble info rmation on the forces act ing
on the lini ng and o n the resistance o f the latter, even th ough the pictu re is often
distorted by inaccuracies in r.:onslruc tio n. This, or course, is another reason for
starling the measurements immediately a fte r constr uction a nd ror k~ping up
this practice over a long period o f lime.

7. 12. tl'"SPECTtON OF THE TRA CK UH At NAGE AND I~S U LATtON

The condition or the tracl: as well as the waterproofing and drainage system
should be checked regularly in order to dete<:t any discoloratio n of the walls. I:o n -
densed water. waler seep ing through t he joints, efflorescence and corrosion. It is
part icu larly important that the (;omponenis or t he d ra ina ge system, such as tht!
su bUrains, drop dra ins ond tatemls be c hecked reguhHl y fo r silting, cloggi ng
and c racking.

71.11. Inspe<'lion of tlte Tracks

The ins pection or the tra cks should include a c heck o n the rails and ballast:
;t should a lso detect any d islor.:afions tha i may have occu rred in the Irar.:k layout .
This is particularly important not o nl y because tracks and rai ls have been observe d
to ",caT faster in t unnels t han o n the surface (see Section 72.18) but also bec-.wsc
o f t he heavier losses suffered ir trai ns a re derailed in t unnels. Since broken ra ils
 INSI'[CTI01'- 01' THE TIlACK UIl.AI NAG! A1'-O IMtJl.AllON 100)

can be the sou rces of disastrous accidcnts. the inspection of connections. fa Sten-
ings a nd the general condition of the roils should be carried oul with exceptional
care. For this reason and because of poor visibility it is not sufficicnt to have dail y
ro uline insptttion runs but the cond ition of the fa ils should be checked by tapping
as wcll. a nd special mi rrors should be used to facili tate inspection fro m undernea th .
In add ition to this, the gauge of the track and the soundness of the rails in sub-
ways ha ve 10 be c hecked WIt h spttial cars (defectoswpes) about twicc a mon th .
The ho rizontal fi nd vertical alignment also has to be checked for d islocations,
bumps and sags. In the case of subways this also applies to the third fili I (power
rail). The positions of the tracb should be checked wil h reference to a fixed nct-
work tied into the walls and this should be done at closer intervals along curved
sections tha n on straight ones.

71.22. Inspection in the Budlpest SUbWllY

In the Budapest Subway the laying and inspection of the tracks a rc carried o ut
on the followi ng basis:
As men tioned earlier (Section 5·2 1), a geodetic netwo rk and coordinate system
must be already available when the tunnels and str uc tures are being designcd
and laid out. The layi ng oftrncks has to be done with great precision, parti!;ularly
on cuncd sections. because the smooth movement of the trains at high speeds
dep;:nds partly on the precise laying of the tracks.
Because the act ual layout of the tunnel will al W'dYs differ fro m thc design even
with the utmost care in su rveying and in construction, the final layou t of the trac ks
ca n onl y be dete rml11ed after precise cross-sectioni ng of the actual tunnel has
Deen completed (Section 7.1 1). In the design the curved and ta ngent sections of
the track alignment are given in the form or equations with rcference to the gt:odetic
coordina te sySte m.
While the tunnel is being cross·sectioned a reference point network has to be
established fro m which the tracks can be laid out and checked rcgularl y late r
while the tunnel is in service. This ne two rk can be marked with metal plugs
(screw spikes) embedded in the concrete lining in opposite posit ions and at equal
heights, about every 50-70 ft, with a 1/ 16- hole marking the reference poin t
itself. Such pomts must be referenced by orthogonal coordinatcs to an underg rou nd
traverse, whic h in tu rn should be tied in precisely into the coordi na te system of
the surface triangula tion net (Fig. 7/ 5). For each point the offset fro m the unde r·
, J

Fro. 1/5. Rcfercncin& the eom pTctcd tunnet for lrack til)OU~
1004 MAINTENANCE AND SERVICE DEPARTMENTS

ground traverse should be determined with a transi t set up over one of the adjacent
stations and lined up with the traverse leg in question ; the distance can be read
direct ly by the instrument on the tape. Tbe latter should be under sufficient pull
and moved slowly back and forth to enable the observer to take the minimum
reading pertaining to the distance at right angles.
The accuracy of this operation can be improved by measuring the distances
between opposite markers and, wi th the ordinates left unchanged, adjusting the
abscissae as follows :
°
Let Ott 2• 0 3 and 0 .1 denote the abscissae of points 1, 2, 3 and 4, respectively
(Fig. 7/ 5), with the respective ordinates b b" b 3 and b, and wilh S12 and s,.
" reference poi nts. Thus
denoting the distances between the respective

0, - 0, = )s;, - (b, - b,)'. (7.1)

I n most cases
0, - oJ ~ (0,) - (0,) , (7.2)

where (aJ and (a,) = the measured distances.

Introducing Llo as the difference between the two differences we get the adjust-
ed a bscissae as

0, = (0,) + Lin. (7.3)

0, = (0,) + Ll a
2
f
In Eq. 7.3. the sign of OJ is positive and that of a, is negative (Fig. 7/ 5) if

and is reversed if

If tbe coordinates are calculated with the adjusted abscissae then the calculated
distances will alway agree with those actually measured.
Once the coordinates of the reference points have been determined, the points
of intersections of the tunnel axis with the lines between opposite markers can
be calculated and actually laid out.
While the reference points are being measured in, the other characteristic
points (columns, platform corners, etc.) are a lso to be included in the measure-
ments, although not necessa rily to the sa me degree of accuracy.

7.13. INSPECTION AND MAI NTENANCE OF LlI'H NG AND TRACKS

The inspection and maintenance of the tunnel lining and the tracks are usually
done together. In the case of the Moscow Subway, however, they were separated
because of the particular importance of the matter. The main object of the lining
 INSPECTION AND MAINTENANCE OF LINING AND TRACKS 100S

inspection IS to detect any spalling, deterioration of joints, wet spots, cracks,

leaching and to determine their spread and also to correct any distortions and
deformations that may have been found . It is most important that the formation
of cracks be checked and followed through regular inspection. Such cracks are
most likely to develop with changes either in the wall thickness or in the external
loads. The most sensitive points are the portals and the recesses in the linings.
Changes in external loads may be caused by the physical properties of the soil
as well as by abrupt changes in the formation of the surface ground (steps).
Cracks caused by changes in the loads or in the cross-section are perpendicular
to the tunnel axis. Similar transverse cracks will appear as a result of uneven
longitudinal support if the tunnel is passing through different layers that are
perpendicular to its axis. On the other hand, longitudinal cracks, i.e. those running
parallel to the axis, can be traced to inadequate load-bearing capacity of the tunnel
section. Cracks of this type usually appear along the crown or the spring line.
The immediate cause, of course, is either an excessive load condition (not allowed
for in the design) or unexpected bearing conditions. The walls, for example,
may have moved outward either because of the low coefficient of subgrade reaction
of the surrounding ground or because of voids left between the walls and the
excavated rock face in the course of construction. This is certainly the cause of
cracks showing a widening trend toward the intrados. In the opposite case the
walls must have yield under excessive lateral pressures, which can also be mani-
fested by cracks along the spring line widening toward the inside. (The cause can
also be the lack of an inverted arch.) Cracks may a lso develop along the bottom
of the walls, being an indication of foundation settlements. Vertical movements
in general do not cause cracks unless they are uneven, in which case the cracks
are diagonal in direction and are relatively minor.
The above causes may result in quite a number of cracks running parallel to
the centre line of the track. Short cracks are an indication of local overstress and/or
flaws in the lining material or deficiencies in workmanship. In fact these erratic
and local cracks may be caused by a wide variety of causes (water table, frost,
smoke, draft, etc.)
.It is very important to know whether the size of the cracks is increasing or
not. For this purpose the ends of the cracks should be marked and any increase
in width shou ld be measured between markers (metal insets, wooden plugs)
embedded in the wall on either side of the crack. Minor cracks can also be pasted
over with a piece of glass or plaster. By observing the distance between the markers
regularly the widening, 'breath ing', of the cracks can be plotted as a function
of time.
If the crack has ceased to show any signs of increase it should be closed in
order to avoid damage caused by air or water. It shou ld be chiselled out and
filled with good quality mortar (shotcrete) in such a manner as to ensure that
it will stick (dovetail shape, wire-mesh anchorage etc.). Should the crack
continue to increase, the cause should be cleared and remedial measures taken
accordingly.
1006 MAINTENANCE AND SERVI CE DEPARTMENTS

In addition to checking deformations and wall movements inspection should

a lso be extended to detect cavities behind the lining. In the case of thin sections,
this can be done by tapping o n each stone or o n every square yard of monolithic
lining.
A muffled, hollow sound is a lways an indication of a hole behind the wall.
In the case of heavy sections, tapping is not feasible and such sections have to be
checked by means of dynamic, electric instruments or radioactive isotopes similar
to those used in the investigation of soi ls. The cavities so discovered ha ve to be
marked on the wall for further observations and/ or repair. It is commonly known
that holes behind the walls are detrimental , not only because of the loss of compo-
site action with the surrounding ground, but also because of the resulting erosive
action of groundwater and the spread of weathering, all of which may cause entire
blocks of rock to separate and add to the loads on the lining as well as to further
enlarge the cavity itself.
With linings consisting of cast-iron segments it is usuall y su fficient to tap on
them and to check on the grouting holes. The amount of water discharging afler
removal of the plugs from these holes should give an idea of the size of the back·
space (cavity), the direction and maximum dimensions of which can be explored
with a piece of test wire.
The maintenance and cleaning of the benches, decorative tiles and of the entire
station area also have to be provided for. In the Moscow Subway regular cleaning
is effected by special mechanical brushes within the stations and by hosing be-
tween the stations.

7.14. ORGANIZATION OF MAINTENANCE SERVI CES

The organization of maintenance services is bound to be more elaborate in

subway syslems which form an interconnected tunnel network oft ell hundreds
of miles long, than in single railway or highway tunnels where such service is
necessarily only a branch of the general track or highway maintenance and where
Jess special attention can be given to all the aspects of maintenance of the tunnel
sections. 1n subways, the mai ntenance of the tracks as well as that of the tunnel
itself is divided into sections, centered around the stations and/or storage and
maintenance yards. Materials and small working tools can be stored under the
platforms of the stations (Fig. 6/270); small offices can also be housed within
the stations. Storage yards usually have their own workshop and also accommo-
date the heavier machinery, equipment and instruments.
Another item to be mentioned here is the importance of fire stations and heavy-
duty fire extinguishers which shou ld always be kept ready for use. The danger
of sparks generated by electric subway trains combined with dust, oil, various
electric cables and ties soaked in grease and oil represents a constant fire hazard
and requires alertness and preventive safety measures.
 STORAGE OF MAINTENANCE EQU IPM ENT 1007

7.15. STORAGE OF MAINTENANCE EQUIPMENT

Maintenance materials and equipment are stored in various utility and service
rooms which may also accommodate pumping stations, venti lation plant, lighting
and power plants, etc. Other premises, servi ng passengers and traffic in general,
and housing mechanical equipment have been dealt with earlier in Section 63.34.

7.2. DETERIORATION AND REPAIR OF TUNNELS

Because of the importance of railway in tran sportation and because of the

practical limitati ons on maximum gradients most of the tunnels exist ing tod3Y
are railway tunnels, built in the latter half of the past century, i.e. during the boom
period in railway constructi on. This also means that most of our tunnels are
just about 100 years old, a span of time long enough to warrant the reconstruction
of a lmost any type of engineering stru cture. fn tbe case of bridges, factory buildings
and other structu res the need for reconstruction comes with increased loads
and traffic for the most part, although it may also be warranted by other reasons
such as fatigue of materials, weathering and other forms of decay. As rar as
tunnels are concerned the increases are rarely in the volume of traffic, but rather
in additional clearance requirements (electrification, second track). Jncreases in
natural loads are more common (ground pressure) but are still less significant
than the destructive agents of weathering and the inadequate strength and resist-
ance of old building materials.
As tbe development of railway networks may well be regarded as being complete
in Europe as well as in North America, and because of the world-wide reduction
in the rate of construction of new railways, it is safe to say that the main problem
with rai lway tunnels is not concerned with the construct ion of new ones but rather
with the remodelling o r reconstruction of old ones. As far as navigationa l tunnels
and aqueducts are concerned, however, the situation is different as most of these
are being built at the present time. The same goes for highway and subway tunnels,
both of which have been started fairly recently and both of which are sti ll far
from being fully developed. In these cases, then , the problems of new construction
outweigh those concerned with reconstruction. We enjoy today, of course, the
benefits of better and more durable construction materials and the benefits of
the experience derived from the construction of the older railway tunnels. All
these factors have mu ch to contribute when it comes to arresting and retarding
natural deterioration.
In his review of the existing railway tunnels in Germany'" BIRKEL arrives at
the conclusion Ihat all these tunnels - unless they have been repaired at least
once already - are in poor condition to a larger or lesser extent. Actually the same
is true for any other cou ntry. This is why most tunnels to be dealt with in the
following section will be railway tunnels.
1.5 BIRKEL, F.: Gegenwarlsaufgaben im Tunnelbau. £isellbah"tecllllische RlIl1dsclrau 1952
Dec.
1008 DETERIORATION AND REPAIR OF TUNNELS

7.21. CAUSES OF DETERIORATION OF TUNNELS

The causes of the deterioration of tunnels can partly be traced to passive ones
such as poor building materials and construction methods and partly to active
ones such as the external loads. Practically speaking, the two groups cannot be
separated as clearly as that, because the active causes also affect the weathering
or building materials and in the final analysis the resulting deterioration is a prod-
uct or the effects of both groups.

72.11. Deterioration due to Defective Materials and Workmanship

One of the most important causes is improper excavation. loosening up extensive

areas in the surrouding ground, prolonging the consolidation period and also
opening the way to the erosive action of groundwater (excessive blasting, improper
temporary supports, etc.) Next in order are the old building materials of inferior
strength and durability, affording less resistance to the forces of nature. Materials
of this type include the brick, soft sandstone, limestone with marl, slate, certain
types of cement, plaster made with lime, impervious plaster and waterproofing
sheets containing organic fibre materials subject to decay. These materials have
much lower resistance to water, frost, smoke and atmospheric pollution than
have the modern high-strength and well-compacted concrete, mortars made with
Portland cement, waterproof coatings and plastic ·and foil waterproofing. This
is why old tunnels deteriorate to a much larger extent than do their modern
counterparts. Poor construction methods also have a part in this ; in the old days,
tunnel linings were not built right up against lhe excavated ground face but
were separated from il by loose backpacking that was poorly grouted or lert
ungrouted. Another factor is poor workmanship, particularly common in the
superficial application of mortar between lining blocks, resulting in poor embed-
ment.

72.12. Deterioration Caused by Water

The active causes and the effect of water in particular are more important as
they damage the lunnel in more than one way. Groundwater will stream towards
the tunnel like to a subdrain and meanwhile will have a number of mechanical
effecls such as wash-outs and silting up drainage system, enlarging the holes
behind the lining and loosening the surrounding ground. It will also dissolve
certain chemicals: its carbonate and chloride content will attack concrete and
melal members, its sulphate content will be detrimental 10 concrete and to the
cement mortar in the joints. Even clean, unpolluted waler is bound to dissolve
the lime of mortar and concrete. The most severe damages, however, are those
due to physical effects. The first of these is rrosl and the bursting action tbat goes
with it (Fig. 7/6). The water resulting in frosl or ice action may come not only
 CAU5E.'l or Dm~JOUTION Of TUNNEUi 1009

Fl(;. 7(6. klcl« in & lunn~1

from leaching through the jOints. and through the li ning itself. but also from
condensallon wa ter (natural humidity as well as that caused by Steam locomot ives).
Short tunnels, and particularly the \icinity of portals are most liable to suffer
from frost. It has btc:n observed that tunnels running parallel to Ull easterly o r
no rtherly 'lind di rection will experience the heaviest frost dumage. Frost will
affect Ihe railway ITltcb II~ ,,<:11, partly through the formliliun of icicles (water
dripping on the rails and freezing up) and partly through freezing the ballasl.
All this may lead to broken rails and derailed trains. The frozen ba llas t is less
elastic and creates unpred ictllble Ulle\en support conditions "hkh may cause
the rails to bre.'ll.:.
Another physical hazard '"aused by water lies in the saturation of the s urro und-
ing cohesive materials accompanied by a reduction in strength and an increase
in compressibility. For example. the softening of the ground under the walls may
lead to excessive settlements, lilting towards the inside and cracking in the arch.
If, (or example. th is softening occurs in a tunnel with no inverted arch. the plastic
day may be pushed frorn under the walls Into the ballast and may dangerously
impair it.q strength and elasticity.
1010 DETERIORATION AN D REPAIR OF TUNNELS

72.13. Damage Caused by Smoke

Smoke 7 . 6 also can be a source of damage but is less dangerous than water and,
in fact, would have to be accompanied by water to be dangerous. The sulphur
dioxide in the smoke will form sulphuric acid with water, and this is aggressive
to cement and lime. This effect, however, has been observed to be of little danger
and to be confined to the surface. Old mortar made with lime, for example, was
affected only to a depth of a few centimetres and the same effect was only a matter
of millimetres in the case of cement mortar. Slightly more extensive scaling was
observed on relatively soft limestone and sandstone. whereas the change in the
structure of vitrified brick and shotcrete was limited to I or 2 mm only. Stones
with a dense structure are not affected by the sulphates at all . The reason for this
lies partly in the relatively short length (a few hundred yards) of the majority
of tunnels, where natural ventilation is very effective. In frost-susceptible materials
the effect of smoke combined with frost is more destructive and can penetrate
to greater depths. In any case smoke is more dangerous to iron components
because it greatly accelerates the corrosion of iron in the damp atmosphere. In
the case of cracks in the concrete cover this will also apply to reinforcing steel.
The corrosion of reinforcing steel, in turn, will result in more extensive concrete
spalling through expansion and this is bound to intensify.

72. I 4. Damage Due to Atmospheric Conditions

Atmospheric conditions and temperature changes also affect deterioration.

Among these are the mechanical effects of drafts, and cracking arising from
temperature changes; combined with drifting moisture in the air these can be
summarized as weathering caused by atmospheric action. The weathering of
stone materials used in tunnel linings varies with their crystalline structure and
with their sensitivity to the dissolving and aggressive chemical actions of water
and smoke.

72.15. Impact Damage

I mpact effects under rolling traffic may also contribute to the decay of tunnels,
not as a primary cause, but as a factor accelerating and aggravating general deterio-
ration. It is parcticularly detrimental in widening the cracks and contributing to
the saturation of the ground as well as to its remoulding.

7.6 RAAB: Die Schadgaskonzcntration in Stollen und Tunncln, Eise"bal"'techl/ische Rill/d·

schou 1959 410.
 CAUSES OF DETERIORATION OF TUNNELS 1011

72.16 . Damage Caused by Overburden

Damage caused by the overburden pressure may take more than one form .
The most dangerous is the actual overburden pressure which will occur primarily
in tunnels at great depths and in pseudosolid materials'·' (see Section 31.3).
It is not uncommon in clayey ground even at shallower depths in which case it
is associated with squeezing pressures. Deformations and cracks due to actual
overburden pressures are most likely to be encountered in limestones and clay
marls of the Tertiary Era.
Increases in overburden pressures may be broughl about by wash-outs and by
the loosening effect of the groundwater as well. This is why nowadays the objec-
tive of tunnel waterproofing is to keep the water out of the tunnel and push it
back into the grou nd rather than to attempt to intercept it and drain it inside.
Another possible cause of subsequent increases in the overburden pressure is
the diflurbance and disruption of the developed equili brium around the tunnel
by any subsequent excavation of adjacent cavities or by the installation of exterior-
type waterproofings etc. All of thjs may result in pressure superposition and in
further extension of the loosened zone. Problems of this nature are to be expected
particularly with excessive bla sting operations either due to excessive charges
or when too long drill-holes are used.
Tt is common experience that tunnel portals are subjected to considerable addi-
tional pressure due to progressive weathering and sliding of the supported slopes.
Because of these differential pressures the portals may be separated from the acutal
tunnel itself. Additional pressures of this type may also develop over the entire
adit section of the tunnel. It goes without saying that both frost action and in-
creases 111 the pressures are most likely La affect the adit section to the largest
extent.

72.17. Deterioration in Pressure Tunnels

Turning now to pressure tunnels the most important trouble spots are the cracks
and the corrosio n of reinforcing steel in the lining, caused by the hoop stresses
in the lining and by the escaping water, respectively. There may be a number of
reasons for the development of cracks: one on ly has to think of tbe high allowable
stress (and strain) in the reinforcing steel, of the inevitable gaps and imperfect
grouting between tunnel lining and surrounding rock, of the excessive blasting
operations and the resultant looseni ng all around and of the vast difference between
the modulus of elasticity of concrete and the surrounding ground. The absence
of groundwater can also expedite the escape of water through the cracks.

, .; ROTHPLETZ, F .: Woran lei den un sere Ei senbahntunnel, S chw. Bz tU . 1918 Febr.

64'
1012 DETERIORATION AND REPAIR OF TUNNELS

72.18. Damage to Railway Tracks

High humidity. corrosion and unfavourable mai_ntenance conditions have

rather adverse effects on the tracks in railway tunnel s. Because of limited space,
poor visibility, inadequate ventilation and limitations on the time available for
maintenance the cost of track maintenance in tunnels is twice as much as 011 the
surface. Even the rails will wear faster because of the corrosive atmosphere and
because of the skidding and grinding of wheels on the wet and often sand-strewn
surface. Steel ties are not practicable for use in tunnels because of corrosion and
because of the creation of undesirable noise. As a result of these considerations,
the object today is to reduce the labour required for maintenance, leading to the
use of beavy rail sections over extended lengths and to a sol id connection between
the tracks and the bottom of the tunnel. The above considerations have led to
special track systems, particularly in subways. 7.8

72.19. Maintenance of Cables

Because of the danger of corrosion, the various cables, galleries, lights, etc.
inside the tunnel also require special attention. Tn railway tunnels used by steam
locomotives, for instance, the electric cables have to be protected by a lead coating.
On the other hand, in subway tunnels the danger of stray currents - due to the
electric trains - and soil corrosion require extra care in the insulation of all metal
parts.

7.22. REPAIR AND RECONSTRUCTION OF TUNNELS

Repair of tunnels generally comprises the following items:'·'

I. Repairs to the drainage system to avoid frost and icing damage to the lining ;
2. Reinforcement and/or replacement of sections of the existing lining because
of inadequate strength;
3. Reinforcement of face lifting of certain parts and members of objectionable
appearance;
4. Additional clearance requirements, such as those required for the construction
of a second track ;
5. The addition of utility rooms and plants (refuge niches, ventilating plant,
storage rooms, weepers and subdrains, shafts, pumping station s, etc.).

Items 1,2 and 4 will be considered in detail below ; the others are of specific
nature and can be carried out accordingly.
7.8DANDU ROV , M. 1.: TOlllleli (Tunnel s). Gos. Transheldor. Zdal., Moscow 1952 513.
cr. also: PAT ERSON, W. N.: Subway Constructi on in Toronto Address to ill1ernaliollal Con·
gres!>' in Berlin 01/ Underground Traffic Facifites 1963 and cf. also: LUCAS, G.: Der TIII/lle/.
Ernst, Berlin 1920.
7.9 DANDUROV, M. 1. : TOllll eli (Tunnels). 389.
 REPAIR AND RECONSTRUCTION Of TUNNELS 1013

72.21. Repairs to the Drainage System

As mentioned earlier, the most severe damage is caused by water and, thus
reconstruction and repair work, in general, should be aimed primarily at protection
against water. There are two alternatives for such protection: the water can be
kept out of the tunnel altogether in which case the infiltration of groundwater
should be prevented and it should be sealed out completely, or the water may
be allowed to penetrate the tunnel but in a controlled manner through special
subdrains so that it can be intercepted and removed regularly. A disadvantage
of the first method is that the tunneilining has to carry the hydrostatic pressure as
well as the overburden. It has to be constructed in a box-like (closed) form (with
an invert); in addition, waterproofing can be also rather complicated and expensive
to constrllct, particularly if it is done on the extrados. On the other hand, there is
no danger of disturbing the equilibrium of the surrounding water-bearing ground,
no continuous underground streams and no danger of wash-outs accompanied
by a loosening and saturation of the surrounding ground. The second method
is not without drawback either, because the construction on an interceptor
drainage system behind the tunnel lining is a complicated and expensive proposi-
tion, not to mention the problems of maintenance and potential damage by wash-
outs, loosening of the surrounding ground and increase in the overburden pres-
sures brought about by the facilitated streaming of water directed towards the
tunnel. The construction of special drainage galleries and adils is also expensive,
and it relieves the immediate vicinity of the tunnel from wash-outs and loosening
onJy to a limited extent. This is why the first method, i.e. exclusion of water
is the one being favoured today.

72.211. Repairs aimed at the exclusion of water. It is a common observation

in old tunnels that the lining is often not in tight and firm contact with the excavat-
ed face and the overbreak has been filled by stone backpacking, acting as a filler,
laid in lean mortar or with no mortar at all. While this layer was supposed to
intercept and drain the groundwater this could not be done without the cement
being dissolved and without wash-outs developing in the surrounding loosened
ground. This has led to the collapse of the "stone packing", leaving innumerable
holes and cavities behind, which in turn have induced additional overburden
pressures. The best way to repair a tunnel suffering from such defects - and to
solve the problem of drainage at the same time - is to remove the old lining, ring
by ring, and replace it with a good quality, solid and impermeable concrete lining,
built tight up against the natural ground. If the inner load-bearing wall is in an
otherwise acceptable condition, it may be wo rth while to try to grout the stone
fill behind the lining thoroughly. By the way, grouting is not on ly an effective
and economical way of waterproofing, but it is also very good for reinforcing exist-
ing linings and for reducing overburden pressures. This is particularly effective
for near-circular sections, because the pressure due to grouting will create ring-
stresses, which, while adding to the compressive stresses, may also pull in the thrust
IOt4 DETERIORATION AND REPAIR OF TUNNELS

line within the inner third. At the same time, it will fill the holes and cracks and
will eliminate loosening in the surrounding ground to a large extent. Furthermore,
it will increase the modulus of elasticity of the ground, reduce the external pressures
on the lining and promote composite action between lining and supporting ground
(Section 63.225). It should be remembered, of course, that hydrostatic pressures
are also bound to incTease as a result of grouting. The grouting material should
be selected with the pore content and void ratio of the surrounding ground kept
in mind. While in the case of sizeable voids the grout should consist of a cement-
mortar made with coarse sand, soils with a lot of fine particles should be grouted
with a cement slurry, with sodium silicate and bentonite added as plasticizing
agents. Grouting holes should be spaced evenly about every 2-3 m (7-10 ft)
around the perimeter with variable penetration depths up to 6 m (20 ft) deep.
Reference is made to Section 63.225 regarding the details of grouting operations.
(It should be noted that if, in the course of repairs, grouting is applied only
to certain sections that appear to be saturated or show other signs of damage,
the displaced water has to find some other outlet and may leach through other
sections of the lining that were dry before, thus creating new problems and poten-
tial frost-susceptible trouble spots.)
Another way to exclude water from the lining is to apply some waterproof
coating. Of the two alternatives the exterior type waterproofing has the advantage
that in carrying the hydrostatic pressu re it is supported by the lining, which also
means that there is no need for a special internal load-bearing wall. Also, it will
protect the lining against aggressive groundwater. On the other hand, it does
have the drawback that its complementary application is very difficult a nd expen-
sive and almost impossible to achieve in a perfect manner. As it requires the exca-
vation of an additional annular space outside the extrados of the lining (Fig. 7/ 13)
it will inevitably lead to loosening the surrounding ground and, thus, increasing
the overburden pressure. The subsequent lining and backfilling of this space
rquire much material and labour, by far exceeding the cost of the interior-type
waterproofing including the inner load-bearing wall. And, still worse, a ny imper-
fection or damage inflicted on the exterior-type waterproofing is extermely difficult
to locate and the extrados has to be ce-exposed for repairs.
The subsequent application of exterior-type waterproofing has to begin with
cutting a hole in the lining and excavating a parallel drift either at the crown or
at the spring line (Fig. 7/7). The application of a crown-drift is to be avoided if
possible at all, because it will require special props in the vicinity of the hole
rendering access and material transportation extremely difficult. Before placing
the exterior-type waterproofing, the extrados has to receive a mortar finish which
must be a rtificiall y dried. Regarding the quality and preparatio n of the water-
proofing the reade r is referred to Section 46.2. The simplest form of the exterior
type of waterproofing is grouting, provided that this is feasible. The materials
for grouting include various cement mortars and sus pensions with plasticizers
and bentonite added as admixtures. Hot-poured bitumen ma y be used for this
purpose also and for the repair of waterproofing, too.
 101 S

a) BrtJk-out. ~t springing
Pr~tullW
~ttfprCfJfm9

Fro. 7/1. Break_out s facilitating li ni nll r",plOirs and the subseq uent construction of exterior-
type waterproofinll : (ll) at Ih~ .\Pflnainl (b) at the cro"'n

Once the tun nel lining has becn completed it is much sim pler and less dangerous
10 apply the interior type or waterproofing as a supplC'ment. Admittcdly, interior-
type waterproofings do not protect the lining rrom aggressi\c chemicals and the y
do require a sepa rate support to resist hydrostatic loads. A prnctical method of
application is to rub down the intrados and provide drain grooves in the lining
(Oberhasli method, Fig. 7/8), appl y a coating or bituminous or plastic sheets and
construct the required load-bearing reinforced-concrete ring inside. In thc simpler
1016 DETERIORATlO"l AND M(PAIM or TUNN[LS

;JOmm
---
--+-,
.1
,"', :
,
'.
~

-"": ......... 4
"
StclIM A-A

FKi. 7/8. SurfaL"I: "' ... ins provided

aBer con~lrucllon

(""uscs the dmin groove system is covered hy impervious shotcrcte only, in which
case there is no need for a load-bt'aring wall because an y small quantit)' of Icaching
water will be removed by the drains thus preventing the building up of ft head.
It i~ most important wit h interior- ty ~ waterproofings, however, that the lining
shou ld be in II consolidated condition and that it sho uld be dry. In other word~ ,
it can heM he used in ~olid and stable rock: where further deformations o f any
consequence are not to be e:.. pected. Whe never there are l.:onsidt"Table overburden
pressures \0 cope with, the waterproofing should not be applicd Uluil the settle-
ment period is o\·er. Ano ther problem may arise from the settlement and ~ hrin kage
of the inner load-beari ng reinforced-concrete ring. In such a case the disconti-
nuities and Cricks ma y be repaired by grouting with hot asphalt. Unfortunately,
the joints of STOuting tubes to the waterproofmg are usually vulnerable spots.
Recently, plastic sheets have also been used successfully in interior-type wa ter,
prootings (Section 46.2). It takes only minor preparations to tht;: old lining (rubbing-
dryiny) and does not require the lining to he dried out completcly. Thermoplastic
splici ng of the plastic sheets eliminates the usual problems of joining waterproofing
units and affords perfect impermeability and unim paired strength. From inside,
the plnstic sheets are supported and protected by prcrast-concrete blocks. Since
 REPAIR ASD UCOSSTRUCTIC)N Of ruNNELS 1017

there is no hydrostatic pressu re

to carry, this lining need not be
more than 6--8· thick, "hich can
be accommodated in most cases
from the point of view of clear-
ances (Fig. 7/9). If there is a
contmuous infiltration of waler
as \\ell. il is best to collect this
by the drain net illustrated in
Fig. 7/8 before the waterproofi ng
is applied and to drain it through
a bottom conduit.
It is more economical and still
si mpler to cover the prepared,
cleaned and roughened lining Fl(]. 7l9. lnle rjor "'Dterproofi ng wi1h
with shotcretc. This can be plas1ic ,noelS provided after cons.ruc.ion
made se r f-~u ppo rling by using II
wire mesh, anchored in the wall
and applying the sholcrele in
laycrs to an overall thickm:ss of
several inches (Section 61.3 1.'i).
Through the anchors the res ullmg -f-.-
solid self-supporting ring will
also bring about a certain amount
of compositc aClion ret ween the
ne.... and the old lining (rig. 7/ 10).
Wilh this method it will be
necessary, however. to dry OUI
the existing lining completely ')
and/or to provide the drain
groo\'es (Oberhasli) described
above.
A new method, called " Aero-
ccm"i.U, can also be used with
f~#'"'i0·"; h '"
good results for waterproofing. ""-r""'' '....
P'U.n /JJ <fr~.~
".,,,,,rn Ntw ..-rK,. Aflmi/
An ai r entraining agent (Terpol) (CI,r-!'n .,
IS added to the water before the F,G, 7/ 10. Anchoraae Dnd s.ruC1ure of
latter is added to the mixture of rcinfo rccd-sllotcretc lininll ('·Aenx.",ul"')
dry sand and cement, resulting
in a !>hotcrete plaster wlth entrained air. The entrained air renders the plaster
mo re elaSlic and mo re suitable for uninterrupted application Hnd enables it to
penetrate deeper mlo the joints (Fig, 7/ 10b).
,.,. PM OTOP()KA I>IS, I',: A New Me1hod for 1he Mechanical Poinljn& of tlri(:k Work. eil},
Eng. and Pl4blir Wo,b Rrdr ... 19j4 May.
1018 OET[RIORATION A"' O R[PAIR OF TUNNEL!

The application of impervious cement mortar is an even simpler method of

waterproofi ng. Details of its composition and preparation can be found in
Section 46.2.
In old tunnels it is most im portant that the old surfa~-e be stripped completely
off the weathered laycrs before plasteri ng and that the joints be scra ped out
thoroughl y. It may also be necessary to apply sand blaslin~ and to use wire·mesh
reinforcement properly anchored into the Iming.

Oldm~rur
lIalf round
p'p'e
!5cm

b) f)ry pco:nt/f/g

lstldj/tr f " ctlf!Mt,und

2/IiIl3j1!r 1 2 Utrltnt • J.l1IiI
Jr.lIdg~r 1.J wntl1t MI1t1
4- eh lijltr f I f "ment ,ul1d

Flo. 7/t t. tt e.p()ln 1inll Ihe Jo int5 of old, "·"alhc~d lIone or concrele block lininp

Interior·type waterproofings have been const ructed most Te~-ently with plastic
materials shot at the existing limny. The 'Torkret GmbH· const ruction company
has used epoxy resin and fihreglass materials fo r this purpose after drying the
lining with infrared lamps and has produced a material thai adhcres to the wall
perfectl y. has a tensi le stre ngth of 1500 kglml (21 ()(X) psi) and IS highly resistant
to acids, alkali ncs and tear and wear. B«ause of the perfect adhesion. a supporting
wall is not required. Howevcr. experience with materials of this Iype is rather
li mited at present (ef. also Aquarex. made in Austria).
If the amount of inliltraling water is relath'ely small and is entering through
the joints only then the refl3.irs may be limited to scraping and cleaning the joints
thoroughly and filling them with waterproof mortar. Under dry condit ions this
may consist of applying n num ber of hlyers of va ri ous mlxes: in II wet envi ron-
ment half-round pipes should be placed behind the pointing (Fig. 7/ 11) to form
II system suitable for dmi ning the intercepted wateT.
 1019

Hot h interior waterproofi ng and po inting will require 11 mobile st:lge such as
Ihe one used for the conlrol surve) and Inspec tion of tunnel cross.scctions. Various
types of stages a re illustra ted in Fig . 7/ 12a-<:. T he most difficu lt problems in
tunnel repair ure Ihe need fo r maintaining traffic during constructional operalions,
the limited working spacc that is avai lable lind Ihe shorl periods of lime d ur ing
which work ca n be carried on undistu rbed by traffic. For this reason, special
consideration must be given to lhe st ructu re, mobili ty and clearance requireme nts
or Ihe stage.

J IG. 7/ 12. s.:-a ffo lctinl lYpes fur lin ma msp«lion and repair

72.212. Repair by COlllrol/I!J Jrallloge. In this method the object is to control

the groundwater Ihal is Sttping towards the t unnel. T his can be done in either
one o f two ways; in Ihe lirst the dange r of was h-outs I, avoided by intercepting
Ihe wate r by collector drains and discharging it in to a conduit ; in the second a
special drain gnllery is construcled parallel to Ihe tunnel. The latter me thod has
been known for centuries in the mllllllg industry: generally speakll\g, it is morc
effective but :1150 more expensive .
Tun nel d rainage by Inlerceptor drains outside the tunnel used to be a standard
pnx:ed ure in the last century : the Wliler was piped and discharged into a drain
conduit constructed IIIside the t unnel.
Although stone backfill placed outside Ihe extrados also has a nUlllber o r prob-
lems (such as !>uhsequent increases in pres5U re~, elc.) it does intercept the gro und-
wate r seeping towa rds Ihe tu nnel and drains it into longitudinal d ram pipes ru nning
alII slope along the spring li ne or a long the wall base. These pipes are (:onnec ted
in turn to [aternls passing through the lining a t a gra d i~nt of J%-S'};'. and spaced
at about every 25-50 ft (Fig. 4/14]).
From the point or ,iew of stallcs such d rainage o r the ground wa ter is mO~1
desirable because most of the h)drosta tie pressure is eliminated. More de tails
abo ut this Iype of d rainage can be fou nd in Section 46.3.
 1020 OE"TElUORAnON AND MEI'A11I Of TUNNELS

If more drastic drainage measures are required, the alternative to be consid ered
is that in which a special drain drift is constr uc ted outside the tun nel. An example
of iupplementary drainage arrangements is illustrated in Fig. 1113, showi ng the
lapul a nd cross-section of the /.I rll in godllery constructed in a tun nel in Budapesl.
It should be noted that the size of the ga llery was established to allow inspection
and mainlenancc.
From the as pect of vertical layout il is bener to keep the bottom of the drain
gallery somewhat bdow tha I of the tunnel. In stratified ground the drain ga llery
~hould be located on the side from which the strata are falling in order LO in ler-
cep( the wUler berore it reaches the tunnel. ColleclOr drains, like 'feelers', ca n be
sprelld out from the drain gallery if required, primarily in the d irection of the
tunnel so as to draw the waltr away from the (U nnel area. This can be done from
vertical risers whic h are spaced along the galiefY and from which the 'feeler"
drains can be started in a radial pallern ( Fig. 7/ 13).
Dra in galleries may be al ready needed during the construction of the t unnel if
major inrushes of water an; being encou nte red. In this case it is obviousl)' advan-
tageous to desig n such temporary gallenes in such a way that they can be made
pan of the final d rai nage system once the tunnel constructi on has been completed .
The profile of drain galleries shou ld be such as to allow drainage by gravity,
if possible. If this is nol possible, then a system of COlieclOf sumps and pumping
stat ions must be incorporated in the layout ( Kandevan tun nel, S~ Fig. 7/ 25).

72.2 13. Repair by mechanical relltiiariQII. In simple cases where Ihe amount of
pt!rco/ation a nd condensation water is small, the use of mechanica l ventilation
may be effeeth'e. The drying effect of agitated air may be sufficient to avoid frost
damage in the lini ng. As an additional benefit , the smoke a nd fume content of the
air will be diluted and removed. This will be hygienic and will also prcven t the
formatIOn of aggn:s~ive solutions from gases and wa ter. Naturnl venti lation can
IIlso be helpful, particularly if augmented by the circulatio n of the ai r by traffic.
In subways, for cxam ple, there is no need for the removal of percolating wate r
or we t spots on the lin ing at all un less there is a danger to the condit ion of the
li nir ll itself.

72.22. Repair of Linings

Some of the simpler problems such as weathering. scaling. craCki ng, etc. have
already been deal! with in connec tion wi th mamtenance and IIlspection. The scal-
ing, wentheri ng and chipping of natural rock due to fumes and smoke in tunnels
left wit h a bare rock face fa ll into the same category, Repairs of these types are
mos: easi ly performed by sandblasting and shotcreting. This section deals with
rcpairs designed to reach the causes of the trouble rather than superficilll repairs.
Such repairs will necessarily have to invohc certain struct urlll changes and re-
conSt ructions.
 REPAIR ....... 0 II£CONsrkUCTIO'I o r TUNMLS 102 1

,
I
• •
~
•o
,
,
,
, t

?
~ ,• •
~
~~

~
"
,
';
o

• ~

,,

,
1022 OET(RIOlA.TION .4.'0 II.£I'.4.IR Of TUNNELS

The first problem to be mentioned here is the

replacement of broken or cracked lining elements.
(Stone or concrete blod;s, cast·i ron or reinforced-
concrete segments.) In most instances it is extrtmely
d i difficult to replace the defective units by new
'!,
, ,,J oncs - one only has to think of the radial joi nts - and
, for this reason a number of substitutes will have
to be used, such as concrete for stolle blocks, I.:ast
in si tu reinforeed-concrete or bent slee! liner-plate
Aflc/;(Jf " II 7 with welded rib stiffeners for cast-iron segments.
While the replacement is in progress, the adjacent
uni ts have to be supported by steel props which may
be left there eventually and encased in concrete.
Entire sections of lining can be repaired under
FlO. 7/ t4. Layout of temporary the protection of inside reinforci ng rings or a
steel-rib SUppOrl$ formlr& second lining. This melhod also allows the exist-
part of final reinforcement ing lining 10 be dried oul and covered with cortinu-
ous waterproofing which in tu rn will also protect
the inside wall constnlcted subsequently. 11 is not very often. however, that this can
be done without encroachi ng into the clearance area. To keep such encroach men
to a minimum. it is ad"isable to use fai rl y thin secondary lining.' aCtlOg as slabs
between steel or rei nforeed-conerete ribs or beams countersunk nnd embedded
into the existi ng lining (Fig. 7/ 14).
It may ha ppen in exctptlona l cases that the existing tunnel carrying t"-o tracks
may be reconstructed to carry a single track only (reconstruction of Ihe Semme-
ring tun nel, Section 72.331) in which case there is plenty of space for the con-
struction of a heavy load-bearing lining in~ide (Fig. 7/21). Provisions for water-
prooCing between the old and new lining do not present a ny problems liI this case.
I f the deformations arc cnused by excessive external loads rather than by de-
fects in the lining itself the cracks have to be stopped by eliminating the movenents
that cause them. The fi rst thing to do is to support the lining by curved scaffolds

FIG. 7/ 15. Crach due to

",all movemcnlS
 REPAIR AND RECONSTR U CTION OF TUNN ELS 1023

made up of bent rails, T-, H- or I-sectjons well braced in the longitudinal direction.
Most cracks can be traced back to movements of the walls. An outward tilting
of the walls about the bottom corner is usually an indication of additional loads
on the arch or of erosion due to leakage behind the wall itself. Deformations of
this type are accompanied by settlement or lhe crown and haircracks nearby, en-
largement of the span at springing beight and wide longitudinal cracks along the
spring lines. Repairs should begin with the grouting of cavities and soil stabiliza-
tion behind the springings and with stabilization of the strata above the arcb.
Should this prove insufficient or if the arch shows signs of early collapse it has to
be replaced, ring by ring, with reinforced-concrete or cast-iron segments of great-
er strength. A parallel adit should be driven behind the spring line at the same
time, from which the spring section can be thoroughly reinforced and bricked
up tightly against tbe natural ground. Care should be taken in driving tbe
adit that the excavation is closely followed by the backfilling operation. Openings
should be provided every 5- 8 m (10--20 ft) from the tunnel to facilitate the trans-
portation and handling of materials (Fig. 7/15a).
There may also be another possibility: the walls may move and/or tilt inward
under excessive lateral pressures. Repairs should begin with the const.ruction of
an invert and with soil stabilization behind the walls in order to reduce lateral
pressures (Fig. 7/ 15b). The invert should be constructed ring by ring while main-
taining traffic - the use of structural steel encased as rigid reinforcement in con-
crete has many advantages to offer in this respect. If the movements have reached
sucb proportions as to endanger the stability of the walls and particularly that of
the arch, the answer lies once again in the ring by ring construction of a thin but
firm lining inside (steel or reinforced concrete, Section 72.332).
If the load-bearing capacity of the existing lining is rather doubtful - either
because of movements or wash-outs and frost action - and there is no room for
a second lining inside because of clearance considerations, then the existing lining
has to be removed and replaced, ring by ring. The new lining must be of adequate
strength and must be waterproofed.
Fig. 7/ 16 illustrates a case in which the entire existing lining had to be recon-
structed while maintaining traffic. 7. 11 An adit for the haulage of materials was
constructed first from which a number of riser shafts were driven up above the
crown line. From here another horizontal adit was constructed to the centre
line of the tunnel to provide access to the longitudinal adit above the centre line
from which the reconstruction of the lining was to be carried out. A steel frame-
work, supporting the existing lining, was erected prior to starting demolition and
then an opening was cut into the ground under the adit right down to the crown
line. The section was then fanned out fully with the aid of lateral forepoles and
crown bars while longitudinal beams resting on the steel framework were sup-
porting the posts. After removing tbe existing lining and the ground immediately
behind it, the new lining can best be constructed with concrete pumped into place.

'.11 DANDUROV, M. f.: Tonneli (Tunnels). Gas Trans. Zheleznodorizdal., Moscow \952.
1024 OET£kIOkATIO'" AND MfrAlk Of TU'i I<o EU

Sf""

,
E1erWrt tronk
(tcp'mp)
8ucket
lieu to trwrete
P~'mtJ
dt!d for 1t.itJ/,,~

f/-Iffm

F IG. 7,116. Tunnel reconslfucl ion while main laining traftic:

 UMOOEUI'G AI'D RECOI'S'UliCTlO'l or TUS'EU 1025

FIG. 7/ 17. Arch reconstruction "'hile

maintaming If'lIlIie

•
.'it-.,;m'V ..teel
rrJm~

In some instances there is no need for reco nstructing the cntire lining and the
repairs can be confined to the arch. II may be po$sible to do Ihi~ from the ins ide
(Fig, 7/17) by erecting a steel framework and Ihea working towards the outside:
the overburden loads in the mcantimc ha ve to be tra nsm ined by temporary posts
to Ihe steel framework. Alithi5 can be done best from a mobi l.: stage : there will.
howeve r. be lengt hy interruptions caused by thc mo~ement of traffic.

"7 .1.1. 1t~: MOI) F.I . I.I I\"G AM) It F.CONSTRUCTION OF TL"NNELS

Bl-..:aUSC of add itio na l clearance requ ire me nts of the electrification of railway
lines and the construc tion of additional tracks. a tunnel carryi ng suc h lines
has to be recomt rucled. Although less fre quent ly. a tunnel may also ha ve lO be
r!;!Cor.Slructed because of damage caused by subsidences. breakdown an d excessive
blasting.

72.3 1. RetOllstrUt lion for O Jl('l"luional Dem.nd.<;~· 11

In order [0 aeco mmoda u: a second track. thc IUnnel section may be widened
on both sides, in which case lhe elusling lining is not 10 bedcmolished un t il Ihe
new one has been completed ( 1-I g. 7/ 18a). This method is most practicable when
working under poor soil conditlOns and considerablc press ures. Wo r k can be
started from a top heading above t he crown hnc, with c~cava t i on p roceedi n g
from the lop and then constructing the lining in an un interrupted sequence from
the bottom (Fig. 7jllla) or from drifts at the bottom of the section. In t he latter
'." K" An~f.. W .: The methoo of wide~jna the (unnd tuou,h soft sand-layus In Gumany.
Pror. T~M"tl Symp(ls;um '70. Tok yo.
1026

Fa... 7/18. S}rrmelri~al widening

of a ~i"gJc-lr2ck IIInnel 10 1"'0
!racks

pmp:m;ry JVI/pcrt
(.s:~d fume)
]

~-1-.~

')
-.l
:c,
7.r I ~';\\
, J I J I' I J ,

I J I I ,,
~ T w-ti-
4'
+
case the new li ni ng must be constructed in lifts follow ing the excavated heig ht of
the drifts (Fig. 7/ISb). The first method is lirnitd to firm soil conditions, the
second can be used in poor soil as well.
It is also possible to widen the tunnel section to one side (Fig. 7/ 19). This is
feasible only in grounds having considerable stre ngth: the existing arch has to
be supported temporari ly at the joint with the new li ning.
In case of electrification the tunnel section has to be deepened, requi ring the
reconstr uc tion of the arch and the heightening of walls. Basically the procedure
is the same as the one illustrated in Fig. 7/1Sa. T he load-carrying capacity of the
section is usually not impaired by making it higher, unless there are heavy lateral
pressures to contend with, in which case a system of countersunk rib stiffeners
may be effective without extensive remodelling of the walls.
The most simple solution is doubtlessly the sinki ng of the railtrack level7.13 by
a corresponding meas ure. This can be effected however either by the demolition
and rebuildi ng of the enti re abutment walls up to spring level in staggered sections
by a correspondi ng measure (Fig. 7/20).
?II SPA:-.IG, J . : Tunnelarbeilen bei der Elekl rifizierung von Eiscnbah nstreckcn . Brwlulmik
1'164 4.
 M[w()[)ELLI)iG AND aECOSSTMUCTIDN OF TUNNEU 1027

FIG. 7/19. Tunnel ... idening to one

side bingle track to IWO !racks)

Ole tu"'J~/

t
{1tI1"P It! Dr
~ rH!1IbIJs.·ed

The problem is somewhat more involved "'hen the tunnel section was built with
an inverlllrth. This must be also demolished lind rebu ill III the required lower level
also In staggered order of sue~'Cssion.
The cnlar&emenl a nd remodelling of underground tunnel profiles is a Oluch more
difficult tusk owing 10 usually dimcult groundwaler and soil conditi o ns and to the
restricted alea in which tra ml: is to be main tained without interrupt ion. Still it
hil S to b\' frequently accomplished in conneoction with the unavoidab le e"tension
of underground network.
Figure 7/21 shows al! e~ample how II section of the 25' (7·50 01) dia o ld
double Irad; tun nel of the City and SOlllh London Rl y. was en larged to II 30'
(9·0 m) dia. new tunnel in the relativel)' reliable London-day whe re no grou nd-
water was cnCOUlltered. The annular $P.1ce around the circumference was (,XCII -
~ated by hand and the new lining segmenU could be placed one oy one through

F)() . 7/20. Sink ina; of , he rail·

track tc'cI .';th demQlilion
and ~ptm:cmcnt Qf the ent ire
ahulment wall or by SIm ple
deepenin. of its foundation

6l'
1028 D n~ RIOMATm N AND REPA I R OF rU S S ELS

FIG. 7j 21. Expanding a tunnel section wit h segments

the opening left by the demolished and removed clements of the old tunnel while
the track was supported step by step by the new concrete pillars placed 00 the
oew invert. Rigid ties offer a great help nOI only in assuring rigidity of the partl y
demolished and incomplete Hning rings, bUI in offering supports for various work-
ing platforms.

72.32. Reconstruction becaUS!.' of

Deterioration , Decay of Linirlg Mlterials and of
External Effects

Reconstruction due to breakdowns and blasting operations is an extremely

difficult problem as it amou nts to tunnel construction th rough a mixture of mate-
rials that have been loosened-up over extensive areas and through ru bble from
the collapsed lin ing. If the cover above the tunnel is not too deep then it may be
.....ell worth abandoning the tu nnel altogether and going into an open cut.
If the cover is considcrable. howc"er. the chances of archi ng effects re-developing
during construc tion are much better. Using the Germ:m or Italian method com-
bined with careful driving and effecli ve underpinning (steel sections encased in
concrete cf. Fig. 7/ 14) it may be possible to reconstruct the tunnel even though it
 REMODELLING AND RECONSTRUCTION OF TUNNELS 1029

has to be designed to take hea vier loads. It is advisable to use pilot headings in
order to explore the sections of the walls and invert which may have been left
undamaged so they can be reutilized in the new structure. In this respect the pro-
cedure is similar to widening a tunnel from one track to two tracks.
The reconstruction of subaqueous tunnels is even more difficult. As a matter
of fact it may be simpler as well as more economical to construct a new tunnel in
a new location rather than to attempt to reconstruct the old one. Tn reconstructing
a shield-driven tunnel the lirst thing to do is to build up a heavy impervious and
airtight blanket of clay from the top. Next, an airtight floor can be constructed
in the undamaged shaft. Thus, the tunnel can be cleaned and the defective seg-
ments replaced under compressed air and the entire interior can be reconstructed
in successive stages. Keeping pace with the progress of the work the area under
pressure is moved forward all the time with shifted bulkheads and airlocks ' (cf.
Figs 6/212 and 6/214). The problems become enormous at places where the old
lining has totally disintegrated so that the remnants have to be removed as well.
This can best be done with a shield assembled within an undamaged tunnel section
(i.e. smaller than the original shield) and using temporary lining segments. The
temporary lining has then to be changed into the final one, piece by piece, with an
erector arm (i.e. without a shield, Fig. 7/21)'·14 Because the difference between
the sizes of the temporary and final linings is rather limited , in large tunnels it
may be worth considering driving a pilot heading 2·50-3·0 m (8- 10 ft) diameter
first of all, from which the disintegrated zone can be artificially stabilized by
injections (cf. Fig. 6/216). Such stabilization may be helpful in the construction of
the temporary and final lining as well.
Relatively speaking, it is more fortunate if the approacbes of the tunnel have
been destroyed rather than the section below the riverbed as the risks of a blow-
out are less. Even in this case, however, reconstruction from underneatb is very
complicated and expensive as manifested by the example of the tunnel under the
Escaut in Antwerp. This tunnel was blown up during World War Il with 24 tons
(metric) of explosives detonated in one of the ventilation shafts. Some 540 m
(1800 ft) of tunnel lining was damaged by the terrific blast, a considerable portion
of which consisted of cast-iron lining segments located in the shield-driven section.
I n spite of the more than 25 m (80 ft) cover above the tunnel the reconstruction
was ca rried out from the top in a huge open cut, protected by multistage well
points, rather than from the bottom, as mentioned earlier. us This. in itself, is
an indication of the magnitude of the problems to be encountered in the method
of tunnel reconstruction described above.

7.1 ,1 JO N ESaDd CURRY: En largement of the City and South London Railway Tunnels.
Proc. Ill st. Civ. £lIg. 1927 224 17 6.
a
7.11i DE BROE. H .: Les tunnels so us I'Escaut Anvers. La Te chnique des Tra vaux 1947 Mars.
10JO

72 .33. Examples or T unnel Remodelling

12.331. The Semmer/ng fUnnel. This tunnel, about 1470 m (4900 ft) lo ng, was buil l be-
lween 1848 a nd Isn. Beeause of un favourable geo logical conditions (Chapter 2) several
problems a rose duri ng Ihe .aclual co nstruction (cr. Fig. 2/25). T hese problems were solved
although the li n ing was built to construction sta ndards th at would be conside red unac-
ceptable today. I n spite ofscrious' infiltr.nion of water Ihe lining has not been waterproofed,
resulting in all sorts of repairs immediately after opening the tunnel Qnd these repairs
wcnt on for 100 years. Le. u ntil the tunnel was completely reconstructed. Owing to Ihc defe<:tivc
linin g. considerab le pre5surcs and co nt in uous damage, ca used by fumes and watcr. thc lining
has de tuiorated a nd deformed to the point where maintenance costs reached prohibitive
propo rtions a nd the tun"",1 could no longer perform its function safd y. Abo ut 30 % of the
tunnel lining was loa ded 10 the linl it of ill; hearing capacity a nd anot her ~O % was rapidly
approaching Ihis condition. Between 1947 and
1949 ahoul 260 m (8~0 ft) of Sl.'a/Tolding had to
be provided to protect trains from spalling rock
and icicles. Because of pl an s for e lectrifyin!l;the
railway li ne the tunnel fi nally proved to be inad-
equate from the poi nt of view of clearances as ....·ell.
All these considerations have led to the recon -
structi on o f the old double-track tunnel into
one With a single IraclL A separate tu nnel was
constructed for the o thcr track."" The cross-
section of the reconstructed tunnel is illustrated
in Fig. 7/22. Prelimin ary studies have indicated
that the most economical ~olution was to cOn·
strue! the new lini ng righ l up against the old
o ne even though this was to result in a surplu,
of clearances th a t otherwise wo uld not have
bec n necessary. Beeause of the considerable
FlO. 7/22. Cross-section of the recon- defo rmations of the old lining and because the
structed Semmering tunnel new lining was constructed to a constant thkk·
ness, the reconstructed sC<;tion is not uniForm
and has a va riable width of 6'60-7'0 m (2 1 '~g~ to 23'- 0' ). The concrete was pl aced with the
a id of mobile scalfo ldin& ( Fig. 7/23) and concrete pumps (5-U-5'5 aIm and 9 m [30 ftl see
vdocity). A total of 3~00 m' (45 000 cuyd) of concrete was poured while tra ffi c was being main·
tai ned. T o p rovide an impervi ou ~ concrete the concrete: mix h ad to be desi&ncd very carefully
on the basis of trial mi ~es (half and half 0 - 7 min (0- 1 /4~) and 7~50 mm ( 1/4' ~2") aggregate
",ith about 2j % ha rd rock q ua rtz_silicate con telll, no kg/m' (440 Ibjcuyd). Po rtland cement.
SO kg/rn" (SO Ib/cuyd) trass a nd occasionally 13 ' ~ ksi m' (22 Ib/euyd) piaSlicizer for beller worl;;.
abil ity. T he result ing co ncrete was, indeed, impervious and ror I hi~ reaSOn no wa tcrproOfinll
has been provided between Ihe old a nd the new lining ~ at least not for the time being. It
.... ould ha ve been ra the r expensive to adjust the old Iming. deformed and damaged by frost.
to afford a s mooth surface for tile waterproofing, so it was decided that should waterproofi ng
still be req uired at some future date it should be ap pl ied to the inside face of the new lining.
This would be supported by another (third) lining. made of ashlar stone blocks, suitable
bearing surfaces fo r wh ich were provided atong both edges of the invert slab (Fi g.7/22).
This a rran &emcnl has not proved to be altogcthcr successful. however. as sh rin kage cra cks
have developed in the new lining. allowing wa ter to percolate in a number of plae<:s. Dra in
groove~ were then provided to collec t and d ischarge the wate r into the drainage system.

7." R AtNe~. 1·1.: Ocr Umbau des alten zweigleisigen Sc mmcringlun ncls. t)sferr. HUll'
Uilsl:h , . 1953 " ~ '2.
 RtMOU~LLL~U A~ U R~CO~ST R UC II ON O F T UNNELS I OJ I

FIG. 7!13. Mo~ing scaffolding in lhe Semme ring tunnel

Similar provisions were made al all joints belween a buuing lining se<:tions. "Opano]"' artificial·
resin waterp roofing sheets were provided at these conslrl.l(.:tionjoinls right from the beginn i~g.
Thc ol d li ning has been dried OUI ve ry carefully. mainly through grou ting the holes behind
thc li ning and through drain &roovcs on the inside faces (Obcrhasli method, cf. Fig. 7/8).
Exce pt for Huate Irealment to prolecl againsl corrosion by fumes, the inside concrete face
was left unfini~hed. Traffic wa~ mainlained during const ruction and the second, new single
track tunnel was conSlrUCh:d simultaneously (l9~9 -~2). Excavalion fo r the inverts and con-
slf uclion of Ille arch had to be do"," .. ith extra care Ih roughout thc'\C operations because of
the previously experierKcd oouom heaving.
72.332. The Do-Pup tunnel. T his lunnel i5 1180 m (3850 fL) long, near H a~tings
(England), and was buill in "wad hursl clay" i.e. in altcrnating layer5 of sand, clay, sanustone
and mar!."" Passing mostly under bu il t· up areas the tunnel has a shallow cover not e:<ceed ing
JS m tl i S rt). Thc cross·section, accommodating two tracks, is elliptical and consists of a
brick li n ing a boul 80 cm (31 ~) thick: in some sections there is also an invert 60 cm (24")
thick. According to the construction records a grea t many problems were encountered during
construction. Fi rst. a considerable amoun t of water had to be coped witli and SR lu rated clay
kepI squeezing in al the roof. T his was a u ributcd to water fi nding its way from the upper
layers of sand down along the initial shafts into the clay at Ihc bOllom. The amoun t of water
varied in proportion to the amounl of p recipitation on the surface. The tunnel itself is located
in hard marl which wa s very difficult to e_~cavale hut, exposed to air, weathered very rapidly.
The toughness of {his material is also borne out by the fa ct that the walls d o not e~tend
to tl..: Slime COnStant depl h : in very hard maleri 3Ith,,}, wer" stoped higher up than in sofl
and wealhered material where they were carried all the way down , and even supplemenled
with an invert.
Problems starled 10 ar ise in 1927 when clay intruding from under the wall s slarted \0
heave the subdrnin, caused c:<tensive silling and created sofl pockets in Ihe ballast which had
to be removed cver more frequently. [n t932 the first wall movcment of 1/ 10 mm (1/32") "'a5
obse rved; th is mo~ement came to a halt fairly soon. A number of cracks a p peared in 1947
and reope ncd soo n nner having been repaired. Thc cracks were particularly pronounced

,." CAMPION, F. E.: rart Reconstruction or Bo- r cep Tunnel at St. Leonnrds on Sea,
J. Illst. of Civ. Elly. 19S1.
1032 O['f'[1l101l,l,TlON ... NO Il EPAIK Uf TU)o,"!>OEUi

-- I- - __ </ f mlilli
i:Mli
III'd F IG. 7f 24. Tu n~1 reinforcement by
casl.iron segmen ts and by an inve n
, co nsisti ng of 11 steel frame encased in
~t'" rllt,'~~
concre te (Bo-P~p tu nnel)
Slff'lfm

V,tI7fifd kirk
pilI' ufldr Jm
M ~rr~

In lhe r«:csscs. Th ro ugh SY$tema til: i n~pecl;on Hnd Iccord ing il soo n became ob, ious tha t
while both Irach were risi ns. lhe walls .. ere sinti n" amI ~Iarled leanin, co.. a rds the inside.
The defo rmalions ha'e con ti nued 10 increase at an ever aa:c:lerat inll ra te. Geological studie!i
have traced the ce ntre of the movemenlS to II fa ult. T he saturat io n and remouldinll of the
material under the "ailS was aggravated by conti nuous vib rat ions ca used by traffic. At the
time rccon§trucl ion wa s Ma ned the lean ing toward s the inside has reached 1S- 1S em (6-7 in)
with]) cm (S in) measured level wi th the rails. An in vesti ga tion of the soil conditions has
revealed a shear stren,th ofO'S4-o-86 kllcm' (7'S-12 lb ',!!') below the walls and o- 12""()-U
kJicm" (1'7_3{llb/in") under the tracks. IA check on the &e<)Sta tlc press ure has ind icaled that
the latter "'asj u~t enuu,h 10 oY'Crcome Ihe shear strensth of the soil be hi nd the wal l. Although
the angle of repose h.. ~ VlIrit:d ",ide ly ('" = ]0 - SO) Ih is had but little: ctrC(;1 on Ihe vertical
and horizontal roc k pressure~; r'" 3'9-4'2 kg/cm' /S5-60 lblin ' )]. After deduc ifl/llhe shear
Slrenglh the resultant ~crtical pre$su r~ "a~ about 3' S ~ aJcm' (~O lh/t n·). In the desi&n of the
new li ning the latera l p~ssure was assumed al SO y. of this value.
The point was reached in 1949 where rcconstructiO fl could not be postponed any ]onaer and
indeed this was begun "'ith a sectio n ]40 m (460 ft) ]onl. adjoining Ihe .. ot portal "'here the
mo'~mcn t$ and crack5 had been ob$en'ed (cr. Fig. 7/lS). An in~ert, consistinl of ~nu.:t ur.1
st«1 enca~ed in concrete , was [nstalled fi rst. Because of rapidly increasing deformations there
wa~ no time left for doing Ihi$ wo rk and maintain in, !raffic at the same time and so fo r this
period I"" section had 10 be closed and pDsscflgers traflsfe rred . The o ld lining had then to be
n:moved and replaced by cUI-i ro fl se&men ts and the space behind it was thoro ughly ,routed.
In addition to adequate slre net h .od insta nt load-helnn/l capacity thIS arrangemen t also
afforded additio nal clear.nce (Fi/l. 7/24). Wi th the ;mert completed. the "all movement s hal'e
tape red off rapidly and ~o has the heavin, of Ihe tracks (Fi&. 7/25 ). 1\0 temporary suppor1 S
wcre provided whil e CO fl .lruction of Ihe inverl wu in pro/lress. partl y because rt/lardless
of the type of bracing the re was har(]ly aflY chance of prevenl in i Ihe ~Hleme nl and leanini
o,'cr of th e wa ll s at all. and also because such bracing "ould have requIred extensive and
si zeable mudsilis that would have serio usly int erfered "'ilh the cOl1smocl ion of the inven.
Speed of construction was the most imponant factor as oould be concluded from the study
of the a,-allable measuremefltS and records.
72.333. Th, K(1I1tU-Nln high"'(lY 1Ii""!!/, T his tunnel "hich is sit uated bc:twa:n Teherafl
and the CaspiAfl Sca. ]884 m (6200 ftl long. S.O m (16'-6") "ide and about noo m (nOO ft )
a bove sea le Vel. was bl.liit in the 10305. The pass itself is about 2700 m (8800 fl) above sea
level and The ba re mo untain. with no ve&Ct a tion 10 speak o f, is made up mainly of warped
]lIy~r, o f marl inter" ove fl "'ith limes tone and silty 11'1I'-cI conglomerates. Due to hcavy
 103J

FIG. 7/2~. Diminishing em

willi movements as a
fun ction o f the progress
o m
of In,'ert construclion 15

T55 25 HiY1;:;

autumn and ",Jnter precipIta tion gn:at a mounl5 of ",ater !X'net rat ed the tunnel through th e
e"'tellSl"c cracks In Ihe HI", d . SilK.. t he lunnel had o nly a n ina d"'l"ale drainage sys tem and
no waterproofing al all, the jOilll~ ;1I the lin ina "ere leaclK'd 01.11. le1l>inll voids behind and
rcs ul.illll in addi.ional o~ rl>u rdc n p res5 I1re.~ and heavy fros. damage to Ihe limesto ne lin ing.
F rou has also caused $palJi nll an d, Ihus, hM n:pn::sc:ntl'd a co nSlanl tratr..; haurd. Evcn
though it slo pes toward s bo.h ends from the <.:e nlrc the profi lc of Ihe tunnel i~ not vcr,. ,ocxI
( Fi, . 7/ 26); the trade 1000ards lhe nOrlh porlal is only D-2 °'" pro~idillil inadequate d raw off
throu"l the centra l d ram and causin, steady ~ihing, al tlK' SlIme time.

/llfllI'" :I .~'I'
{ I 't
--
",,"

Cross section

- - -,
FIG. 7/26. Repail1t to the K and~ ... an Tunnel
1034 SU kIA C~ SUHSIDENCIi MUULTISG fMO,", r UNN ~ L CONSTRUCTION

The repa irs w~re (:oncenlra.le(\ o n improvina the d rai nage syste m and fill ina the voids
beh ind the lin ing. Th i$ was achieved through a d rainoge drift 750 m (2450 fE) long, H) m
(6'-6"') d eep al1tJ2'20m(7-3~) wide. wilh a IIrade oft}S y' . 12'S m (41 ft) ofT the tunnel centre
line and 011 th e side intercepting thc strea ming water. Starlina 4 ft below Ihe bollo m or the
lunnel the aallery ended 5'S(l m (1 8 nJ bel ow the surface. Funeh dnl ins above lhe CtII lrados
fi lled ""ilh stone and llravel we re pro'lded in locations beset by larlle amounts of water and
were e)ttended to in tercept. a s ra r as po ssib le. the wa ler brJon: it reached Ihe II.mnd. The
,entral dra in was reconstructed an d relocat ed at the .ides, the grade was inc reased and
interrup ted by steps every ISO m (SOO ft). (At the entrance the gratJe was re\ersed because
of the frost dan ge r.) At each step the waler wu di §charaed into Ihe side d rift throu.h latC1"ai
dra ins, The road itself ,,-as repaved (conc",le pavement) and the cross·section chanKed from
a sag to a crown. Finally. the holes brhind the lininll wcrc filled "'ilh concrete (pumped and
piped in place) for the nlajor o nl:li and trass<ement arou l for Ihe minor ones. " S,ka" and
"Oarex" pl aSl ici~Tli were atJded to Ihe second &routin.: in the first Iroutinl !MlwtJUSI "'as
a dded to the Irass cernen1. Ellen IhouSh th e frost-dama ged segments have al <o been n,placed,
the elaborate reco nslruclion cannOt be a final solu tion to the problem wi thou t perf""t main-
tena nee and sub!;eq uenl CJCtens ion o f the dra inage system. as required frum time to lime.
T o conS lrm.1. the tunnel al such a hl&h al ll lude was a funda mental error in Ihe fi rst place;
it would have been much. bener to build a lonllCr tunnel al a IIl liCh lower altilude in mcre
sol itJ ~ro u nd and causing less hciltu losses for com mun ication.
72.334. The P~r~us-Ba,o:1S Jnq/I tunn~f. This is lnown as the Gr1 nzcnstci n adit. and
wu buil l In Ihe III/O-s. II was later CJCpanded to a ~...,ommod a te hau lage lra ins runnin. on
a narrow-gauge trllck . Durina this opc raliclI Ihe su pports were replaced sc,'cral time! until
the derailment of a train in 1'147. a t which lime a number of 5teel supports "ere hi l involving
the breakdown of the 5CClioll. Afler Ihis the IUnnel was li ned WI th concrete blockJ.
In I'JS4 crack inti ",'as om.erved in the lOP or the eoncme block lining. Bc<:ause lhe c rach
were co nsi derably witJer o n Ihe intrad os than on Ihe ClIlrados. they must have beet] c~u S!'d
by movements a l Ihe sprintl1 ine o r by e)tcessive bending momen ts due to heavy ,·erticalloads.
It was found la t ~r thaI lhe ven ical loads ,,~re not abnormal and Ihat the r~ason must h.. e
been the voids behind Ihespring line Il nd the co nseq ucnl yield o rthe sprin\!.injl. In the cracked
seclions Ihe cntire lining "3S rem o" ed and replaced and the holes "-cre grouled prope rly.
Ikea uS!' of uneven sellienlent of Ihe d rain gallcry. caused by the numerous re pai 1'5, the draina!e
~yslem was also in need of reconstruction. In ce rtain I>eCtions the water "as pooled ratner
lha n dra ined and $0 lhe low spots had to be transformed into sumps fro m whe re thc wa in
"U pumped inlo II gravlly drainaa;e ~y~t em.

7.3. SUIU-.... CE SUBSIOE~CES RESULTI NG FROM TUNNEL

CONSTR UCTION

Recently R.B, PECK has rormulated the three basic requirements ror a satis-
fac tory lUn nel 3S follows :
1. First or all it s hould be able to be bui lt. It must be possible to advance the hoi!:
surety, to mainta in the imegrity of the opening at least temporaril y and in some
inslances to preserve the integrity of the opening by s uch additionnl mea ns as a
permancnt lining.
2. Tire con.~lrlICl iQn of tire tUllnel should no/ excessiuly damage adjacl'l/f or orn/ring
bulltlings. Slreeu or Il tiliril'J.
3. It should be capable of withstanding during the lifetime all the influences to
which il may be subjected.
 UTIMATI ON Of SUkPACE SU IISID£:o.CIl 10) ~

It is the second req uiremen t which underlines the importa nce of su rface
sLibsidence.
Undergro und cxca\'ation causes discolltinuity in the ground masses resulting
in sclilements, loosenins. and in a stress increase within a certai n area. Both factors
are bound to cause deform ations, which. depe nding on the strength of Ihe soil,
on the de pt h of cover, and on the rate of disturbance caused by the operation,
may extend to the surface a nd affect it to a larger or lesser extent. There is no
doubt that, for a given set of soil conditions and de pth, surface selilements and
the extent of loosenmg will depend largely on the quality of workmanship, on the
care exercised in constr uction, on the stability, strength and prompt installation
of temporary and fi nal supports and on kee ping the flumbe r of turnouts 10 a mi-
nim um. It follows, then, that fut ure settlements cannOI be pred icted but, at best,
estimated only, and tha t such computations can only serve to underline the role
and importance of the contri buting factors more than anything else. A n estimate
of the subsidences should be refi ned by actual observatio ns. and on this basis the
computation may follow both theoretical and empirical lines.

7.J I. ESTlMATIO N OF SURFACE SUUSIDENCE

DUE TO MINING ACTIVITIES

Surface settlement and subsidence ha ve prese nted already problems th roughout

the centu ries of the histO ry of mi ning. The preve ntion. reduction, as well as the
pred iction o f the range of an ticipated settlement became the more important as
the more mining ac ti vities extended below populatcd and built-up areas or vice·
versa populated and buil t·up areas extendcd ever undermi ned zones. In earlier
days it made hardly any di fferences as to what happened to the surface where
rai lway, hi ghway or navigat ional tu nnels were passing unde r un populated areas.

73.11 . Estimating Surfatt Subsiden(e on • 'Theoretical Basis

All theories dealing with surfat-e subsidence start o ut from the size of the surface
depression. Le. of the disconti nuity, left in the wake of excavatio n.

73 . 111. Empirical formulae. A number of empirica l mi ni ng form ulae have

been develo ped over the last 100 }ea rs, relating the amount of surface subsidence
to the size of the excavation and to thc depth of cover.
One of these was devised by BRIGGS:
,.,
!i _ III
2·2 +
/H •
\ 100
where III the de pth of the d rift
=
H _ the depth of cover.
1036 SUlirACE SUIISIDO<lCE RESULTING FII.O).l T U "SEL CO." STItUt:TION

There is another empirical formula by GOLOREI CH :

s - m-KH, (7.4)

where K - the coefficient of expansion of the volurni: of the ground and is cal-
culated from

, - ---V v,
v~

where V. _ the volume of earth excavated underground

V, = the volume of the ground within the cone of subsidence
V _ the volume of the total displacement zone.

As a minimum, the value of K may be taken as I{ "" <r0l : from this minimum it
will increase as the depth of the hcading increases ; for 11/ = 4'0 m (13 ft) it is
about K = 0·03.
GOLDREICH has also investigated the dynamics of the movements.
Owing 10 the excavation of the drift shown in Fig. 7/27 blocks A. B, and B•

•,, ,,• ,, ,, ,
, , ,, ,
\,{, ,,,
• • }/
,, , I ,,, , ,,
( j t
l

F,f.;. 7/27. Movcmo.>nts due 10

underground exea...ation
(GOLD. EICn)

•
----=""''''''''',---'~____-Jd-l-~
, FlO. 1128. Vario us phase! of
f s'aw/lon bu ildlni ~u b$idence in relation 10
I I the I,ro",re~ or exe.valion
 1037

FIG. 7 ']9. Wall of

a buildinl in Ka~·in.
cracked lhrough
and lihed du~ 10
undermlnma

will be set in motion, the effect or which will estend to the surface (ubed). The
underground excavation will give rise to movements on the surface, both hori-
zontal and vertical as illustrated. While, according 10 GOlDREln., .he maximum
will occur nt band c, the minimum will be found at a and d. Once block A has
moved downwa rds, wedges 8 1 and B~ wi ll follow: .his is why Ihere will be hori-
zOnial movements as well as vertical ones in areas ab and cd, and this is how
the depressed area will develop on the surface. There will be a lapse in time between
the underground excavation and the subsidence on the su rface: Ihe faS ler the exca-
vation underneath, the faster the buildings on the surface will ha\e to go through
the va rious stages of settlement and accompanying stressing (Fig. 7/28). In areas
with extensive mines underneath there is morc than one slip surface along the
boundary of the subsidence zone and these are marked by gaping cracks, some-
times several dm ( I fI) wide (Fig. 7/29).
Based on investigations and observations made by the Mining Research Insti-
tute of the Soviet Union, AV£R,SIN 1•111 has studied the shape and ex tent of the de-
pressIOn area on the surface. (Fig. 7/30): His equation for the depression line is

'I(x) = '10 {I _ ~)(7)2 t'~;I. (7.5)

1.11 AVUJIIN, S. G. : GOT";" rQbo/; pod sooruzlll'n/Qnli ~'odMIIIQnrl (Minin& ...·o rks under
surface and . rou ndwaler). Ualefehizdal, M()SC()w 19-'4.
I03tl SU IlFACE SUBSID ENCE IlESULTtSG film! TlJ""El CO"'URUCnOllo

, Fto. 7/30. Theoretical treatment of surface

selllcmcnts by A VEU IN
,t--'"-' :Ii :v-
,
i ,
• !

It has been observed that L = 2·13 J and with this the equlltion is

r
'I(x) = 'IIJ I - 2. ;3 1t" ('HI 7• (7.6)

where J _ the disl1!.nce between the point of counternex ure Il nd the maximum
depression.
The approxi mate value of the mllximum depression in the centre, 'I", is calculiued
from
III - 'In
<-
H
I.e.
'Ill = III - KII .
The maximum depression, '1 0 cll n also be obtained appro1<imatd y from the
area (V) hctwttn the de pression line and the original surface a~ follows:
2Y
'In - y .

In hi s quo ted work AV [ RSIN also presents some more acc urate and complex for·
mulae, taking into consideration the effect of time and the progress of eonsolida·
tion. Because all the above fo rmulae consider homogeneous soil, which is hardly
evcr cncountered, the computations are of rathe r acadcmic va lue.
In the Hun garian Mining Research Institu te, MARTOS has also investigated
the problem of surfa ce subsidence. l1g From a stat istical evaluntion of actual
observations he arrived at

'leX) - K ";.FIJ (I - h,) exp - r ~), (7.7a)

H
--
where 'I(x) - the vertical component of surface subsidence
the depth of cover
a constant for a gi\-·en set of local condil ions
," --
<
the elliciency of backfilling
the distance of the point of inne}lion.
f.,. I\.IARTOlI. F.: &;'''YUY1Uli KUf. Int . Kii:I. 1960 1- 2.
 ESTI MATION Of SURFAa 5UBSI()(SCE 1039

The maxImum settlement IS

Kill
110 = "':;:"v <I - ;,1. (7.7b)
" + /l
Fro m the assu med mathematical modt l M A RlUS 7.:IO has later developed the
more exactly defined differential equation of the subsidence curve, where not o nly
the venical but the horizontal displacements of the subsidt'nce trough are also
considered. Considering that surface movements ef any point on the subsidence
line lire always directed towards the intersection point of lhe extrac ted zone with

F'Kl. 7/31. Surface m o~~rroe nu and Iheoretical subsidence line (after MARIOS)

the axis of the curve (center of gravity: S) between the horizonta l (.t...) and vertical
(u...) displacement vectors of point P the following correlat ion may be written
(Fig. 7/3 1)

I I is ralional to characterize the meridian curve of the sctlkment trough (A I Z J 8)

by II simple mathematical corrclation sali sfyin g the following boundary condi-
tions:
I. It attains its maximum value S"""~ - '10 at the abscissa :c = o.
2. It is appronching to the horizontal axis -:cox assim ptotically and in the d is-
tance:c = 2, its value is equal about 10 the meaD error of kvelling (v. z)'
3. Concluding from conditions I and 2, its point of inftexion is in a distance of
x "" I.
'.W MARIOS. F.: A differ"nt;al equation for the surface $ubsidence li ne (Az alafej te lt kiil-
szln elmozd ul li.$&nak egy differcnci'JeaYenlete, Hung.). Bti"y,uzatl K"t. Ittt. Kii:l. 19(;1 / 1:.
1040 SURF,\a SUBSIOll'>C[ IESULTING FRO.I I TUSNEL COS!lTlUCTION

The sim plest function satisfying these conditions may be wrinen as

"
'lex) = 'Ine - -:Jf (7.8)
and the horizontal displacement
1//1 \""c - .,.
,
.• "
" - -
H· (7.9)

The distance of the point of inflcxion may be determined from the sa:ond bound·
ary condition. ~ause whcn

x = 2r _ 211 cOlan 3; I/(X) = I' ..

lind from Eq . (7.8)

I~ ± 1·4 H cotan 9[rn :ul

' ..
t

and Ihe plrame le~ of movements:

dC'ftccrion
Ir _ -dll = I/~
- - x~
;~.
dx P
fac tor of Cllrl"fl/llr~ (appro'"(imlliely)

g= -
I d= 'I
:::"--.--
R - dx· "[ "1-"
1~ 1 ± 12 . ctl' (7. 10)

and its minimum resp. maximum values al x - 0;

R(-) .. -
I
and when x= ±J"3/, R(+) = 2·22 -
r-
'1~ '1D

Specific st rain on the surface:

• ± - (ill -·H
dx
..
'· I --'I , ".
I
.\
I'
- :1'
(7 . 11)

and its extreme values when .\' - ± J ••/3

t( +) "" - 0.45 '10 lind when x .. 0: «-)= - . 'I,

II H

The variaLion of all moveme nt parameters wi th their extreme values are indi-
caLed in Fig. ' /3 1.
The dlfferential equatio n of surface suhsidencc was wrillen after A VCRSIN
 £STlPolATION or 5UltfACt: SUlL'ill){~CE 1041

(wi th rtgard to the horiZOnial and \crtical displactmen vectors)

dll if"
- - K-
dx dr
and now we may get from the previous equation that

2H· cotan~ (j
- -=
H In~

nnd thus th e differemial equation of surface dc:formil lion

'"
211 . co tu nl 0 If 'I _ 0
-= (7. 12)
dx In '1 o d.r .
'.
In this way the t values which are decisive fo r building harms - ma y be
eomplued alread y from levelling resul lS without observation of th e somewhat
involved ho ri zontal d isp l aeemen t~ .
An ime resling esti mate of ~urface settlements was wo rked out recentl y b y
L1TVlNISZ 'iN ;·~1 which is based on th e theory of mathemati(''lll prohubil ity. Studies
of areas have led him to consider the ground abovc the hole to be of a fra ctured
and granular ra ther t han of a conti nuous nature. Ass umin g that the frac tured
elements are all of the same size, the empty space created by the removnl o f brock
I (Fig. 7/ 32) could be filled by either of the two blocks directly above it. The pro-
babililY of the left block o r the righ t block slidi ng down is 1/2. These b locks,
howe\'C r, would have to be replaced oncc IIgai n by one of the blocks above them,
the pro bability of the three blocks sliding d own being 1/4, 2/4, and 1/4 respectivel y.
Proceeding 10 th is manner, each block in each layer can be assigned a ;ch ance
fat:IOr', resuitinll in thc pro bability cu rve (K ) acw;;ording to Gauss (Fig. 7/ 32).
From the abo~e eonsidcmtions, LrTVtNlSZ'iN de rives a mathematical opera lo r by
wh ich any deprcssion su rface (.'U n be com pu ted from the one above it. The Clt-
pression is a function of time (0, horiwn tal dista nce (x) and maxi m urn dep ression
in Ille centre lii'n)
-.
I\'( ~ ,,l') _ .j:• J" O! -" ds , (7. 13)
-1 '<1'·

which is in good agreement with aC lual measurements. For furthcr details th e

reader is referred to the rtferences.
73. 11 2. Actual observations and Jl recaution~f)' mcasures agains l ha rmrul
subsidence o f buildings.
, ... t n~r"'ts.t: y ",. J.: ll isp lacclO(:nls in Lots! Bodin as Stochastic Pr~sS<.'s. Hull. dt!
fAr"drm;I' P"/",,..iu tho Sdrlfus 19!5 111 4.
L, rvl!'o"UYN, J. and NnJBERo. K.: Gcb irB$~wel!u ngc n il~r ~i rn: m Abbau al s Sl oc has ti sc hc:r
Pro"" IlUrBcfllU t . Fui[>,rger Fors~"ulfll"fl11" 1956 H. C. 22.
1042 SURFACE SUBSIOENCE RESULTlN(] FROM TUNNR (,()SSTRUCT I O~

Surface subsidences in undermined arcu perform a continuous process depend,ng upon

the location, nature and imensity of mini ng aClivity.
When e,g. the u Ildcrground extraction of coa l and of var io us rllin~rals is accomplished
alanK a wide front. then its advancement is followed wilh a aTlain time-Iail by a ~uh~idcncc
wave on the surface. This wave-like motion must be followed by .he buildings. As indica ' cd
in Fig. 7/33 inbelween Illey will be subj«1 10 vario us ilresSC's, i.e. from initial tension CD 10
shear from differential se!llemcIl' ® and at las! to compression 00. The rate of Slrcsscs will be
in imlir",,! ralio wilh the radius of cu rvature of the surface defo r mation line. When the sub-
.\ idence wave is over. i.e. Ihe mini ng aClivity and the e~ cavation front ha s sufficiently advanced.
the buildings will come to rest. although they are still subject to additional uniform sel1lement
as a cOflsequence of the loosening and disturban~~ brought about in the surface-near layers -
carrying thc building loads - by the preVIOusly described deformatio n process.

I-fM -'(f)

Fro. 7/32 . Probability af settlement FIG. 7/33. Subsidence ",ave owing to the
far elementary blocks abave an advancement af a mining cut
opem ng

It mU51 be considered. how'ner, that the gruund is a plastic material and a certain amount
of time is req uired to the full development of ~u fface deformations. the greatest value of
which will be certainly lagging behind mining ope rati ons. Shordd 1M JIX'l'd of milling (uk-ana-
me", 3111'paSS that af Ihe propaga tion of deformat ions towards the surface. then the expected
maximum value of surface subsidence will not be realized, because the source wllich t riggered
uut the defurmation process has passed over and stresses were red uced sooner t han its con-
sequences could ha d set in.
The greater the speed of advancement and the more time is necessary (or the full deforma-
tion display (i. e. the !lreater Ih" plasticity of ground-material and the !lreater the cover depth
over the mi ni l1g cut) Ihe greater the reduction may be; nor only in the maximum sUMidence
value but also in the maximum slopes of the subsidence wave.
These 51"p~s. I.e. the ~1I"'U"'rt'ru"I". ar" "arying alol1g the sub,iden~'C wave with Lh~
IIreatest curvature factor (I.e. the smallest radius of cu rvature: R.., ) jUst prececding the in_
flellion of the wave. The steepness of slope and the radius of surface curvature can be anilki-
ally influenced by establishing fairly d~p ve rtica l cuh in the close vici uity of the buildings.
I n this way t he un iformly distributed strains (0:1) will be concentrated in the cuts and Ihe
dT",:ted ABCD $oil mass will take the new position A BCD without sufferin g any inner distor-
tion and the SUl"'rimposed building will follow the inclination of t he bl ock withaut any inner
strain ( Fig. 7/34).
SaIne approllimate calculation m"thod~ as to lhe det"rmimuion of additiunal stresses pro-
duced in a rigid building have been de ve loped.""

'." M ULLER. R. A. and J USIN, A. L: Additional stresses in the vertical plane of II rillid
building erected in an underm ined area (Ciniteie oliv nujiei \'elikost p ridatn~ho nam:l.h:l.ni ...).
Inuny.sAt SI(Jr;by 1961 I.
 ESTt!olATIOS OF SUllfACE SUIISl\}ENCE 1043

From the described subsidence mo~emeni il may be

also concluded Iha t rigid roundation blocks an d monolithic
basement s - highly resistant against bcndinK - ma~ be
also an asset in the anticipation of builliing harms in
nining afC'as. A statically determinate bearing of the
tuilding will also anTicipaTe unwanted cracking ILe.
I I , ,I
,
: r,
eellnit" support on thr~ )}Oinl' in the space or al ong two I : I
para tlel edges). T he rea liza tion of this latter one is rather
CIrcumstantial, although special "",lieulaleo" subsi dence
insensitiv" '",i!ding Iypes were de"cloped latel y for mining
areas.""
,
In g~nerol. rlrher rigid jOllndllfloR3 0' buildings UF highly Fla. 7/14. The effect of pre_
flexible b",'lding sr,ucW,n may gi"'r Ih, b,st {jlillrOnlf"C "ious CUIS beside the bui lding
D(jlllnSI subsidence h<l,m,.
Special imporTance is to be anributed to the 50-called "profrrlion "mars" in un dermined
areas. In order 10 prote<;t built.in areas from subsidcne<: harms. regulaTions have prescribed
to suspe nd mining aClivities in Ihe underlying zones of ~orreSpOndiDg e~l~n~ion. Builuings
ereeted above Illesc protecti.'e pillars excelled in general from their surroundings by standing
01 a higher level being saved from wrface ~ub,idenct .....·hereas buildings erecled at or arounu
the protect IOn lim il of the pilla rs were subjecl To severe damages. U, ban development how_
ever required rather SOon the u~ of areas be}ond this prOlected ZOne for habllalion or in_
dustria l pur!l-OS"s. Or il migh t have hap""ned, tOO that the CJ( I mction of coal or olher m i nera Is
from this unaffe~tcd ~ort~ could not be dispensed wilh for various economical or operational
reasons. Mining operalion~ in the lone of these "prole<:tion pillars" require UlmOST allenlion
nai nly concerlllllg tile bUildings ereeled around the OUICrOP of sli din g fllcc s on the $urface.
In the various cod~ containing prescriplions for Ihe admissible surra<." rn,,,'ernents above
nininK areas the Ilarmful effecT. may ~ lreat"d from the following aspects:
The admissiblc dcgree of buildi"!:: det~rior.. tion mu,1 be such thai
( a) It might nol en danger human life,
(b) it might nol involve any r"';lri"ion in Ihe norlllal use of the building,
fl the harms pTOduced should be ea~y 10 repair.
The \lrnl Illajoril)" of build Ings ve ry sensibly react on deja,motions (differential settle_
melllS or surface deformation) but Ihere is also a number whi~h are ""n,ilivc agai nst mu~'''­
menU.
In the regulat ion s Ihe buildings are clas:sified inlo cat~lIorics according to their settlement
;;enSitivit)".
E.,. Ihe Polish reguhttions admil the followillg distortion va lue$:

C"<IO'~ or 0<"«';0" R.d;US of

p,o.«,;"" mm l l;". no O.fo, .... ';o"
cu""."
R (1m) on",I';' m

I. 2'~ 20 I·'
II . 5'0 12 "0
11 1. 10'0 6 ,,'
IV . 15'0 , ',0

, .23 H~ATHCOT"f. F . W. l. : MovenlCnl of articulated building! on subsidence sitcs. Pror.

In-'l. Civ. Eng. 196~ Febr.

66'
1044 SUMfACE SUBSlI)~N C E RUULTING fROlll TUI'NEl 005."'T~UCTION

Th~ limit 0( absotut~ly harmless surface deforma tions diff~rs in the various rellulal ions.
E.II. in Poland il 15 limited in I'S mmJhn. mct~ whereas in Germany it is only 0-5-0-6 mm/lin.
m. In Ih~ So.. ict regulation s the rollowml parameter is u$Cd for tlK: judllement 0( Clo:p«tablc
subsidence harms:

(1 . 14)

where ' is th~ positive strain a s c.>.prt!!oscd by Eq. (7. 11), II the ~ight of the buildinll, R is
Ihe rlIdiul of cu rvature li S expresstd by Eq. (7. 10) and' is th~ length of the bulldina;. Should
i ll not exceed the value of 100 mm (4") then no scnsible harms may be expected and no
.;autional)' mea sures are necessary.

7.32. SU RFA CE S ETfL Er..1EN1'S OUE TO T UNNELLING ACflV1T II-:S

Surface mo\'ements due to tunnelling in relatively shallow depths and unde r

built -in urba n areas must be discriminated from surface subsidence due to extrac-
tio n of coal. o re o r other mi nerals by mining operations not only because of the
differe nce jn dept h and usually in Ihe geological strata involved. but also because
of the diftcre nee of sett lement sens;t; '·;,y and of the value of tile ~lj UCIU l t:~ Iv Ix:
affected on the surface.
Construction of a tunnel in soft grou nd is associated wi th 11 change of stress
in the s urrou nding strala with corresponding movement. T his movement is
di rected towa rds the face and rad ially inwards on Ihe hole formed behind the
face. T his phenomenon may be readi ly observed by levelling or by Inference
from eventual damages of overlying structures. The movement of the ground
1ll0biliLes the strl:ngt h of the stmta in the immediate vicinity of the tun nel. T he
extent of this movement is not easil)' dete rmined ahhough it is of importa nce in
estimating the effect tunnel construction might have on a building. founded at a
known depth in relation to the drive.
The amUlI1II o/llwlmd moremenllJ dependent on the character;Sf;CJ of ,he Joil,
Ihe grOlmdl\'(Jtt'r conditions, tlte size and depth of the tunnel, 'he method of excUl'(.I-
fioll alld SlIl'Porl and the spud of ad,·Ullce. For any tunnel 'he soil and grou nd-
water conditions are the dominant facto rs and the art of tun nelling is to keep
the movement withi n acce ptable limits b)' adopting the correct methods of excava-
tion and support .
In soils with little or no cohesion migration of the malerial towards the fa ce
and sides of the lunnels constitutes a consta nt da nger a nd in order to pre\ent
loss of ground and subseq uent settlement, continuous support has to be afforded
to the ground. When under the groundwater table the movemenl of such material
due to water fl ow can immediately lead 10 catast rophic settlement , unless steps
are laken to remove the water, e.g. b)' horizontal or vertical well points or 10
immobil ize it, e.g. by artifi cial freezing or to hold it up viz. 10 repress it by com-
pressed ai r.
Recent investigations summari7c the ractors responsible for sen lement
above a driven tu nnel in mixed ground as follows:
 THEORETICAL COl'oSlOl;RATIQNS 104'

(a) Natural settlement of recent strata.

(b) Remoulding of elay caused by the tunnel construction which may initiate a
new cycle of consolidatio n.
(c) Groundwater lowering by well-point systems (both by elimination uplift pres-
sure and by the removal of some very fine materia l and by accelerating natural
consolidation settlement).
(d) Subseque nt redist ri butio n of material (re-arrA ngemen t of grains) on the return
of groundwater.
(e) Drainage of the grou nd through seepage into the tunnel produ6 ng the same
effects as under (c).
(f) Movement of the ground towards the work ing face ahead and around the face.
(g) Loss of ground and imperfections of grouting during tun nel construction.
(h) Deflcction of segmenta l lining ring requi red to mobilize lateral passive resis-
tance of ground.
In addition secondary effects may be also conSidered as
(i) Dynamic compacting effect of surface traffic on the loosened grou nd layers.
(j) Fluctuation of groundwater level as under (d).
(k) Release of comprt:s~lI air fru m lht: cUII)lructioll site.
Under given circumstances the engineer cou ld ha ve exercised some measure
of control over all but the first two and the last two factors.
As efficient tools of control may be advised :
(A) Prevention of loss of ground and inlihration or
ground .....atcr (dewatering).
(8) Keeping overbreak~ and voids arou nd the tunnel li ning at 11 mllll mum.
(C) Efficient and possi bly im mediate grouting.
(D) Con tinuous. adequate and un yielding support of the face.
(E) 1!lI.:rea~e of constructi on speed .

73.2 I, Theoretical C()nsidenuioos

As already mentioned and with d ue regard to the grelt range and variety of
influencing facto rs (a) to (k) the theoretical treatment of surface seulements is
always based on rough ap proximations where the cffect of all pMameters can't
be taken into accou nt. Owing to the preponderance of sh ield-d riven tunnels,
theories are dealing with circular holes of this type.
73.211. Circular tunnel in a homogelll!uus /uyer. With reference to the studies
and seulemeDl records made in connection wlIh the construction of the Leningrad
Subway, LIMANO\,l.~l has developed a method to calculate surface settlements in
the case of shield-driven tu nnels in Cambrian cia:,.. G oi ng back to the Maxwell
theorem LIMA 1'>OV conside rs surface settlements as deformat ions in a semi-i nfinite
1.... I. IMANOV . I. A.: Osurlki zadnoi pOfl'rhllOIII prl sooruzh"lIl1lollm"~1 v h",bri~kih II/il/uh
(Surface scttlementiii in Cambrian Clay due to tunnel construclion). Insi. I n~h . Zhclezn.
Transport. I.cni ncrad t 9,7.
1046 SURrAC~ SUIISI O~NC~ MUULTING fRO ... TUN'-El CONSTRUCT10~

{}wril4ry top lJyers

II
1IIIIIIt
I
lili

FIG. 7J35. Surface movements due to pressure inside the tunnel

elastic space caused by pressures exerted by the tunnel lining on the surrounding
ground - except for the sign whicn nas to be reversed. For, if the pressure from
the surrounding ground causes stresses and deformations in the tunnel! lining
tncn surely the problem can be reversed and considered from the other end as
well. Assuming a set of reversed stresses to be caused in the lining by a hypothetic
pressure inside the tunnel, the lining would also be bound to exert opposite pres-
sures on the surrounding ground which in tu rn
would result in deformations on the surface that
would be equal to the settlements but would be
, opposite in direction.
T wo approximations are made in this theory: lhe
surrounding ground is !lssumed to be perceclly elas-
tic and the fictitious inner pressure, i.e. the cause
of tne ring deformations, is assumed to be uni-
, for ml y distributed and radial in direction. Depend-
ing on the degree to which these assumptions are
co rrect, the results will have to be treated as only
an !:slimate 01 tne mnge of se\Llemcnts.
Consider the circular underground opening at a
dcpth flo and subjeci to a unifo rmly distributed
pressure p as illustrated in Fig. 7/35, with the sur-
face deformations plotl!:d upside down . While lhe
, settlements can be described by their vertical compo-
FIG . 7/36. Determination of
nents, they will ha ve horizontal components as well.
movcments due 10 pressure
inside the tunnel in a bipolar The movement of the point inside the semHnfinite
coordin:l.le system body caused by underground excavation is dividcd by

•.•• COK~ R . F. and FAlw,,-. L. : Fes:iiluegmhhele sua/Ilea; a/apOII (Calculation of stresses

on the basis of sta tics). ONTI 1936.
, ... JEF F[ RV. G. B.: Plane Siress and I'lain Strain in BipCllar Coordinates, Trans. Roy. Soc.
Londo" . Sn;t',< A 1920 22t 265- 293.
JEfFER Y
T H ~OIl~"' I C "'l CO'SIOU)l,TIO",5

Into 1..... 0 parts, (he une d ue 10 the in,ide PIl!~SUIl! p ( W ,) and thlll due 10
"'"
Ihe external loads on the l urfacc (W.V " The problem ;5 in"'eslipled in a bipolar coordinate
sys tem."" and in Ihis case the radius of lho: circle !'ound one of the poles is ~no ( Fia. 1/36).
The resul tin& de formallon vector W';s lhe: V«tori~) ~um of the: abo"e 1'"'0 movements: W =
= W , + ./Y ,. Let U and VdenOle . he components o ( W para llcito U~ x a nd y , rUpcClinly.
Ihen:
' u .. _( I ~~) p r: [[ 2(1 _I') It. _ (I _ 2.")] cosO, _ [2(1 _p)'" +
£ II r, (I

+ II - 4')
., cos II.
- +
x,
~ (It - II)
cos 26,
• -
C0ll28']1
(Ir. + x) - ,- , (1.151
' : II 'I ' .

V" - ( I +~ ) £'. , 'II 2( 1 - 1.)-(I - 'ZJ') -;;- "]"'" [ T, + 2(1-~)+

+11-2/,) -, .] si nO, + -'~[ (Ir, - ,)

sI n2 0,
-(11 , +0) . "'''']1
r; .
If '. " "
where. in addition 10 the notations used in Fi,l. 1/31

Ihe radIus . '«ton; lm:

'," J(,T 0):+ J"; ', - J (JC+ a)' +y'.

the polar an&les are 6" 0,. calc ulated from tan 0, '" "''-7
,.
and from tan fI, ,..
,.
".7-7
x II x+(I
LIM... NQV, usinl the abo ... e equations for homoacneous material, arrives at a maJlimu m
~rli cal movement in rh e linc of thc ... ert lcal dia meter of

UDll - ( I -I" ) £
p ""Jr.
~-r. (1.16)

This, however, can abo be calculated from the loosened area (F) thaI has not been back-
filled aro ll n(1 the tll n nd

.. here
..
f ",+J':
d,'
F= ( I _ fI,) L 4'~. ( 7. 17 )
£
•
Howe""" lhe oprn;na of lhe undc'lIround hole d,mlnis hes Ihe initia l strength o( Ihe soi l
and will increase ils compressi b ility at the: same lime. As a resuh a multi plyin, faclor has
to be introduced in the calculation of F; this factor is

'(I
(7 .1 8)
0+ 2(1 1')(11 - 01
Knowinll the amo unl uf ma~imum surface setrkmcnl the stla pe of Ihe subsidence area
can be detcrmined o n Ihe basis of the probabil ily cun.-e of AVERSIN. T hus. If half of lhe d iam-
ete r o f the cone is 20. then the s.enlcmcnl a t a d istance x from the Cent re IS

"I=U.... I - (7 . 19)
r .....
x " "
2il
1048

From observations made in the conslnlclion o f the Leningrad multitube sub-

way stations UMA NOV developed 11 nu mber of empi rica l formulae relating to the
settlements resulting from the driving of adjacen t tunnels and also consideri ng
the lapse of lime between the two o perations.
An approximate method fo r the calcu lation of ex pected surface senlements in
cohesionless soils d ue to sh ield tunnelling was developed by SZkHy.?·2'
Although it is gener-Illy acknowledged thai shield tu nnell ing incurs smallest
surface selt lcmen ls still this method is also not devoid of these phenomena . Con-
sidering that it is D.ppJicd mostly under densely habitated urban a reas, relatively
small differe ntial settlements may be harmful for reside ntilll buildings. Con-
sequently even tl p proximate knowledge of settlement pa rameters and a possibi lity
of ro ughl y precllsting its magni t ud e may be helpful in find ing the anticipating
measu res to be taken for keeping them at a mi ni mum.
All theories relative to the com p utation o f su rface subsidence, establish a rela-
tionship between the vol ume of the im properly filled subterranea n void and the
volume of the subsidence trough at t he surfaL'C. The development of th is latter is
unavoidable even whcn an absolutely tight filling of the voids may be gua ranteed,
bet:ause of the initial loosening of the overlyi ng so il mass brought about by t he
very facl of carving out a subterranean cavity. As Ihis loosen ing extends ahead
the front of dri ving the deformations involved can not be restored by subseq uent
measu res, possibly taken only from the cavity itself (cf. Fig. 7/36) because this
.."ould require the resti tution of the o riginal undistu r bed density li nd the upheaval
of lhe whole mobil ized overlying mass to its ori ginal level.
This initial looseni ng effect of t he shield-drivi ng opemlion will be increased
by the excavation and rcmoval of any ma terial in e~cess of the volume occupied
by the ad vancing shield and entering th rough the shield face (loss of ground
Vo + VI)'
Then thIS settlement wi ll be associated by the effect of un properly fi lled voids
len around the ndvancing shield.
In the case of shield tunnellill8 the u~" or th" simple approximation may be admitted. i.e.
thaI in the relatively shallow o..I"ptll til" volume of the material enlerinG througll tile face and
t~al filling 00 \ the cin:umferentia.1 void Jeft behind tile shield skin wtll nOi change. when
replaced by ~ub..iding mall:rial rrom the o\~ rlying layers. In conclusion the volume of the
.ubsitlerK'" cone (respectively cylinder) wllJ be equa t lO that of Ihelle ~'o lds + the mllSS en tcr-
ing in excess through the shield face (loss of ground).
In addition it may be assumed with regard to the shallow depth Ihal the volume of the
soil mass whicll is reSpOns ible for the loosening and thus for the surrace !oCnlemenu. will
mobili2e In c/)nrs/im/c.u soils Ihe rull shearinll resistance alonll a rupture plane the incl ination
of which ( 41) "ill be defiJled by Mohr's rupture condilion exprc_\~ by Ihe \\'ell- ~no"' n equa-
tion (Fig. 7/J7):
r ___ Ulafl ';+ C.

, .... SztCHY, K.: Surface !.ettlcments due to Ihe shield tunnelling method in eohesionl~'Ss
soils. Prot. Mnra eVIl/. 8"lu'unjilrt'd 1970 61S.
S7.trHv, K.: Obc rllikhcnsc:nkunacn beim Schild vortrieb in kohlisionslosen SandbOden.
VDI-Zeitschrirt, t969 Nov. n lS6J- IS66.
 TH~O'F.TtCAL COf"51DUAnOl"S
""
FIG. 7/37. Development of 10ll&itudinal
s ubside nce tro ugh due to shield drivin& - ....-...-
~Itttl
- _._.-.----
,
I !M," I

"
From the aeomclrical correlations represented in this figure, we may ,et thlt

and thus for

. 1= 4S · + ~/2_ fl'.
Under the further Londition that the venical icoslallcal press ure repro:sents the bigGer
principal stress: 0 I and lhe smaller principal stress: 0, may be derived from II after Rankine',
ralio, we may co nclude from Fi,. 7/ 17 thaI

Q = 00: oC_ or= Q

,
+ Q, _ ",- <7, sin.,
2 2
<7.( I _ ~in¢)+ ,,=<1 + ~ n <p)
(7.20)
2
On lhe other hand, in the lim it state of equilibrium lttCordin& to Rankine's ralio
I -si n</l
0, = UI T:C-:C;7
I+~jn<p
and thus
-.in +
+ ", I + .
2" = 0,( 1 _ sin~) .• (I+slflt»,
'm
Le.
Q = ",(I - sin 4')
and Ihus the shearing resistance
, t =Q· tantl+ C=u,(J -5i n .) · lan</l+ C ( 7.21)

and funher. lakinl the vertical stresses IR the overlyin, $Oil mass, i.e. tile pri".;ipal •• resses
equal 10 the !leostalic.t! prcssures (r· , ) wc may "'rIll:: I~.al
t "" tan 4>.:-,..(1 - sin ti>J + C. (7.22)
which means lhal wilh constant soil phy~ical charlCleristb thc shearin, st renglh,ju st as Ihe
vcnical compression . tress will be linear funclions of the dcplh below the surface and the
assumption o f a plan: rupture SUlfate "ith an ioclinltion In&le fI' ,. 90 - 9 12 in Ihc enllre
mobilized soil mass qUlle up to the OUlcrop at the surr.a. _ is fully justified ( ....,g. 7/38).
A further approximat ion as to the distribution ur >eultments at lhe !urface may be laken
from tbe obscn'cd shape of subsicte rw;e surfaces in minj,,!:! Heas, which may be well dCK rlbed
by rot4tion s u rfac~ having an ClIponcnlial meridian cun·c. Substitulinll\ now this by a strui!lhl
line. thc volume of the dcpression Iro ullh may be IIlined IS ,hat of II cune: n,speclivcly as that
of a vcry flat pyramidoidal figure.
10>0

FlO. 7/38. Mohr's representa.

tion of rupture conditions

, ---L
•

A,sumi nll thai the malerial entering through Ihe open shield face will st and PI an ani le
~ ils volume may be c~pressed as:
• 2, lan1
Y, = ,-;r 2 - r:r tan '2 (7 .23)

and since Ihe (xtension of Ihe subsidence area may be: expressed in uial direc tion as (2 11 +
+ 2r). COla n p' and in hucTal direction as (2r· sec P+ (r + /I). Ian /II " 'he re p' "" 90 _ II may
be taken equal 10 Ihe iodination angle of the rupture surface of the mobi lizoo IIClh'c Rankine
pressure (I.e. p. = 4.5 + ~2). Tnc, o the r annotations apllC'ar in Fi,_ 7138. Thus. Ihe volunw
o f the depressio n wrface cl!presscd u lha l of II pyramid wilh III<: height J;"',:

Vr - 2[rsecfJ+ (r+ II)tan p ](2H+ 2r) 11111 {l t~. (7.24)

and from the equality V, _ v.

o ) ..,· ,'·1a0 7
s ..... ,., -~
41an'p'Ir( 1 + ooscc (J) + 11(2+ co~P+ H,',)]·
[I mU$1 be nOled, ho"·ever. Ihal thiS va [u~ will be in~n:ascd by ally add ilionlll man (Vo)
breakini down before the fronl and enterina the shield through the front ral~. [n this case
Ihe prevIous formu la wtll be modified aJ roll o ...·~ :

$' ...
lh . r~ . tlln T +,- .V
"J<'c)=",-,- (7.26)
.. 4 Ian ' ~ r,o + cosec II, + 11 (2 + cosec (J + ffir)f '

T his value will be increa~d however by lhoe .<"I'~r""lw.ml S/lbJI,/~"U' s:;'" due to the effect
of unpro~rly fi[led voids. left behind the shield ~kin when advanced . The mallimum thick-
ness of this annular space .... i11 be equal 10 ". = 2<1 +
I wilh <I denotini lhe thickneiS of the
shield skin and _I thai of tbe play be".-c:,,:n the inner surface of skin and extradO$ of 1inini
segments. This unfilled void "ill prod uce a loosening abo ve the ~rown of Ihe tun nel not
cxt~ndinl however u p 10 lhe surfacc because cllperience has silo"n thai th iS disp[acemenl will
not be of !Wch magnitude. that it would mobilize the shearin, stre ngth Quile up 10 there.
Deve[Opinl archi ng effO:Cls "ill PUI a Jimit to the up...·ll rd propllplion of Ihis loosen;n&.
which mubili zes Ihe full s heartlli Siren i lh of lhe coheslonlcu soil mass. The heiahl of Ihe
loosening tiaure (h) ma)· be gained from I' rolodya~ono,··s theory. i.e.

,- H
2[ - ~
b(~,=.~"",il + sec {J)
2lan.
(U7)
 THEORETICAL C()NSIDUA1l0"~ 10j1

I
II
Ir.ru

FJ(i, 1/ 39, Correla tion bcl"'ecn seu le r~tlI Irooih a nd l o~s of iround enterini
throuih IhI: fattl
wilh
B = 2r(ta n p + sec (I ) "d f- ta n~

The se nl ~ m<:nl due 10 thi~ 1<,..... nin8 may N CO ml'" r('<I al !'Oint C in the venica l axi s of
the lunnel as the compreosion of tllrS loosened mass un der its own """ight, i.e. ( Fia. 1/ 39)
h"i'
u,= --
2M
= ~
8 ',)'
,-_
4 tan',., 2M
8 "]1
8 tan',. . lit
(1.28)

This parabolic loose ni ng fi gure may be ""llarded n tht' bou nda ry of rupture zone. i.e. o f
displacements inl'Olvinll )tre~~es ex ceeding the sh earinll strenith nf the granu lar ma,s, Beyond
(hi li area, ho,",ever, deforma tion s will be the product of stre,ses fallen below the s hearini
strcnllh of the ro hesionless material. The e.l Iensioll of the mob ,h~ed rupt ure ~one may be
limited laterally by lhe ruptur" pl a ne of the 'I:li"e Rankint Sia le (inclincll al 9IY' - P _
"" 4S' + ",/2). On the o lhc r hand, th ai of Ihe deform,uiOll 20"" may bc dmwn with an in-
cli nati on at <P. its raise tan ¢ C;" I'ressin l Ihe rat io of actinl Icostalical stresses to s hearinll
resistance [d. Eq . (1,22)1.
Th us 1M 10lal stress area mobi li zed by the . ubsidence mlY be hm,ted by the bro ken line
C £ ' 8{).
The 1~l1cd mus w,lI suffer pn additional "crlieal d isplac"~" I, ho .. cv"r, "'hkh will be
due to the im properl y filled voi ds (u.) artlu nd Ihe shield. Takina Ihi s equal 10 Ihe half of lhe
lotal an nular spa\:(' (u. = 2<\ + I). we ma y .... ril c thDI
U"" u, + u.i2.
i.e.
B ! . ]I 2"+
II:
8Ian' •. M + 2
(1,2'>1)

The maanitude of the su rfa~" ~ ubsiden<:c may be determ,~d aiD;" on tile basis o f t he
cq uality tlf displ aced volumes. The volumt of the elJipllcal Klllllent abo~c the tunnel for
I linell meln: Icnlth wi ll be equa l 10 (d". Fill, 7J9j

8 ', " 2tI +.J

8 l an~ ",. M + 2
(1.30)

On tile other hand . the: determina tion of the equi"alent ,'olumt of surface :.elllcll,<:nl mil )
be "ffecled onl). "'hen ,IS eXlenSlon is defined firsl, As n:awnab1e Ippro~ imallon 11 may be
1052 SU lr" c[ SUilSIO(SCE II EStJLTll'>G flO!>! TU/IoI'> EL COSSTlUCTIO:-.

., ,
"

Flo . 71om. Correlat ion betwccn SCllle menl u oup lind u nfil led "olds .round lhe tunnel

assu med. that the bou nd ar>' hnc of th is di'plaw m"n t lone will coincide with the outcro p o f
the previously hed stress-fiiu,C ,
In thi, way the ",i"hh of the subsidence 1;one ",ill be (cf. Fiio 7{40)

w= 2[(r+ h) · tan fJ + r · sa: {J + I ,colan.] (7.3 1)

Practical observat ions ha"e indIcated ho"e\'er tha! Ihe section of the iut>.i<.l"nc" trough
displ ays a ddlnit" innL"Ct iu n so me where belween Ihe vertical of the tunnel axi , (A _ A)
and the oulcrop of lhe ~ ubsider>Ce area (D). In co mpliam.:e with Iht. we may assume Ihal
the ~h ape of the subside nce troullh will correspond 10 the slre'UCd re,pecli~ely mobitiCoted a f~a
an d "'ill have an in~erted venn al lhe cenler line. The break - wrrespondint; 10 the mt e r·
seclion of lhe bou ndary lines of the mobilized pltu t;c respecli"ely shen wnes of the $Iraight
compensaLinli subsidence line - will bealso in the "ertical 8- 8. M to the Td pective subsidence
ordinate.~ s:;." and, it nlay be w(lIass um ed IhalthC'SC will be in propo rtion "'ith the respecti ve
thic kn ess of the underlyini layers in"ol~ed on Ihe displ ac¢m<:nt, i.e.

~:"'=s .
,
Thu~, the ar"a 1)( the correspondin, 5ubside,1C¢ ti,UTe

3:', -S
v, - 2J [ 8/2 + II . tall P + , · "Otan¢
2 + =~2-'. . (lJ/2 + " . la n ~)

1+1r !;"'-s h
.nd 5ulmllut,n, for s:" the value: of ~ . '-7'~
I
whcrn:e ~.,.,_o
2
•• -,
U'
Wl' get for

V, _ 2s 8/2+Ir-uln /1 +
[
I·CO tan.
2
It
+ _. (nI 2+Jr·ra n ~)
2,
1=
= b [(812+ II. UtnPJ (I + ~) + I.COlan
l
·l· (7.)2)
 THEOlllTlCAL roSSlOEIlATlOl'S 1053

Flo. 7/41. Compu tation of SClllemen ts 1--- '

in stralified soils (twO layers)
, ,
\
l · tl .h, :'~~M)

And from the equalit), of Y, "'" Y:

:I,D
~-.
2·2
I C+,,+
0'·"
. 8tan· .·M

2(0/2 + h·tlnfJ) ( 1+
11 +
10 ,.cotln.
2
-
B' .-
, + 211+.d)
- 8(fl
",· 0 ·
r
4 lin''; · M

+ 21t. Ia n mr I + :,) + , . cOlan.

(7.34)

oed
. ,. (7.3S)

Numerical c~amples ind icate II fairl), l ood aareemenl wilh aClually obo;c:ncd iOCllkmenl
values.
73.212. Su'f~ snll"mr,,'s af a 'M-o-fa)¥' s)\<lt'm. LrIol AI«OV has also investigated the anti-
tip.lIed $l:ukrn,mt in the two-layered soi l o f Leningrad as shown in Fill, 1/41. The itratilication
of 'he , uMoil in Leninarad is similar 10 Ihat or Budapes t, i.e. under rrocnt oohesionless
deposits a fairly rcsiullnt clay layer is 10 be found in which Ihe circular lunnel is embedded.
For sake of ,implicit)' lei us assume lin inner radial prc:~sure: p instead of Ihe vertica l p.
and lhe: hori~on tal ;.. P. loadings: let
p.+ A·P.
,- 2 - P. ·
I "",)
2
i. "'" .-"",-=-
,"
When the imernal radia l prcs\ures arc actina wilh an op posite silln we m~y get alla;n after
J £HUY the roo.uired solulion.
Along Ihe ~rimcler of Ihe cireular hole:
p 1I.+(1-2I<)·r.
U .. -(I +I·)·-·'.
E II. ,.
"d
11. - (1-21<)".
u. - h. + "
(7.36)
'''' SURfACE 5UBSIO£.'!CE RESU l TI'IO fROM TU""EL COSSTRUcnO"l

and on the sorface of the clay layer

"
u__ 0 -I")' p . ,. 4r.-". •. (7.37)
E G ' ii
litre a ll di~pla~menls arc nldial and dec.easo: nK.uially with the distance from the axis or
lhe cavily. Thcl'l'fore ;1 is suffICient. when they arc considcrt:d iust 10 a distance of 2u o n both
sides.
The displa cements of the o "crlying cohcslOnless layer may be determined on the ass u mp-
lion lhal lhe cohesion value is nei:J iaible an d the ,rai nJ undergo a dis pl acement in _ between
rhe volu me of t~ arou nd "'ill n01 cha nil". In this way Ill<: volume of the sculeme nt t,ouills
III various le vels may be considered con""n! and i, will be equaltu the ,"ulume of the settle-
n":"1 trouJth. determined al Ihe M1rfacc of Ihe underlyin, clay layer. II may be additionally
a~,umed Ihal the painls of 0 displacemenl .. ill lie on the ruplu~ plane of Ihe cohesionlcss
larcr (i.c. inclined al 4S + . /2 10 Ihe horizonta l, .
Accord ing 10 obser"alion~ (d". Seelion 73.22) Ihe shape of l he settlement trOullh can be
~nnr".~ ....t1 hy .. nd ~ ~ ron"'nl;RI ("UI"VC h"v;"8 .. n inn""ion 1.1 a di., ance of I. ThlO vlll ue of I
may be determined. e.lI. aner M.... RTOS [ef. Eq. (7.7)1 u ranging between

.... here L = 2u + II, • Ian (H _ . (2).

The maximu .. ve rllcal Kulcment '1. ~I lhe surfacc m~y be: gainc:oJ fro m the are~ of venital
di~p hlCemenlS on tnc tOP of thc clay la)cr

which in corrc' r<.md a nce wi th our previous assumptions. must be equal 10 the orca of vcrtica l
settlement On Ihe <urfa ce; F _ 'I.L.
From these NO equat ions we Eet for the ma~imum .cn ic,,1 'leUlemcnt on The surface;

F V_,·"·" (7.38)
'11=Y= - L

Or whcn using I'eek', COrrelaTions as 10 the probabili ty cunc bascd on o"", .. at iu n s (",f.
73.22):
2'SI 2' 51
F _2·S/· 'I.; '1 .= -F- - (7.39)
V .... ·"·,,
With regard 10 the faci that thc bu il ding up uf a new equilibrium condilion arou n d the
ueavaled hole is a time·dependent proce$, LIM .... :."... has derived a correla tion for the maJli-
mum vcrt ic;-. . I displaClCme nl of lhe surface of the clay layer (V_. ) in funct ion of Ihe actual
,"e rlleal d1i<J'lacemcnt (Ua ) al Ihe ero .... n o f Ihc ciro;ula. "c<;Iion

(7.40)

From this U ,... "alue the selllcmc nt ('1.l on .he <urface the: cohe.ion l~. top larc r ma y be
"I(ula.c:d again accurd inll to Eq . (7.38).
 TH[O..,£TIC,,1. roSSlD[U liONS lOSS

73.213. Sell/emi'1Il superposilion/rom adja- Strut sutfin •

UN! lU'IIId.~. Observations and stress measur-
S illS lQ
ements indicate that IUnnelling a second
parallel tube basically modifies the pattern -
of shea ring stresses around the first tube a nd •
increases the load on the first t ube. It consists
essentially in the partial 10 tolal breakdown of
a rc hi ng. While ri ng loads in the li ni ng of a
single tunnel - except for strongly swelling
,
clays - arc likely to app roach considerably
smaller val ues, t han those corresponding
to overburden weight , the driving of a
second l Ube may raise lhe loads o n the F1G. 7, 42. Surface $elll~m.::nt super
firs t tube (when fitted with a ri gid perma- po!lition above circular tu nnels In
dense ,pnd above O .W. L.
nc nt lining) even somewhal in e.,cess of the
overburden \\eight.
It is therefore adv isable to provide the firs l tube ei ther ",ilh a f1e.,ible lining
unti l the passage of the second tube or to ap ply temporary ho rizontll l lie-rods
arranged a t lhe spri ng-line o r vertiCil I struts in Slalled betwee n roof a nd invert to
resist undue deformation o r oven.lressing (cL h g. 6;270).
The situation will be aggra valed whe n surface settle ments a re concerned. In
Ihis respecllhe soi l overlying the fi rst tu be was a lready affected and part ly loosened
by the construction of the first tube and all deformations brought abollt by the
construction of the second tu be will be increased by the reduced strength (i.e.
the increased compressi bility) of the strata involved. Therefore Pec""s sta te-
ment 7 _2:I! is rathe r justified insofar Ihe loss of grou nd associaled with the second
tube is larger than tha t d ue to the first. owi ng to t he disturbance 10 t he surround-
ings caused by the construction of t he firsl t ube. The ~ttler1le llt curve for the
second t ube i5 likely 10 be unsymmetrical wi th t he grc1l1cr senlement toward the
fi rst tube.
If the second t unnel is re latively close to the first, the loss of grou nd (as principal
source of surface sett lements) associated \\-ith the second may differ appreciably
in its characteristics fro m the first. If the first tunnel constitutes a drain the likeli-
hood of r uns into the second l unm:1 is reduced. Conl rary to this the construction
of the first tunnel loosened the gro und abo .. e the second.
Interaction between adjacent tunnels will nalurally la rgely depend o n
IX) t he relative distance of tunnels,
p) on the rclaUve depth and diameter of tunnels, lind
y) on the type of soil surrounding and o"erlying the tunnels and on grou nd water
condiIJons.
T he combined effect of these factors can be illustrated by exam ples o nl y. For
inSlallce PECK presents in Fig. 7/42 su rface-settlement ligu res above circ ula r

• .n T~a.z"Gtll" K.: Liner-plate tunnclso n the Chicago Subway. Pruc. ASeC. 1942 Ju ne 862.
IOS6 SURFACE SUBSlOtl'oCE IlfWLTlNG fRO.II Tl.INN[L COSSTIlUCTION

rut
,
-60 -6(} _41 -20 0 10 UJ if) ID
5·25 m = 17·5' dia tunnels, shield -driven
in dense sand above G. W.L. and spaced at
,t=7~/
~-- /
~I ~ Ap,mH~,
d _ 7·80 m _ 26' centres (:;:;: ~ := 1'5) .
1
1- fJ Ii"S,..,,""z,
tlw•• ,~ II is cleafly seen that in the dense sand
, I- the spacing in the gi\'en relative depth
was large enough thlll. the superposit io n
, • . of settlements could be k.ept at a m ini-
mum. On Ihe other hand. settlemen t super-
position from adjacent tun nel in de nse
FIG. 1/43. Selliemcn i superposition above
ci~ular lunnels In dense sand below
sa nd but below G.W.L. and with closer
G.W.L.
spacing (~ = 1.25) is very considcTllble
(Fig. 7/43). In cohesive granular soil a spacing of dj D _ 1·82 in a relative depth
,
of -:;-- = 2·1 admined no superposition of settlements.
_R
A rat her 'YOlmetrical settlement tro ugh hils dcycloped over t ....o 1)'-8. (4 ' 115 m)
dia tunnels driven in st iff hlue.c1ay. Fig. 7/44A indicates that a spacing of 25 III
(~ ; ; : 6) in a relmive depth of 2zR ;;;. 5'1 was sufHcien! to preclude a considerable
Iouptrposi tion of sett lements. It may be mentioned Ihat in the case of multiple
l unnels (e.g. three-bay tubular stations) more serious superposition must be ex-
pected and advanced smaller diameter pilot tunr.els lead also to an inc rease of
surface settlements (Fig. 7/441)) - similar to drifts applied in mining methods.
Various measurements have also shown that settlements unde r open areas were
smaller than in bui lt-in areas indicating the bigger compression effect of higher
strtsses in the loosened subsoil.
Very interesting observations and measurements were made by T [RZAGHt during
the construction of the Chit-ago Subway.?:''' Fig. 7/45 showed the sequence
of excavation of the 19'-4w(5·80 m) wide and 21'- 3 1/2" (6·4 Ill) high horseshoe-
shaped profile, while Fig. 7/45 represents observed surface settlements over
twin sections (n) and (b) resp. over double sections (c) and (d). The tunnels were
built in a medium stiff 10 soft blue-clay layer unde rlain by hard pan . In each figure
the ordinates of the lower curve represent the settlements due to the construct ion
or the first tunnel (I = settlement until the arch was concrded and J' = sett le-
ment until the wo rk ing fa!.:c of the second tun nel approached the profile). The
o rdinates of the upper curves represent the supplementary settlement d ue to the
construction of the second tunnel. (Curve II is the settlement between the time
when the working face approached the profile and the time when the arch was
concreted: and II ' is the settlement due to s~ond tunnel until the air was turned
off.) The broken-line curves represent reversed images of the cu rves I. They facili-

. ... T EkJ;A(;HI. K.: Liner-plate tl,annctJ on the Chlcaao Sobwa)'. Pro<: . ASCE 1942 June 862.
 Tli EOll f n CAI. C'O:>Sl D[U nO-';S 1057
,
I • •
,
!..:
~
--
,
-"'" '""""
..: u,';IlI/tIIt
Owst u n,. ,,~tI

~"'----
'
~
0-
I«ui_
~1 _
iiiif' '.nI_
h O. 7/44A . ~Ulemenl abo,·t )'810 m dia lwin wnntls in st iff blue ..day (I'fter IhJ IlKFR.'I)

I
- .' •
i
•
, ...
.~

I flII_ - . I "/;N _ • ItiHNw ·

~_~iII
•
"' ....KMt.®
,.... 0 @-- •
-
t__ No.
, t

1 - seulement aFter dri ... ,nM pIlot tun""l.

•
FIG. 7/448. Seulemenl supc:rpOsil ;o n al)o~c $1alion lunnds (afte r BURR BII.5)

2 _ ""ule~nt after d ri"';n, northbound station tunnel Ilnd concourse

3 - 5eltlemcnt aFtcr dri ... in. lIOuthbound station tunnel

late a comparison of the settlement due to mini!:g Lhe ftrst tunnel wi t h thnt pro-
d~ by mini ng the second tunnel. If the mO"eIDents produced by these two
mining operations were identical, Ihc bro ken-line cuo'e should be identical with
curve II.
The profiles disclose the following general characteristics of the seltJemen l : The
greatest !lClIlement due 10 mining the first IUnne] usually occurs near the midd le
(If the street and not above the ~'Cntre line o f the tunnel. T his seems to indica te
that the change of stress in the sandy top layer increases tbe susceptibi lity of th is
layer to being compacted by the street traffic. This interpretation is cor roborated
by the observation that the settlemenl of lhe Slreel surface is common ly greater

67 s"'~y: The Aft of T unneHinl

1058 SURfACE SUBSIDENce RESULTIN G f ROM TUNNEL CONSTRUCTION

.J
"
11101'

r"hl
- ,

:::;':"7
,( , '
'{ ,
:
rvllt ,

,L _____ ........I, _____ " ,r

I

~~ t:mc;::=a;
/'
,
'
6
Sufu
f 7

I/----1
~-- /--- .....
,! \, I \
,I, I : ,I ,
l _____.J
,, ,I
,
f ,I,
,--------~ '------'

FIG. 7/45. Chara.teristic seulem~llt profiles of the street surface above ho rsesh oe-shaped
tunnels (Chicago)

than that of the clay surface unde rlying the sand. On the other hand, the greatest
settlement due to mining the second tunnel is usually above the centre line of this
tunnel because at the time when the second tunnel was mined the sand was already
compacted.
The greatest settlement due to mining the second tunnel on a twin tube sect ion
is almost invariably much smaller than that due to mining the first one. Figs
7/45a and 7j45h serve as examples. If the subway consists of double tunnels the
settlement over the second tunnel is everyw here very much greater than that
caused by mining the first tu nnel, as shown in Figs 7/45c and 7/45d. These rat her
surprisi ng phenomena seem to be associated with the archings above the tunnel .
]f the second tunnel of a twin section is minoo, one side of the ,wne of archi ng
is located above the first tunnel which represents a praclically rigid support. On
the other hand, while the second tunnel of a double tu nnel is mined, one of two
supports of the mass of clay which arches over the tunnel consists of a block of
clay that has been dist urbed while mining the first tunnel. Every disturbance inevi-
tably reduces the rigidity of the clay. Hence twin tunnels appea red preferable to
double tu nnels.
 IOj9

FIG. 7/46. Varialion of

sunaee 5Cul"mc:nt
veloci ties aft er FARKAS
====~~=====ri:==:,
(Budapest)

Useful informa tion was given by F ARKAS'3O.I on the variation of surface-sellle-

ment ~elocities over a shield-driven tun nel section of the Budapest Unde rground.
Figure 7/46 shows in function of the distance from shield face, the settlemen t
velocities above the tunnel axis (0) ,1nd in a plane lying laterally at 18·0 me tres
from the axis. Both curves show tha t the greatest velocities have d eveloped
in th is mixed allll~ial ground at a vertical wh ieh was passed over by the s hield·face
by about 8 me tres (26'-3''). The values are rapid ly growing and Itgai" rupidl y
decreasing to resp. from the shield-face. Other obscrvations agree thlt t the greatest
5e\llemen\ \elocilies abo\'e shield-driven tunnels lI'iII de\'elop within a dis ta nce
margi n varying between ;"" 15 me tres (I7- SO ft) from the shield fllce. This , o f
course, depe nds on the rate of construction progress and on the consolidation
c hn raCl eri s t ic~ of the overlying soil mlls~ tw.

73.1 24 . CQll1putalion oj sur/un' )'1:1111:"","1$ bas/'d on 'be !illire..,lem e"f m ethod

(Exam ple). The prim:ipks of the fin ite-clement method and its application for the
determina tion of stress conditions aro und un un derground cavity hali heen dealt
with alrclI.dy in Section 3t.1 13. Considering that the basic a~ s umption o f this
method is the validity of Hooke's la w, thus a d irect linear corre latio n ex ists
between stresses Dod strains. it is quite obvious that on the basis o f detcrmincd
elllstic node displacements not only Stresses may he gained around the cavity,
but from the strains the dis placement of any node in tile assu med nctwork ma y
be a lso derh·ed. In this "ay the venieal d isplacement of the nodes at the s urfa(."e
will li\'e us di rectly the: d aslic surface selliements.
The correlnt ion bet",een forces aCling on the nodes (corner points) of the ussum-
ed triangular network and the d is placements of these poinl~ WII S expreiscd by
Eq . O. l j 1) ({RJ - [K]' {rJ), from which the vecto r {r} charactc ris tic o f the
... F"'~K A'. J .: TcrrdinselWnl:Cn bc;m fla u "on Ein- umt D oppelro~rtunncln . P'oc. Inl .
M ,lm Conj. 8a1Q/rJnjiktid 1970 SS7.

".
1060 SUR FACE SU IISID ENCE RESULTING FROM TUNNE L COl-iSTIlUCTIOS

displacement field may be gaine<l very simply as

{' j= [KI - '· {Rj . (7.4 I)

In this way, the solution of Eq. (3.1SI)will give us di rectly the displacements of
corner- points. [t is to be noted that the expression {r} generally includes pre-
scribed li mit conditions (e.g. at the bettring ppints) and the refore a d irect solution
of Eq, (7.4 1) wil] be more reasonable.
Vector {r} contains the displacement characteristics of all corner-points of
course. Consequently, if one boundary line of Ihe stress fie ld in considerati on
coincides with the gro uJld-surface, then Eq. (7A[) directly gives the values of
surface settlements.
Figure 7/47 shows a typical section with characteristic soil stratification of
the new Bud(lpest Undergrmmd. T he lini ng is composed of articulated segments.
The assumed t riangular ne twork and t he considered stress field are re presented
in Fig. 7/48. Should the condition in Eq. (3. [5e) be satisfied, i.e, the correla ti o n
between stresses and strains in the assumed stress field obeys Hooke's law,
t he n the deformat ion of the area around the circular cavity slippoTled by the lining
may be investigaled under a uniformly distrihuted mdial load acting alo ng the
periphery as assumed by L 1MANOV (cf. Fig. 7/35).
T he model of nu meriC[l [ ca[l:u\ttlion was prepared on the lines given by Ihe
author by P. SCHARlE and was effectcd by an elect ronic computer givi ng the su r-

Sdfl:i • !lr~.'1
{ - JI)(J tp/,.",'
" . b-lS
r - "1 1/ ",'

co,
l - /10 k,/ur'
1" N "
T - N I / .. '

r- J~1Jro(J kHM'
)1, _ 1m Hi!
T. · H
-.l<-

He FIG. 7/47. Gen eral tayo"t or a typical

!;eclion or the I U~ witll soil and linin,"
cllaractenstics of the Budapest Under-
Ii':Tound
 THEORETI CA l. C O'<SIDERATION 106 1

•
•
-- ~
/

, I

--- ,i,
, •
.~
•
/
I' "o
- i ::' I
8
.,•o
I , :}
,I --'7\- ."• £
/ I /' )
I . \ I !
I1 // \\ // ~
11:
1/ \ /
• - ---j{-------- :
)
,
1062 SURrAC~ SUIISJDE:':CE RESU LTING FROM TUNNEL CONSTRUCTION

----.--r---r----------~--------
•
l!!
I I "f
!~
~
(,le,,!,!rrl '1M'
,.-
I
E. ml<pl",,' "
jJ • 11-15

( · l5l1kp/.",'
I
y. ""

Fro. 7{49. Computed surface displacement values, with substituted probabitit)· CurVe

face displacements shown in Fig. 7/49 and marked by crosses. These points may
be wdl approacht:d by a power func tion of the fo urth grade of the shape:
( 7.42)
with v the vertical and 1/ the horizontal coordinates as variables and 0 , b, c con-
stants. Determining the point of inflexion of this curve and accepting the ma)(imum
value derived from the electronic computation, we could plot a characteristic
probability curve of GA USS (i ndicald with full line) passing over these two poi nts
and assimilating fairly well the computed values.
The me thod may be applied with similar considerations and in a simila r way
of computation fo r the determi nation of surface settlements over an unsupported
cfrcular hole. It is dear that settlement values will be bigger in this case and depend
mainly on the assumed displacement values or stress conditio ns around the t:x-
cavated hole. A practical e)(ample was calculated, when the cffC\:t of the unfilled
void of given dimensions (peripherial take cf. Fig. 7/55) was dete rmined on sur-
face seulemen1. (I n a given exam ple a more pointed ma~imum value was gained
in this case owing to the fact that the supporting elfect of the lining was no t taken
into considerat ion.) It seems to be ohvious that the effect of " face-take" may be
also com puted by the hel p of the described finite-element method.
A further possibility is offered for the de termination of the dist ribution and
 ACTUAL OnSl:IlVATlOS! 1063

magnitude of pressures acting actually on the lining of the cavity. Namely, when
the shape of the surface-settlement trough is carefully traced and measured, we
might regard this a~ a given displacement (defo rmation) line due to unknown
stresses ar.:ling aro und the ca\'ily. With a revened cakulatioll we may c,heck the
reliability of ou r loading assum ptions and thus refine graduall y our rather deft:ctive
knowll!dge (cf. Chapter 3).
Naturally this computation process IS limited at present by its bei ng bound to
elasticity. But as indicated already in Section 31.113 some promising lldvance has
been made already by its possible extension under reasonable assumptio ns to the
domaine of plasticity, I.e. that the effect of residual deformat ions may be also
considered.
73.22 . AClual Obsl'naiiuns
POCK. points out' .31 in his recent survey on tunnelling III soft ground that the
magnitude and to some extent also the character of loss of ground governs
su rface settlements. In tu rn this is st rongly influenced by the method and details
of construction and by the nat ure of subsoil includi ng groundwater conditions.
Based on ava ilable data regarding mO\ements associated with lunnelling he has
grouped expectable surface movements fo r distinctive types of soil.
A s a rule, the senlemenl5 above a tunnel unless caused by a local disturbance
such as a run inlo (he face or stopi ng above the crown. are more or less sym-
met rical about the ~er t i r.:al axis of (he tunnel. They for m over a single tun nel
a tro ugh-like depression with a shape roughly resembling (he error function o r
probability cur\'e,
The peninent properties of the error function and its relationships to the d imen-
sions and relative dept h of the tunnel are shown in Fig. 7/ 50 indicating a great
resemblance to the theoretical subsiJence lines of AVERS.tN li nd M ARTOS developed
for mining subsidence. T he maxim um ordinate (0 .... ) of the curve is either the
theoretically derived vlllue of LIM ANDV III) (cf. Eq. (7.38) or that of SZECIIY s ...."
(cf. Eqs (7.26 and 7.35» or some empirically observed (tab ulated) (i ..... vnlue.
T he poi nts of inflexion are located al dista nces Ion either side of the cen tre line.
T he volu me of the selllemeni trough may be expressed as
V=2·5/·.5 _.
which is also very near to tht: area of the subsidence troughs expressed <lfter
M ARTOS or SZECHY.
PlCK has plotted a correlalion between Ihe ra tio Ilrf} which is interrelated to
the parameter zl2ro depending in turn upon the quality of soil (Fig. 7/ 51).
I f suffi cient data are IIvailable, the total volume of settlement trough ex pressed
as a percentllge of the theorelical volume of tunnel excavation (area of face) is
a useful index of loss of ground.

' ''', PH:K, R. B.; nn,p ucavalions Ind Tu nnellmg in 50ft ground. Inl. Co"f SMfE M~xi('{)
19fJ9 Sial", of AnI l'Oluml'. p. 225.
1064 sUIIP"a SUBSIOENCE RESULTING fItO ... TUNNEL CO)\oSTIlUCllOS

With respect to loss of ground and 10 settlements he groups the va nOIlS

soils as follows:
a) Cohesionless granular soi ls.
b) Coheshe granular soils.
c) Non-swelli ng stiff to hard clays.
d) Soft to stiff-saturated days.
ad a) Tunnellin g in this type of soil can be carried out only by complete protec-
tion of the tup. sides and face or the excavation as by full forcpoling and brca stin£,
or by rendcri ng the materials cohesive by injection of grout in order to prcvent

,, , "
.)

-II -I
GITII/JI~

1
,,"f6u

" ,
,, ,
-m I '~t~.lurnlq:,

",
~
• Il4n.~t I

1 j II"""~"'I" /
'II~I ~r

~ '"""/'I{I -• ,
11t>~

,, IIJIJ IUI~~/
I

(III~_)

"• /SG
,,
,
5 "." "• ~
,/
I
tillS

/
I
•
, TI J ' IG ........ JnI.;",,1#1'
Hf~,.,

. "

,, '~
~"
.
If"l,/ ... 1 ,. .I

I 1
1/,. :r l/,. ·
)
•
rIO. i / SOPro;lCrti ~' of e rror r Jne"on re:>· Ft.:;. '15 1. Reiation betWeen rela.ed
re~n. inl cross sect ion .h.roulh sculement width. or seu1elllen! troulh.and related
troullh abo~c circular tunnel (after P~elC) depth of tunnel for ~.rious soil
matcria1.~

runs. Surface sllbsidence in this Type of grolilld emirely dt'pend~ 0/1 I'xper/ work-
manship a/fd on Ihl! adequQIt'ness of drainugf. The greater the relative density of
the material, the less the inevi table settlement for a given construction procedun:.
If drai nage is not thoroughly accomplished berore tunnelltng begins the con-
sequences may be very serious indeed. Unfortunately most grdnular deposits con-
sist of layers, lenses or pockets of malenals of different grain sizes and therefore
the com plete drainage of all deposits likely to be encoun te red is very difficult and
questionable. When compressed air dewatering is ap plicd special care must be
taken to the prevention of blow-outs (i.e. 10 the escape of compressed air).
ad b) Well e;o;ecuted tunnelling in Ihis type of mate rial is accompanied by very
modest or negligible loss of ground or settlement. In most instances lhe stand-u p
time (bridge action period) permits substllntial grouting of the void/> Icft after
the ta il piece of the shield. and compressed air is the proper way of dewatering.
 H'"
On lite OIher hand, if ru\ding or piping is allowed to develop (due to delayed
installation of supports nnd to improper d ramage) again catastrophic conse-
quences may de velop. Settlements due 10 raveling ma y be delayed for years if
back packing is inaceq uately done or if decayable materials as wood are used.
T he overlying soil lIlay stope or ravel slowly and delayed into the space «bove
t he tunnel, inferring surfa<.'e ~ubsidencC'.
ad c) These materials arc ra ther unli kely to ravel or to be ad\'ersely infl ue nced
by seepage towards the opening. T unnels through them have been almost a lwa ys
excavated by ha nd wilh nomi nal use o f tempora ry su pports (ribs + liner-plates),
Loss of ground was a ssociated with general inward squeezing of the cla y and its
magnit ude depended o n the num ber Hnd si.l;c of drifts with whic h the face WIlS
lltw.ched. but was generally small. Thus surface settlement is also It function of
t he num ber and size of drifts and finally of t he tunnci width. Anyway much bigger
with hand-excavated mi ning methods, tha n with shields - in this latter case being
negligible. Other factors being equal. the settlement directly above the tunnel is
ro ughly pro port ional to the d illmeter.
a(1 d) The roi ls in this category may be characte rized by undrained shear-strength
values ra ng ing betwcen 0· 1- 1·0 kgJcm t (0-2- 2,0 ksf) a t dept hs o f cover up to ahou t
30 m {t OO ft} . Whi le in undisturbed condition these cla ys may have considerable
rigidity, the displ11ccmeotS and strains associated with tunnelling bring abou t
a slightly d isturbed zone arou nd the t unnel (extending to several diameters) wit h
a modulus of rigidity conside ra bly smaller tha n that o f the cohesive granular soils.
Consequently loss of ground a nd ~ett l eme nt s are likely to be several times those
of cohesive granu lar mate ria ls. Spalling, raveling o r piping usuall y do not occur.
rat her a barely percept ible or impercepti ble squeea takes place towards t he lun nel,
leading 10 loss of grou nd and t hus to su rfa ce sell iements which latter may be
considerably delayed due to the con ~olidali on of Ihe remoulded clny. II mus t be
also noted tha t frictional forces between t he shield skin a nd the surrounding soi l
t~nd to pu!l t he clay along wit h t he ad vanci ng s hi~ld (cf. F ig. 7/ 52). Th~ develo ping
lo ngitudinal tcnsilc str~sses tend to cause failure and plastic now of the clay, which
mig ht take place into the annular space as soon as the tAil riece clears the lining.
T his process howeve r reduces the space that can be injected by grout a nd places
a considerable limitat ion to tbe possible anticipation of loss of gro und.
In conclusion settlements above IUnneis in plastiC clays of sofl to medium con-
sistency may be essentiall y larger than in ~oi l unde r b) and c). Air pressure is
anyway an effective means of reducing loss of ground a nd thus of surface sett le-
me nts too.
73.221. Seillement ob~·l.'r!·(J/iO//S UI the Chicago Subwoy. The de\clo pment of
s urface subsidcnce as a (unc Iion of the va ri ous con~lruc Li on stages has been record -
ed carefully in con neclion With the constr uction of t he Chicago Subway. ~;lt Passlllg
t hro ugh plastic clay the t unne l has a horses hoe cross-section 6·0 m (20 fl) wide,

f ", Tr.aVoG H1. K.: Lin~r. Plal~ Tunnels in the Ch,caao Sub ..... ay. Pror. Am. '11>1. Cit·. &!g.
1942 Jan.
1066 SU llfAC[ SUIIS, OEt-a: REliULT" G rltOM TUNS[L CO'lSTRUCTIOS

I
"'rll//~ ~
• \\\" \
,• - ,

, 'oj
, , I'
"\".. - ,,
)-
, - , \'
, d::t'J
~~,
,

,
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1'10. 7/ ~2. r. mnnrl mnvr"",nt ahtad o r a tun .... J ~hield in .tiff "Jar (arter g"IlTLI' TT)

7·50 m (25 ft) deep and has an average cover of 8- 9 III (27-30 1"1). The tun nel was
built with steel liner-plates (d. Section 62.43 and Fig. 6)65). The sequence of
exco\'8tion, illustrated in Figs 7/34a- b, shows a road above the tunnel in plan
wllh the measured subsidences plotted al a number of Sial ions, The profile of the
tunnel is shown above the pIli" (c), also indicating the progress of constr uc tion.
The settlement and construction progn:$S lines, relating 10 the same date and
numbered for easie r identi fi cation, clea rly indica te Ihat thc dcvelopment of surface
~mbsidence followed the progress of construction in a regular manncr. Along the
centre line subsidences reac hed a maximum of 15 cm (6 in), i.e. about 20 % of
Ihe tunnel width (b) to co\'er ( H) ratio l,t _ 0·2 ~ ),WhiCh is considera ble.The
locations with the fa stest de\'eloping suhsidences were Ihe .same as those wilh the
highest ra te of excavation: the sections behind and ahead indicate rapidly dim inish-
ing subsidem:e niles, (Note the differences between lines 1 and 6.) Sudden increases
in the selllcmcnts hu\'e been observed whenever the underpinnings supporting
the Slarter crown plalcs on lhe steel ri bs were removed and replaced to allow the
excavation 10 be deepened . To avoid this, Ihe method was later im proved: wall·
plate drifts (2) and (3) we re d ri~'en on each side (Fig. 7/53a) at the spring line. kept
2·0-5·0 m (6-16 rt) ahead of the genera l eXC8\'atio n in which 10ngilUdinal steel
beams were placed to hold the steel ribs su pporting the crown section. After
excavating area No.4 struts were placed between the two beams to enahle the rib
stiffeners to sta nd up under the lateral pressures while working on the Side drifts.
With these improvements the surface sett lements could be reduced by a half. On
the same project the surfa ce settlements doubled, however, in about 12- 15 d ays
after the pneumatic pressures were I:ul ofT.
 "'CTU"'~ UlL'>tk''''TIO''5 '061

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FIG. 7{D. Some $urfaox senlemenl5 in Ihe ChlcalO Subway

Once again the: depression diagrams closely follow the Gauss probability curve,
which would indicate lhat the shape of the depreSSion area is the same for shallow
as well a~ fur deep covers. No subsidences were observed on either side beyond
a distancccqual lo 1·5 times thedeplh orthe invert, i.e. the width of the dep ression
zone amounted 10
3(Jl + m) + b
where fI ::= the covcr
m _ dcpth of tunncl section
b -= width of IUnnel section.
73.222 . Sl'ltll'mem obserra/iQlls ai/hI' Budapest Underground, The surface settle-
ment observations made at the construction of the East - West line: of the: Budapest
Underground admitted that the effect s of shield tunnelling and mining methods
and those of differing geological stffitificalions could be roughly compared. Figure
1{54 shows the gross geological-profile: of the line indicating at the same time
the various tunnelling methods applied. It is seen that the Danube divides
the sub~uiluf the city into two distinctly differi ng pans. Whereas younger varved
clay formations are overlain by cohesionless deposits on Ihe " Pest" side. ha rder
day is covered by some upfi ll on the " Buda" side. This harder clay passes
over into mar! in the last section of the line. 11 is also secn that the choke of con·
struction methods was mostly governed by the geological conditions,1.33
The su rvey made fro m sellJement obscrvations 7.:u has led 10 the rat her surpris-

SztCIi V. C.: Tunnellinll melhuds in Hu ngary. TUlllldj alld Tlllmrllillg 19692 13 1.

7..IS
.~ FALA~ Gv.: OberDliehens<:nkun,en und Bodenbewegunlen :.lIs Folgen des U-Hahn
Tunnclba~. Proc. lI1nro COlI/. Ba/al0lf/iirtd /970 $71.
1068 SU RfACE 5UIsro('1C[ IIESULTI'OO FMO\I TU:-""(L CO .... STMUCTIOS

•,~'.

FIG. 7/54. Geoloaical profile and ..aTiou~ cOIU, rucrion me r hod~ of the E- W li ne of rhe
Budapest Underafouod

Ing conclusio n t hat In the case of runn ing tun nels (5·5 III - 28 ft dia.) occasionall y
~mnllcr slIrfnce ""'lI lrmr nl va lue~ could be measured over t unnel$ constructed with
mining methods, than over those constructed with shield driving. This is due
partly to the careful pro pping and greater e~pc r ie nee on o ne hand, and partly to
t he frequent local break-offs and ravelings a t the shield face associated mainly
",it h mec hanical shields.
I n t he case of station tunnds and of large r span underground chambers opposite
experience were gained.
Maximum values cou ld be kept at about 100 mm (4 ins) over a cover depth
of a bout 25 III (80 ft). Quite negligible values were observed a bove the seed o ns
constr ucted in marl (3- 6 m _ 1 / S~1/4 ins).
The improvemcnt of the wo rkmanshi p of grouti ng was a \'cr)' dlkicnt too l in
the decrease of settlement values. This was o btained hy bringi ng the premium of
grouti ng gangs into indirect relation to surface se ttJements.'~~
Surface up hea vals (up to 15 mm = 5/S·) ha\'e been encountered only owi ng to
excessive grout ing pressures when an interwovcn airtight seam o r pocket could act
AS a me mbranc above t he tunnel wof (cf. Fig. 6/ 161).
On onc occasion just following t he release of compressed ai r from a tunnel
section a quantity of a bout 200 m ~ (300 cuyd) ground material ran intu one tube .
Still the su bseque nt surface settlement did not exceed 10 mm (3/8 in~) because
t he thickness o f the entering quicksand seam ",as rela tively sma ll and owing to
Its fluidit y the mobilized mass extended over a \'e ry large area.'·· a nd was lying
a t a cnnsiderablc depth (25000 m 2 = 2S 000 sqyd). T hus no concentrated sub-
sidence trough could develop.

'." CstPK P, Cs.: Ein tlu ss der Bauwe;~ a ur die Obe rflAchenl;e n]..u nJICn. Proe. In/. M"".,
Cmtj. Bala/on[urrJ 1970 541.
, ... GA.i.L, L : S;<n<kin bruch bcim 8a u de r RudapcSler U-8ahn. Pror . 1m. M etro COI1[.
BaID/OII/ii,w} 197f) 5':11.
 ACTUAL 08SHVATIOS$ 1069

~
73.221 Set/leme1lt obs:!rrations at I
the Londoll UndtrgrollluJ. BARTL ETT and
BUBBERS131 pomt out m con nec-
tion with their observations made at
thc const ruction of the newer lincs of
the London Underground that vertical
surface movements due to tunnelling
operations a~ always lI<>5odated with
horizontal displacements of poinls on •
,
the surfacc of subsidence trough. They .:.
point oul that in stiff clays settlements
above shield-driven tunnels a re al'Com-
panied by a slight hea\'e immediately
ahead of the sett lemenl trough (cf. Fi g. I
r ",uuli"!

7/ 48). This is motiv.lled by the friction

forces described already by PecK. A FIG. 7j SS. Infll.lC'nce of n:lative depth and co-
simple diagram mat ic concept of ground he~lon upon the obseru!d " fa<;e ,ake" (tt) and
movement in the viciruty 01 the shield "~rl pherlal tal,," (' . ) "due, atl"r 1l ... "YLr:rT
facc was shown in Fig. 7/52.
This si mple mechanism of clay movement in the vicini ty of II shield shows
that the settlement Irough is de\·t:\oped as a result of intrusion of soil into the face
lind of radial encroachment of the ground tOwa rds the void. By differen tiating
between intrusion or ''fUeI! ,uke" and encroachment as "periphcrial take" allow-
ance can be made for assessing sett lements resulting fro m different tunnelling
methods. Fur a shidd where the clay is tight on the tai l al the rea r the peripherial
take per unit length will consist principally of the cutti ng edge head area and the
area or soil enroachment behind the ta il bero re the permanent lining is erected
( V p )'
The face (VI) and peripherial (V,) takes e.~pressed as a percentage of the face
area. when added toget her can be di rectly related to the settlement-trough a rea
(expressed by PECK as V .., 2·51;"... . f). Actuall y if the a~a of the sett lement
trough (V) is expressed. and the theoretical value of peripherial take (V,) is com-
puted, the magnitude of face take ( Vf ) may be gai ned as VI _ V - VI" Now
relating this to the to tal face area VA we get the com parative workmanship fac to r

-, --- v,
V,
The compariso n of thesc factors fo r va rious diameter tunnels dri ve n in London-
clay have indicated. Ihat while periphe rial take was fairl y constant at about 0·8 %.
the face take varied with the diameter and wilh the proximity of adjacent tunnels.
The actual face take value for a single )'H I ill (12' -8~) dia tunnel was 0·6 %. whereas

oz' BAIlTI..tiTT. J . V. and BUBBERS. B. I..: Surface mo\'ement~ caused by bored IUnneliing.
Prot'. b". Mnru Coni ea/,l/("./uffd 1970 SlJ.
1070 SU IlrACE SUBSIDENCE RESULTING fRO).! TUNNEL CO'iSTKUCTION

;;" p'Ulni
i!c,nl K
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FIG. 7/56. S~l11ement of pOinh ab<Jve a "525 m (31 ' .8-) di a lunnd in function of time

for twin Hlnnels spaced at 25 m (83 ft) centers of the same diameter it made out
1·1 %. This was fu rthe r increased by a 9·25 m (3 1 '-8~) dia station tunnel to
1·2%. How face ta ke and pcripherial take were infl uenced by other factors, as
relative de pth: z/ R and cohesion, is indicated in Fig. 7/ 55. While depth is increas-
ing, cohesion (shearing resistance) depresses the " take" values. It is also a very
inte resting representa tion how surface settlemen ts were progressively bu ilt up in
time. Figure 1/ 56 indicates how selllements have increased after the shield was
passi ng over va rious points. At thc samc time thc su pporting effoct of compressed
air is also indicated and it is also clearly seen how senlements started alread y
before the ar rival of the shield face at a given point.
On an ot her occasion it was also observed that the slower ra te of driving has
also increased surface setllemems.
73 .224. Surface seulements in Berlin. Surface settlement observations wefe made
du ring the construction of a 307 m ( 1023 ft) long new section of the Rerlin Unde r-
ground in sand. Because of the relatively small de pth of cover (10-12 met res =
= 33-40 ft) and wit h regard to the fact that the groundwater level was just by
I m (3'.4-) above the roof of the 6·75 m (22'·6~) dia. shield, the application of
pneumatic dewate ri ng was to be left out of consideration because of b low-o ut
hazards. Consequentl y, groundwater lowering was to be reso rted to, wi th ve rtica l
wells bored from the surface. This kind of dewatering was drying out tht: loose
and compressible sand layers in which the shield was driven with open face. Tn
order to prevent excessive ra velling uf the dry sand however five horizontal work-
ing platforms and radially arranged stiffening walls were huilt in the cutti ng face.
That was the reaso n why com paction was produced ahead and loosening behind
by the advanci ng sh ield ( Fig. 7/57).
 1071

The obser... ed hea ve may be at-

tributed to the relatively shaliowdepth
and to the compressing effect of the
grillage-like front arrange me nt of the
,. . .I.M .I .
,
I ,
I
I ,,
shieldYI!I
I '{ , 1/
"-'--
The magnitude of surface settlements
X
altai ned 8 to 9 cm (3'2"-3·6") at the be-
~in n ing, whic h measure was reduced later
, 6-1,. ~
L "
by 50% through the improvement of FtG. 7{n. Surface mO\'emenl§ before an<l
void-grouti ng tcchni queand through the behind the ltdvanein, shield in Berlin-sand
a pplication of a grout of constant vol-
ume. As indicated by Ihc curve, settlements were developed in full already 12 to 15 III
(40' to 50') behi nd lhe advancing shield in this cohesionless ground. Beca use of
the perfected grouting technique and of the effective prevention of soil en tra nce
through the face it was not the loss of ma terial which could lead to sett lements.
it must have been the dynamic ~i llalions and compaction effect of the surface
traffic (see secondary effects in Section 73.225) to be made responsible for Ihis
relatively great su rface su~idtl1ct.
II may be mentioned thll! in Moscow during the construction of a new line wilh
the application of a fu lly mechanized shield where no special breasting of the face
was provided su rface settlements up to 8- 10 em (3·r-4·) were meas ured in a fairl y
stiff clay.
73.225. Sur/ace .rell/ell/elllS dlle to .recolldary effect.r. It was referred to already
in the previous poi nt that it was assumed in Berlin that settlements must have
developed not because of loss of material during construction acti vities, bU I
because of the dynamic compaction effect of su rface tra ffic. In that case the time-
settleme nt cu rve ( Fig. 7/57) has indicated a ve ry shorHerm effecl performed du ring
cOnSlrul:lion period .
During the const ruction of the new underground in Budapest also /oll.q-lerm
compaction effects of su rface traffic have been observed." '"
Figure 7/58 shows the soil profile and location of the shield-driven tunnels.
The disturbed and irregular st ratification is mlher typical of recen t alluvial depo-
sits. Surface settlements are indicated in the upper part of the fig ure. As s hown
by the full thick line (a) initial "constructional"' settlements have surpassed 40 mm
(2- 5/8·) and increased in twO years up to 60 mm (2-3/8'). Th is rathe r high initial
vnlue was soon decreased by the essential improvtment of the quality of gro llt ing
workmanship (t he premium of gro uling gangs being indirectly correlated to s ur·
fa ce settlement and by the improvement of face support in order to reduce loss
, .. Wayu II. F"ylllg Tu;lonj~cJo~ H/~II~r t966/4.
Schildvorlrieb in cinem SU«"kcnMb..chnin des Berliner U- llahn- lIaue~.
SCHEl8!"-1ER. D.:
&lumaschlnc II. Bl<IIlerhnik 1966 1- 2.
APEL, F. W.: Tunne l mi l Schildvortrieb. Werner Verlag, Dihseldorf, t968.
, ... Cs~rK~. Cs.: Einnuss der SallY,eise:: auf die Obernichen~nkun,cn . Pr()l". M,,'ra Coni.
&lIQI/}Itf(ir~J 1970 54 t.
1072 SU lCfACE SUBSIDENCE ICUULlI'\() fllOM TUNNEL COSSTII UCTIC)"-I

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 1073

(If ground t hrough rave lling to a fractiun (10-15 mm = 3/8°- 5/8°) of the initial
va lue T his minimum could no t be mai nta ined however in a successive fault-zone,
where eonslruction sett lements s urpassed t he 50 mm (r) va lue again. I>nssi ng
over this zone settlements were red uced agai n and did not surpass the 20 mm
(3/4') value in genera l. The do ned line b indicates the measured settlements
after ~ wo years and t he difference between a a nd b is a measure of secondary settle-
ments d ue tu t he combi ned effect of Ihe releost! of compressed air and oj tire direct
cQlllparlit)ll effecl oj surjace truffic (subu rban
ra ilway). As seen this d ifference is again the big-
gcst in the fault zone where tu nnel d riving produ-
ced greatest loosening. The thin full line ("
shows the selllements after IWO years o\er the
o t her tunnel, lying sideways from the 5uburhan
T1Jilway track a;"li5 at a dista nce whe re com ple- j
tion effcct from the ImRie could not sensibly FlO. 1/59. Change of pn:S$u re
come to prevalem:e. Th us the difference be t ",~n conditions due to tunllCJ
li nes r and b mBy be take n ror a measure of dyna- construction by shield driving
mic compaction effects.
A t a nother section of t he Budapest Underground secondary settlements d ue 10
su rface t ra ffic made out about 20 % or t he sett lemen t during construction. Also
111 the vicinity of the rive r Danube secondary surface stlllemelil s were measured
(/ue to Ihejlurfllation oj G. IV.L hringing about a compaction effect in the loosened
zones produced by tunnel const ructio n. T he location of these loosened zones and
a gereral picture of cha nges in pressure conditions are shown by GRESCIUK' · M>
in Fig. 7/59.
73.226. M('a~'llrillg the subsidellce of buildings allilthe extension oj subsitl/!lIce
troug.~ due 10 subwQy conSTrUctiOIl . The primary object of regular obser vations is
not so much to disco'ver the absolute magnitude of subsidences as the effect of
va rious construction phases 011 the 5ubsidence of buildings, the development of
such subsideoces as a function of time, t he tyP«' of consolidation, the reasonably
lIccumte prediction of final subsidences by extra polation, and the disco\ery of
da nger signals so tha t the necessary measu res fllily be take n in time to prevent
disaster. All this requi res regular checking by levelling on all buildings wi t hin
a distance equal to twice the depth ul Ihe tunnel on either side. The zone under
observation in Budapest is 160-200 m (530-660 ft) wide.
A number of benchmarks ha\e to be established near the subsidence "Zone 10
faci li:ate the levelling of well defined poi nts on the huildings to be observed. Such
benchmarks should be checked regularly by precise levelling tied in to o ther
benchmarks well outside the subsidence Lone. The instrument used in the precise
iC"eJ1ing should read t(l the nearest 0-1 mm and the mean levelling error (per km)

, .•tGRfSCIIIl(. Gy.: Die bc im Tunnclbau zufot8c anderwcitigcr Ein"'irkun8 aufln:lendcn

sckundlircn Obcrfliichcnbcwegun8cn. PI"QC. till . Mn,o Col1f. Balalon/iirl!J Jf)7Q 605.
1074 SU RfAa 5UISI DL-.cE RESULTI NG ,·ROM TUNNEL CONSTRUCllOI'I

shall not exceed

.,_ ~ ± '-2)[,
where L "" the distance covered by levelling, in km .
Reference points on the buildings can be checked from the neatest benchmark
with a level capable of reading 10 the nea teSt mm. Such refere nce points should
be spread out e,·enly on the buildings subject to subsidence and marked with an
iron plug or spike nnd the obsen'ations should commence before construction
sta rts, i.e. in the undisturbed statc. In this way subsidences can be related to s tatic
conditinns. The movements should be recorded and processed in two ways.
A plan must be prepared for each building showing u sketch of the luyout or tht!
building and the reference points toge ther wi th their identification numbers.
On the reverse side of this plan the movements of the reference points are plotted
diagrammatically: each point should have its number elearly indicated toge ther
with the range of levelling and lOo·ith the amount of movement. Elevations s hould
always refer to sea level (geodetic).
A general picture or the subsidences can best be obtained by preparing a so-
called isoanabasc map, similar to a map wilh contour lines. The map, covering
the entire a rea under observation and to a sca le of I : 500 (I· = 40 rt), has to
indicate the buildings wilh the n:fen:nce points and wi th the centre line of the
subway.
The sub5idence or each refe rence point, computed rrom the previo us read ing,
is ma rked next to the appropria te poi nt. On Ihe bllsis of the ma'(imum and mini-
Inurn subsidence a suitable interval can be selected ror the 'contour' lines, aftcr
which these lines ca n be plolted by connecting all points indicating the same
amount of subsidence. The lines will be valid only around the buildings, how-
ever, as the a rellS not built·un may settle in a diffe rent manner (Fig, 7J6Q). Th is
map, indicating the movements relating to a cerlain period of time, is userul rur
two reasons: it wJlI give a n indication or the movements or the bu ild ings not
included in the observations a nd it will mdil"ate the location or maximum suD-
sidence. Ir there is no rererence point in this location. one shoukl be established
immediately and shou ld be obsened rrom Ihen on. A number or conclusions

--
.,,.
'-
~
FIG. 7/60. lsoanabase lines showin&
scute~nl cond,!i"'ns
 107,
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1076 SUkr"CE SUBSIDlSCE RBUlnNO fROM TllNNEl CONSTIWcnO'l

Aftrr (OJ!'P;I, bM cJ't!J~

Iht'd WIffMT:

Af'I" NJmpltilM d' 1M m/J~

J!Jlm/

FlO. 1162 . Dt: .'~lopmenl of .urface ~el\Jcn~n l s due to the const ruction of shield erection
chambel'1 in Leninllr..d

C'oUl he drllwn by compari ng twO maps of successive periods and plotting special
graphs fo r the points indicating the maximum movements: it can be established
whieh are the points that ha\e slowed down or even stopped and which a rc those
\\<Ith increasing subsidences, calling for a closer spacing of reference points for
future obser.·a tions o r, if necessary. calling for appropriate construction und
safety measures.
Regarding the frcq uency of measurements there is a distim:tion between areas
under construction a nd those that have been completed. From past experience
t hose in Ihe first category shou ld be cht.-cked every 1 or 2 da ys, the other need to
be checked only every 2 to J months.
 1077

Benchmarks located within the subsidence zone must be checked at least every
6 months.
Fiyure 7/61 illust rates an isoanabase map of one of the construction sites of the
Budapest Subway. Note that the subsidences <:entre around the excavated unde r-
grou nd areas. It is also lo1.ort h noting that the subsidences were considerably
larger over the shield chambers const ructed by classica l methods and requiring
targe r areas to be excavated than those over shield-d riven line sect ions.

, ,
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urfln

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FlO. 7/63. Development of surface ~lIlemcn t s
= ""
du rinll construction of h"'inoo$hicld chambo:rs

This is even more striking in the case of one of the dee p-lyi ng stations of the
Leningrad Metro (Subway). of which the isoanabase lines are illustrated in Fig.
7/62. The soils consisted of Cambrian cia)' underlying recent all uvial tayers.
Figs 7/62a- h illustrate the conditions after the completion of the shield chambers
and of the entire station. respecti vely. It can be noted that a trough-shaped depres-
sion surface, about 13 C III (5 in) deep and uniform in the longitudinal direction,
has developed as a result of drivi ng the tube-type stations 3 x 8·5 m (10 x 28 ft)
in diameter and abo ut 200 m (6SO rt) long, and this subsidence was in addi tion
to the cone-shaped subsidences up to 15 em (6 in) deep, which were the result
of the mining operations required for the co nstruct ion of the shield chambers.
Su rface subside nces a nd their rate of development as 11 fu nction of ti me and
construction phases are illust rated in Fig. 7/63 for Ihe construction of twi n-shield
chambe rs, connecting corridor a nd ventilation adi t. It can be noted readily that
the maximum settlemenlS have developed following the excavation and lining of
the top section ur the wide (/:2' 12 m [40 rtJ) shield chambers.
1078 IlH(1l ENCf.!I- BIBLIOOIlA 'MY

811J LlOGR " I'll 'I'

ANON. (H;S2): Eiscnbahnlcrhnischc It und ..chau. rarkhf!' Tu,,,,,,/b,w. 12 C;l.rI Ruhrill Verlal;,
Colollne a nd Darmstadl
AV EIlS HIN ( l \1S4): rop.·w palioI .... 1006 rwpy;»C~"U"MUU /JoI"j(wMUMU, Yr.rteTeXirU3T, M 03KBII
H I:AT HCOH, F. W. L. (I96S): MO"emenl of Artleulaled Ilu li dinp on Subsidence Siles, Journ.
"lSI . 00. £"". Febr.
LUtTKt/'o.'S. O. (l9n) : Ha/J~n im JJ,r(Jbo"9~bi"', Sp ringer, Berlin
P bC~. R. B. (1969): IXcp Excava1ions and Tunncllina: in Soft G round. S'm~ oftl,,, Art R~pu,t
/r" . CO"! . On S.M.F.E. Mexico
P,QCrrdings Mrl,O Con!u~nu Ha/lI/(>n!ii,nJ. 1970
SU EII , J. and SlfI..1X:. K. ( 19S9): TUMI" (Tunnell in,). Dopravni Naklld. Prague
W'lK'. (l<,lS9) : TunnelunteuuchunSS"';l.gen der DBB. ElsfnOOhnlnll"lsrhe R""dld,Q" 20s
ZA1'oOSKAIt, w . (l9S9J: Rekonstruk tiOn von Tunneln. 1)$1. I"". Z . Dec.
 GENERAL LITERATURE

AUSSENDORF. K. (1955) : TUlmelboli. VEB Verlag Technik, Berlin

BARDOUT, G. and BER NY, P . (1954): La COllstruc tion des IUI/lle/s, galeries el SOl/terrains. Eyrolles
Editeur, Pari s
CASELKA, J. and M ENCL, J . (1960): HydrolecJlIlicke Slo/lle(Hydrotechni cai tunnel s). S!ovens ke
Vydatelstvo Literatllry. Bratislava
Comples rendus dll J Veme Congres International de I' Urbal1isme SOIl/errain ef des Techniques
des Tra vaux Solllerraills. Varsovi e 2- 5 Juin 1965
DANDUROV (1952): TOHHemt (Tu nnel s). TOllilemf roc. TpaHcn. )l(elIe3HOAopo:lf<Hoe J-bA-.
M03 KB3
DESIO, A . (1949): Geologica ApplictllQ alJ'Jngeglleria. V. Heepl i, Milan
DUHM, K . (1947): TUllnel lind Stollenbau. Georg Fromme und Co., Wien
HAMMOND, R. (1959) : TUllnel Engineering. Heywood, London
HA VERS, H. C. P. (1966) : Undergrollnd Railways 0/ fh e World. Temple Press Books, London
KI ESER, A. (1961): Druck stol/cubau. Springer, Vienna
KOGLE R und H AUMANN ( 1932) : Bergbau unler Tage, Tunnelbau, Handbu ch liir Eisenbetonball.
Ern st, Berlin XlI
KRY NINE, J . and JUDD, P. (1957): Engineering Geology . McGraw Hill , New York
LUCAS, G . (1926) : Der TUllnel. Ernst, Berlin
MA KOVSKY, V. I. (1947) : TOHHcnH (Tunnels). J.13.a.. AKa..a.. Apx.HTeKTYPHit CCC P MOCKBa
MENCL, V. and MENCl, J . ( 1962): SI6111e a TImely (Tu nnels). Statni Naklad . Techn. Lit. Prague
MEREGAlll, G . ( 1957): La situazione alluale delle melropolilone lIel mondo. Tran sporti pubblici
PEQUIGNOT, C. A. (1963): Tunnels allli Tunn elling. Hutchinson, London
RANDZIO, A. ( 1927): Der Stollenbau. Ernst, Berli n
RI CHARDSON, H. W. and MA YO, R. S. ( 1941 ): Practical Tunnel Driving, McGraw Hill , New
York
RimA (1874): Lehrbllch der gesamlen Tunnelbaukll'lsf . Berlin
SEDLACEK, J. (1954) : Stalue a TUlle/y . (Tunnel s) Statni Nak1ad Techn . Lit. Prague
SINGSTAD, O . and BAILLEY, D . ( 1956): Tunnels. ( ParI 10. in Abbett 's Amer. C iv. Eng. Prac.
Vol. I .) Wiley, New York
STAMATELLO, M . (J 970) : Tunn els and various underground slrfiCfllres (Tunele i m iejskie budowle
podzcmnc, Polish). Arkady Warszawa
STINI , J. ( 1960): TlIIlI1elbauge%gie, Springer, Vienna
STRAKA, J. ( 1966): Ulldagrol/lu/ slru cllIres (Podzcmny Slavby, Czec h). St a tni Nnklad. Techn .
Lit. Prague
STR EIT, J . and SEFCIK, K. ( 1959): Till/ ely (Tunnellin g). Dopravni Naklad , Techn . Lit. 'Prague
SZEC II Y, K . (196 1) : Alaglilepilesttlll (Tunnel construc ti on , Hun g.). Tanko nyvk iad6, Buda-
pest
SZEcHY, K.: Tlte Arl ojJ'lIIwcllilig. I. Edit io n. Akademiai Kiad6, Budapest, 1966, 1967, 1970
SZEcI-IY, K. (1969): Der TlIIwelbllll . Springer Verlag, Vienna
S Z~·C HY. K . ( 1970): Traife de cOllslruclioll des TUI/llels. Dunod, Paris
T ALOBRE, J . (1967): La mec{lIIiqlle des roches. Dunod , Pari s
1080 GENERAl.. LITERATURE

TI:OOORESCU, P. ( 1958): C011Slructia TU11e{or (Tunnel construction). Ed. Cai lo r Ferate

Bucharest
TEODORESCU, P. ( 1961): CalclIllIl TUl1e{or (Tunne l dimensioning). Edit ura Tran sporturilor
si Telecomunicatiilor, Buchan:Sl
Valogatoll Jejezetek az alaglilepites is banydszati me/yepiles koreb61 (Selected chapters rrom
tunnelling and mining con struction). MCtszaki Kiad6, Budapest 1952
VOLKOV (1945): TOllue.'lu (Tunnels). roc TpaHcn. )f(ene3Hopo)l(Hoe 113.a.. MOCKBa
WAGNER, H. and MANDEL, G. (1968, 1969): Verkehrs-TIIll11elbau I- H. W. Ernst Verlag,
Berlin
ZURABOV, G . G. and BOUGAYEVA. O. E. ( 1962): H ydro techn icai tunnels or hydrotechnical
power stations (Gidrotehnicheskie Tonneli Gidrotehnicheskih standi, Russ.). Gosener-
gizdat, Moscow
 INDEX
compiled
by
J6ZSEF FARKAS

A angle of dip 72
abutmen t pressure 313 - of rupture 220
acce lerating slope 128 anisotropy 82
access opening 946, 953, 955 anticli ne 61, 74, 91, 93
- shaft 909, 916, 969 , 983 - tunnel 74
- tunne ls 33 Antwerp 28, 30, 41 ,44, 11 3, )31, 134, 785,
aco ustic strain gauge 284, 286 971, 977, 1029
acrolein 551 APEL, F. W. 994, 995, 1071
adhesion coefficient 123 Apennine tunnel 101
adi t (location of) 119 ApPLEGATE, M. 535, 538
adjustable arm 727 ARBUZOV, G. v. 559, 560
adjustment groups 585 arch (circular) 323
advancement of shield 810 - computation 3 19
"Aerocem " method 1017 arching 191, 193, 211, 214, 437
agrcssive constituents 95 Arlberg tunnel 101
AHRENS, H . 566 "Armco" culve rts 486, 902
air-curtain 9J 3 artic ul ated formwork rib 727
lock 601, 881, 902, 915, 926, 93 1, 969 artifica l freezing method 925, 1044
on-face only (me thod) 805 - lubrication 906
percola tion cone 887 as bestos·bituminous haunced steel-wasber 854
Dockets 914 ashlar masonry 7 J6
resistance 125 astllree·hinged arch 332
seepage 887 asymmetrical tunnel section 13 8
AJTAI 616 a tmospheric pollution J008
Albua railway 25, 101 ATTEWELL, P. B. 786
ALIA 996 a uger boring 907
alignment of tunnel s 118 AUSSENDORF, K. 1079
ALLAIN, G. 995 Austrian (cross· bar) method 670, 689, 696,
allowable tcnsion 441 700, 718
ALPA~ . I. 144 aux iliary bent 679
alternate ring method 701 - crown bar 720
Ameri ca n (polygonal) timbering 719 - float ing buoyancy·cylinder 984
Amsterdam 28, 41 , 51, 53, 131 , 134, 969, A VE RSt N, S, G , 1037, 1040, 1047, 1063,
97 1, 980, 981, 984 1078
AMSTUTZ, A. 446
anchorage drift 789 B
anchor block s 900 backpack 259, 729
anchoring dowel 524 back space 774, 825, 885, 953
anchoring tce·section 524 bacteria (su lphate reduci ng) 536
ANDREAE, C. 103, 105, 542, 545, 546, 557, Bade-Hol z mann s hield 803, 804
566, 995 BAILEY CLAR KE , N. W. 455
A ND REEV. O. v. 455 BAILLI E, O. 997
1082 INDEX

BALAZS, Gv. 827 black rust 536

BALLA (rock pressure determination) 228 Blackwa ll tunne l 785
HA LOG H, 1. 865, 914 BLACK, W. T. 144
Baltimore 134 blast cone 6 16
BARANOV 611 - free mechanica l excavation 629
BAR8EDElTE, R . 668 blasting (short delay) 621
BARDDUT, G. 99 5, 1079 - techniq ue 6 16
BARRY, A. I . 659 block forma ti o ns 293
'BARTH 553 blow-out 882
HARTLETT, 1. V. 945, 1066, 1069 H ODROV, .B. P. 279 , 308, 388
base tunnel 22, 57 BODRov-GORELIK (design method) 388.
B ASTIDE, A. 664 415, 421
BA CS KAY, Gv. 535 Bohr lochso nde 67
BEACH 40 boiling danger 290
beam and plate lagging 639 Bo logna 41 , 69
bearing-blocks 98 1 bolt-tightening 277
- rollers 784 bone necrosis 882, 994
- (surveyi ng) 571 BONNARD (lateral pres ure) 248
bedding plane 91, 655 Bo- Peep tunnel J031
Belgia n (fly ing a rch) method 672, 673. 674, BORCHER 577. 578
696, 700, 701, 702, 7 13, 7 15, 718, 726, boring and bla sting manipulation s 994
936 - set (mole) 799
Belgrade 81, 527. 623 Bosto n 121
belt co n veyor 807 SOTAR, 1. 5 15
benchmark 581 bOllom drift 676, 69 1. 694, 696, 712, 715,
bend (ca isso n di sease) 992 933, 934, 937, 952
B 'NDEL, L. 103, 144, 2 11 , 258, 529 friction (cons ideration of) 330
Benelux-Tunnel 563, 980 press ure 249
B ENNEMA RK, H . 786 stability 253
.Benoto pile 740, 751, 753, 982 support 981
ben t 677, 682, 101 9 swelling 250
- (d o uble) 680, 682, 684 BOUGAYEVA (rin g design method) 415
bentonite-ce men t gro uts 825, 826 boundary of plastic zo ne 176, 179, 182
(grout ing) 759, 8 16. 820, 825, 890 - of squeezing motion 66 1
(lubrication) 904, 9 14 BOUSSINESQ 85, 464
shield 805 box section design 491 , 495
slurry 68, 737, 749, 759, 805, 914 braking slo pe 128
BERESANTSEV, v . G . 92 1 BRANDAU 195
BERGER, R. 144 break -up 688
.Berlin 46, 121 , 738, 870, 881, 1070 breakdown of roof 259
Hern 248, 282, 865 brea st board 678
BERNHARD 85 BREKKE. T . L. 144, 305
Bcrnhardi nc-highway tunnel 11 7 BR ETOY Tunnellin g Machine 616
BERNY, P. 995, 1079 BRETH, H . 246, 306
BERTHIER 27 1, 272 bridge action period 194, 256, 257. 259 .
BEYER, K . 567 645, 666
BIEROAUMER (rock pressure theory) 213, 214, - level 29
240 BRIGGS 1035
BIERMANN, G. 619 brisanl exp losives 6 18
bipolar coordinate system 1046 BROMS, B. B. 786
BIRKEL. F. 999, 1007 Brooklyn Battery tunnel 785
bituminous in sulation of double shee ting BIWCKSHAW 42
854 BR UNEI. 40, 783
BJERRUM 997 Brussels 28. 556, 738
 INDEX 1083

B.S.P. - NUTTALL tunnelli ng machine 805 ce ntre-cu t method 70 1

BUBBERS, B. L. 1057, 1069 channel lagg in g 639
Budapest 28. 44. 46. 5 1. 68. 97. 114. 11 6, CHAPLIN, T. K. 568
121, 129, 131 , 142, 237, 245, 276, 286, characteristics of co rrosive soi ls 535
288. 296. 326. 37 1. 423, 523, 534. 584, C HAR LTON, T. M . 567
586, 59 1. 683, 684, 719, 726,735,739. check hole 579
740. 743, 747, 763. 772. 785, 790. 820, chemica l consolidati on 89 1
825, 827. 832. 845. 852,862, 864, 865, Chicago 46, 121 , 276. 278. 279, 548, 724.
9 14, 924, 925, 936, 937. 950, 95 1,955, 785, 1056, 1058, 1065
958,960,962,969.992.993, 1000. 1003, C HRISTENSEN, N . H . 567
1020.1053, 1059. 1060. 1067. 1073. 1075, CHu-KI A-WANG 451
1077 circular arch (tabulated data) 323, 327
BOUGAYE vA. 0 .305.308,346,35 1,388, 415, hole (s tresses around) 148, 177
424. 426, 427, 438, 568 - tunnel (computation of) 365
Buenos Aires 295 - - (elastically embedded) 387
bulkhead (shield) 774, 782, 79 1. 793, 805, CLA RK E, N. W . B. 567
806 classical (mi ning) tunnelling methods 669
- wall 790. 792, 881. 926. 985, 988 CLEAVES, A . B. 144
bursting action 1008 clearance 133, 142, 143
closing error 580. 582
C Clyde-Tunnel (in Glasgow) 913. 992
Ca-bentonites 828 coefficient of fricti on 181, 329,330, 339, 543.
Cairo 98 1 9 14
caisson-d isease (be nd) 992 of heat cond uctivity 559
- floating method s 97 J of subgrade reaction 334,392,401, 41 5,
- sinking methods 19, 757, 761 , 968, 979 422. 427, 432. 465, 486, 496, 1005
Californian siding 808 coefficients for circu lar arch design 327
Calwe ld-S mith shield 802 Coen tunnel 980, 984
CAMBEFOURT, A . 995 CO KER, F. 1046
CAMPION, F. E. 103 1 co llapse of stone packing 1013
Canadian cut 622 collector drains 1020
CA PL.A N, J. B. 995 Colob'Tle method 73 1
CAQUOT 86, 87 combined propping ribs 663
ca rbon dioxide 97, 542, 995 - tunnelling meth ods 718
carbonic acid 96 - wall-drift system 935
carbon monoxide 97, 542, 543. 548, 549, composi te action (tunnel + ground) 342
558. 995 - design (of culvert s) 490
CA RLSSON (press ure cell) 276, 287 comp ressed air (app lication of) 880, 886
CA RTY, C. 945 - - demand 887
Casp ian Sea 1032 - - (supporting effect of) 886
cas l in situ concrete lining 524 compression modulus 439, 461
- iron lin ing segments 392,782,804,821 , comp ressive stress 263
833, 84 1, 843, 852. 937. 950, 954, 1006 concrete cor rosion 825
cathodic protect ion 538 gun 519
ca ulking of segments 8J I, 838, 842, 86 1 - lining (cast in place) 524,663,850, 972
ca uses of tunnel deterioration 1007 - - segme nt s 843
cavern (ka rstic) water 92 co nduits 454. 473, 474. 964
CABELKA, J. 441 , 567. J079 confined cavity (shape effec t) 138, 159 . 223
cement baci lli 540 conica l head 660
- clay gro uting 825 , 826 connecting adit 931
- grout 820, 913 CONSIDERE 2 18
ce ntering 585. 590 co nsLrucli on of headings 675
- control instrument of TAR CZY 60 1 continuous rib 633
central drift method 628 - ring beam 37 1, 373
1084 INDEX

contouf blasting 622 Darcy's law 533

conveyance tunnels 21 Dartford-PurHeet 50, 52, 53, 888
COOK, N. G. 144, 306 DAUSVILl, A. P. 415, 437
Copen hagen 28 DAVIDOV, S. S. (bottom pressure) 247, 252,
core leaving (German) method 711 308, 567, 680
core of trough 61 (design method for circular sections)
corrosion (by groundwater) 540 422, 424
- protection 535 (design mcthod for horses hoe sections)
- (by soil) 535, 1012 342
corrosivity of soils 537 DAWSON, J. 513
corrugated steel sheets 486 Dea s-lsland (Vancouver) tunnels 971, 980
COSTES, A. 660 DE BROE, H. 1029
cost figures 50 decay of tunnels 1010, 1028
COULOMB (earth-pressure theory) 917, 921 deep station (five-bay type) 958 , 960
coupling joints 981 - - (for s ubways) 941
COYNE 284 - - (three-bay type) 956, 957, 960
cracked zone 199 l.I::flection 1040
cracks 1005 aeformation coefficients 79
creep pressure 119 - process (around a cavity) 197
crescent loading 375, 378 DELAURE 84
cross-bar (Austrian) method 670, 689, 696, Delaware tunnel 32
700,718 delay firing 619
cross sect ional shape 129 DE REEP ER, Jr. F. 204
CROUCH, S. L. 81 design (analytical) 318, 368
crown bar (beam) 636, 689, 694, 728.730 by members (graphic) 31 J, 365
- (English) method 689 load s 291
drift 718, 729 for deep tunnels 292
moment variation 365, 422 - for shallow tunnel s 294
subsidence 670 of horscshoe shaped tunnels 310
CSEPKE. es. J068, J 071 of circular tunnel s 365
CSETI 581 of rectangular tunnel s 490
cuhe strength of rock 217 of tunnel sec tion s 307, 365
CULLMANN (cohesion-parabola) 227 specifi cations (Budapest Subwa y)
culvert 454, 467 296
construction 456, 895 (Lisbon Subway) 295
(cross-£ectional design) 467 - (Soviet sta ndard) J01
(longitudinal design) 469 DESIO, A . 1079
of corrugated steel ("Armco") 486 D ES PONDS, R. 865
CURRY 1029 deterioration of tunnels 1007, 1028
c urvate factor 1042 determinate sys tem 320, 351, 370
cushion bla sting 623 Detroit Dearborn tunnel 785
cut and cover 27, 735, 746, 750, 939,979 development of design procedures 308
cut depth 23 dewatering 901
CUTHBERT - W OOD 848 dimensioning methods of circular tunnel s
cUlling discs 797 436
edge (of shield) 766, 767 , 771,773,796, dip 72, 220
802, 866, 902 discharge tunnels 31
(mechanical) 614, 622 DISC HI NGE R, F. 242
ribs 796 dislocation zone 63
segment ("Hallinger") 795 dismantled sti ffening rings 938
dismantling chamber 938
D distortion potential 186
damages in tunnels 1010 distribution tunnel 36
DANDuRov, M . I. 561,567,1012, 1023, 1079 division platforms (laminated face) 807
 INDEX 1085

Donnerbubl tunnel (in Bern) 282, 865, 867 elliptical hole (stresses around) 157
Don-Seg lining segme nt 848, 880 elongated-wire (devices) 284
Doorstopper method 272 EMHi5, L. 559, 560
double acting hydraulic ram 770, 774, 779 ENGESSER (rock press ure theory) 239, 246
chamber grout machine 817, 829 English (crown bar) method 689, 696, 697,
drift method 704, 709 718
lining (design of) 440, 450, 453, 454, 531 entrance lock 600
timbering 680 ENVEDJ 958
track tunnel J42 . 216, 890, 965, 1027 equivalent determinate structure 356, 358,
DOWANCE 272 360
downcast fault 63 - model material 269, 282
drainage of tunnels 528. 811 ERDELVI (concrete block) 844
- system repair 1013 erection-chamber (shield) 908
dredged trench 98J - of tunnel-lining 811
drift (sec heading) 627, 672, 676 erector arm 768, 784, 791, 803, 812, 813
drilling (mechanical) 614 - se rvice platform 768
- platform 626 eroded saddle 61
drive pinion 804 escalator tunnel 925, 927, 928
driving pits 898 ESSLINGER, M. 929
dropping survey lines down shafts 592 ESZT6 219 , 261, 262
DROSCHA, H . 888 EVDoKIMOv, P. D . 81
drum digger type shield 801 excavation (in shield) 786, 90 1
dry boring (exploration) 66 excess air pressure 883
DSIDA, L. 995 EXNER, F. M. 207
DUBAS 446 exploration boring 66
DUBOURG. L . 738 - headings (drifts) 71
D UBROV, A. 255 - s haft 69
ductile cast iron explosive charges 623
DUDDEC K, H. 415 , 431. 437, 440, 567 - consumption 625
DUFFAUT, P. 305 explosives 616
DUHM, K.l079 eXlension of plastic zone 185
dump shaft 699 - of protective 196
DUNTON- KELL - MOR GAN 995 extensometer arrangement 271
DUVAL, w. 306 extent of upbreak 21J
Dusseldorf 876 ex terior type waterproofing 515
dynamite 542, 624
Dynogcn 520 F
M. 996
E
FABER,
face jack 770, 791 .-
EONER, L. 895 - stabilization 787, 893
economic st udies 49 - take J069
EDVARDS 160 fa cto r of c urvature 1040
effect of bedding 465 FAlLON, L. 1046
- of plastic phenomena J 74 failure surface (Mieses) 87
EGGtNK, 1. R. A . 971 - types in rocks 86
egg-shaped culverts 475 FAIRHUST, C. 144
elastic centre 320, 349, 359, 368, 372 fan 555
deformation 204 FARKAS, J . 1059
rod s upports (fic titious) 342, 399 fauits 61 , 64
subgrade 329, 346, 387, 401 , 415, 423 , FAZAKAS, Gv. 1067
444, 471, 489, 496 FENNER. R . 137, 153, 155. 181, J85 , 201 ,
Elbc-Tunnel 979, 980 202, 214
electric borehole control method 68 FerrwEls 913
- resistance measurement 67 FEUCHTtNGER 29
1086 INDEX

finite element method 166, 657, 1059 gas lasers 607

FINK, E. 996 Gattico Tunnel 69 , 114. 115
FINSTERWALDER method 876 Gauss elimination process 412, 1041, 1062,
fire· hazard 994 1067
fiSCHER, C. L. 490 GAZ1 EW, E. G. 268
fish plale 682 GAYLORD 567
five· bay type stations 958 GELMAN, G . 279
fixation invar rod 275 Genoa 30, 44
flat-bottom culverts 489 genuine mountain-pressure .148, 199, 210,
flexible gunitc lining 667 244 , 249
- metal culverts 486 geological expert 65
flexure 6J exploration 57
floating caissons 971, 982 formations 63
Florence 69 investigation 59, 65, 11
flow-extensions test 786 profile 105
flying arch (Belgian) method 674, 702, 936 survey and exploration 56, 71
FOGDEN, C. A. 542 geophysical exploration 58
folds 59, 61 GEORGIEV, L. 449
foot wall 64 geothermal gradient 99, 105
FORCHHEIMER (moment equation) 370, 430, - slep 100
774 German (core-leaving) method 675, 701,
- (rock pressure) 233 702, 711. 718, 728, 783, 929, 939,
forepoling 679, 690, 694, 734 1028
Forest - Hill 44 GINA beffie-strip system 980, 987
formwork - channels 731 Giovi tunnel
FOSTER , H. A. 876, 880 GIRKMANN 178
FOUC AULT, L. 599 glaskent bands 988
FOURIER 103 Gla sgow 50, 121, 913, 992
- Series 432, 433 GOLD and LEVINE 471
FOPPL 152 GOLDBECK 287
fractured fold 63 Goldbeck cells 276
FRAENKEL, 623, 624 GOLDREICH 1036
Frankfurt 30, 735 GOLDSTEIN, M. 227
freezing wells 925 GOODMAN, R. E. 144, 305, 798, 802
FREYSS1NET'S prestressing method 875 GORELIK 308, 388, 415, 421
friction effect 650 Gothcnburg (in Sweden) 28, 980
FRITSCHE 913 Gotthard railway 25
FRITZLlN . M. C. 971 - tunnel 101, 102, 107, 133, 312, 580
frost action 1008 GOUGEL 42
wall 910 grade (ruling) 125
full face erector method 724 GRANTER, E. 738, 966
tunnelling (with supports) 632 GRANT, P. A . 997
(without supports) 625 Great Appennine lunnel 38, 41, 42, 50, 69,
94, 97, 100, 109, 687 '
G GREATHEAD 40
GAAL. l. 1068 GRESCHIK, Gv . 1013
GAlS, E . 941 GRIMAUD'S formula 623
GALERKIN , B. G . (desing theory) 441 grouting 277 , 280, 281, 527, 668, 768, 811,
Gants - Hill type station 945, 948 872, 894, 1014
garages 34 effect on pressure distribution 281
GARMS 559 (for watcr exclusion) 668
GARROD A. D . 542 materials 818, 823
GARTNER 567 platform 768
ga ses 96 pressures 820. 82
 INDEX 1087

grout machines 817, 818, 829 HETZEL, K. 621

- pipes 712 HEWETT, B. H. M . 307, 996
- plug 815 HEwETT - JOHANNESSON (design method) 379,
GROVES, G. L. 852 611, 888, 996
GRON , W. 758 high explosives 618 , 621
GUERIN, H. 461, 551 highway tunnels 27, 548, 558, 625
guide walls (of slurry trench wall) 751,945 - (vehicular) tunnels 27, 44, 133
gun ite (plastering) 5 I 8 HIGUCHI. I. 65, 188
rendering support 666, 667 HILTSCHER, R. 305
hinged-culvert 468
H history of tunnel construction 37
Haarlem River Syphon (New Croton aque- hingeless arch 320, 324, 423
duel) 115 HODOS, V. A. 850
HABIB, P. 84, 246. 272 Hokoriku tunnel 42
"Hallinger"-shield 765, 794, 852 hole depth (blasting) 619
Hamburg 28, 30,41,44, 53, 113, 121, 868, Holland vehicular tunnel 785
966, 971 , 980 homogeneous elastic half-space 149
HAMILTON, J. J . 287 hood 770, 782, 789, 802
HAMMOND, R. 1079 hooded shield 900
hanging wall 64 Hooke's law 152, 155, 156, 168,285, 1059,
hang (slope) tunnels 25, 56 1060
HANKER, R. 112 hoop stress 445 , 447 , 448
HANKE, W. K. 996 Hoover dam 245
HANY's grout machine 828 horizontal air lock 600, 881
HAPL, L. 521 - boring methods 907
Happburg (hexagonal type lining segments) - layout 570
868 HORN, M . 921, 924
HARDING 42 horseshoe shaped section (analytic design)
hardwood distributing frame 896 162, 318
HARTMANN, B. E. 305 - - - (graphic design) 311
HASLER, E. J 44 HORVATH, J. 186, 235, 239, 306
Hastings 1031 hoselike rubber stripes 986
HASWELL, C. K. 996 hot bitumen injection 824
Hauenstein tunnel 580 HOUSKA, J. (lateral pressure) 248 , 283
HAUMANN 1079 hovering 208
haunched-plate lining 524 HOFER, K . 567
HAVERS, H. C. P. 996, 1079 HUGON, A. 660
HAXTON 993 HUGUES, M. 996
HAROSY, T. 232. 466, 467 hump profile (underground stations) 128
heading and bench method 627, 637 hydraulic jacks 766, 769, 770, 771, 776, 781 ,
headings (liner-plate) 683 795, 810, 841, 879, 907, 911, 985
(masonry) 686 - radius 546, 557
(pilol) 676 hydroelectric plant tunnels 31
(scope and construction of) 675 hydrogen 98
(limber) 677 - sulphide 98, 543, 995
headwall support 119 hydrological survey 90
health protection 990
heat (generated in subways) 561
HEATH COTE, F. W. L. 1043, 1078 ICHIMUKA, M. 840, 959
heavy liquid 925 icicles 1009
HEJOKAMP, W. 996 Icos - VEDl:R (Milanese) method 737. 738.
HElM, J. 78, 82, 147, 652 749, 750
HERMANN 90 Ij -lUnnel 971, 980, 981 , 982
HERTZ 614 IKEDA 65 , 188
1088 INDEX

ILLEsSY, J . 777, 852 KELL, J . 888

illumination intensity 562 Kemano-Tunnel 37
inclined shafts 924 KERISEL, J . 149
- stratificat ion 207, 211 KEZDI. A. 92J
industrial lunnel s 33 KI ESER, A . 966, 1079
initiating explosives 618 KILI AN, J . 827
in specti on or axis J004 K innea r Mood ie and Mc Alpine druill type
(of lining) 1004 shie ld 80 I, 802
- (of shape) 999 KI NTLI 790
- (of tracks) 1002 KISER'S method 877
intermediate jacking s la tion 900 K'RSCH 150. 155, 261
interna l loads 29 1 KLEI N, R. 460, 518, 547, 553
interior ty pe waterp roofi ng 5 16, 1016,1017 KLEINLOGEL. A . 493 , 494, 567
inve rt ed a rc h 249. 328, 672. 700, 715, 9[0, KM ENT, W . 966
1005 K NA PP 445
invert segmen ts 734 knife-edge suppo rt 387, 873
isoanabase cont ours 1074 KOHLMANN, L. 4 33
Iso fol 520, 521 K OLLER. R. 74 1, 996
isos tasy 60 KOMME RELL 192, 231 , 307 ,3 11
hali an (in vert ) method 675, 7 15, 1028 - (graphic design) 3 11
- (rock pressure theory) 231
J KONRAD, O . 6 11
jack 775, 778, 780, 782, 810, 896, 898 KOPPENW ALLNE R, F. 100 1
jacking capaci ty 898 KovAcs, G . 433, 435, 924
- wall 896 K OVACS HAZY, F. 280, 448 , 747
JA COBI , D. 287 KovA R' , K. 144, 166, 171 , 306
JAECKLlN, P. 199, 306 KOWALCZYK, Z . 580, 6 11
JA EGER, J . C. 144, 306, 446 KOGLER 1079
J AKUBEC, E. 996 KONtGSBERGER 105
JAKY, J . 227, 777 KRA BBE, W . 1025
J ANOSI, J . 645 KR EBS 67
J EFFERY, G. B. 1046, 1053 KR ESS, H. 546, 547, 549, 550
jet-vent ilation 552 KRI VOSHEI N 965
joi nt s (for jacked pipes) 903 KRUPI NSK I, H . J . 749
J ONES 1029 KK YN INE. D. P. 144
Joos ten process 890 Kubota lining segmen ts 840
J OUGLA, J . P . 995 KUJUNDZIC, B. 878
J UDD, W . R . 144 KUNtZO N ISHIJAMA 959
j umbo 626, 646 K UNz-method 708, 710. 729, 734
J USIN, A . J . 1042 K USNETSOV, G. N . 282
K L
K a nde van tunnel 1020. 1032 Lafontaine-tunnel ( Molltrea l) 980
KANY, M . 5J2 LAFRAN CO, 1. 957
KAPOLYI. L. 174 lagg in g 639
KARAFIATH. L. (loads on shafl wa ll) 9 18, 92 1 - (skele,on) 678, 682
Karawa nken tun ne l 101. III LALANDE, M . 875
karstic (cavern) waler 92 lamin ated face (division platforms) 870
KASTNER, H . 176, 200, 202, 205, 2 10, 306, - lining 446
567, 996 LA N":, K . S. 567
K aposztasmegye r (wa ter supply tunnel) 844 LANG, T. A. 658
K APOSZT AS, P. 54 J, 544 lasers 607
K ARM AN 145, 201, 2 18 LASSEN, M. 97 1
KELEMEN, J. 567, 827, 865, 996 latent-plastic state 201
 .~.

... te ..... around SIIPPO," 342.. 346. 35 1. 356 l\NIds on t ..... nels 14'
prusun.: coefficient ( mfl~n~ 00 s.rus klcal f~,lun: (HOUSK",) 248
dis.nbu"on) 1'2. 161. 4J8 Im:allOn or lunnd$ III
- determinatIon 244 LOllloff.vtR 921
LAVff U" H. 194. 664. 666 tOMAMIOI , G . lO6, '61
layuu! (horiu>n!al) 569, 582 London 211. 30, 35, 37. 40. «. 46. 121. 116.
(or de.ails) 578 131. 142.. 264. 580. 738. 751. 160. m,
(or lon, 'unnels) 571 790. 800. 848. 852. 86), 165, 890. 892,
(of $egmen''1) 604 9-t2. 947. 948. 962. 966. 1021, 1069
(of shon tunocl~) 569 l",n,i'udinaJ d~,.. tion (,rldic:nl ~) 122
(of under,round 'unne ls) SIl2 - '...:ntilatinn HI
(underground d lt«uo na ll 600 loopin, tunnel 24
('-enical) 581. 602 I~ncd -wne 2J9, 164
L~~KVN 617 loosening coefficient ( KOMMUllLL) 231
Lnl>lltN. E. R. 272 - preULIre 148, 187, 190. 209
L[(J(;ET. R F. 88. 144 loos. w. 246. 306
tc ~I ~"rc IUn~1 56} lo~n~· Fchlmillnn 758
LcnlOl!rad 28, 40. 276. 219. 794. 796, 829. LOR!;.'</:, H 9 14
831,855. 925 , 9SO. 9S1. 954. 951. 1045. LOt~hbcrl ' unnel 10 1, III. S80
10411. lOB. 1076, 1077 tU£'.M, G . 624, 1012.. 1019
'YJIC or sh..eld 796 tllF.'n::rNS. O. 10711
. ype station 951 LUfln::v. K. 51S
L~o:o-' 195, 198. 263. 264 Iyin, rolds 61
L~ M O'l' Sc'H ..... ON, H .
1" 4
Llvr 468 ."1
L,F.l.uP'$. L. 561 M ... "o 8 19
Ii,ht;nl 561 Mus lun",,1 46, 916. 985
U I~holmen tLinnel (in Stod.holm) 816. 819. Madrid 19S
880. 915. 981 M... mAIC (pr~urc-o:lI) 28 4
LrM,o.NOv, I ,... 951 , 996, 1045 , 1041, 1048, M ... ILIJoRT (rocl;: p~uLlr~ theory) 217
1053. 1054, 1060, 1063 miIltnlenanCe s.en·jce !W9. 1006, 1007 . 1011
[;ncoln tvn",,1 40. 44. 5 I, 78S, 792 MALCOII 42
"'''I)SAV, 1\.1. 535. nil Mal""s lunnd 11
line dc>dopmcn! 23 M"LV. P. 607
liner-plate 683, 930 M,,",ol t., G . 144, 862, 868, 996, 101«1
- - method 721, n6. 727 M"RGASO": . G . 49, 811
- - with stiffentnc 124 M "IUI)Tl1 &4
hnine Kements 60S. 81S. 8J2 mark ing 577
(concrete) 843 M .... KL, 1>. !l96
fof ClOst iron) 833 M""QlI ... IIOT. E. 371 , 4D , 474
(of It r UCfvra l . tcel ) 1140 Mars.eille 31. 41. 46
(prcstrccr.sed) 1115 MARIO!;. F. 1038. 1054. 1063
(reinrnr~d contrCle) 852 muonr)' li ninll 686. 704
LINK. H . 567, 9 11 MAn MI 308
LIPrLRT, E. 156 MA)(WfLL - Coo...: 'IS, 561
LIsbon Subway (desiJln load$) 195, 112. 939. Mu",,,,JI lhe<)rem 1045

h,~
'"
Ln' " ".t,vl'o. J 1041
IoIIds 291
MAn ... A. 144. 306
MAVAG Iype Iroul maehine 829
McC""'",ICK, J . A. 659
I ,'...:rpool tunnel « , 11 3 meehan tCiI dnlhnl cullin, 614
load·carryi ng ring 6' I - uca"alors Itn shield) 793
loadlOS el li p<;e US - 'cnlllation "'7
load . ln .erferenee 260 /IIWAW, T. M. 798. 842
loads on shafts 9 16 M(lUl"Ot .. , V . 554
1090 INDEX

MEISSNE R, H . (desig n method) 429, 438 mucking 807

M emo rial turnpike SO - car 683, 687, 727, 732, 768
MENc L, J . 441 , 567, 996, 1079 muck loader 768
MENCL, v . 996, 1079 multi-layer plastering 517
ME NZE L. W . 567 multiple drift method 713, 729
MEREGALLI , G. 996, 1079 - s tage mining methods 702
MERK EL, G . 996 multistage timberin g 695
M ERSENNES 284 Munich 30, 40, 755, 756, 870, 939 , 962
Me rsey tunnel 44, 5 1, 52, 53, J 14. 785. 798, M USKEISHVILI 439
842 M UHLHOFER, L. (design theory) 443
Messc rvort rieb 734 M OLLER, L. 66, 144, 190, 306
mental targets 578 MULLER, R. A. 1042
methane 97, 995
MVERHOF, G. G. 455 , 486, 489, 490, 567 N
Midt own tunnel 40, 5 1 Na-bentonites 826, 828
M I ESES characteristic failure surface 87 NAGEL, 595, 597
M1KLOS. P. 700, 932 Naples 28
Milanese ( I c os- VEDER) method 750 NATAU, O. 666
MINDLIN , R . O. 149 , 150,196 natural ve ntilati on 545
mining industry 19 NAVI ER'S hypothesis 470
- methods 669, 689 navigation tunne ls 30, 46. 131
MI N1N, P . I. 1001 needle beam method 72 1
MITCHAM, T. W . 58 NEUBER 157, 160
model tests (fo r pressure determination) NEUMANN , R . 144, 306
282 New Austrian Con struction M ethod 668
modified co lumna r-t ype sta tion 957 New York 26, 28, 32, 44, 12 1. 131 , 548, 662.
M offal 50 735 , 792 , 855, 884, 993
M ohr - Co ul omb Iheo ry 83, 177 NEMETH, F. 929
MOHR , F. 87 , 138, 201, 202, 287, 306. Nice 38
309 NIELSEN, C. N. 97 1
M ohr's rep resentation of r upture cond ilio ns N IEMANN , H . J. 996
1050 NIEWERTH , F. 996
mole (boring set) 799 nitrogen 99, 542
M o ll-ribs 641, 642 nitrous gases 99, 542, 995
moments of monolithic sect ion (variat ion of) NOBEL 39
364 noise con trol 56 1, 563
Monceau park 36 nonhomogenity 82
monolithic section (des ig n of) 346, 368 non-radial loads 451
Mo nt Hlanc 28, 41, 44, 109, 133, 580, 992 - structu ral secondary lining 53!
- Ce ni s tunnel 39, 41 , 42, 50, J01, 102 normal fau lt 64
- d ' Or tunnel 50, 94 NOSKIEWICZ 945
M ontreal 28 , 51 , 735, 980 numerical examp le (BOD ROV - GORELlK) 392
monument 577 (egg-shaped culvert) 47 6
MORGAN, H. D. 86 1, 996 (ho rseshoe design) 335
Moscow 40, 41, 46, 51 , 121 , 276,279,291 , (po lygonal method) 407
342, 387, 534, 587, 597, 784, 785 , 790, (timberin g) 680
79 1, 796, 825. 855, 860, 862, 865, 925, (two-bay box sect io n ) 56
936, 941 , 946, 950, 95 1, 954, 956, 957 , (ZURABOV- B OUGAYEVA) 35 1
964, 1001 , 1004, 1006, 107 1 NYKOLSKIJ, I. S. 53 1
type of s hield 797
- statio n (th ree-bay) 956 o
MOSONYI. E. 88, 144 Oakland 974
motorway tunnels 30 1, 697 Oberhasli drain-system lOIS , 10 17, 1031
mountain chain 61 OBERT. L. 306
 INDEX 1091

oblique folds 61 pentagonal (polygonal) timberiflg 720

offspur tunnel 25. 57 percussion borings 66
OOG lOBIN 597 Pereces - Baross s haft tunnel 1034
OlTAY, K. 584, 611, 612 PER HAll 971
OMORI 913 peripherial take 1069
Opanol 520, 1031 permissible embankment height s 23
open caissons 757 PETERSEN, G. 996
- excavation pit 253, 737 PEQUIGNOT, C. A . 996, 1079
optical bore-hole sounding device 67 PFISTER, R . 144
optical cross-sectioning 1002 Ph iladelphia 121
optical plumb 595 PHILIPS 161, 174, 194
organization of maintenance services 1006 " Phillips" (pressure cell) 284
orientation angles 573 phlegmatic explosives 618, 621
- methods 597 piled bearing seat 981
ORlOY, N. (computation method) 432, 872 pillars (loads on) 265
orogen (primary) stress J46. 207 pilot heading 675
0' Rourkee concrete block 843 - tunnel 892, 1057
oscilloscope 286 pin marker 590
Os lo 121 pipe jacking 895, 902
outbreaking process 148 pipes 902
overbreak (effect on pressure) 191 , 193, 259 PIRRI E 772
overburden press ure 209, 101 I , 1016 pit 688
overhanging roof 802 - corrosion (local effect) 538
overthrust 62 Pitt sburgh (Liberty tunnel) 550
plane of equivalent se ttlement 459, 460
p
PlANTEMA, G. 989
packing lath 677 , 732 plastering 517,1018
PAlOTAS, L. 852 plastic deformations 175, 237
PA NC HA UD, F . 567 - limit condition 178
PA NEK, A . L. 650 - zones (exten sion of) 175, 185
PAPP, F. 88, 144 plug type bench mark 587
PAPROTH, E. 850 plumb bob 588, 589
parallel tunnels 260, 439, 579 lines 588
Paris 28, 30,34,35, 36,40,46,121,295,735, - - (eccentric in shafts) 591
754, 755, 761 , 890, 892, 894, 939, 943, - (optical) 598
962, 969 POCOCK, R. G. 49, 871
parking areas 34 Poi sson's ratio 79, 85, 137,160,168,186,269,
- garage 36 276, 286, 333, 340, 343, 441 , 442, 466,
Park-Lane underpass system 737 , 738. 966 489
PARRER, F. 996 POK ROVSZKY'S equati on 460
part timbering 678 poling board 677
passanger tunnel 132 polygonal method (ring design) 399, 622
pa ss t unn el 23 - (with roof separa ti on) 407
PASTERNAK, P. (box section on elast ic foun- pore water migration 205
dation) 496, 500, 507, 512 portable Californian siding 808
PATTENDON, B. 852 portals 565
PATTERSON, W. H . 996 post-tensioned segments 874
paxite 624 pOIentiai energy ( BOOROV-GORELlK) 389
pea shooter 818 PRADER, D. 996
PECK, R . B. 456, 996, 1034, 1054, 1055, 1063, Prague 28, 528, 551, 563
1069, 1078 PRANDTl 777
pedestrian tunnels (subways, lInderpasses) precast caisson 927
30, 131, 132, 739, 740, 743 , 967 precast-cap-beams 98 1
Penn sy lvania tllrnpike 50 - lining segments 449,911 , 930

69'
1092 I NDEX

prefabricated elements (the use of) 749, 965, ram Uack) for propulsion 775. 8 10, 896
967,972 RAMSAY 945
prepact concrete 514, 687, 101 6 RANDZIO, E. 619, 997
pressure body 197 RANKINE, 283, 466, 921
cells 27 1,275,276,284,287 Rankine's ratio 136, 245, 334, 1049
chamber 8 17 RANKJ (pressure cell) 287
distribution b lock 78 1 R. C. bent 686
- ring (shie ld) 766, 773, 776, 780, 795 reconstruction of tunnels JOI2, 1022, J024,
re-establishment 271 1025, 1028
s hafts 898 rectangular R. C. floating-caissons 975
tunnels 31 , 36,131, 10 11 - section (design of) 490
pre-stressed lining segments 875 red rust 536
pre-tensioned segments 874, 818 REEVES. A. B. 144
PRICE'S rotary excavator 792 reference marker 577
primary (oroge n) st resses J46, 207 - net 582
- pillars 756, 757 - point 579
PROCTOR, R. V. 181,634, 636,638,639,640. reinforced concrete lining segments 852, J017
644, 997 - - plug anchorage 661
PROKOPOVA, A. G. 455 - - supports 684
propulsion (of pipe) 896 relative displacement of members (considera-
- (of shield) 776, 796, 810 tion of) 332
PROSSER, J. R. 997 relaxation of stresses 270
protection pillars 1043 remodelling 1025, 1030
protective shed 26 Rendsburg tunnel 30, 525. 526, 971 , 977 , 984
- (stress-free) zone 192, 202,206 RENDULlC, L. 189, 470
PROTODYAKONOV (pillar load) 265 repair by controlled drainage 1019
PROTODY AKONOV (rock pressure) 188 , 227 , by mechanical ventilation 1020
235, 246, 268, 304, 343, 680, 1050 - of linings 1020
PROTOPOKADIS, P. 1017 - of tunnels 1007, 1012
PRUSKA, M. L. (culvert design) 461 RESCIiER, O. J. 567, 656, 658
pseudoso lid rock J 48, 202, 203, 208, 209, 231 resistance factor 6 15
public utility tunnels 32. 132, 966 retaining wall 26
pumping shaft 93 1 retraction jack 773. 795
puro elasticity theory 155 reverse fault 64
PVC caulking 861 revolving drilling bits 629
waterproofing 520 REYNOLDS, H. 144
ribbed-type (coffered) segments 852, 859
Q RICHARDSON, H. W. and MAYO, R. S. 541.
Queens-Midtown tunnel (New York) 51 , 114, 786, 806, 808, 835, 848 , 884, 997, 1079
785, 840, 884, 993 RICHART, L. 137, 155, 159, 160
quick explosives 618 RICHTER, R. 647, 648 , 650
Rieken tunne l 100, 143
R rider (KUNZ) 729
RAAB 547, 553, 1010 rigid culvert structure 457
RABCfWICZ, L. 147,202, 207, 306, 542, 640. rigidity (influence of) 163, 365, 423
645, 655, 658, 659, 662, 669, 672, 700, ring (design of monolithic) 368
997 Rio de Janeiro 28
RA81GI:.R, F . 907 RI'ITER , W. (fllck pressure) 233
radial stress 150, 190 river Limmat 35
rafter nail 677 RIZNICIIENKO 965
RAINER, H. 1030 Robbins-type tunnelling machine 630, 798,
railway stations 908 802
- IUnnels 26, 42,130, 143,832,1012 rock bolting 645, 648 , 650
raking support 694 - (crushing) strength 6 15
 INDEX 1093

rock bolting deformation diagrams 78, 80 scarpMrail supporting arch 13 1

pillar 265 SCHARLE, P. 1060
pressure bulb 2 15 SCHEIBNER, B. 1071
(development process) 207, 255 SCHEIDEGGER, F . 530, 532
measurement 268 Sche lde· Tunnel 563, 97 1, 977
s uperpos iti on 260 SCHENCK, W . 887. 997
theories 209, 214 SCHLAE PPER 549
- (considering overburden) 215 SCHMIED, J . 165
- (neglecting overburden) 230 S CHNIITER, G . 306
(types and causes) 145 SCHO KLITSC H 92 1
properties 77, 88 S CHOLZ, C. H . 80
(roof) bo ilin g 645, 651, 663, 669, 700 SCHOPPE, E. 997
temperature 96, 99 SCHRE IER, F. J44
R OHNE, E. 567 SCHULZE, H . 43 1, 43 8,567
Rome 28, 30, 38, 121 , 295, 939, 944, 962 S CHUPP, R . 802, 869
ROMANOFF, M. 535 S CHURMANN 660
ROMANOV 542 S CHW EDLER 388
roof boilS 646, 653, 65 5, 657, 658 , 660, 700 SCHWEICHERT, K . H. 996
pressure 212, 240, 245 scrcwMjacks 907
- schield 767, 769, 770, 788, 800 sea lin g operations 277
- stabilization ( b y silicatization) 892 secondary effects (nonlinear) 439, 1071
rota ry boring (Craeiius method) 66 - stresses (in rock) 146
- percuss ion boring 66 secti o n design by member 310
ro tation of shaft 598 - rea ming 622
- track 800 SEDLACEK, J . 997, 1079
Ro thcrnitc tunnel 44, 785 SEFCIK, K . 1078, 1079
R OTH PLETZ, F . 1011 segme ntal timbering 669 , 691
ROITER, D . 306 se ismic effects 304
Ro tlerdam 41 , 46, 53, 113,131 , 134,971,976, Sc lmecMn ya 38
980, 984, 985, 988 semi·g raph ical design (culverts) 475
R OUSSELlER, M . 877 - tra nsve rsal ven tilat ion 55 1
Rove canal tunnel 3 1. 41, 7 14 Semmering tunnel J 12, 1022, 1030
ROZANOV 307, 314 settlemem observatio ns 1063, 1065, 1067,
R6zsA, L. 432, 435, 436, 523, 567. 957, 958. 1069
966, 997 superposition 1055
ru lin g grade 23, J 25 tro ugh 1064
RZIHA 147, 1079 zone 587
sewer pipe 477
5 - shield 773
SACCA RDO (ve ntilatio n system) 552 553 - IUnneis 33, 131, 132,763,855,875,982
SACK, K. 941 Shandaken tunnel 41
sadd le (watershed) tunne l 22 shaft arra nge ment (fo r pipe·jacking) 899
sa fet y measures 989 - - (fo r shie lds) 908
- recesses 564 - sinking 598, 600, 825
SainlMVenant's theory 83 shal low tunne ls 294
SAKU RAI , S. 81, 632 shape (check of) 1000
SAMOYLOV, V. P. 777 - effeci (confin ed cavity) 138. 223
sand pile 748 SHARF, J . C. 531
So n Francisco 28, 41, 44, 842. 914 s heelMpilc cofferdam 926
SANGER (ventilat ion syste m ) 552 - - roofing 734
SA'ITLER, K. 567 - - wa ll 36, 733, 744, 762, 899, 906
SAVIN, K. 16 1, 174. 306 Shcika nMlunnel 42
sawt oo th profile (statio n) 128 shelte rs 34
S,{1<osr,- L. 523, 567, 827 shie ld advancement 8 10
1094 INDEX

shield chambers 288, 335, 883, 932, 935, 1076 SPACKELER, H. 306
(dimensions and struclUre) 766 SPANG, J . 568, 1026
dismantliDg chamber 937 special muck·car 683
position (determination of) 608 - underground structures 908
tunnelling 735, 761, 764, 880, 1048 s pecificati ons for the design 295, 296, 301
shock pressure 621 s pecific resistance 124
short delay blasting 621 spherical cavity (stresses around) 159, 161
sbo tcrete (inner ring) 442, 517 spile 639
shothole pattern 620 spiral tunnel 24
should er drift 933 - type lining 869
side drift method 726 Spree tunnel 881
- pressure 138 sp un concrete precast pipe 902, 905
- wall construction 706, 729 s tabilit y of bottom 253
sigma point (elastic centre) 320, 349, 359, 368 STAGG, K. G. J44
SIK6, A. (c ulvert de sign) 471 STAMATELLO 69, 997, 1079
s ilic3tization 892 steel arch rib 637, 643, 664, 725, 726, 727 , 945
si licosis 991 cutting shie ld 897
sill beam 678, 680, 720, 730, 734 girder grid 948
SILL, O. 997 insulation sheeting 973
s ill-st retcher 693 joist grillage platform 942, 943
SIMMONS, H . 97 J, 981, 997 plate (lining) 443
Simplon tunnel 39, 42, 50, 101.102, 107, 125, pipes 903
141, 142,542,552,580 sheet waterproofing 522
si ngle-acting jack 779 s kin·plate 524
chamber grout machine 8 [7 STEINFELD, K. (loads o n shaft wall) 919, 921
- course walls 689 s tiffening ring 771, 776, 781, 938
- track tunnel 142. 216, 965.1026 - wall 770
SINGSTAD, O. 557, 558, 781 , 835, 840, 993, STINI, J . 56, 64, 71,90, 102, I J 9, 144, 192,233,
997,1079 244,264,306,624,711,1079
Singstad-Tunnel563 Stockholm 46, 51, 121, 626, 735, 746, 876,
sinking methods 757, 968, 971 879, 939, 975 , 988
- process 983 stone packing 1013
si te-exploration 69 - rip· rap 763
ske leton lagging 678 storage of maintenance equipment 1007
SKEMPTON 826, 997 - tunnels 34
s lab (block) type segments 861 s torehouses 34
s liding press ure 208 STOCKE 90
s lope (hang) tunnel 25, 56 STRAKA, J. 522. 652, 653, 656, 658, 1079
s low explosives 618 stratification (effect on location) 72
slu rry·tren ch wall 36, 75 1, 752, 756. 939, 945, - (effect on rock pressure) 211
962, 964 stray·currents 537, 538, 1012
SOCOMET statio ll type 962 s trength factor (PROTODYAKONOV) 238
sodium ch loride 96 stress co nditions (around cav ities) 161 , 261
SOHA, I . 567 free body 196, 198
soil corrosion 535, 1012 isobars 162, 180
- s tabilization in tunnelling 880,892, 901 measuremen ts in the rock interior 272
Soletanche bored pile 751 - on t he rock face 269
- grouting system 889 - on the tunnel supports 273
solid pressure grouting 670 relaxati on (BERTHIER) 272
SOMMELLIER 39 releasing bore hole 270
SONDEREGGER, A. 306 stress releasing cut 270
SONNTAG, G . 163 superposi tion 260
Sopron 589 relieved zo ne (development of) 197
so und propagation 273 restoration 272
 INDEX 1095

STREIT, J . 1078 , 1079 T

stretcher beam 707 tail sectio n (of shield) 767, 78 1
stretc hing chambe r 928 TALO.RE, J . 144, 146, 269, 306, 650, J079
str ike 72 TA NAKA , T . 42, 65. 188
s truct ural steel segment s 840 Tanna tunnel (Japan) 39, 42, 94, 109. 141
- - un it.s 973 target 578
subaqueous connection 985 T ATTE RSAL 848
- tunnel 29, 122, 555, 757. 792, 875, 968. Tauern tunnel 101 , 580
971 , 982. 988 TAVASZY, F . 936
s ubgradc reaction (i nfluence of) 365, 423 TAYLOR, R . L. J44 , 305
su bs urface stations 939 TAR CZY- HORNOC H, A. 590, 601, 612
s ubs iden ce cone 1048 tectonic forces 63
subterrainean parking place 35 - pressures 208
subway (M etro) tunnel 27, 46, 1012 Teheran 1032
s ulphate action 540 te levision sets (explorati o n by) 66
- re duc in g bacteria 536 temporary ai rt ight separation roof 76 1
s ulphur dioxide 98 bulkhead wall 758, 883
s ulphuri c ac id 95 folding wedges 677
superimposed subsidence 1050 seat 983
s uperpositio n of roof loads 260 steel suppo rt 634, 667
s uppo rt (rei nforced concrete) 645 timber s uppo rt 212
(temporary) 634 underpinning (of arch spri ngin g) 706
- (timber) 644 T ENIS, A . K . 86 1
- (yield ing) 641 te nsioning jack 875
Suramsk tunnel 580 TEODORESCU, P. 568, 1080
s urcha rge loads 299 TERZAGHI, K . 137. 147, 155, 159,160,165, 18 1,
SUQUET (rock. press ure theory) 230 188, 19 1, 193, 205, 211 , 213, 224, 227,
s urface loads 29J 237, 245, 246, 248 , 249, 253 , 256, 259.
movements 1039, J044, 1066, 1071 268 , 278 , 283 , 290, 298, 306, 462. 464.
reference net 582 822, 1055, J056, 1065
settle ments 1044, 1059, 1070, 1072, J076, T ERZAG HI (bottom pressure) 253
1077 (i nclined st ra ti ficatio n) 2 11
subsidence 1034, 1035, 1042 (loads on shaft wall) 918
- (ac tual observa ti ons) J063 (rock pressure theory) 224, 298. 462
- (due to s ubwa y co nstruc ti o n) (stress co nditio ns) 148
1073 (tabul ated pressure val ues) 212
- (theo re tical es timate) 1035 (upbreak height) 193, 2 13
su rveyin g 569 TESSEYRE, R. 144
survey line (thro ugh air locks) 60 1 Thames-Lee IUnneJ 87 1
suspension e ffect 650 TH EEN HA US, H. 264, 568, 950
swecling-ceme nt cau lkin g 854, 860 theoretical co rre latio n 8 1
- pressure 148, 203, 205 , 239 - s lope (JAKY) 227
SWIDA , H. 997 thermoplastic s heets 522
syncline 61, 74. 9 1, 93 - sp licin g 1016
- tunnel 74 - (waterproofi ng) 520, 10 16
System Bernold 666, 667 thixotropic fluids 759, 760. 9 15
SZADECZKY - VASTAGH 727 THOMA 103, 105
SztCHY, K . 241 . 254. 744.777.852.862,912, THOMSON , J. C. 907 , 997
913. 923, 925, 929, 93 I. 938, 957 , 997. THoN , J. G . 629
1048, 1063. 1079 THORN , J . 607
SZILARD 6 16 three-bay type station ( Moscow) 956
SZILVAGYI. I. J 63. 306 thrus t boring 907
SZ6KE, L. 587, 6 12 - frame 900
SzOcs, M . 865 TIJMANS, F. 997
1096 INDEX

timbered headings 677 tunnelling in loose grounds 735

timbering 643, 678 , 809 tunnels (c lassification of) 2 1
lime-effects J74 (con struction and design or) 613
TIMOSHENKO 17 8 (public utility) 32, 132
Tingstad-tunnel (Gothenburg) 980, 985 (subway) 130
TISA, A. 144 (traffic) 22, 130
Tokyo Underground railways 840, 959 , 961 (transporta ti on) 3 1
top drirt 703 , 712, 163 twin tunnels 1057
Torino 623 two-bay tunnel 495
Toronto 51 , 735, 738, 800, 857, 945. 948
torque-set type roof bolts anchorage 660 u
tota l traction resistance 125 UOLUM" 90
Toussaint-Heinzmann supporting bent s (T . unbalanced air pressure 884
H . ribs) 640, 641 underground garage 755, 758, 760
track arrangemen ts 809 hall s 932
traffic loads 464 railways (comparative data) 121
- tunnels 21, 22, 26, 130 station-profile 128
train resistance J26 stations 894, 938
transfer of directions 587 structures (class ification of) 19
transportation tunnels 31 underpass sys tem (Budapest) 739, 740, 743
Trans-Siberian Railway 143 - - (Park-Lane) 737. 738
transversal ventilation 551 - - (Vienna) 741 , 747-
traverse 574, 588 underpinning blocks in staggered arrange -
trapezoidal concrete lining segments (T. M . ment 91 1
type) 849 underwater tunnels 57
tree-hinged arch 241, 243 , 408 upbreak after BIERBAUMER 213
tfernie concrete 758, 988 - after T£RZAGI-Il 187, 193, 213
trench jack 722. 723, 726, 727 upcast fault 63
- walls 462, 75J uplift press ure 482
traingular loading 372 urban tunnels 57
traingulation network (local) 575 - underground railway tunnel J 23
- (nationa l) 571 lotility conduits (in open cuts) 964
- - (special) 573
- (self-contained) 576 v
trompeter (stress-free) zone 113, 190, 192. "AJDA (concrete block) 844. 997
200. 205 Vancouver 971 , 980
trough-like depression 1063 VARGA, L. 69, 427
trunk of (shield) 767. 772 VARGA, L. (des ign method) 427
- sewer-caisson 762 VASTAGH 727
truss-panel 638 \vhicular (higway) tunne ls 27, 44 , 133, 832,
TSCHEIJOTARIOFF. G . P . 456. 470 839
T StMBAKYEVITCI-1 (bottom pressure) 244, 249 , Vel sen-tunnel 97 1, 980
251.306 venti lation 540
- (pillar load) 266 duct s 532, 929
tunnel (construction history or) 37 (during construction) 54 1
deterioration and repair 1007 (lateral) 552. 556
drainage 528 , 1019 (lo ngitudinal) 554
maintenance 999 (mec hanical) 543, 547, 1020
storage 34 (natural) 545
s ubaqueous (underwater) 44 , 57, 113, 134 (of highway tunnel s) 548
s urveying 569 (of subways) 560
walls (linings) J40, 513 s haft 561,761 , 909,946
widening 1027 tower 555
lunn e lling in firm ground 614 vertical layout 559
 INDEX 1097

vibrating wire (stress gauge) 271 , 284, 286 WENDEL-type ttntng segment 869
Victoria Underground Line 806. 839, 863. WENZEL, K. 144
87 I wet method 519
V;enna 30, 737, 741, 742, 749, 752, 753 WHITE, H . L. 181 , 486, 634 , 636, 638, 639 ,
- (underpass systems) 741. 742 640, 644, 993
VINCZF. V. 6 11 WIEDMANN, R. 997
VIRIUMSKY, V. 227 WIESMANN 195
vitrifield brick 131 , 132, 948 WILKE 1078
VOELLMY , A. 438. 463 WILLHElM 195, 263, 264
VOGEL. G. 525 WILLMANN, R. 195, 196,241,242, 243
VOLKOV, V. P. 237 , 568, 835, J080 WILSKJ - HORNOCH 590
VOLUMAM.D. P . 664 winch (for muc k haulage) 897
volumetric-s train meas urement 8 1 WINDELS 438
VRETRLAD, E. 876. 997 WIND. H . 997
WINKLER (formula) 308, 332. 388, 47 1, 496
W wire mes h (with grout coating) 646
WAGNER, H. 798, 862, 872, 887, 996. 997. Wirth-type tunnelling mac hine 631
1080 WISSINGER, L 599
WAKELING 848 WITKE. W . 306
wall beam 634, 637, 707, 710, 720 . 784 wobbling (of s hield) 772, 810
- design (computation) 328 Wolfsholz de sign 818
WALLING 625 wooden s upports (timbering) 643
WARD, N . H. 568, 848, 872 wood lagging 639
Warsaw 586 working chamber 76 1, 882
Washburn tunnel 972 - platform 782
was her (haunched) 860 WOHL-BIER , H . 666
Wasserftuth tunnel 580
WASSMUTH . H. G . 997 Z
WATANABE, T . 840, 959 ZANGAR 161, 174
Water conveying tunnel 13J ZANOSKAR, w. 541. 997. 1078
- e sclusion (by grouting) 668 ZEISS 595
- press ure 288 ZIENKIEWI CZ, O. C. 144
waterproofing 440, 447, 454. 5 14, 529, 743. zone of arching 193
744, 852, 855,953, 1002, 101 3.1015 - of loosened rock 175
(bonded) 520 zones of weakness 83
(of covering layers) 889 ZURABOV, T . G .- BOUGAYEVA, O . E. (design
(PVC) 520 me. hod of) 247, 308, 346, 351, 415, 424,
water seepage 532 568, 1080
watershed (pass-, s addle-) tunnel 22, 57 Zurich 35, 549
water supply tunnels 32, 663 , 844, 848
y
watertight connection of caisson-units 984
watertight joints (for pipes) 903 Y AMAGUTI 283
water vapour 99 Y AROSHENKO, V . 455 , 457 , 460, 465
WATKINS, R . K. 490 Verba-Buena tunnel 44
weathered zone 59. 77 yielding springing s upport 333
weeping water 288 Young's modulus 79, 165. 168, 269. 276, 286,
WEINHOLD, H. 996 512, 650