AASHTO LRFD Road Tunnel Design and Construction Guide Specifications 1st Ed.

LRFD Road Tunnel Design
and Construction Guide Specifications

First Edition, 2017
Publ. Code: LRFDTUN-1

ISBN: 978-1-56051-643-9 @Seismicisolation
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Copyright American Association of State Highway and Transportation Officials Order Number: W2098023
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© 2017 by the American Association of State

Copyright American Association of State Highway and Transportation Officials
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American Association of State Highway and Transportation Officials
444 North Capitol Street, NW, Suite 249
Washington, DC 20001
202-624-5800 phone/202-624-5806 fax
www.transportation.org
Cover photos: 1) top left photo: The Bertha Seattle project. Photo provided by Bijan Khaleghi,
Washington State DOT. 2) top right photo: SR 99 Tunnel, courtesy of WSDOT; 3) bottom left
photo: East River Mountain tunnel on I-77, Bristol, VA, courtesy of VDOT; 4) bottom middle
photo: SR99 Tunnel Construction, courtesy of Prasad Nallapaneni; 5) bottom right photo: the
Squirrel Hill Tunnel, Pittsburgh, Pennsylvania, Jonathan McHugh, Gannett Fleming.
© 2017 by the American Association of State Highway and Transportation Officials. All rights
reserved. Duplication is a violation of applicable law.
ISBN: 978-1-56051-643-9 Pub Code: LRFDTUN-1

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AASHTO EXECUTIVE COMMITTEE
2016–2017
Voting Members
OFFICERS:
PRESIDENT: David Bernhardt, Maine*
VICE PRESIDENT: John Schroer, Tennessee*

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SECRETARY-TREASURER: Carlos Braceras, Utah
EXECUTIVE DIRECTOR: Bud Wright, Washington, D. C.
REGIONAL REPRESENTATIVES:
REGION I: Leslie Richards, Pennsylvania

Pete Rahn, Maryland
REGION II: Charles Kilpatrick, Virginia

James Bass, Texas
REGION III: Randall S. Blankenhorn, Illinois

Patrick McKenna, Missouri
REGION IV: Carlos Braceras, Utah

Mike Tooley, Montana
IMMEDIATE PAST PRESIDENT: vacant
*Elected at the 2016 Annual Meeting in Boston, Massachusetts
Nonvoting Members
Executive Director: Bud Wright, Washington, DC
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HIGHWAY SUBCOMMITTEE ON BRIDGES AND STRUCTURES, 2016
GREGG FREDRICK, Chair
BRUCE V. JOHNSON, Vice Chair
JOSEPH L. HARTMANN, Federal Highway Administration, Secretary
PATRICIA J. BUSH, AASHTO Liaison
ALABAMA, Eric J. Christie, William “Tim” MONTANA, Kent M. Barnes, David F.

Colquett, Randall B. Mullins Johnson
ALASKA, Richard A. Pratt NEBRASKA, Mark Ahlman, Fouad Jaber,
ARIZONA, David B. Benton, David L. Mark J. Traynowicz
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Eberhart, Pe-Shen Yang NEVADA, Troy Martin, Jessen Mortensen
ARKANSAS, Charles “Rick” Ellis NEW HAMPSHIRE, David L. Scott, Peter
CALIFORNIA, Susan Hida, Thomas A. Stamnas
Ostrom, Dolores Valls NEW JERSEY, Xiaohua “Hannah” Cheng,
COLORADO, Behrooz Far, Stephen Nagnath “Nat” Kasbekar, Eli D. Lambert
Harelson, Jessica Martinez NEW MEXICO, Ted L. Barber, Raymond M.
CONNECTICUT, Timothy D. Fields Trujillo, Jeff C. Vigil
DELAWARE, Barry A. Benton, Jason NEW YORK, Wahid Albert, Richard
Hastings Marchione
DISTRICT OF COLUMBIA, Donald L. NORTH CAROLINA, Brian Hanks, Scott
Cooney, Konjit C. “Connie” Eskender, Hidden, Thomas Koch
Richard Kenney NORTH DAKOTA, Terrence R. Udland
FLORIDA, Sam Fallaha, Dennis William OHIO, Alexander B.C. Dettloff, Timothy J.
Potter, Jeff Pouliotte Keller
GEORGIA, Bill DuVall, Steve Gaston OKLAHOMA, Steven Jacobi, Walter Peters
HAWAII, James Fu OREGON, Bruce V. Johnson, Tanarat
IDAHO, Matthew Farrar Potisuk, Hormoz Seradj
ILLINOIS, Tim A. Armbrecht, Carl Puzey PENNSYLVANIA, James M. Long,Thomas
INDIANA, Anne M. Rearick P. Macioce, Lou Ruzzi
IOWA, Ahmad Abu-Hawash, Norman L. PUERTO RICO, (Vacant)
McDonald RHODE ISLAND, Georgette Chahine
KANSAS, Mark E. Hoppe, John P. Jones SOUTH CAROLINA, Barry W. Bowers,
KENTUCKY, Mark Hite, Marvin Wolfe Terry B. Koon, Jeff Sizemore
LOUISIANA, Arthur D’Andrea, Paul Fossier, SOUTH DAKOTA, Steve Johnson
Zhengzheng “Jenny” Fu TENNESSEE, John S. Hastings, Wayne J.
MAINE, Jeffrey S. Folsom, Wayne Seger
Frankhauser, Michael Wight TEXAS,Bernie Carrasco, Jamie F. Farris,
MARYLAND, Earle S. Freedman, Jeffrey L. Gregg A. Freeby
Robert, Gregory Scott Roby U.S. DOT, Joseph L. Hartmann
MASSACHUSETTS, Alexander K. Bardow, UTAH, Carmen Swanwick, Cheryl Hersh
Thomas Donald, Joseph Rigney Simmons, Joshua Sletten
MICHIGAN, Matthew Jack Chynoweth, VERMONT, James LaCroix, Wayne B.
David Juntunen Symonds
MINNESOTA, Arielle Ehrlich, Kevin VIRGINIA, Prasad L. Nallapaneni, Kendal R.
Western Walus
MISSISSIPPI, Austin Banks, Justin Walker, WASHINGTON, Tony M. Allen, Thomas E.
Scott Westerfield Baker, Bijan Khaleghi
MISSOURI, Dennis Heckman, Scott WEST VIRGINIA, Ahmed Mongi, Billy
Stotlemeyer Varney
ii
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WISCONSIN, Scot Becker, William C.
Dreher, William Olivia
WYOMING, Paul G. Cortez, Gregg C.
Frederick, Michael E. Menghini
GOLDEN GATE BRIDGE, HIGHWAY

AND TRANSPORTATION DISTRICT,
Kary H. Witt
MDTA, Dan Williams
N.J. TURNPIKE AUTHORITY, Richard J.
Raczynski
N.Y. STATE BRIDGE AUTHORITY,
Jeffrey Wright
PENN. TURNPIKE COMMISSION, James
Stump
U.S. ARMY CORPS OF ENGINEERS—
DEPARTMENT OF THE ARMY,
Phillip W. Sauser, Christopher H.
Westbrook
U.S. COAST GUARD, Kamal Elnahal

U.S. DEPARTMENT OF
AGRICULTURE—FOREST
SERVICE, John R. Kattell
KOREA, Eui-Joon Lee, Sang-Soon Lee

SASKATCHEWAN, Howard Yea
TRANSPORTATION RESEARCH BOARD,
Waseem Dekelbab
iii
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AASHTO LRFD Road Tunnel Design and Construction Guide Specifications
ABBREVIATED TABLE OF CONTENTS
Section 1 Introduction
Section 2 General Features and Requirements
Section 3 Loads and Load Combinations
Section 4 Structural Materials and Design Considerations
Section 5 Geotechnical Considerations
Section 6 Cut-and-cover Tunnel Structures
Section 7 Mined and Bored Tunnel Structures
Section 8 Immersed Tunnel Structures
Section 9 Initial Ground Support Elements and Ground Improvement
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Section 10 Seismic Considerations

Appendix A Planning and Route Considerations
Appendix B Recommended Construction Specification Sections
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SECTION 1 – INTRODUCTION
TABLE OF CONTENTS
1.1—PURPOSE AND SCOPE ...................................................................................................................................1-1

1.2—DEFINITIONS ..................................................................................................................................................1-2
1.3—DESIGN PHILOSOPHY ...................................................................................................................................1-3
1.3.1—General .......................................................................................................................................................1-3
1.3.2—Limit States ................................................................................................................................................1-4
1.3.2.1—General................................................................................................................................................1-4
1.3.2.2—Service Limit State...............................................................................................................................1-5
1.3.2.3—Fatigue and Fracture Limit State ........................................................................................................1-5
1.3.2.4—Strength Limit State .............................................................................................................................1-5
1.3.2.5—Extreme Event Limit State ...................................................................................................................1-5
1.3.3—Ductility ......................................................................................................................................................1-5
1.3.4—Redundancy ................................................................................................................................................1-6
1.3.5—Operational Importance ..............................................................................................................................1-6
1.4—REFERENCES ..................................................................................................................................................1-7
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1-i
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1-ii LRFD ROAD TUNNEL DESIGN AND CONSTRUCTION GUIDE SPECIFICATIONS
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SECTION 1: INTRODUCTION 1-1
1.1—PURPOSE AND SCOPE C1.1
The provisions of these Specifications are These Specifications are modeled after the LRFD
intended for the design, evaluation, and rehabilitation Specifications and the AASHTO Guide Specifications
of highway tunnels. These Specifications are intended for LRFD Seismic Bridge Design. The philosophy and
for the design of tunnels constructed using cut-and- guidance provided in those documents are carried
cover, bored, mined, and immersed tunnel forward and implemented in this document.
construction methodologies. Whenever the LRFD Specifications are
Provisions are not included in these referenced in this document, the reference is to the
Specifications for water conveyance, utility, transit, or latest edition including all applicable interim changes.
rail tunnels or for shafts. For tunnel elements not The term “notional” is often used in these
explicitly covered herein, the provisions of these Specifications to indicate an idealization of a physical
Specifications may be applied, as augmented by the phenomenon, as in “notional load” or “notional
Engineer with additional design criteria where resistance.” Use of this term strengthens the
required. separation of an engineer’s “notion” or perception of
Construction specifications consistent with these the physical world in the context of design from
design Specifications are not included. There is a physical reality itself.
listing of suggested construction specification The term “shall” denotes a requirement for
sections included in Appendix B. compliance with these Specifications.
Structures internal to tunnels that support The term “should” indicates a strong preference
roadways over ventilation plenums, roadways, or for a given criterion.
other openings in the tunnel shall be designed in The term “may” indicates a criterion that is
accordance with the AASHTO LRFD Bridge Design usable, but other local and suitably documented,
Specifications (hereafter referred to as the LRFD verified, and approved criteria may also be used in a
Specifications) including all applicable interim manner consistent with the LRFD approach to tunnel
changes and as modified or supplemented herein. The design.
load effects of these internal structures shall be The load factors specified in Section 3 have been
applied to the tunnel lining, walls, or other supporting calibrated to provide designs with member
members in accordance with these Specifications. proportions consistent with the current practice in
Retaining walls for retained cut approaches to tunnel design.
tunnels shall be designed in accordance with the The calibration is based upon analyses performed
LRFD Specifications. for a circular bored tunnel. Additional calibration for
Support and ancillary structures such as different tunnel cross-sectional geometry and
ventilation, control, and administrative buildings are loadings from a variety of ground conditions would
not covered by these Specifications. These structures be useful in further validating and refining the load
shall be designed in accordance with local building factors.
codes. The primary loads on structural components of
These Specifications are not intended to supplant tunnels are groundwater and earth loads. For
proper training and experience or the exercise of immersed tunnels, loads imposed by transporting
judgment by the Engineer, and provide only the immersed elements from the fabrication site to the
minimum requirements necessary for public safety. tunnel location can also govern the design of these
The Owner or the Engineer may require the tunnels. For pre-fabricated linings used in bored
sophistication of design or the quality of materials and tunnels, construction-imposed loading can govern the
construction to be higher than the minimum design. The determination of groundwater, earth,
requirements. The design of tunnels is strongly transportation, and other construction loads varies
dependent upon the geologic setting, site conditions, based on the in-situ conditions, level of testing during
and construction methodology, and this fact is subsurface investigations, and ground conditions may
considered in the Specifications. The concept of have great variation. There are little data available to
ground/structure interaction is emphasized for mined establish a statistically significant sampling in order
and bored tunnels; however, it is also applicable to to calibrate these Specifications based upon structural
cut-and-cover and immersed tunnels. reliability theory. As such, judgment and past
The concept of safety through redundancy and experience were also used to select the load factors.
ductility is emphasized for tunnel elements subject to These Specifications are an initial attempt to
repeated loads and load reversals. codify and standardize highway tunnel design. As
The design provisions of these Specifications such, as future data that are produced in a systematic
employ the Load and Resistance Factor Design fashion in accordance with these Specifications
(LRFD) methodology. The load factors have been become available, recalibration may be implemented
calibrated using structural analysis modeling for a based on statistical evaluation of these data.
limited number of loading conditions that take into
account ground/structure interaction.
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1-2 LRFD ROAD TUNNEL DESIGN AND CONSTRUCTION GUIDE SPECIFICATIONS
The commentary is not intended to provide a

complete historical background concerning the
development of these Specifications, nor is it intended
to provide a detailed summary of the studies and
research data reviewed in formulating the provisions
of the Specifications. However, references to some of
the research data are provided for those who wish to
study the background material in more depth.
The commentary directs attention to other
documents that provide suggestions for carrying out
the requirements and intent of these Specifications.
However, those documents and this commentary are
not intended to be a part of these Specifications.
The Specifications direct the Engineer to utilize
other documents in the development of designs. When
this occurs, the most current edition of those
documents should be utilized. Those documents
referenced in the Specifications are intended to be part
of these Specifications by reference.
Unless otherwise specified, the Materials
Specifications referenced herein are the AASHTO
Standard Specifications for Transportation Materials
and Methods of Sampling and Testing.
1.2—DEFINITIONS
For definitions not shown, see the LRFD Specifications.
Bored Tunnel—A tunnel constructed utilizing a tunnel boring machine.
Calibration—The selection of load and resistance factors to achieve a specified goal such as uniform reliability, as is
the case with the bridge design specifications, or member proportions consistent with past practice, as is the case with
these Specifications.
Collapse—A major change in the geometry of the tunnel lining or other structural component rendering it unfit for
use.
Component—Either a discrete element of the tunnel or a combination of elements requiring individual design
consideration.
Contract Documents—Drawings, specifications, reports, and memoranda that provide direction and/or guidance for
the construction of a tunnel and that form a contractual basis for the work to be performed.
Contractor—Entity responsible for the construction of the tunnel and associated construction engineering.
Cut-and-cover—Sequence of construction in which a trench is excavated and the tunnel or conduit section is
constructed and then covered with backfill. (AASHTO, 2010)
Design—Proportioning and detailing the components and connections of a tunnel.
Design Life—Period of time on which the statistical derivation of transient loads is based: 150 years for these
Specifications.
Engineer—Agency, design firm, or person responsible for the design of the tunnel and/or review of design related to
field submittals.
Evaluation—Determination of the load carrying capacity of one or more components of an existing tunnel.
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Extreme Event Limit States—Limit states relating to events such as earthquakes, flooding, vehicle fire, or vehicle and
vessel collision, with return periods in excess of the design life of the tunnel.
Force Effect—A deformation, stress, or stress resultant (i.e., axial force, shear force, torsional or flexural moment)
caused by applied loads, imposed deformations, temperature changes, or volumetric changes.
Immersed Tunnel—A tunnel constructed from prefabricated elements constructed off the tunnel alignment, floated
into place over the tunnel alignment, and placed into a prepared trench. Placement is facilitated by the addition of
ballast to the elements to cause them to be immersed to the pre-determined depth and then joined to the adjacent
element(s) already in place.
Limit State—A condition beyond which the tunnel or component ceases to satisfy the provisions for which it was
designed.
Load Modifier—A factor accounting for ductility, redundancy, and the operational classification of the tunnel.
Mined—Any tunnel construction methodology that involves excavation of the tunnel without opening the excavation
to the surface and without the use of a tunnel boring machine, including mechanical excavation, blasting, and hand
excavation.
Model—An idealization of a structure or structure–ground system for the purpose of analysis.
Owner—Person or agency having jurisdiction over the tunnel.
Regular Service—Condition excluding the presence of special permit vehicles and extreme events.
Rehabilitation—A process in which the resistance or functionality of a tunnel component or connection is either
restored or increased.
Resistance Factor—A statistically or experience-based multiplier applied to nominal resistance accounting primarily
for variability of material properties, structural dimensions, and workmanship, an uncertainty in the prediction of
resistance, but also related to the statistics of the loads through the calibration process.
Service Life—The period of time that the tunnel is expected to be in operation.
Tunnel—Road tunnels as defined by the American Association of State Highway and Transportation Officials
(AASHTO) Technical Committee for Tunnels (T-20) are enclosed roadways with vehicle access that is restricted to
portals regardless of type of the structure or method of construction. The committee further defines road tunnels not
to include enclosed roadway created by highway bridges, railroad bridges, or other bridges. This definition applies to
all types of tunnel structures and tunneling methods such as cut-and-cover tunnels, mined and bored tunnels in rock
and soft ground, and immersed tunnels.
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Tunnel Boring Machine (TBM)—Machine that excavates a tunnel by drilling out the heading to full size in one
operation. Sometimes called a mole, the TBM is typically propelled forward by jacking off the excavation supports
emplaced behind it or by gripping the side of the excavation (AASHTO, 2010).
1.3—DESIGN PHILOSOPHY
1.3.1—General C1.3.1
Tunnels shall be designed for specified limit states The limit states specified herein are intended to
to achieve the objectives of constructability, safety, and provide for a buildable, serviceable tunnel capable of
serviceability, with due regard to issues of inspectability, safely operating for a specified design life. As defined
maintenance and economy. Additional information in Article 1.2, the design life relates to the return period
regarding tunnel systems, planning, ancillary facilities, of the transient loads of the strength limit states and
and appurtenances can be found in Section 2. hence their nominal magnitude. The design life should
Regardless of the type of analysis used, Equation not be confused with the service life. As defined in
1.3.2.1-1 shall be satisfied for all specified force effects Article 1.2, the service life relates to the eventual
and combinations thereof. demonstrated durability of the tunnel. The service life of
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The specified 150-year design life is appropriate for a tunnel is not specified in these Specifications, just as
the design of tunnel geotechnical features and soil– the service life of a bridge is not specified in the LRFD
structure-interaction-systems given the high capital Specifications, as the durability of tunnels or bridges is
costs of rehabilitation and replacement and the likely not well quantified.
importance to the transportation network. Internal The resistance of components and connections is
structures such as roadway slabs and suspended ceilings determined, in many cases, on the basis of inelastic
as well as system components, such as signs, piping, and behavior. In other words, the capacity of tunnel
their supports; communication and signal devices; and components used to define their nominal resistance at
ventilation equipment that are more easily replaced, may the strength limit states is based upon behavior past first
have design lives assigned to them by the Owner. yield of the material. On the other hand, the force effects
on the load side of the LRFD equation, Equation 1.3.2.1-
1, are determined using elastic analysis but amplified by
the specified load factors. This apparent inconsistency
is consistent with most modern structural-design codes
including the LRFD Specifications. The application of
this comparison of loads and resistances for design is a
result of incomplete knowledge of inelastic structural
action combined with the behavior of the earth
surrounding the tunnel that acts in concert with the
tunnel structure.
1.3.2—Limit States
1.3.2.1—General C1.3.2.1
Each component and connection shall satisfy Equation 1.3.2.1-1 is the basis of the LRFD
Equation 1.3.2.1-1, for each limit state unless otherwise methodology.
specified. For service and extreme limit states, resistance Ductility, redundancy, and operational
factors shall be taken as 1.0 except for bolts. For bolts, classification are considered in the load modifier η.
the provisions of Article 6.5.5 of the LRFD Whereas the ductility and redundancy directly relate to
Specifications shall apply. physical strength, operational classification concerns
the consequences of the tunnel being out of service. The
ΣηiγiQi ≤ φRn = Rr (1.3.2.1-1) grouping of these aspects of the load side of Equation
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1.3.2.1-1 is therefore, arbitrary. However, it constitutes
in which: a first effort at codification. In the absence of more
precise information, each effect is estimated as ±5
For loads for which a maximum value of γi is percent, accumulated geometrically, a clearly subjective
appropriate: approach.
Groundwater is an example of a loading that would
ηi = ηDηRηI ≥ 1.0 (1.3.2.1-2) be appropriate to apply as a maximum and a minimum.
Variation in groundwater elevations are common due to
For loads for which a minimum value of γi is seasonal changes and tidal influences. Tunnel linings
appropriate: are designed as compression members; therefore,
maximum groundwater pressures would produce
η𝑖𝑖 =
1
≤ 1.0 (1.3.2.1-3) maximum axial loads and vice versa. As such, both
η𝐷𝐷 η η𝐼𝐼
𝑅𝑅 maximum and minimum groundwater loads should be
checked.
where:
γI = load factor: a multiplier applied to force

effects
φ = resistance factor: a multiplier applied to

nominal resistance, as specified herein
ηi = load modifier: a factor relating to ductility,

redundancy, and operational classification
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ηD = a factor relating to ductility as specified in

Article 1.3.3
ηR = a factor relating to redundancy as specified in

Article 1.3.4
ηI = a factor relating to operational classification as

specified in Article 1.3.5
Qi = force effect
Rn = nominal resistance
Rr = factored resistance: φRn
1.3.2.2—Service Limit State C1.3.2.2
The service limit state shall be taken as restrictions The service limit state provides certain experience-
on stress, deformation and crack width under regular related provisions that cannot always be derived solely
service conditions. from strength or statistical consideration.
For tunnels, this limit state controls tunnel lining
deformation, cracking, and leaking.
1.3.2.3—Fatigue and Fracture Limit State C1.3.2.3
The fatigue and fracture limit state shall be taken as The fatigue and fracture limit state is intended to
restrictions on stress range as a result of repetitive limit crack growth under repetitive loads to prevent
machinery or ventilation loads at the number of expected fracture during the design life of the component.
stress range cycles. Additionally, the fatigue limit state is intended to
prevent premature failure of anchoring and supporting
components subject to machinery or ventilation loads.
1.3.2.4—Strength Limit State C1.3.2.4
Strength limit state shall be taken to ensure that The strength limit state considers stability or
strength and stability, both local and global, are provided yielding of each structural element. If the resistance of
to resist the specified statistically significant load any element, including splices and connections, is
combinations that a tunnel and its component parts are exceeded, it is assumed that the tunnel resistance has
expected to experience in its design life. been exceeded. The redistribution of loads that can
occur due to structure–ground interaction typically
allows the tunnel ground supporting structure to support
loads in excess of the capacity calculated utilizing linear
elastic static analysis. Extensive distress and structural
damage may occur under the strength limit state, but
overall structural integrity is expected to be maintained.
1.3.2.5—Extreme Event Limit State C1.3.2.5
The extreme event limit state shall be taken to Extreme event limit states are considered to be
ensure the structural survival of a tunnel during a major unique occurrences whose return period may be
earthquake, flood, tsunami, collision, blast, or fire, or significantly greater than the design life of the tunnel.
when an immersed tunnel is subject to sinking vessel or
anchor drag loads possibly during, or in conjunction
with, a scour event.
1.3.3—Ductility C1.3.3
The structural system of a tunnel shall be The response of structural components or

proportioned and detailed to ensure the development of connections beyond the elastic limit can be
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significant and visible inelastic deformations at the characterized by either brittle or ductile behavior. Brittle
strength and extreme limit states before failure. behavior is undesirable because it implies a sudden loss
For the strength limit state: of load-carrying capacity immediately when the elastic
limit is reached. Ductile behavior is characterized by
ηD ≥ 1.05 for nonductile components and connections significant inelastic deformations before any loss of load
carrying capacity occurs. The redistribution of load
= 1.00 for conventional designs and details effects provided by ground–structure interaction results
complying with these Specifications in ductile behavior of concrete tunnel linings when
proper detailing of the reinforcing is used. Internal
For all other limit states: components, however, should be designed to exhibit
ductile behavior. The provisions of the LRFD
ηD ≥ 1.00 Specifications provide guidance and direction for the
ductile design of these internal components.
Internal components of tunnels including structural While the LRFD Specifications have a value of ηD
elements, equipment supports, and their connections less than one in implementation, the value is unused.
shall be designed to exhibit ductile behavior, especially Traditionally, structural engineers characterize
when subject to extreme events such as earthquakes. structures as ductile, ηD = 1.00, or non-ductile, ηD =
Attention shall be given to the ductility of 1.05.
transitions between structural systems of tunnels,
specifically at the interfaces between retained cut and
cut-and-cover structures; between cut-and-cover
structures and mined, bored, or immersed tunnels; and at
the joints between immersed tunnel elements.
1.3.4—Redundancy C1.3.4
The provisions of the LRFD Specifications shall Tunnel linings for bored and mined tunnels are
be used to ensure that the internal components of considered redundant due to ground–structure
tunnels and all aspects of cut-and-cover and immersed interaction and the ability to share load along the
tunnels incorporate redundancy in their design. length of tunnel.
For the strength limit state:
ηR ≥ 1.05 for nonredundant members
= 1.00 for conventional levels of redundancy
For all other limit states: While the LRFD Specifications include a value
of ηR less than one, in implementation the value is
ηR ≥ 1.00 unused. Traditionally, structural engineers
characterize structures as redundant, ηR = 1.00, or
non-redundant, ηR = 1.05.
1.3.5—Operational Importance C1.3.5
This Article shall apply to the strength and Such classification should be done by personnel
extreme limit states only. responsible for the affected transportation network
The Owner may declare a tunnel or any structural and knowledgeable of its operational needs. The
component, or connection thereof, to be of definition of operational priority may differ from
operational priority. Owner to Owner. Guidelines for classifying critical
For the strength limit state: or essential tunnels are as follows:
ηI ≥ 1.05 for critical or essential tunnels • Tunnels that are required to be open to all traffic
once inspected after the design event and are
= 1.00 for typical and relatively less important usable by emergency vehicles and for security,
tunnels defense, economic, or secondary life safety
purposes immediately after the design event.
For all other limit states:
• Tunnels that should, as a minimum, be open to
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economic purposes after the design event, and

open to all traffic within days after that event.
Owner classified tunnels may use a value of η < 1.0

based on ADTT, available detour length, or other
rationale to use less stringent criteria.
1.4—REFERENCES
1. AASHTO. LRFD Bridge Design Specifications. 7th ed. American Association of State Highway and
Transportation Officials, Washington, DC, 2014.
2. AASHTO. Standard Specifications for Transportation Materials and Methods of Sampling and Testing.
American Association of State Highway and Transportation Officials, Washington, DC, 2016.
3. AASHTO. Technical Manual for Design of Road Tunnels—Civil Elements. American Association of State
Highway and Transportation Officials, Washington, DC, 2010.
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1-8 AASHTO LRFD TUNNEL DESIGN AND CONSTRUCTION GUIDE SPECIFICATIONS
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SECTION 2 – GENERAL FEATURES AND REQUIREMENTS
TABLE OF CONTENTS
2.1—SCOPE .........................................................................................................................................................2-1
2.2—DEFINITIONS .............................................................................................................................................2-1
2.3—NOTATION .................................................................................................................................................2-2
2.3.1—General...................................................................................................................................................2-2
2.3.2—Abbreviations .........................................................................................................................................2-3
2.4—TYPES OF ROAD TUNNEL STRUCTURES ............................................................................................2-3
2.4.1—Cut-and-Cover Tunnels..........................................................................................................................2-4
2.4.2—Mined Tunnels .......................................................................................................................................2-4
2.4.3—Bored Tunnels ........................................................................................................................................2-4
2.4.4—Immersed Tunnels .................................................................................................................................2-4
2.4.5—Shafts .....................................................................................................................................................2-5
2.5—PLANNING AND ROUTE CONSIDERATIONS ......................................................................................2-5
2.5.1—General...................................................................................................................................................2-5
2.6—DESIGN CONSIDERATIONS FOR INSPECTION AND MAINTENANCE ...........................................2-6
2.7—CLEARANCE AND GEOMETRIC REQUIREMENTS ............................................................................2-7
2.7.1—Vertical Clearances ................................................................................................................................2-8
2.7.2—Horizontal Clearances ............................................................................................................................2-8
2.7.3—Shoulders and Walkways .......................................................................................................................2-8
2.7.4—Vertical Alignment ................................................................................................................................2-8
2.7.5—Horizontal Alignment ............................................................................................................................2-8
2.7.6—Tunnel Approaches ................................................................................................................................2-9
2.8—SYSTEMS ................................................................................................................................................2-10
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2.8.1—Codes and Standards ............................................................................................................................2-10
2.8.2—Supervisory Control and Data Acquisition (SCADA) System ............................................................2-11
2.8.3—Tunnel Ventilation System (TVS) .......................................................................................................2-12
2.8.3.1—Tunnel Ventilation Operational Modes........................................................................................2-13
2.8.3.2—TVS General Performance Requirements ....................................................................................2-14
2.8.3.3—TVS Design Analysis Calculations ...............................................................................................2-15
2.8.3.3.1—Emissions Ventilation Flow Rate .........................................................................................2-15
2.8.3.3.2— Emergency Ventilation Capacity .......................................................................................2-16
2.8.3.3.3—Egress Calculations .............................................................................................................2-16
2.8.3.3.4—Fan Sound Attenuation ........................................................................................................2-16
2.8.3.4—Engineering Design Software ......................................................................................................2-17
2.8.3.4.1—CFD Flow Monitoring Software..........................................................................................2-17
2.8.3.4.2—Egress Modeling Software ...................................................................................................2-17
2.8.4—Drainage System ..................................................................................................................................2-17
2.8.5—Lighting ...............................................................................................................................................2-18
2.8.5.1—Tunnel Lighting System ................................................................................................................2-19
2.8.5.1.1—Design Approach .................................................................................................................2-19
2.8.5.1.2—Design Parameters ..............................................................................................................2-20
2.8.5.1.3—Lighting Control System ......................................................................................................2-20
2.8.5.1.4—Tunnel Lighting Fixture Circuitry .......................................................................................2-21
2.8.5.1.5—Tunnel Lighting Fixtures .....................................................................................................2-21
2.8.5.2—Tunnel Cross Passages, Egress Stairwells, and Ancillary Spaces ...............................................2-21
2.8.5.3—Tunnel Fixed Message Sign Lighting ...........................................................................................2-22
2.8.6—Electrical Systems ................................................................................................................................2-23
2.8.6.1—General ........................................................................................................................................2-23
2.8.6.2—Primary Distribution ....................................................................................................................2-23
2-i
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2.8.6.3—Primary Switchgear .....................................................................................................................2-23

2.8.6.4—Secondary Distribution Systems...................................................................................................2-24
2.8.6.4.1—Low Voltage Switchgear/Switchboard .................................................................................2-24
2.8.6.4.2—Panelboards.........................................................................................................................2-25
2.8.6.4.3—Motor Controllers and Control Devices ..............................................................................2-25
2.8.6.4.4—Dry-Type Distribution Transformers (600 Volts and Below) ..............................................2-25
2.8.6.4.5—Power and Convenience Outlets..........................................................................................2-25
2.8.6.4.6—Conductors and Cables .......................................................................................................2-25
2.8.6.4.7—Standby Power Systems .......................................................................................................2-26
2.8.6.4.7.1—Generator Units ..........................................................................................................2-26
2.8.6.4.7.2—Generator Switchboard ...............................................................................................2-26
2.8.6.4.8—Uninterruptible Power Supply (UPS) ..................................................................................2-26
2.8.6.5—Grounding, Bonding, and Lighting Protection ............................................................................2-27
2.8.6.5.1—Systems Grounding ..............................................................................................................2-27
2.8.6.5.2—Equipment Grounding .........................................................................................................2-28
2.8.6.5.3—Grounding for Personal Safety ............................................................................................2-28
2.8.6.5.4—Grounding Materials ...........................................................................................................2-29
2.8.6.5.5—Lighting Protection ..............................................................................................................2-29
2.8.7—Tunnel Architectural Systems ..............................................................................................................2-29
2.8.7.1—General ........................................................................................................................................2-29
2.8.7.2—Egress Design ..............................................................................................................................2-30
2.8.7.3—Tunnel Occupant Load Design ....................................................................................................2-30
2.8.8—Fire Protection .....................................................................................................................................2-30
2.8.8.1—Fire Alarm and Detection Systems...............................................................................................2-31
2.8.8.2—Tunnel Fire Suppression Systems ................................................................................................2-31
2.8.8.3—Structural Fire Protection............................................................................................................2-31
2.8.9—Tunnel Security Systems .....................................................................................................................2-32
2.8.10—Corrosion Control Systems ................................................................................................................2-33
2.8.10.1—Soil and Water Corrosion Control .............................................................................................2-33
2.8.10.2—Stray Current Corrosion Control...............................................................................................2-33
2.8.10.3—Atmospheric Corrosion Control.................................................................................................2-33
2.8.11—Communication and Traffic Control Intelligent Transportation Systems (ITS) ................................2-33
2.8.11.1—Communication Systems ............................................................................................................2-34
2.8.11.2—Traffic Control and Monitoring ITS...........................................................................................2-35
2.8.12—Structural Systems .............................................................................................................................2-38
2.9—REFERENCES .........................................................................................................................................2-39
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SECTION 2: GENERAL FEATURES AND REQUIREMENTS 2-1
2.1—SCOPE C2.1
Design provisions for road tunnel structures herein This section provides the Engineer with information
are categorized in terms of the construction to determine the overall configuration of the tunnel. The
methodology used. Minimum requirements are provided tunnel configuration must accommodate the vehicles
for: permitted to use the tunnel while providing a safe
 Clearances environment for the travelling public during normal and
 Environmental protection extreme operating conditions.
 Planning
 Aesthetics of tunnel portals
 Economy
 Rideability
 Durability
 Constructability
 Inspectability
 Maintainability
 User safety
Minimum requirements for tunnel systems are

specified with references to source documents.
2.2—DEFINITONS
For definitions not shown, see the LRFD Specifications.
Authority Having Jurisdiction (AHJ)—Office or person charged with enforcing the life-safety code for the tunnel.
Bore—Tunnel construction methodology that employs the use of a Tunnel Boring Machine (TBM).
Construction Portal—The location of the start of mining or boring operations. This location often adjoins a cut-and-
cover section of tunnel that connects to the permanent portal.
Cross Passage—Passageway constructed between two adjacent tunnels to provide access between the tunnels.
Crown—The highest point of the tunnel lining.
Cutter Head—The front end of a mechanical excavator, usually a wheel on a tunnel boring machine that cuts through
rock or soft ground. (AASHTO, 2010)
Element—Pre-fabricated section of an immersed tunnel that is joined with adjacent sections to construct the tunnel.
Face—The ground exposed at the head of the tunnel when tunnel construction is performed by mining or boring.
Invert—On a circular tunnel, the invert is approximately the bottom 90 degrees of the arc of the tunnel; on a square-
bottom tunnel, it is the bottom of the tunnel. (AASHTO, 2010)
Lagging—Wood planking, steel channels, or other structural materials spanning the area between ribs.
Liner Plates—Pressed steel plates installed between the webs of the ribs to make a tight lagging, or bolted together
outside the ribs to make a continuous skin. (AASHTO, 2010)
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Lining—Structural system constructed in intimate contact with the ground, used to stabilize the tunnel opening and to
support hydrostatic loads.
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Mixed Face—The situation when the tunnel passes through two (or more) materials of markedly different
characteristics and both are exposed simultaneously at the face (e.g., rock and soil, or clay and sand).
Muck—The ground excavated during tunnel construction.
Permanent Portal—The location where vehicle traffic enters the tunnel during normal operation of the tunnel.
Rib—1. An arched individual frame, usually of steel, used in tunnels to support the excavation; also used to designate
the side of a tunnel. 2. An H- or I-beam steel support for a tunnel excavation. (AASHTO, 2010)
Segmental Lining—Tunnel lining constructed from segments that make up a ring of support; commonly steel or
precast concrete.
Segments—Sections that make up a ring of support or lining of a mined or bored tunnel; commonly steel or precast
concrete.
Sequential Excavation Method—Construction methodology in which the tunnel is mined in specified sequence to
control ground movements; also known as the New Austrian or North American Tunneling Method (NATM).
Springline—The point where the curved portion of the roof meets the top of the wall. In a circular tunnel, the
springlines are at opposite ends of the horizontal center line. (AASHTO, 2010)
2.3—NOTATION
2.3.1—General
cd/m2 = candelas per square meter (2.8.5.1.1) (C2.8.5.1.3)

fc = foot candle (2.8.5.2)
ft = foot (2.8.5.3) (2.8.6.5.3) (2.8.6.5.4)
hr = hour (2.8.3)
Lseq = equivalent veiling luminance (2.8.5.1.1) (C2.8.5.1.1)
MBtu/hr = Mega (1 million) British thermal units per hour (2.8.3)
mph = miles per hour (2.8.3.1) ( 2.8.11.2)
MW = Megawatt (1 million Watts) (2.8.3)
ppm = parts per million (2.8.3.2)
2.3.2—Abbreviations
ACS: Access control system

AI: Analog input
AMCA: Air Movement and Control Association International, Inc.
ANSI: American National Standard Institute
ASHRAE: American Society of Heating, Refrigerating and Air-Conditioning Engineers
ASTM: ASTM International, formerly known as American Society for Testing and Materials
AWG: American wire gauge
CEI: International Commission on Illumination
CFD: Computational fluid dynamics
CO: Carbon monoxide
DC: Direct current
DI: Digital input
DMS: Dynamic message signs
DO: Digital output
EIS: Environmental Impact Statement
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EPA: Environmental Protection Agency

FEIS: Final Environmental Impact Statement
FHWA: Federal Highway Administration
FONSI: Finding of No Significant Impact
HMI: Human operator interfaces
ICC: International Code Council
IDS: Intrusion detection system
IEEE: Institute of Electrical and Electronic Engineers
IES: Illuminating Engineering Society
I/O: Input/output
ITA: International Tunneling Association
LED: Light emitting diode
LLF: Light loss factors
LUS: Lane use signals
NATM: New Austrian or North American Tunneling Method
NEMA: National Electrical Manufacturer’s Association
NEPA: National Environmental Policy Act
NFPA: National Fire Protection Association
NIOSH: National Institute for Occupational Safety and Health
NO: Nitric oxide
NO2 : Nitrogen dioxide
NOx: Oxides of nitrogen
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PIARC: World Road Association
PLC: Programmable logic controller
PTZ: Pan, tilt, zoom
RIO: Remote input/output
ROD: Record of decision
SCADA: Supervisory control and data acquisition
SSSD: Safe sight stopping distance
TBM: Tunnel boring machine
TSCS: Traffic surveillance and control system
TVCS: Tunnel ventilation control system
TVS: Tunnel ventilation system
TWA: Time weighted average
UL: Underwriters Laboratory
UPS: Uninterruptable power supply
USACE: United States Army Corps of Engineers
2.4—TYPES OF ROAD TUNNEL STRUCTURES C2.4
The tunnel structure types herein are defined by the The construction methodology is dictated by:
methodology used to construct the tunnel. A tunnel type  ground conditions
study should be conducted as part of the planning phase  road typical section
of the tunnel to determine the most appropriate  economics
construction methodology to be used.  environment and available land
surrounding the portals
 risk
Materials for the structural components inside the

tunnel vary and are dictated by economics as well as the
construction methodology. Additional information
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regarding tunnel type studies can be found in

AASHTO’s Technical Manual for Design and
Construction of Road Tunnels—Civil Elements.
2.4.1—Cut-and-Cover Tunnels C2.4.1
Cut-and-cover tunnels are defined as those Cut-and-cover construction may be utilized for the
constructed by excavating a trench, constructing a entire length of the tunnel or only a portion of the tunnel.
concrete structure to create the tunnel opening in the Cut-and-cover methodology may be required when
trench, and covering it with soil. The concrete tunnel constructing a tunnel using mined or bored
structure may be cast-in-place or constructed from methodologies. The cut-and-cover portion of the tunnel
precast elements. Detailed design requirements for this is utilized to bring the tunnel alignment to the depth
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type of tunnel are provided in Section 6. required to initiate the mined or bored construction
activities.
2.4.2—Mined Tunnels C2.4.2
Mined tunnels are defined as those constructed Jacked box tunnels are included in the category of
utilizing mechanical excavating equipment or blasting mined tunnels. Jacked box tunnels are prefabricated box
without disturbing the ground surface. The choice of structures jacked horizontally through the ground using
mechanical excavating equipment or blasting is methods to reduce the friction between the ground and
dependent on the ground conditions being excavated. The the box. Jacked box tunnels often are used where the
shape of the excavation is customized to the ground tunnel is required to be very shallow and it is not
conditions and geometric functional requirements of the possible to disturb the surface, for example beneath
tunnel. The excavated ground typically requires initial active runways at airports or under railway
support prior to the construction of a permanent lining. embankments.
Mined tunnels in competent rock may also be unlined. Mined tunnels include those constructed utilizing the
Detailed design requirements for this type of tunnel are sequential excavation method.
provided in Section 7. Mined tunnels may be constructed in free air or under
compressed air.
2.4.3—Bored Tunnels C2.4.3
Bored tunnels are defined as those constructed The TBM consists of a shield to temporarily support
through the use of specialized equipment known as tunnel the ground, a cutter head for excavating the ground and
boring machines (TBMs) without disturbing the ground removing the muck, and supporting equipment.
surface. The excavation process may be performed in free TBMs utilized for rock tunneling may include
air or may require a pressurized face depending on ground gripper pads to provide forward thrust for the TBM.
and groundwater conditions. A bored tunnel may be TBMs for soft ground and some rock tunnels may
unlined or lined. Detailed design requirements for this include an array of jacks to provide forward thrust for
type of tunnel are provided in Section 7. the TBM.
2.4.4—Immersed Tunnels C2.4.4
Immersed tunnels are defined as those constructed by Although immersed tunnels are a subset of cut-and-
immersing a prefabricated element into a prepared trench cover tunnels, the portion of the tunnel that is
excavated from the bottom of a waterway. Immersed submerged under water is referred to as the immersed
tunnels are a specialized type of cut-and-cover tunnel. tunnel. The tunnel alignment must transition on land
Pre-fabricated tunnel elements are constructed of precast- from the depth where the tunnel element can be
concrete or a combination of structural steel and concrete, submerged to the depth where a retained cut can be
sealed with bulkheads at each end, and floated from the constructed. This transition is constructed utilizing cut-
fabrication yard to the construction site. The elements are and-cover technology as described in Article 2.4.1. This
located over the excavated trench and lowered into place transition is referred to as the cut-and-cover portion of
by adding ballast. Once in place, the elements are the tunnel.
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connected to adjoining sections and backfilled. Detailed Immersed tunnel elements must be designed to resist
design requirements for this type of tunnel are provided the load effects associated with floating at the
in Section 8. fabrication site and transportation to the construction
site.
2.4.5—Shafts C2.4.5
Shafts are defined as vertical or steeply inclined Shafts are typically used for emergency egress and
excavations that connect the tunnel to the ground surface, ventilation when required by the length of the tunnel.
and are located between the tunnel portals. Shafts may be
excavated from the surface or from underground back to
the surface. Shafts are not addressed in this specification.
2.5—PLANNING AND ROUTE

CONSIDERATIONS
The selection of the type of tunnel shall be based on There are multiple components to vehicular
the geometrical configurations, ground conditions, type transportation systems, including surface roads,
of crossing, and environmental requirements. bridges, viaducts, and tunnels. The selection of a road
tunnel over other components for a project (or a portion
of a project) is typically determined prior to the design
phase. Road tunnels are often selected to shorten travel
times and distance, avoid surface traffic congestion or
surface disturbance, or to cross physical barriers such as
mountains, rivers, or other water bodies.
The choice for location of tunnels shall be supported Tunnel planning is typically subject to NEPA, 42
by analyses of alternatives, which is typically completed U.S.C. 4321–4347, since most tunnel projects likely
during the planning and National Environmental Policy involve federal funding or federal approval, triggering
Act (NEPA) phase of tunnel projects. The Preferred NEPA. For roadway tunnels involving federal funding,
Alternative is typically identified in the final NEPA the following NEPA regulations are applicable:
decision document (e.g., Final Environmental Impact  40 CFR Part 1500-1508, CEQ Regulations for
Statement (FEIS)/Record of Decision (ROD), Finding of Implementing NEPA
No Significant Impact (FONSI)) as the final approved  23 CFR 771, FHWA, Environmental Impacts
location for the alignment. and Related Procedures
NEPA requires the evaluation of alternatives during

the planning phase, and a Preferred Alternative is
selected at the conclusion of the NEPA process. The
Preferred Alternative is identified in the final NEPA
decision document (e.g., FEIS/ROD, FONSI),
identifying the final approved location for the
alignment. The NEPA document outlines the purpose
and need that the proposed project is intended to
address, including an evaluation of the effectiveness of
the Preferred Alternative in meeting the identified
purpose and need for the project. All of this planning
level work is completed early during the
planning/NEPA process such that it does not have to be
completed separately as part of the tunnel final design
phase. There are requirements for a NEPA re-evaluation
or supplemental document related to design changes or
time elapsed since last NEPA approval, but for the
purposes of this design manual, it will be assumed that
projects receive NEPA approval, including the general
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location for the tunnel alignment.
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Because so much planning goes into the selection

of the Preferred Alternative, the general tunnel
alignment is typically determined prior to final design
efforts. The NEPA document typically summarizes
planning studies carried out prior to NEPA, the scoping
process, the development process and screening of
alternatives, and the evaluation of alternatives carried
forward for detailed study in the NEPA document.
When federal funding is not anticipated for a
project, local requirements should be followed for the
planning process.
During the design phase, the Engineer shall adhere to During the NEPA process, the selection of the
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the final NEPA decision document regarding compliance approved alignment will have fully evaluated the
with relevant environmental requirements related to the environmental consequences of the project, including
project, including design commitments, mitigation natural, social, and cultural resources, as well as land
commitments, or other commitments that were agreed to use, economic, engineering, future planning, and cost
be considered or implemented during the design phase of considerations. The NEPA phase will have also
the project. Any proposed changes to the Preferred considered and documented public and agency
Alternative shall be evaluated in accordance with 23 CFR comments related to the tunnel location and alignment.
Sections 771.129 and 771.130, and shall be approved by
the lead federal agency before the agency may proceed
with the change.
As the design advances beyond the NEPA phase,
attention shall continue to be directed toward providing
for a favorable tunnel design that:
 Minimizes environmental effects (natural,
social, and cultural resources);
 Facilitates practical, cost effective design,
construction, operation, inspection, and
maintenance;
 Provides for the desired level of service and
safety;
 Minimizes adverse impacts to other existing
infrastructure; and
 Adheres to and implements design-related
NEPA requirements in accordance with the
final NEPA decision document.
Additional information regarding planning and route

considerations can be found in Appendix A.
2.6—DESIGN CONSIDERATIONS FOR C2.6

INSPECTION AND MAINTENANCE
The design of tunnels shall be performed in a manner

that considers future operation and maintenance needs as
well as the need to inspect the facility. Care shall be taken
to design and detail components and systems for ease of
maintenance and inspection. The following guidelines
shall be used to meet this requirement.
 Areas that are defined as confined space
during any non-emergency operating mode
of the tunnel by any regulatory entity within
the jurisdiction within which the tunnel
resides should be avoided.
 Access to and egress from spaces such as air
plenums above and below the roadway
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should be provided through pathways that

can be used when traffic is present in the
tunnel.
 Tunnel systems and systems components,
including connections and attachments
thereof, shall be accessible for inspection and
maintenance and shall not be concealed
behind architectural finishes or other tunnel
components that are not easily removed.
 Tunnel systems conduits should not be In some situations, this requirement cannot be met.
embedded inside structural walls or slabs nor For example, in mined tunnels with no ventilation
buried in the tunnel backfill or overburden. plenum under the roadway, drainage systems will have
to be buried in the ground beneath the roadway.
Creating accessible space for systems constructed
below the roadway could be prohibitively expensive.
Local code requirements should also be adhered to
when locating systems conduit.
• Penetrations of exterior tunnel structural
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walls and lining for passage of utility systems
conduits should be avoided.
• Systems devices (lighting fixtures, signs,
signals, smoke alarms, antennae, etc.) should
be designed and detailed to withstand the
effects of tunnel washing.
• Systems devices should be located in areas If economically feasible, systems devices may
where safe access is possible when traffic is be able to be located over shoulders that can be closed
present inside the tunnel. for access to the device for maintenance or
replacement. Devices that must be located over
traffic lanes will require lane closures for access.
• Drainage systems should be designed and
detailed to be inspectable and maintainable.
Consideration should be given to site-specific
groundwater conditions that could affect the
long-term performance of the drainage
system.
2.7—CLEARANCE AND GEOMETRIC C2.7

REQUIREMENTS
Minimum roadway clearance and geometric The requirements of this article are intended to
requirements shall be taken from the latest edition of provide a safe travel environment inside the tunnel
AASHTO’s A Policy on Geometric Design of Highways without imposing undue expense on tunnel owners.
and Streets (hereafter referred to as the Green Book). Information on existing tunnel shoulder and walkways
Additional guidance is provided in the following articles. can be found in NCHRP Project 20-68A Scan 09-05,
Best Practices for Roadway Tunnel Design,
Construction, Maintenance and Operations, April,
2011.
Clearances to obstacles in the tunnel shall be Obstacles in the tunnel include the tunnel structure,
determined from a dynamic vehicle envelope established signs, signals, light fixtures, antennae, ventilation, and
from the vehicles anticipated to use the tunnel. The firefighting equipment, doors in the open position when
dynamic vehicle envelope shall account for the static opening into the roadway, curbs, walkways, railings,
envelop plus dynamic behavior such as bouncing, etc.
suspension failure, vehicle overhang on curves and lateral
movement due to operational characteristics, and driver
error. The dynamic envelope shall be applied to all areas
where a vehicle can travel, including shoulders and
emergency walkways.
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2.7.1—Vertical Clearances
The minimum vertical clearance for tunnels shall be

16 feet, unless otherwise specified by the Owner.
The minimum vertical clearance for any tunnel shall
not be less than that permitted on the facility leading to
the tunnel.
2.7.2—Horizontal Clearances
Obstacles shall not encroach on the vehicle dynamic

envelope.
The minimum travel lane width shall be 12 feet. The
minimum width of roadway in any tunnel shall be the
approach roadway travel lane(s) pavement width plus two
feet.
2.7.3—Shoulders and Walkways C2.7.3
When required for safety or when economically When the egress walkway is raised more than six
feasible, shoulders shall be provided in accordance with inches above the roadway, consideration should also be
the Green Book. given to providing general access to the walkway from
the roadway to assist motorists in accessing the
walkway during a tunnel evacuation.
A minimum walkway width of 3’-6” shall be
provided outside the shoulders or, when no shoulders are
present, outside the roadway. The walkway shall be
raised above the roadway by a minimum of six inches.
The requirements of NFPA 502 shall be considered
when dimensioning shoulders and walkways.
2.7.4—Vertical Alignment C2.7.4
Vertical curves shall be in accordance with the Green

Book.
The preferred maximum grade is four percent; When designing the vertical alignment,
however, the absolute maximum grade shall be six consideration should be given to the operational
percent. characteristics of the vehicles using the tunnel, the
average daily truck traffic, and the effect on traffic flow
of steep grades.
Consideration should also be given to the demands
on the tunnel ventilation system (TVS) generated by
vehicles negotiating steep grades and the need to drain
the roadway.
2.7.5—Horizontal Alignment C2.7.5

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The tunnel horizontal alignment shall be as short as Maintaining a tangent through as much of the tunnel
practical and maintain as much of the alignment on as practical will result in the shortest tunnel with the
tangent as practical. When required, horizontal curves accompanying effect of reducing the cost of the tunnel.
shall be in accordance with the Green Book except as
noted below.
When designing horizontal curves, the limitations of Cut-and-cover and mined tunnels can be built to any
the tunneling methodology used to construct the tunnel roadway geometry, but bored tunnels are restricted to
shall be considered. Consultation with TBM the performance characteristics of the tunnel boring
manufacturers shall be included in the preliminary machine used to excavate the tunnel. TBMs are not
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engineering phases of a bored tunnel to ensure that the capable of negotiating a small radius curve. The TBM
horizontal alignment can be constructed. radius is a function of the diameter of the TBM as well
as its overall configuration.
When chorded construction is used for tunnel walls The limitations listed here serve to create the visual
where alignments are curved, chord lengths shall be impression of curvature to the driver which will be in
determined to meet sight distance requirements in line with driver expectations inside the tunnel.
accordance with the Green Book. Additionally, minimizing chord lengths will assist with
Sight distance inside the tunnel shall be checked to stopping sight distance.
verify that the design speed is consistent with the curve
radii including the fact that the tunnel walls are
obstructions to stopping sight distance.
2.7.6—Tunnel Approaches
The retained cuts at the tunnel approaches shall have

as a minimum the same horizontal clearances as the
inside of the tunnel.
Vertical alignments shall be established to provide a
positive means of protection against flooding when
tunnel portals are located in low-lying areas. If it is
impractical to establish an alignment that will preclude
flooding, then other positive flood protection measures
shall be incorporated into the design.
Tunnel approaches shall be equipped with over-
height warning devices to alert drivers that are operating
a vehicle that is too tall to enter the tunnel. The warning
devices shall provide visible means of alerting the driver
that include a text warning and flashing yellow lights.
The over-height warning devices shall be located
prior to an alternate route and shall provide directions to
the alternate route. When it is not practical or useful to
locate the over-height warning devices prior to an
alternate route, a means to turn over-height vehicles
around shall be provided prior to the tunnel entrance.
The over-height detection system alarm points shall
be based on AASHTO required vertical clearance within
the tunnel. The over-height detection system shall locate
receiver/transmitter pairs along the roadway such that the
paths between each transmitter-receiver pair shall be
parallel such that the beams between the pairs shall define
a plane parallel to the detection height.
The over-height detection system shall operate in
conjunction with other traffic control components. In the
event of an interruption of the beams crossing the
roadway in the appropriate sequence, the detector
controller shall activate a downstream message, and an
audible alarm and strobe light shall warn the driver of the
over-height vehicle and provide instructions. An alarm
shall also be generated at the remote control room.
Means shall also be provided to stop traffic from
entering the approaches to the tunnel as described in
NFPA 502. Direct approach roads to the tunnel shall be
closed following the activation of a fire alarm in the
tunnel. These approaches shall be closed in such a manner
that responding emergency vehicles are not impeded in
transit to the fire site.
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2.8—SYSTEMS C2.8
The need for tunnel systems shall be based upon the It is recommended that the operation and
length, location, and alignment of the tunnel. Owners maintenance staff be included in the design, detailing,
shall undertake studies, including hazard analyses, to and integration of the tunnel systems.
determine the appropriate systems required. Not all
systems specified herein may be required. When
required, systems shall meet the minimum requirements
set forth herein.
Systems shall be integrated to be complimentary and
be able to be monitored from a remote location(s). A
vulnerability study shall be included in the systems
integration design to ensure redundancy in critical
systems and to avoid failures of multiple systems as a
result of the failure of a single system.
Consideration shall be given to the potential of
flooding of the tunnel when locating and designing Recent events, such as Hurricane Sandy, which
system components. System components shall be occurred in October 2012, should be considered during
designed to be resistant to flooding when it is not possible the design of tunnel systems. Extreme events in coastal
to locate them outside of areas that could be flooded areas can cause unanticipated tunnel flooding.
during an extreme event. Designing resilient, flood resistant systems will result in
a quicker recovery from a catastrophic flood event.
2.8.1—Codes and Standards
The latest edition of the following codes and

standards are applicable to the design of tunnel systems
and shall be used in the absence of specific design criteria
developed by the Owner.
 AMCA—Fans and Systems Applications Handbook

 ANSI/IEEE—ANSI C2 National Electric Code
Lighting
 ANSI/IES RP-8—Standard Practice for Roadway
Lighting
 ANSI/IES RP-22—Standard Practice for Tunnel
Lighting
 ASHRAE Handbook of Fundamentals
 CIE 88:2004—Guide for the Lighting of Road
Tunnels and Underpasses
 CIE 193:2010—Emergency Lighting in Road
Tunnels
 FHWA—HEC-12, Drainage of Highway Pavements
 ICC—International Fire Code (IFC)
 I.E. Idelchik, Handbook of Hydraulic Resistance
 ITA—Guidelines for Structural Fire Resistance for
Road Tunnels
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 NFPA 30—Flammable and Combustible Liquids

Code
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 NFPA 37—Standard for the Installation and Use of

Stationary Combustion Engines and Gas Turbines
 NFPA 70—National Electrical Code
 NFPA 72—National Fire Alarm Code
 NFPA 78—Safety Code for the Protection of Life
and Property Against Lightning
 NFPA 780—Standard for Installation of Lightning
Protection Systems
 NFPA 92B—Standard for Smoke Management

Systems in Malls, Atria, and Large Spaces
 NFPA 502—Standard for Road Tunnels, Bridges,
and other Limited Access Highways
 UL 96A—Installation Requirements for Lightning
Protection Systems
 UL 1008—Standard for Safety Transfer of Switch

Equipment
2.8.2—Supervisory Control and Data Acquisition C2.8.2

(SCADA) System
Where such systems are required by NFPA 502, a

comprehensive supervisory and control and data
acquisition (SCADA) system shall be provided to permit
monitoring and controlling of life-safety systems and
equipment throughout the facility.
The Engineer shall specify the equipment required to
be controlled and monitored by the SCADA system
specific to each facility based on design guidelines,
standards, codes, and local agencies. The Engineer shall
coordinate the system requirements with the Owner or
operating authority. At minimum, all equipment required
for safe normal and emergency operation of the tunnel
fire life-safety systems and equipment should be
controlled and monitored by the SCADA system.
The architecture of the SCADA system shall employ
a fail-safe redundant backbone (network) topology. The
system architecture shall be designed with a redundant
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‘hot-standby’ programmable microprocessor based

control system, such as a programmable logic controller
(PLC), capable of seamless transfer of data upon failure
of one of the processors or network connection. These
PLCs shall be connected to distributed input/output (I/O)
cabinets and remote input/output (RIOs) through
redundant communications links. The RIO cabinets shall
be strategically located throughout the facility to interface
with life-safety systems and equipment to minimize
hardwire cable/wire runs between field devices and the
SCADA system.
The SCADA system shall employ a universal remote
input/output open network protocol, allowing different
network manufactured devices the ability to
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communicate with the PLCs and RIO cabinets. Each

remote input/output cabinet shall be designed to
accommodate the required number of points for the
digital input (DI), digital output (DO), analog input (AI),
and other data modules as needed to control and monitor
connected equipment, with an additional fifty percent
(50%) spare for each point type (DI, DO, AI, etc.). The
remote I/O cabinet shall be housed in an appropriately
rated National Electrical Manufacturer’s Association
(NEMA) enclosure suitable for the environment to where
it will be installed.
The design of life-safety mechanical and electrical
systems and equipment shall incorporate provisions for
communication, control, monitoring, and indication, to
the SCADA system.
The SCADA system shall consist of redundant,
reconfiguring communications networks (backbone),
servers, and human operator interfaces (HMI) at the head
end to facilitate operator interface. The head end
communications network shall consist of dual fault
tolerant, redundant, reconfiguring fiber optic ring
topology with management switches at each node.
Servers shall be capable of providing hot standby service
as described above.
Operator interfaces shall be provided at a remote
control room location and/or locally at the facility as
required by the operating agency. Different levels of
system access protected by password as defined by the
Owner shall be provided. The system shall also be
capable of handling and managing data logging and
transfer of alarms, alerts, and record keeping for historical Recordkeeping should be in accordance with the
purposes, and control and monitoring of equipment Owner’s record retention policy.
related to the life-safety system.
2.8.3—Tunnel Ventilation System (TVS) C2.8.3
The TVS shall be designed to maintain Most road tunnels require some form of ventilation
environmental conditions within the tunnel and shall also to mitigate the accumulation of vehicle emissions, and
meet the requirements of NFPA 502 for fire and smoke to manage the flow of heat and smoke resulting from a
control. vehicle fire occurring inside the tunnel. Depending on
factors such as tunnel length, tunnel geometry, traffic
mix, and traffic volumes, certain tunnels may be capable
of self-ventilating while others require the assistance of
mechanical ventilation systems. Self-ventilating tunnels
rely solely on the movement of traffic to provide enough
air flow through the tunnel to dilute vehicle emissions
and disperse them, typically, through the exit portal.
Mechanical ventilation systems in road tunnels are
typically designed to assist the movement of air
longitudinally through the tunnel; either for the full
length of the tunnel or to a location within the tunnel
where the vitiated air (or smoke and heat resulting from
a fire emergency) can be safely extracted. Mechanical
ventilation systems commonly used in road tunnels
include transverse and semi-transverse supply and
exhaust systems, point extraction (exhaust) systems, jet
fan based longitudinal systems, and injection fan
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(saccardo) based longitudinal systems. Detailed

information on these systems can be found in both the
ASHRAE Applications Manual (Chapter 15) and NFPA
502. The TVS will typically include fans, motors and
motor controls, sound attenuators, roadway-to-duct
dampers, fan isolation dampers, distribution ducts,
turning vanes, air shafts, air plenums, louvers, operating
equipment condition monitoring devices, and tunnel
environmental monitoring devices.
Every road tunnel is unique in its operational and
safety related requirements and determining the
capacity and type of tunnel ventilation system to be used
is dependent on the variety of influencing factors that
are unique to that specific tunnel. NFPA 502 identifies
the type of influencing factors that should be considered
when determining the overall fire protection and life-
safety requirements unique to a specific tunnel
facility—including the role and performance
requirements of the ventilation system during a fire
emergency. Once an appropriate tunnel ventilation
system is selected to meet the demands of the potential
fire emergency in a specific tunnel, operational
variations of that same system can be utilized to meet
the non-emergency ventilation requirements such as
management of the vehicle emissions under various
traffic conditions and equipment outages due to routine
maintenance or unexpected failures.
Control and operation of the tunnel ventilation
system shall be integrated into a system compatible with
the operation plan for the tunnel facility.
The design fire shall be determined based on the
types of vehicles and the potential cargos that are
anticipated to utilize the tunnel. The following minimum
characteristics shall be used to define the design fire:
 Fire heat release rate expressed in MBtu/hr (MW)
 Fire Growth Rate as defined by NFPA 92B
 Fire Smoke Properties:
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o Combustion composition product yield rate

o Mass specific extinction coefficient
o Mass fuels rate determination
o Air fuel ration
NCHRP Synthesis 415 and NFPA 502 shall be

referenced for guidance when selecting an appropriate
design fire size.
2.8.3.1—Tunnel Ventilation Operational Modes C2.8.3.1
The various tunnel ventilation modes are defined as: Operational modes of the ventilation system are
 Normal Operations—Periods of time when often pre-programmed as part of the TVS control
vehicular traffic using the tunnel is at average system to match predetermined traffic and emergency
operating speeds (> 30 mph). conditions. Activation of the TVS may be automatic,
 Congested Operations—Periods of time when via an environmental monitoring system and/or time-of-
vehicular traffic using the tunnel is impeded day clock and for emergency operation via an automatic
from normal traffic flow, but not at a standstill. fire detection system. The TVS may be also be activated
manually by operational staff located either locally at
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Average traffic speeds are between 5 mph and the tunnel facility or at a remotely located control
30 mph. center. Manual activation of pre-programmed system
 Standstill Operations—Periods of time when modes is based on receipt of alarms or alerts from the
vehicular traffic is moving at a speed less than 5 traffic monitoring system, environmental monitoring
mph or forced to come to stop due to a traffic system, incident detection system, fire detection system,
event outside or inside the tunnel. or by visual assessment via closed circuit television
 Emergency Operations—Period of time from (CCTV).
the start of a vehicle fire incident to the time the
tunnel is purged of all smoke and the incident
scene has been cleared by emergency
responders.
2.8.3.2—TVS General Performance Requirements
The TVS shall be designed to provide a safe and

tenable environment for motorists in the tunnel during all
expected operational conditions.
The TVS shall also be designed to mitigate the effects
of smoke and heat during an incident involving a fire to
facilitate the safe evacuation of motorists and firefighting
operations. The design fire shall be determined based on
the types of vehicles expected to use the tunnel and the
potential cargo to be transported through the tunnel.
The TVS shall be designed to provide the following
minimum functions for the operational modes defined
above in Article 2.8.3.1:
1. Dilution and removal of vehicle generated

emissions to maintain minimum criteria limits
for carbon monoxide (CO), oxides of nitrogen
(NOx), and particulate matter to reduce haze as
defined in Table 2.8.3.2-1. Air quality
monitoring and alarms alerting tunnel operators
that the in-tunnel air quality is approaching or
exceeding these limits shall be an integral part
of the TVS operational control concept.
2. Management of the flow of smoke and heat
during a vehicle fire event so as to establish and
maintain a safe and tenable egress path to allow
motorists to evacuate to a safe area if necessary
and to facilitate access to the fire site by
emergency responders. Reference NFPA 502 for
specific minimum requirements.
3. All tunnel ventilation equipment including
ductwork and appurtenances exposed to the
heated airstream during a fire shall be designed
to meet their performance requirements for a
minimum of one hour at a temperature of 482
degrees Fahrenheit or according to the
calculated additional time requirements as per
Article 2.8.3.3.3, whichever is greater.
4. TVS exhaust and supply air shafts shall be
protected at grade to prevent the possibility of
dangerous substances or foreign objects entering
the tunnel. In addition, supply air ventilation
intakes shall be located to ensure against the
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recirculation of emissions or smoke from the

ventilation exhaust system.
5. When used as a part of the TVS, jet fans shall
not be obstructed on the intake or discharge
sides by other tunnel fixtures, lighting, or
signage. Jet fans shall be provided with sound
attenuators that reduce fan noise so that
acceptable sound levels are met on the tunnel
roadway. Refer to NFPA 502 for guidance on
acceptable sound levels.
6. The TVS shall be designed with sufficient
redundancy to ensure its reliable availability.
Reference NFPA 502 for minimum
requirements.
Table 2.8.3.2-1—Minimum Limits for Carbon

Monoxide, Oxides of Nitrogen, and Particulate Matter
Pollutant Limiting Value
120 ppm up to 15
minutes
Carbon Monoxide (CO) 65 ppm up to 30 minutes
45 ppm up to 45 minutes
35 ppm up to 60 minutes
Oxides of Nitrogen
(NOx)*:
Nitric Oxide (NO) 25 ppm
Nitrogen Dioxide (NO2) 1 ppm
Haze K = .0001521 / foot**
* The main constituents of NOx are NO and NO2

** K is an extinction coefficient which is a measure of CO limiting values are based on FHWA/EPA
the amount a light beam is attenuated guidelines. The NO limiting value is based on TWA
established by the National Institute for Occupational
Safety and Health (NIOSH). The NO2 limiting value is
based on recommendations made by the World Health
Organization and the World Road Association
(PIARC). K is an extinction coefficient, which reflects
the amount a light beam is attenuated over a given
distance.
2.8.3.3—TVS Design Analysis Calculations
The following minimum calculations are required for

the design of the TVS.
2.8.3.3.1—Emissions Ventilation Flow Rate

The emissions ventilation flow rate is defined as the
amount of airflow required to maintain criteria limits for
CO, NOx, and visibility (haze) generated by vehicles at
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various speeds. The emission’s ventilation rate shall be

determined based upon average projected peak traffic
speed and density data. In addition, the average projected
traffic mix shall be used in this and other applicable
calculations.
The total required emission ventilation rate shall also
consider the piston effect (the amount of airflow
generated by the movement of vehicles) which shall be
based on the vehicle velocities associated with the traffic
density data. The United States Environmental Protection
Agency’s (EPA) emissions prediction software Mobile
6.2 shall be used to prepare the vehicle emissions factors.
Consideration of any adverse wind conditions at the
exit portal(s) is also required when determining emission
ventilation flow rates and shall be based on typical winds
in the geographical area of the tunnel. A 90th percentile
of the winds impinging upon the exit portal shall be used
for the tunnel ventilation analysis. The prevailing wind
direction with respect to the tunnel axis shall be taken into
account in calculating the portal design wind.
The determined emission ventilation flow rates from
the tunnel shall be used to perform an emissions
dispersion analysis to demonstrate that pollutant
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concentrations at nearest ambient receptors to the tunnel

portals or exhaust ventilation structures are in compliance
with applicable local, state, and federal air quality
regulations.
2.8.3.3.2—Emergency Ventilation Capacity

The amount of airflow required for adequate smoke
and heat control during a fire emergency shall be
determined using computational fluid dynamics (CFD)
modeling. These analyses shall also estimate the smoke
movement and gas temperatures within defined regions
both upstream and downstream of the fire. Peak
temperature at the surface of the tunnel structure in the
region of the fire shall also be predicted.
CFD modeling of fire and smoke movement shall use
the design fire established for the tunnel. The design fire
size used for determining the emergency ventilation
requirements for a specific road tunnel shall be selected
based on the complete evaluation of all influencing
factors specific to the tunnel.
2.8.3.3.3—Egress Calculations
The spacing of the cross-passages shall be verified as
adequate for fire life-safety purposes by performance of
egress modeling, coupled with the emergency ventilation
model. The movement of smoke shall be modeled on a
transient basis and shall be compared to the egress time
duration. Egress modeling shall be accomplished via
computer simulation.
2.8.3.3.4—Fan Sound Attenuation

A noise analysis shall be performed to demonstrate
that the TVS operates in compliance with applicable
sound criteria at the roadway level and sidewalk level in
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the TVS fan room. The noise analysis shall include

nearby sensitive receptors to ensure compliance with
local noise ordinances.
2.8.3.4—Engineering Design Software
2.8.3.4.1—CFD Flow Modeling Software C2.8.3.4.1

CFD flow modeling software shall be used for the Commercially available software that satisfy these
fire and ventilation system airflow modeling. The CFD criteria are: FDS (Fire Dynamics Simulator available
software shall be able to: from NIST), CFX (available from ANSYS), FLUENT
 Predict air temperatures at defined regions, (available from ANSYS), SOLVENT (available from
 Consider the effects of duct leakage, and Parsons Brinckerhoff), and STAR-CD (available from
 Predict the region of smoke and heat control CD-adapco).
within the tunnel roadway.
2.8.3.4.2—Egress Modeling Software C2.8.3.4.2

Egress modeling software shall have a publicly Commercially available software that satisfy these
available validation report with technical information and criteria are: SIMULEX, STEPS (available from Mott
the following capabilities: MacDonald Group, Limited), and LEGION EVAC
 Simulating various types of tunnel occupants (available from Legion, Limited).
based on gender and age variations, differences
in body dimensions and mobility, travel speed,
and pre-movement time.
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 Simulating the tunnel occupant movements as a

function of time.
 Accounting for the effect of crowded conditions
on tunnel occupant travel speeds.
 Modeling of the tunnel occupant speeds as a
function of vertical travel, both up and down.
 Identifying locations and durations of choke
points along the egress paths.
 Providing numerical output as a function of
time, the cumulative number of tunnel occupants
who have passed each exit or have yet to exit.
2.8.4—Drainage System C2.8.4
Tunnel drainage systems shall be designed to collect

and discharge water that can accumulate in the tunnel due
to seepage of the structure, rainfall overflow from
approach roadways, snow melt, tunnel washing, or
firefighting activities. Water shall be collected through
inlets into pipes and conveyed via gravity to a sump
location that also serves as a pump station.
Collected water may be pre-treated on-site prior to
discharge or discharged directly into a sanitary system
prior to discharge into natural waterways. All discharged
water shall meet local standards for quality prior to
discharge into natural waterways.
No inlet structure or portion thereof shall be located
in the roadway surface of the travel lanes. Flows shall not
extend into the travel lanes. All components of inlets shall
be designed to carry the same traffic loading as other
components of the tunnel.
Cleanouts shall be provided at intervals that facilitate
proper functioning of the system, and at all locations that
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would be prone to collecting debris that could clog the

system.
Tunnel drainage systems shall be designed in Tunnel drainage systems can be the recipients of a
accordance with NFPA 502 and capable of capturing and variety of liquids, including water, washing and
conveying spills of hazardous or flammable liquids with firefighting chemicals, motor vehicle fuels, and
minimum propagation. lubricants and liquid cargo of all types.
Operational protocols such as shutting down
discharge pumps in the event of a fuel spill shall be
developed to ensure that effluent discharged by pumps
meets regulatory requirements.
Owners shall establish the rules for cargo during the Tunnel operational practices and restrictions on
planning stage in order to provide guidance to Engineers cargo permitted to be transported through the tunnel can
regarding the requirements for drainage and pump assist in limiting the types of liquids required to be
systems conveyed and handled by the tunnel drainage system.
Storm water generated on the immediate approach The purpose of intercepting storm water at the
roadways outside the tunnel portals shall be intercepted tunnel portals is to avoid the need for a significantly
to prevent it from entering the tunnel. larger pump station and equipment to handle typical
storm flow conditions.
The tunnel drainage systems shall be sized to handle Wash water loads typically vary from 150 to 500
the largest anticipated flows. gallons per minute. Firefighting loads are determined
based on the fire suppression system design flow.
Tunnel seepage requirements are determined based on
the preference of the Owner. Typical values are
generally less than one gallon/minute/1,000 feet of
tunnel.
Operational protocols for discharges from the tunnel
drainage systems shall comply with all applicable local
and federal environmental regulations.
Miscellaneous drains shall be provided in spaces Other areas requiring drainage considerations
such as equipment rooms, egress passages, stairwells, etc. include ventilation ducts and safety or maintenance
and connected to main tunnel drainage system. walks. It is also recommended that any electrical
raceways, pull-boxes, and hand holes be provided with
drainage systems that connect to the tunnel drainage
system. This will allow conduits that may fill with water
to drain.
For road tunnels in climates where freezing Locations of reverse curves where super elevation
conditions are probable, drainage shall not be permitted changes direction are locations where drainage can
to cross over the travel portion of the roadway. cross over the roadway
The drainage system components shall be evaluated
for the potential of freezing during cold weather and
consideration shall be given to protecting the drainage
system from freezing.
The pump station shall be located and sized to The basic components of a roadway tunnel pump
provide access for maintenance, repair, and replacement station are pumps, discharge piping and operational
of the pumps as well as access for clean out of the sump controls, water level alarms, hydrocarbon detection
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area. Pumps shall be sized to handle the design flows. devices, and ventilation.
Redundant pumps shall be employed. Access to the pump
station shall be out of the travel lane whenever possible.
If required, access manholes shall be located in the center
of the travel lane away from the wheel track area.
The pump station shall be designed with settling
basins, weirs, and screens as required for pre-treatment of
collected effluent and to prevent any large solids from
entering the pumps.
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2.8.5—Lighting C2.8.5
The lighting design shall comply with the latest Tunnel lighting consists of lighting for the tunnel
applicable manuals listed in Article 2.8.1. approach and roadway, emergency exit pathways, and
The tunnel lighting shall be designed to provide ancillary spaces within the tunnel. This article
adequate daytime illumination in the entrance portion of establishes the basic design requirements for the tunnel
the tunnels, so that motorists can drive a vehicle safely roadway lighting system.
and efficiently at the posted speed conditions, as well as
supporting the eye adaptation of the motorist to lower
lighting levels in the interior of the tunnel.
2.8.5.1—Tunnel Lighting System
2.8.5.1.1—Design Approach C2.8.5.1.1

The design methodology of the tunnel lighting The objective is to utilize the most beneficial
system shall be based on ANSI/IES RP-22. Tables 2 & 3 luminance level to ensure driver visibility while
of ANSI/IES RP-22 may be used for preliminary design, controlling initial cost.
but the equivalent veiling luminance (Lseq) method shall An equivalent veiling luminance (Lseq) analysis
be used for final design. determines the adaptation of the eye of an approaching
motorist for that specific day/time/condition. After
determining the adaptation of the driver, formulas can
then be applied to determine how much lighting is
needed inside the tunnel in order see a hazard on the
road from outside the tunnel at a safe sight stopping
distance (SSSD). Once inside the tunnel, transition
zones are used to reduce the lighting levels at a rate
which maintains the vision of the driver.
Design of tunnel lighting shall consider the following ANSI/IES RP-22 divides the tunnel into separate
four zones: approach, threshold, transition, and interior. zones to accommodate the proper adaptation of the
human eye. These zones are called ‘approach,’
‘threshold,’ ‘transition,’ and ‘interior.’ The length of
each zone and the lighting requirements for each zone
correlate to the curve of eye adaptation. This curve
relates speed to visibility by transforming the rate of eye
adaptation to SSSD established by AASHTO. The
current standards suggest that one SSSD for the
threshold, followed by a 10-second transition will
provide enough time for a driver to adapt to the tunnel’s
interior environment.
The combined length of the threshold and transition
zones shall follow the eye adaptation curve defined in
ANSI/IES RP-22.
The interior zone immediately follows the combined Lighting design for tunnels is luminance based
lengths of the threshold and transition zones. The daytime design for the roadway. Typical pavements used in the
interior luminance level shall be determined based on the US include R1 which is a concrete pavement and R3
traffic volume as per Table 7 in ANSI/IES RP-22. which is asphalt. Pavement types are defined in
ANSI/IES RP-8.
The surface reflectances for the tunnel shall be Other criteria are given for the walls of the tunnel,
considered in the design of the tunnel. Consideration shall and conversions are included in RP-22 in order to use
be given for higher reflectance surfaces to benefit from illuminance levels for the wall surfaces.
interreflected light within the tunnel. The design shall
also consider the maintenance procedures to be used for
cleaning these surfaces and how that will affect the
maintained lighting values in the tunnel.
The nighttime luminance level shall be uniform
through the entire length of the tunnel and provide an
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average luminance level of 2.5 candelas per square meter

(cd/m2).
The interior zone illumination levels shall be There is general agreement by authorities that the
extended to the exit portal. An exception to this would be eye’s natural ability to quickly adjust to an increasing
bi-directional tunnels or tunnels that may be used as bi- level of illumination precludes the need for providing a
directional under certain operating conditions. For these higher light level at the exit portal.
cases, a threshold lighting analysis shall be required.
In order to allow for visual accommodation
approaching and exiting the tunnel, the entrance approach
and exit approach lighting shall be no less than one-third
of the nighttime tunnel luminance in order to maintain
good visibility.
2.8.5.1.2—Design Parameters C2.8.5.1.2

The design parameters that influence the selection of Light loss factors are adjustments that are made in
the lighting design are: LLF, luminaire efficiency and order to adjust the lighting calculations to anticipated
distribution, reflectance of the interior surfaces, and field conditions. This overall adjustment is dependent
tunnel geometry. LLF is calculated as follows: on a series of recoverable and non-recoverable factors
which will affect the lighting system’s operation from
LLF = (LAT) × (VF) × (RSDD) × BO × (LLD) × the time the system is first turned on, through the life of
(LDD) the system. Refer to ANSI/IES RP-22 for additional
(2.7.5.1.2-1) information and guidance in determining appropriate
values for Equation 2.7.5.1.2-1.
where:
LAT = Luminaire ambient temperature factor

VF = Voltage factor
RSSD = Room surface dirt depreciation factor
BO = Burn out factor
LLD = Lamp lumen depreciation factor
LDD = Luminaire dirt depreciation factor
Determination of the proper dirt depreciation factor The single largest light loss factor in tunnels is dirt
should be through discussions with maintenance depreciation. Depending on the operating environment
personnel and expected environmental conditions of dirt, and cleaning cycles used, dirt can reduce the output of
road spray, and vehicle exhaust. the luminaires by over 50 percent.
2.8.5.1.3—Lighting Control System C2.8.5.1.3

The tunnel lighting control system shall be designed A luminance sensor, lighting contactors, and a
to operate automatically and maintain a predetermined controller cabinet are the necessary components of a
ratio of outdoor luminance to threshold and transition lighting control system. The sensor sends an analog
zone luminance for each roadway, under all weather signal to the controller and the corresponding output
conditions, during daytime operating hours. The system level is switched on or off using lighting contactors,
shall prohibit response to sudden and short duration (less depending on the frequency received.
than 15 minutes) light level changes and shall respond The use of lighting controls can greatly improve the
only to steady and long duration (more than 15 minutes) ability of the tunnel lighting system to adapt to changing
changes. daylight conditions so that when approaching and
The controller shall also consider the ability to entering the tunnel, it is easier to ascertain conditions
monitor multiple luminance sensors located throughout directly beyond the tunnel entrance. Illuminating a
the tunnel, to monitor the maintained luminance level. tunnel roadway to its highest level of lighting is only
When any of the luminance meters sense that the lighting necessary during bright and sunny days. Otherwise,
level is less than a specified set point, the system shall considerations should be incorporated into the design to
provide an alert identifying the need for maintenance to save energy whenever possible. A typical lighting
the lighting fixtures. control scheme is depicted in the Table C2.8.5.1.3-1.
The lighting control system may be integrated into
the SCADA system.
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Table C2.8.5.1.3-1—Typical Lighting Control

Scheme
Illumination Sensor Setting – cd/m2
Level as a ON OFF
Control
Percent of Increasing Decreasing
Level
Maximum Light Light
1 4 0–50 35–0
2 10 50–200 180–35
3 35 200–800 700–180
4 60 800–4,000 3,800–700
5 100 >4,000 <3,800
2.8.5.1.4—Tunnel Lighting Fixture Circuitry

Fixtures on opposite sides of the roadway shall be
supplied by separate panelboards. These separate panel
boards, in turn, shall be connected to switchgear busses
normally energized from alternate electrical services.
Luminaires shall be circuited that a single circuit failure
would not extinguish a large percentage of the normal
lighting within the tunnel. To prevent the tunnel from
being cast suddenly into complete darkness by
simultaneous loss of power from all utility power sources,
emergency lighting shall be provided as required by
NFPA 502.
2.8.5.1.5—Tunnel Lighting Fixtures C2.8.5.1.5

Luminaires shall provide the necessary A tunnel environment requires a high level of
luminance/control while physically staying outside the corrosion resistance and dust and dirt tolerance.
dynamic traffic envelope. All luminaires within the Fixtures and the electrical distribution system are
tunnel shall be watertight and corrosion resistant to exposed to salt and certain levels of sulfuric acid created
protect their interiors from periodic high-pressure wash from diesel vehicle exhaust. Components also have to
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downs of the tunnel walls and ceiling. All luminaires be used which tolerate emergency conditions such as
within the tunnel areas shall be rated for the type of fires and if exposed to a fire condition will not cause a
cleaning expected to be used by maintenance personnel. hazard within the tunnel like high smoke generation or
All of the materials used for the lighting fixture toxic gases.
construction and wiring within the tunnel shall meet the
requirements of NFPA 502. Metallic components of
lighting fixtures shall be compatible with the metallic
components of supporting hardware to avoid the
corrosion problems associated with dissimilar metals in
contact with each other.
2.8.5.2—Tunnel Cross Passages, Egress Stairwells, and

Ancillary Spaces
Interiors of cross passages and stairwells shall be

designed for an average illuminance of 10 footcandles
(100 lux). Circuiting for cross passages and egress
stairwells shall be designed in accordance with the
requirements of the National Electric Code. Electrical
equipment rooms shall be designed for an average
illuminance of 30 footcandles (fc). Pump stations, battery
rooms, and storage rooms shall be designed for an
average illuminance of 20 fc.
Exits within the tunnel shall be clearly identified by
dedicated emergency exit lighting that will help vehicle
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occupants find the exit when necessary during an

emergency. This supplemental lighting provided at the
exits shall light the door and surrounding surfaces to a
much higher level than the interior of the tunnel,
providing the necessary demarcation. This lighting is in
addition to the exit markings, strobe lights, directional
signs, and other indicators.
In order to make the tunnel exits adequately visible,
and to familiarize the driver with their position and
geometry, the maintained average vertical illuminance at
all times on the door and on an area of tunnel wall
extending six feet beyond the projected door frame of an
emergency exit or cross passage, or outlining the actual
opening in the tunnel wall, shall not be less than four
times the adjacent wall illuminance or 10 fc. The overall
uniformity (average/minimum) of illuminance on this
area shall not be less than 2.0. The light sources used for
this lighting shall have a color rendering index of Ra ≥
60.
Emergency lighting for these areas shall not be less
than one fc, shall utilize a selected number of lighting
fixtures provided as part of the general illumination, and
shall be connected to a uninterruptable power supply
(UPS) system, generator, or other emergency power
source capable of maintaining the lighting levels for a
minimum of 60 minutes.
Exit sign lighting fixtures shall be provided to Additional information regarding signing for tunnel
illuminate the designated egress passageways, including egress can be found in NCHRP 20-59(47) Emergency
the entrance to stairways. Exit sign lighting fixtures shall Exit Signs and Marking Systems for Highway Tunnels.
be wet location, wall, or bracket mounted, at a mounting
height visible to all occupants within the occupied spaces.
All exit sign lighting fixtures shall be connected to the
emergency power source.
2.8.5.3—Tunnel Fixed Message Sign Lighting C2.8.5.3
All ceiling mounted, non-internally illuminated signs The external illumination of tunnel fixed message
located in tunnels shall be externally illuminated using signs may be provided by light fixtures dedicated to this
the luminance or illuminance methods in accordance with purpose or illuminated by the general tunnel lighting if
the following criteria: the lighting criteria is met by the general tunnel lighting
system.
Luminance—96 candelas per square meter minimum
Illuminance—40 lms/ft2 (400 lux) minimum

assuming 65 percent maintained reflectance.
The maximum to minimum uniformity ratio on the

sign face shall not exceed 4 to 1. The maximum
illuminance gradient produced on the sign face shall be 2
to 1.
Fixtures shall be located so that they do not interfere
with sign visibility for drivers of any type of vehicle or
impact driver visibility for oncoming traffic in two-way
tunnels.
Fixtures used to illuminate fixed message signs shall
be connected to the tunnel lighting emergency power
source.
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2.8.6—Electrical Systems
2.8.6.1—General
Electrical systems shall be designed to provide

functionality, durability, ease of maintenance, and safety
in accordance with the National Electrical Code and
National Electrical Safety Code. The electrical
installation shall also comply with local building and
electrical codes, as well as tunnel life-safety design
guidelines. The electrical requirements of other systems,
including mechanical, traffic control, fire and
surveillance, and SCADA systems shall be incorporated
into the overall design of the tunnel normal and
emergency electrical systems. Close coordination with all
other disciplines shall be maintained throughout the
design process to confirm that the power needs and
redundancy of power supply for each system are
provided.
2.8.6.2—Primary Distribution
The electrical system shall perform as a fully

redundant system utilizing specific switch-over schemes
to minimize the impact of a power interruption. Each end
of the tunnel shall be provided with a minimum of one
independent electrical service feeder from the local
utility. If the tunnel is being fed from only one side, then
two independent utility service feeders or one feeder with
generator backup shall be provided. Independent feeders
are defined as those originating from separate utility
substations or buses and meeting reliability requirements
of National Electrical Code Article 700. The combination
of these feeders shall provide primary distribution
throughout the normal operation of the entire tunnel
facility. Each incoming service feeder shall have the
capability of supplying the entire power requirements for
the facility, thus providing the redundancy required to
maintain tunnel operations during outages, maintenance,
or repairs.
The primary distribution system shall be extended
from the point of service to the primary switchgear for
each service. The primary distribution system shall be
designed such that the primary switchgear can be
powered from either of two separate utility sources, or
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single service and backup generator. Necessary cables,

transformers, switches, circuit breakers, etc., of each
supply shall be separated from each other to the
maximum practicable extent.
2.8.6.3—Primary Switchgear
The switchgear assembly and all components shall be

designed in accordance with the latest applicable
standards of ANSI, NEMA, and the Institute of Electrical
and Electronic Engineers (IEEE). The switchgear shall
comply with the engineering and operating requirements
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of the utility supplying the power. The switchgear

assembly shall have sufficient short circuit and impulse
withstand capability to operate safely, and properly
coordinate with the utility company service being
provided to protect the electrical equipment being
provided. Main, tie, and feeder circuit breakers shall be
fully rated for continuous service and be sized for the
connected loads in accordance with the National
Electrical Code.
Provisions shall be included in the design to
accommodate the required SCADA functions to permit
operation of selected breakers, and remote monitoring
and/or alarming of electrical system conditions and
breaker positions from a central location
The switchgear shall be installed within an area of the
ancillary buildings at the tunnel portals or other suitable
locations, or near the utility company service entrance.
Spaces containing this equipment shall be positively
pressurized and provided with sufficient filtered air, free
of moisture, to maintain the ambient temperature below a
maximum 104°F.
Primary switching equipment shall be metal-
enclosed or metal-clad.
Power transformers, when required for services
above 600 volts, shall be UL listed, and step down of the
medium voltage service to the required utilization level
voltage. Transformers shall be located within interior
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rooms, where possible, with sufficient filtered or dust-

free air, free of moisture, to maintain a maximum ambient
temperature of 104°F. Wherever feasible, transformers
shall be joined to primary and secondary switchgear in
double-ended unit substation configurations.
2.8.6.4—Secondary Distribution Systems C2.8.6.4
This article specifies minimum requirements for These systems include utilization voltage
secondary distribution systems, i.e., electrical distribution switchgear, motor control centers, distribution, lighting
systems operating at a voltage level below the primary and power panelboards, motor controls, outlets and
distribution system medium voltage at utilization voltage receptacles, raceway systems, and wiring.
levels.
2.8.6.4.1—Low Voltage Switchgear/Switchboard

Low voltage switchgear/switchboards shall consist
of circuit breakers positioned in metal-enclosed or metal-
clad, free-standing enclosures. In general, the
switchgear/switchboard shall be arranged for attachment
to a transformer enclosure as a component of a unit
substation when possible. Switchgear/switchboard
sections for low voltage service applications shall include
main circuit breakers capable of interfacing with the local
utility company.
The switchgear/switchboards shall comply with the
latest applicable standards of ANSI, NEMA, and IEEE
and shall include the capability to interface with the
SCADA system to provide remote operation of selected
breakers, and remote monitoring and alarming of
electrical systems conditions and breaker status.
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Main and tie circuit breakers in double-ended

substation configurations shall be electrically interlocked
to prevent both transformers from being paralleled.
Additionally, electrical interlocks shall be provided as
required to fulfill operational conditions and coordination
with the utility company. In addition, mechanical
interlocks shall be provided for personnel safety under all
conditions of operation and maintenance. Indoor
switchgear/switchboards shall be installed within an area
of the ancillary building, or other suitable space, set aside
for electrical equipment and accessible to authorized
personnel only. Equipment may also be located outside in
suitably NEMA rated environmental enclosures.
2.8.6.4.2—Panelboards
Panelboards shall be the bolted circuit breaker type.
2.8.6.4.3—Motor Controllers and Control Devices

Solid state, adjustable speed controllers, or reduced
voltage starters shall be provided for poly-phase motors
and shall be sized to start the equipment motors in
accordance with NEMA MG1. Life-safety control
features shall be incorporated into starters or controllers
for emergency tunnel ventilation fan motors.
Automatic control of emergency tunnel ventilation
fan motors shall be provided using programmable
microprocessor based control systems for remote control
and monitoring. Local control shall be provided from the
associated starters or controllers.
2.8.6.4.4—Dry-Type Distribution Transformers (600

Volts and Below)
Transformers shall be Underwriters Laboratory (UL)
listed. Transformers shall meet NEMA TP-1 standards
for energy efficiency.
2.8.6.4.5—Power and Convenience Outlets

Ancillary spaces inside the tunnel such as pump
rooms, valve rooms, electrical rooms, cross passages, and
sprinkler rooms shall be provided with a sufficient
number of convenience type receptacles spaced around
the perimeter of the interior walls or otherwise located in
such a manner as to meet the power requirements of
portable equipment.
2.8.6.4.6—Conductors and Cables

All conductors and cables shall be copper except for
fiber-optic type cables. Conductors No. 9 American wire
gauge (AWG) and smaller may be solid; No. 8 AWG and
larger shall be stranded. Minimum size conductors shall
be No. 10 AWG for feeders and branch circuits, except
those branch circuits connecting convenience receptacles
and light switches where No. 12 AWG minimum is
acceptable; No. 14 AWG minimum for control, signal,
and alarm circuits, and No. 16 AWG minimum for fixture
wire.
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All wire and cable shall be NFPA 70, thermosetting;

heat, moisture, and flame retardant; and compliant with
the specific requirements of NFPA 502 for construction
and smoke emissions under combustion.
2.8.6.4.7—Standby Power Systems

Standby or emergency power from engine
generators, or other type of prime mover or source shall
be provided for systems identified by the Owner and/or
NFPA 502. The provision of UPS for selected loads that
would be adversely affected by even a momentary
switching outage is covered in Article 2.8.6.4.8.
The standby or emergency power system shall
consist of generator(s) or other type of prime mover or
source, switchboards, transfer switches, fuel supply and
storage as required, accessories, and wiring required to
provide standby power to the systems identified.
2.8.6.4.7.1—Generator Units
Generators shall be designed to perform under the
environmental conditions to which they will be subjected.
The required operating and capacity characteristics
of the generator, based on a risk analysis that includes the
consequences of failure of the generator, shall be as
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determined by the Owner.

Storage tanks shall conform to all local regulations.
The system shall conform to NFPA 30, NFPA 37, and
NFPA 110. Fuel type shall be such that exhaust emissions
comply with environmental laws. The cooling system
shall be designed to discharge heat outside of the building
or enclosure housing the generator. Generators shall be
equipped with appropriate silencers. Exhaust shall be
released outside the building or enclosure housing the
generator.
Automatic transfer switches shall conform to UL
1008.
2.8.6.4.7.2—Generator Switchboard
The switchboard shall be an indoor or outdoor type,
metal-enclosed, self-supporting structure. The
switchboard shall be compartmentalized in design, with
individually mounted devices in the distribution sections.
The switchboard shall comply with all applicable
provision of UL 891 and NEMA PB-2.
2.8.6.4.8—Uninterruptible Power Supply (UPS) C2.8.6.4.8

UPS units shall supply uninterruptible power Typical loads that are connected to UPS are:
supplies for selected loads. The loads designated to be  Traffic surveillance and control system
supplied by the UPS shall be determined by the Owner (TSCS) equipment.
and/or as required by NFPA 502. Battery protection time  Communications, SCADA, and fire detection
shall be determined by the Owner. and alarm systems.
Electrical power service loads which are provided  Selected tunnel, utility room, cross passage,
with UPS shall be backed-up by a standby power system and egress stair lighting.
as described in Article 2.8.6.4.7. The UPS systems shall  Illuminated emergency exit signs.
be designed to operate “on line” such that when normal
power fails to the unit, the batteries will provide power
for a designated period through the inverter output. If a
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UPS malfunctions, a static switch shall automatically

connect the load to a “reserve” supply while
simultaneously opening the inverter-output circuit
breaker. A maintenance by-pass shall also be provided to
manually transfer the load to the normal supply for
routine service or maintenance of the UPS.
The UPS equipment enclosure shall be suitable for
the environment in which it is to be installed, recognizing
that heat buildup and moisture act to diminish the
reliability of a UPS unit.
UPS units, whenever feasible, shall be located in
spaces which are relatively dry and adequately ventilated
with clean air. This criterion shall be weighed against the
desirability of locating the UPS unit as close as possible
to the load served, so as to reduce to a minimum the
length and exposure of direct current (DC) wiring and the
UPS output wiring. A provision shall be made for the
required monitoring, control, and alarm functions to the
SCADA system.
2.8.6.5—Grounding, Bonding, and Lightning Protection
Electrical equipment shall be grounded to provide

safety for personnel and to provide fast, reliable relaying
response in accordance with the requirements of the
National Electrical Code. Grounding shall be separate but
coordinated with corrosion control requirements.
2.8.6.5.1—Systems Grounding
The following grounding requirements shall apply:
1. Three-phase, three-wire, 60 Hertz systems

supplied from transformers shall be solidly
grounded at the transformer enclosure as per
NFPA 70.
2. Three-phase, four-wire systems shall be solidly
grounded at their source (transformer secondary,
standby generator neutral, or UPS neutral) per
NFPA 70.
A connection of the system to earth shall be provided

at each substation or switchgear/switchboard section. The
connection to earth shall have a sufficiently low
resistance to permit prompt operation of the circuit
protective devices in the event of a ground fault, and to
provide the required safety from shock to personnel who
may be in the vicinity of equipment frames, enclosures,
conductors, or the electrodes themselves. The connection
to earth shall consist of a number of individual driven
ground rods connected to a grid or mat system. The grid
or mat system shall consist of a number of buried
conductors forming a network of squares or rectangles.
Buried conductors shall be interconnected at each
crossover point by an exothermic welding process. The
ground grid or mat shall be connected to ground rods as
required. Grids or mats shall be buried in filled trenches
or laid on earth and overlaid with at least 18 inches of
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backfill. Grid or mat locations shall be coordinated with

utilities and sewer installations to avoid any direct
electrical connection to these systems. The connections to
earth shall be designed in such a way that the system
resistance measured at the main ground bus in the
switchgear room will not exceed two ohms. Grounding
systems other than grids or mats that comply with the
National Electrical Code may be provided as the location
and design require. Medium voltage switchgear shall be
grounded in accordance with IEEE 80 for step and touch
potential.
Inside spaces with electrical distribution equipment
or motors, a minimum 36 in. long by 2 in. wide copper
ground bus shall be installed. These ground buses shall be
connected to the main ground grid using copper cables.
2.8.6.5.2—Equipment Grounding
The equipment grounding system shall be
interconnected by means of equipment ground
conductors to a ground bus in each distribution equipment
enclosure such as switchgear, panelboard, motor control
center, load center, and ground bus. Every feeder, circuit,
and branch circuit shall contain an equipment ground
conductor within the same raceway with the phase and
neutral conductors. The ground cable shall be connected
to the ground bus located in the distribution equipment.
The equipment ground conductor shall be copper, sized
to comply with the National Electrical Code. The
equipment ground conductor shall be continuous
throughout the system, connecting all non-current
carrying enclosures, tunnel structural grounds, and
equipment and machinery grounds.
Medium voltage cable shields shall be grounded at
each splice and cable termination.
The non-current carrying parts of electrical
equipment, devices, panelboards, and metallic raceways
shall be bonded to the local ground bus.
2.8.6.5.3—Grounding for Personnel Safety

Grounding for personnel safety shall be provided to
minimize shock hazards as follows:
 In pumping stations, all exposed metallic
structures, ductwork, and piping shall be bonded
to the local ground bus with a ground conductor.
 All exposed structural metalwork, such as doors,
handrails within reach of electrical equipment
(five ft±), and all stairways, shall be bonded to
the nearest local ground bus.
 In all manholes, handholes, and pull boxes, the
ground conductors shall be connected to all
exposed, metal surfaces including cable racks,
frames and covers, ladders, and cable shields
(for medium voltage systems). In addition, in
manholes and handholes, a ground conductor
shall be further connected to the ground mat
installed at the base of each manhole or
handhole or to a local ground electrode for the
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express purpose of providing for personnel

safety. Where the ground grid, mat, or local
grounding electrode cannot be installed, a bare
grounding conducting coil looping around the
exterior of the manhole or handhole multiple
times may be used as the local ground.
2.8.6.5.4—Grounding Materials
Driven ground rods shall be sectional steel rods, each
3/4 in. by 10 ft long minimum, coupled and driven to the
required total depth. The rods shall be manufactured
from type 316 or 316L stainless steel.
Buried grounding conductors used to form the
ground grid, mat, or used to connect the individual
ground rods, shall be stranded bare copper cable with a
minimum size of #4/0 AWG. Equipment and systems
grounding conductors shall be stranded copper covered
with green insulation and be of minimum size in
accordance with NFPA 70.
Ground bus shall be copper. Wall mounted ground
bus shall be mounted on insulators above the floor.
Ground connections of cable to building steel, and
cable-to-cable shall be exothermically welded.
Exothermically welded connections shall be coated with
coal tar epoxy or equivalent waterproofing coating to
prevent corrosion of the connection.
Connections of ground cable to equipment ground
lugs shall utilize two-bolt lugs.
2.8.6.5.5—Lightning Protection
Lightning protection systems and equipment shall be
installed, where required, to provide protection of
persons, equipment, and facilities against the hazards
posed by lightning. The lightning protection system shall
comply with the requirements of an Underwriters’
Laboratory (UL) “Master Label System” as per UL 96A
and NFPA 780.
2.8.7—Tunnel Architectural Systems
2.8.7.1—General C2.8.7.1
The tunnel architectural systems shall be designed to

provide functionality, durability, ease of maintenance,
driver safety and orientation, and a uniform and pleasing
aesthetic quality, while conforming to applicable codes
and standards.
The texture, color, and patterns of ceilings, walls, and Architectural finishes provide lane definition, assist
walkways, and of related elements, shall create a safe in legibility of signage through sign placement, and
interior driving environment for the motorist that assists support rapid identification of emergency exits.
driver orientation. Only materials that are fire resistant,
and generate limited smoke and do not produce toxic
fumes under fire conditions shall be used. Interior
finishes in tunnels shall be ASTM E84 Class A (flame
spread, 25 or less; smoke developed, 100 or less).
Finish materials shall be easy and economical to
maintain. Surfaces shall be easy to clean with standard
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tunnel wash equipment, and should resist corrosion

related to entry of water into finishes and connections.
Except for items required to be breakaway, materials
shall be impact resistant as far as is practical and shall be
easily replaceable with matching colors and finishes in
the event of damage.
The tunnel finish materials shall be selected with the
goal of overall visual integration with other tunnel
systems such as lighting, signage, ventilation, fire
protection, drainage, egress, and communications.
2.8.7.2—Egress Design C2.8.7.2
Egress procedures and assumptions to be observed in Additional information regarding signing for
the event of a fire in the tunnel shall be developed and tunnel egress can be found in NCHRP 20-59(47),
coordinated with other tunnel systems and components. Emergency Exit Signs and Marking Systems for
These procedures and assumptions shall be made in Highway Tunnels.
compliance with all applicable life-safety codes, and
agreements and interactions with the Owner, the authority
having jurisdiction (AHJ), third parties, and first
responders.
An overall evacuation plan shall be developed that
includes a system of tunnel egress which:
 Protects those who use the tunnel and other

related structures, including motorists,
maintenance workers, and emergency
personnel.
 Creates a tunnel evacuation system with a
logical and clearly marked path of egress within
all portions of the tunnel to safe refuges within
fire-protected areas of the tunnel, adjacent
tunnel, or safe refuge outside the tunnel.
2.8.7.3—Tunnel Occupant Load Design
The Engineer shall calculate tunnel egress

requirements based on occupant loads as a multiple of the
number of persons anticipated per lane of roadway per
maximum length of roadway between exit access doors.
Egress requirements shall be in compliance with NFPA
502.
2.8.8—Fire Protection C2.8.8
Fire protection shall conform to the requirements of An acceptable methodology for a hazard analysis by
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NFPA 502. A hazard analysis as specified by the Owner the Owner is presented in MIL-STD-882E Department
shall be performed to determine which of the fire of Defense Standard Practice, System Safety. This
protection systems included herein are appropriate for document is updated periodically with the ‘E’
inclusion in a specific tunnel. When required, systems designating the latest version as of August, 2013.
shall conform to the minimum requirements described
below.
Consult the AHJ over fire life safety early in the
process of determining the fire protection systems
required for the tunnel. The systems shall be integrated
into a comprehensive tunnel operation and emergency
response plan.
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Materials selected for use inside the tunnel for any

purpose shall not produce toxic fumes or any other toxic
by-product when heated.
2.8.8.1—Fire Alarm and Detection Systems C2.8.8.1
Fire alarm and detection systems shall be provided in The fire alarm and detection system may consist of
accordance with NFPA 502 and NFPA 72 as well as in any number of appropriate devices that are integrated
accordance with all applicable local fire codes. into a unified system that can be remotely monitored
and can provide notification to tunnel operators, first
responders, and motorists of an emergency. Typical
components of a fire alarm and detection system include
automatic heat detectors in the tunnel roadway and
ancillary spaces, automatic smoke detectors in ancillary
spaces, duct smoke detectors, audible communications,
closed circuit television cameras, and manual fire alarm
pull stations.
Fire detection systems shall be capable of identifying
the location of the fire within predetermined zones in
order to provide operators with enough information to
engage the appropriate emergency response systems.
2.8.8.2—Tunnel Fire Suppression Systems C2.8.8.2
Tunnel fire suppression systems shall be designed in Tunnel fire systems can consist of fixed water-
accordance with NFPA 502 and all applicable NFPA and based fire-fighting systems such as deluge systems or
local standards. Tunnel fire suppression systems shall be sprinklers, fixed dry-agent fire-fighting systems, or
designed and integrated with other fire and life-safety manual fire-fighting systems such as standpipes, fire
systems to produce a comprehensive system that provides hydrants, and portable fire extinguishers.
functionality, redundancy, durability, ease of
maintenance, and safety.
Design criteria for required components of the tunnel
fire suppression system shall be developed in conjunction
with the authorities having jurisdiction incorporating
applicable local codes.
Water-based wet-fixed fire-fighting systems shall be
protected against freezing.
Fire suppressions systems shall be designed to
perform under the environmental conditions expected
within the tunnel, cross passages, and ancillary spaces.
Water supplies for fire-fighting shall be verified with
the local utility. Flow quantities for fire-fighting shall be
determined based on the design fire and the fire
suppression system sized accordingly.
When standpipes are used, they shall be located
within the roadway portion of the tunnel and shall not be
embedded in the tunnel structure or the surrounding
ground. They shall be protected from vehicle impact and
easily accessible.
2.8.8.3—Structural Fire Protection C2.8.8.3
Structural fire protection for tunnel interior Structural fire protection can take the form of an
components subjected to the tunnel design fire shall be in applied protection layer, sacrificial layers of the
accordance with the latest edition of Guidelines for structural system, or materials designed to be fire
Structural Fire Resistance for Road Tunnels published by resistant in the conditions produced by a the design fire.
the International Tunnel Association (ITA).
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The following shall be considered when selecting the

protection for a particular application:
 Sacrificial layers and applied protection layers
will occupy space. Space is a premium
commodity in underground construction and
comes with added cost to the project.
 Applied protection layers usually are applied
after the major construction work as a finish.
This secondary work element adds time to the
construction schedule in addition to the cost of
the materials and their installation.
 Protection layers can be integrated into a system
of finished architectural panels.
 Specially designed materials typically are more
expensive than conventional materials.
 Attachments for applied protection layers must
be suitable for the service conditions as well as
for the fire conditions. Attachments shall be
coordinated with the structural components and
can contribute to tunnel leakage. Leakage
behind the layers can add weight to the layer
which will be transmitted to the supporting
structure, as well as to the layer.
 Protection layers will obscure the structure
being protected, making direct observation and
inspection difficult, even if the layers are
designed to be easily removed.
 Protection layers shall be capable of surviving
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vehicle impacts and tunnel maintenance
washing.
 The fire protection afforded by specially
designed materials and sacrificial layers is
immediate, whereas protection layers are not
effective until installed.
 Protection layers function to reflect heat away
from the structural elements and back into the
tunnel environment. This heat reflection shall be
accounted for in the design of the tunnel
ventilation system.
2.8.9—Tunnel Security Systems C2.8.9
Tunnel security systems shall be designed to ensure Security systems consist of Access Control Systems
that the roadway, cross passages, and ancillary spaces are (ACS), Intrusion Detection Systems (IDS) and a
secure from intrusion by unauthorized persons while also security system (hardware and software) for monitoring
maintaining safe and accessible egress paths for motorists and controlling the ACS and IDS.
and tunnel personnel.
When employed, tunnel security systems shall be
monitored by the SCADA system.
The requirements for tunnel security including, and Additional information can be found in NCHRP
beyond, those shown above shall be established through Report 525, Volume 12: Making Transportation
a threat and vulnerability study. Tunnel security shall be Tunnels Safe and Secure.
integrated into a comprehensive tunnel operation and
maintenance program.
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2.8.10—Corrosion Control Systems C2.8.10
Corrosion control falls into three main categories: The purposes of the corrosion control systems are
soil and water corrosion control, stray current corrosion to:
control, and atmospheric corrosion control.  Avoid premature failure of any component
caused by corrosion during the specified
timeframe assigned by the tunnel Owner,
 Minimize annual operating and maintenance
costs associated with material deterioration,
and
 Provide continuity of operation by minimizing
corrosion failures.
2.8.10.1—Soil and Water Corrosion Control
Soil and groundwater characteristics shall be

determined and documented during the subsurface
investigation. Analysis of data collected from this survey
shall be the basis for corrosion control designs. The soil
and water samples shall be analyzed for resistivity (or
conductivity), pH, chloride ion, and sulfate ion
concentrations. The results of the tests shall be used to
develop corrosion protection through the use of materials
that are resistant to the service conditions, coatings or
sealants that protect materials against the service
conditions, insulation, electrical continuity, passive
cathodic protection and/or impressed current cathodic
protection.
All components installed inside the tunnel shall be
designed for use in wet conditions.
2.8.10.2—Stray Current Corrosion Control
The design shall minimize the effects of stray

currents from facilities that can produce stray currents
such as surface transit operations and electrical utility
lines. Stray current control shall limit the level of stray
currents at the source, under normal operating conditions,
rather than trying to mitigate the corresponding effects.
2.8.10.3—Atmospheric Corrosion Control C2.8.10.3
The atmospheric corrosion conditions, including Alternating wet and dry conditions can contribute to
vehicle exhaust concentrations, shall be derived from a increased corrosion rates of exposed metal structures
baseline corrosion survey and from local climatological and hardware.
data. Designs and associated coating shall be designed to
significantly decrease atmospheric corrosion rates.
2.8.11—Communication and Traffic Control

Intelligent Transportation Systems (ITS)
Tunnels may be provided with communications

elements to allow communications between patrons and
tunnel operating personnel, patrons and outside parties,
first responders and tunnel operators, and interagency
communications between first responders. Tunnels may
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© 2017 by the American Association of State Highway UNIVERSITY

and Transportation
JAESUNG CIVOfficials.
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also be provided with ITS utilizing internal traffic control

and monitoring devices for general surveillance of traffic,
detection of incidents such as stopped/slowed traffic or
fire, and control of traffic flow in response to incidents
within the tunnel or direct approach roads.
2.8.11.1—Communication Systems C2.8.11.1
Tunnel communication systems may consist of the

following elements:
 Telephone system: includes emergency,
maintenance, and operations type telephones
located throughout the tunnel facility operating
over copper or fiber optic wiring.
 Cellular telephone system: infrastructure
including space, wiring, antennae, and power
for private cellular telephone companies to
extend their service throughout the tunnel
facility.
 AM/FM radio rebroadcast system: provides a
standard rebroadcast of commercial AM/FM
radio frequencies into and throughout the
tunnel system, such that the general public is
capable of receiving the radio signals through
the use of their own automobile radios. The
system shall be equipped with an override
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system allowing for pre-recorded and ad-hoc
messages to be broadcast over those
frequencies in case of emergency.
 Two-way radio system: includes equipment to
allow continuous communication between
roadway maintenance and operation personnel
while traveling through, or working within, the
tunnel; or continuous radio communication for
the agencies responsible for responding to
emergencies within the tunnel or while
traveling through the tunnel. The two-way
radio system shall be capable of:
o Eliminating interference with
communications re-transmitted within the
tunnel, including commercial radio
rebroadcasts and utility cell phone
coverage or with radio communications
external to the tunnel.
o Providing for adequate signal strength and
signal-to-noise ratio through the tunnel.
o Providing for interoperability among
emergency responders and dispatch
centers.
Tunnel communication systems shall be designed to

the latest standards and adhere to all applicable
telecommunication and radio laws and regulations. The
tunnel communication system shall have a control system
capable of monitoring and delivering communications
and be monitored by the SCADA system.
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2.8.11.2—Traffic Control and Monitoring ITS C2.8.11.2
ITS shall be utilized to stop traffic within the tunnel Traffic control and monitoring ITS are part of an
prior to an incident site, such as a fire, on the approach overall emergency response plan. These components
roads upstream of the incident, until it is deemed safe to should be integrated into the plan so that traffic
proceed by the appropriate authorities. These systems are operations are controlled in a manner that is
also used downstream of the incident site to expedite the complimentary to emergency response and evacuation
flow of vehicles from the tunnel. of the tunnel.
Tunnel traffic control and monitoring systems may
consist of the following elements:
 A closed-circuit TV (CCTV) system for tunnel
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and approach roadways shall be provided for
general surveillance purposes to enable the
remote control room operator to view any part
of the tunnel interior, emergency escape routes,
and approach ramps. Generally cameras will
have pan, tilt, and zoom (PTZ) capability and be
NEMA 4X rated. Dome type cameras shall be
used within the tunnel and approaching
roadways. Cameras shall be positioned so that if
one camera fails, full coverage of the tunnel
interior may be obtained by the use of the
adjacent cameras on either side. SCADA system
interfaces shall allow the nearest camera to an
alarm event to be displayed automatically at the
remote control room through the use of presets.
The alarm event shall be captured through an
automatic real-time recording feature for at least
two cameras capturing alarm events
simultaneously. Cameras shall also be provided
to monitor the interior of the emergency egress
points. At the remote control room, there shall
be multiple monitors and recording facilities to
assure adequate redundancy in the system. One
or more screens shall cycle all the cameras at
least once every 60 seconds, while at least one
of the others displays a single picture selected by
the remote control room operator as a “spot”
monitor. The system shall be scalable and
expandable to allow future addition of cameras
or monitors.
 Cameras for tunnel and approach roadways shall
generally have heavy duty PTZ capability. Color
cameras shall be used within the tunnel and
approaching roadways. Cameras shall have the
following additional attributes:
 Solid state design
 Vandal resistant enclosure
 Automatic focus lenses with auto-iris PTZ,
controllable from the remote control room
 Auto-PTZ controllable for preprogrammed
circumstances
 No blooming when facing headlights
 Low-light black and white mode
 Digital “flipping” function
 A rigid mounting of the cameras is essential to
provide vibration-free images on the monitors in
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the remote control room. Where cameras must

be mounted on towers, the towers and
enclosures must be designed to withstand a 110
mph wind load and still maintain a usable image.
If not attached to sign support structures,
cameras in the tunnel shall be located on the
upper wall near the ceiling, over the
maintenance walkway. An alternate location is
above the center of the roadway, unless the
section of roadway covered by the camera is in
a horizontal curve, in which case the camera
should be placed on the outside of the curve to
maximize the limit of viewing. The exact
location of each camera shall be determined
through the above criteria tempered by the
restrictions to the view induced by the vertical
alignment, or the presence of overpasses, signs,
or other objects which may obstruct the view of
the target roadway area. Default PTZ orientation
is to face downstream, with traffic flow. The
remote control room operator shall also be able
to start recording manually and stop recording
any time. Every CCTV image shall include an
information banner that shall include the
camera’s identification, location, date, and time
in Universal Time Coordinated format. The
remote control room operator shall be able to
suppress this information when viewing the
pictures but not amend or delete it.
 Lane use signals (LUS) shall be located along
the tunnel walls and over the roadway at the
tunnel portal approaches at regular intervals to
indicate the status of each travel lane as either
opened or closed, through the use red and green
symbols on black background suitable for the
full range of ambient lighting conditions where
located. Each LUS head shall be independently
controlled to indicate the status of each lane and
shall be fully interlocked to prevent any possible
conflicting indications, with fault conditions at a
signal head to show a blank face. Signal heads
shall be double aspect light emitting diode
(LED) displays suitable for use with
bidirectional traffic. The LUS system shall be
monitored and controlled from the remote
control room. Traffic stop signals shall be
provided to close the tunnel and prevent vehicles
from entering, in the event of an emergency.
 Design and operation of the LUS system shall be
in conformance to the Manual on Uniform
Traffic Control Devices (MUTCD), Chapter 4J,
Lane-Use Control Signals, latest edition, and
ITE Vehicle Control Signal Heads. Each signal
head display shall provide the following
indications according to the latest version of the
MUTCD:
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 Steady green arrow: indicating vehicle

traffic may travel in lane
 Steady amber “X”: indicating that a lane
control change is being made
 Steady red “X”: indicating vehicle traffic
shall not travel in or enter lane
 Blank
 Interval spacing between signal heads in the
tunnel shall be adjusted in areas where sight
distance is restricted due to roadway alignment
and/or other factors. For example, signal heads
shall be more closely spaced on curves than on
tangent sections within the tunnel to compensate
for sight distance limitations. The specific
spacing shall be computed based on horizontal
and vertical curvature with the signal located
outside the clearance envelope. The LUS display
sequence for a lane closure shall use a minimum
of two amber “X” indications before two red
“X” indications. The spacing of the LUS shall
follow the MUTCD and the requisite agency’s
maintenance of traffic standards and
requirements for setup distance for a “lane
closure and buffer zone.” The minimum spacing
of LUS shall be designed for the posted speed
limit. All LUS system equipment shall be
identical at each location within the tunnel and
shall be completely interchangeable. The bottom
of the LUS head housing shall be mounted
above the established Minimum Vertical
Clearance Height. LUS location shall be
coordinated with the location of other tunnel
systems to ensure minimal conflicts. Each LUS
within the tunnel shall be visible from at least
one CCTV camera. The LUS display elements
shall incorporate LEDs with variable output
levels to ensure that the required legibility
distances are maintained under all ambient light
conditions, as established by the photo sensor
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control. All LUS shall use identical display

technology. The LUS case shall enclose the
display elements and withstand a wind loading
of 110 mph. Construction and component
mounting of the LUS system equipment shall be
installed such that no damage is caused by
vibration and shock during mounting and
normal operation on mounted support structure.
Equipment shall be immune to electro-magnetic
impulse signals generated in the tunnel
environment due to proximity to
other tunnel electrical, mechanical, and
communications equipment. Manual control of
the LUS system shall also be provided at the
local field controllers.
 Dynamic message signs (DMS) shall be full
matrix type and shall be provided in the tunnel
and tunnel approaches at regular intervals above
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the travel lanes to display instructions and

emergency messages to motorists. The signs
shall be based on arrays of white LEDs on a
black background, visible in bright sunlight and
dimmable to suit the full range of ambient
lighting conditions. Sign messages shall be
programmable by the operators at the remote
control room. Signs shall have capability to
display traffic management information,
including warning and recommended
diversions, as well as have inherent advanced
fault detection and reporting and conformance to
the National Transportation Communications
for ITS Protocol (NTCIP) or other industry
protocol. If communication with the remote
control center is lost and the DMS has no
reported errors, the DMS shall display a user-
defined graphic/message. The DMS must not
display erroneous information due to a fault with
the sign or the loss of pixels.
2.8.12—Structural Systems C2.8.12
Provisions for structural systems for main tunnel

members for the various tunnel construction
methodologies are specified in Sections 6, 7, and 8.
Structural systems for the support of tunnel ancillary
features such as roadway slabs, equipment supports,
suspended ceilings, architectural features, light fixtures,
signals, and signs shall be robust and provide fail-safe
redundancy against the risk of objects falling into the
roadway. The following direction shall be used when
designing the connections of ancillary features.
 Non-redundant connections for safety critical Safety critical attachments occur where the failure
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attachments shall not be used. of the attachment would result in an ancillary feature
 Adhesive anchors in tension shall not be used. falling into the roadway or walkway or cause damage to
 Connections and supports shall be designed for another critical tunnel element.
the load reversal effects caused by the air
pressure from passing vehicles.
 Connections and supports shall be designed for
dynamic effects as specified in Section 3. The
dynamic effect load shall be applied to the
supporting structure.
 Connections and supports shall be designed for
the temperature they will experience during the
design fire.
 Connectors, supporting members, and their
ancillary features shall be designed for wet
conditions and a highly corrosive environment.
See Article 2.8.10.
 Structural connections and attachments shall be
detailed in a manner that facilitates visual
inspection and access to the connection or
attachment for repairs or maintenance.
Components of connections and attachments
shall be detailed to be easily replaced.
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 Connectors and base metal of ancillary features

shall be checked for compatibility to ensure that
dissimilar metals do not come into contact.
2.9 REFERENCES
3. AMCA. Publication 201, Fans and Systems. Air Movement and Control Association International, Inc., Arlington
Heights, IL, 2007.
4. ANSI/IES RP-8 – Standard Practice for Roadway Lighting. Illuminating Engineering Society, New York, NY,
2014.
5. ANSI/IES RP-22 – American National Standard Practice for Tunnel Lighting. Illuminating Engineering Society,
New York, NY, 2011.
6. ASHRAE. The ASHRAE Handbook. ASHRAE, Atlanta, GA.
7. Bickel, John O., Thomas R. Kuesel, and Elwyn H. King. Tunnel Engineering Handbook. 2nd ed. Chapman & Hall,
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NY, 1996.
8. CIE. 88, Guide for the Lighting of Road Tunnels and Underpasses. 2nd ed. International Commission on
Illumination (CIE), Vienna, 2004.
9. CIE. 193, Emergency Lighting in Road Tunnels. International Commission on Illumination (CIE), Vienna,
Austria, 2010.
10. FHWA. HEC-12, Drainage of Highway Pavements. Federal Highway Administration, Washington, DC, 1984.
11. FHWA. Manual on Uniform Traffic Control Devices (MUTCD). Federal Highway Administration, Washington,
DC, 2009.
12. ICC. International Fire Code (IFC). International Code Council, Washington, DC, 2014.
13. Idelchik, I. E. Handbook of Hydraulic Resistance. State Publishing House for Energetics, Leningrad, 1960.
14. IEEE. 383, Vertical Flame Test, IEEE Standard for Qualifying Class 1E Electric Cables and Field Splices for
Nuclear Power Generating Stations. The Institute of Electrical and Electronics Engineers, Inc., New York, NY,
1974.
15. IEEE. C2 National Electrical Safety Code. The Institute of Electrical and Electronics Engineers, Inc., New York,
NY, 1996.
16. ITA. Guidelines for Structural Fire Resistance for Road Tunnels. International Tunnelling and Underground
Space Association, Lausanne, Switzerland, 2004.
17. NCHRP 20-59(47). Web-Only Document 216, Emergency Exit Signs and Marking Systems for Highway
Tunnels. National Cooperative Highway Research Program, Washington, DC, August 2015.
18. NCHRP 20-68A. Scan 09-05, Best Practices for Roadway Tunnel Design, Construction, Maintenance, Inspection,
and Operations. Arora and Associates, P.C., Lawrenceville, NJ, April 2011.
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19. NFPA. 30, Flammable and Combustible Liquids Code. National Fire Protection Association. Quincy, MA, 2015.
20. NFPA. 37, Standard for the Installation and Use of Stationary Combustion Engines and Gas Turbines. National
Fire Protection Association. Quincy, MA, 2015.
21. NFPA. 70, National Electrical Code. National Fire Protection Association. Quincy, MA, 2014.
22. NFPA. 72, National Fire Alarm and Signaling Code. National Fire Protection Association. Quincy, MA, 2016.
23. NFPA. 780, Standard for Installation of Lightning Protection Systems. National Fire Protection Association.
Quincy, MA, 2014.
24. NFPA. 92B, Standard for Smoke Management Systems in Malls, Atria, and Large Spaces. National Fire
Protection Association. Quincy, MA, 2009.
25. NFPA. 502, Standard for Road Tunnels, Bridges, and other Limited Access Highways. National Fire Protection
Association. Quincy, MA, 2014.
26. Transit Cooperative Research Program and National Cooperative Highway Research Program. NCHRP Report
525, Volume 12, Making Transportation Tunnels Safe and Secure. Transportation Research Board, Washington,
DC, 2006.
27. Transportation Research Board of the National Academies. NCHRP Synthesis 415, Design Fires in Road Tunnels,
Transportation Research Board, Washington, DC, 2011.
28. UL. 96A, Standard for Installation Requirements for Lightning Protection Systems. UL LLC. Northbrook, IL,
2016.
29. UL. 1008, Transfer Switch Equipment. UL LLC. Northbrook, IL, 2014.
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SECTION 3 – LOADS AND LOAD COMBINATIONS
TABLE OF CONTENTS
3.1—SCOPE ...............................................................................................................................................................3-1
3.2—DEFINITIONS ..................................................................................................................................................3-1
3.3—NOTATION.......................................................................................................................................................3-3
3.3.1—General .......................................................................................................................................................3-3
3.3.2—Loads and Load Designation ......................................................................................................................3-3
3.3.3—Abbreviations .............................................................................................................................................3-4
3.4—LOAD FACTORS AND COMBINATIONS ....................................................................................................3-4
3.5—PERMANENT LOADS.....................................................................................................................................3-8
3.5.1—Dead Loads (DC, DW) ...............................................................................................................................3-8
3.5.2—Earth Pressures (EV, EH) ...........................................................................................................................3-8
3.5.2.1—Cut-and-Cover and Immersed Tunnels in Soft Ground .......................................................................3-9
3.5.2.2—Apparent Earth Pressure (AEP) Diagrams for Design of Braced Support of Excavation
(SOE) Walls Used as Part of the Permanent Structure ....................................................................................3-9
3.5.2.2.1—AEP Diagrams for Cohesionless Soil .......................................................................................3-11
3.5.2.2.2—AEP Diagrams for Cohesive Soil ..............................................................................................3-12
3.5.2.2.2.1—Stiff to Hard Cohesive Soil .................................................................................................3-12
3.5.2.2.2.2—Medium Stiff to Stiff Cohesive Soil .....................................................................................3-13
3.5.2.2.2.3—Soft to Medium Stiff Cohesive Soil .....................................................................................3-13
3.5.2.3—Cut-and-Cover and Immersed Tunnels in Rock ................................................................................3-13
3.5.2.4—Mined Soft Ground Tunnels ..............................................................................................................3-14
3.5.2.5—Mined Rock Tunnels ..........................................................................................................................3-14
3.5.3—Surcharge Loads (ES) ...............................................................................................................................3-18
3.5.4—Piping Loads (PI) .....................................................................................................................................3-18
3.6—LIVE LOADS ..................................................................................................................................................3-18
3.6.1—Gravity Loads (LL and PL).......................................................................................................................3-18
3.6.1.1—Vehicular Live Load (LL) ..................................................................................................................3-18
3.6.1.2—Pedestrian Loads (PL).......................................................................................................................3-19
3.6.1.3—Vehicular Dynamic Load Allowance (IM).........................................................................................3-19
3.6.1.4—Attachment Dynamic Load Allowance (IA) .......................................................................................3-19
3.6.1.5—Centrifugal Forces (CE) and Braking Forces (BR) ..........................................................................3-19
3.6.1.6—Live Load Surcharge (LS) .................................................................................................................3-20
3.7—WATER LOADS (WA, WAf, WAt, WAttsu).......................................................................................................3-20
3.8—AIR PRESSURE LOADS (AP) .......................................................................................................................3-20
3.9—EARTHQUAKE EFFECT (EQ) ......................................................................................................................3-21
3.10—FORCE EFFECTS DUE TO SUPERIMPOSED DEFORMATIONS (TU, TG, SH, CR, SE, PS) ................3-22
3.10.1—Uniform Temperature (TU) ....................................................................................................................3-22
3.10.2—Temperature Gradient (TG) ....................................................................................................................3-22
3.10.3—Differential Shrinkage (SH) ....................................................................................................................3-22
3.10.4—Creep (CR)..............................................................................................................................................3-22
3.10.5—Settlement (SE) .......................................................................................................................................3-22
3.10.6—Secondary Forces from Post-Tensioning (PS) ........................................................................................3-23
3.11—BLAST LOADING (BL) ...............................................................................................................................3-23
3.12—FIRE LOAD (FI) ...........................................................................................................................................3-24
3.13—SHIP SINKING (SS)......................................................................................................................................3-24
3.14—ANCHOR DROP (AD) ..................................................................................................................................3-25
3.15—CONSTRUCTION LOADS (CS) ..................................................................................................................3-26
3.16—REFERENCES ..............................................................................................................................................3-26
3-i
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SECTION 3: LOADS AND LOAD COMBINATIONS 3-1
3.1—SCOPE C3.1
This Section supplements the LRFD Specifications. The construction methodologies used to construct
As such, this Section specifies the minimum each type of tunnel are significantly different. The
requirements for loads and forces, the limits of their ground loads and water loads imposed on the structures
application, load factors, and load combinations used for are dependent upon the construction methodology and
the design of the following types of new highway particular design details as wells as ground and
tunnels: groundwater conditions. Also, the estimation of both
• Cut-and-cover tunnel structures in soil and ground and water loads have varying degrees of
rock uncertainty, depending upon the interaction of
• Mined tunnel structures in soil and rock subsurface conditions, groundwater conditions, tunnel
• Bored tunnel structures in soil and rock lining stiffness, and construction methodology. The load
constructed using Tunnel Boring Machines factors included in this Section were developed to
(TBM) address this uncertainty.
Other tunnel specific loads including air pressure,
• Immersed tunnel structures in soil and rock
blast loading, fire load, ship sinking, and anchor drop,
are not dependent upon the construction methodology.
The loads contained in this Section are applicable to
Below grade portions of the facility include
the below grade portions of the tunnel facility only.
ancillary spaces such as mechanical and electrical
Loadings for retained cuts, elevated structures, ancillary
equipment rooms and cross passages that are built
buildings, and other related and support structures shall
between the roadway portions of the tunnel.
be taken from design specifications applicable to the
Underground spaces constructed in conjunction with
structure.
support buildings are not included in this specification.
Temporary conditions experienced during tunnel
construction shall be analyzed and checked by
the Engineer based on assumed construction
methodology and sequencing. All assumptions
regarding methodology and sequencing shall be shown
on the contract documents. Contractors who elect to
deviate from the assumptions shown in the drawings are
responsible for verifying the adequacy of their design
and for making required changes in the design based on
their selected means and methods.
Specific design information can be found in the
Sections devoted to each of the tunnel construction
methodologies:
• Section 6: Cut-and-Cover Tunnel Structures
• Section 7: Mined and Bored Tunnel Structures
• Section 8: Immersed Tunnel Structures
3.2—DEFINITIONS
For definitions not shown see the LRFD Specifications.
Active Earth Pressure—Lateral pressure resulting from the retention of the soil by a structure or component that is
tending to move away from the soil mass.
Apparent Earth Pressure (AEP)—Lateral pressure applied to an excavation supported either by multiple levels of
internal bracing or ground anchors, which is sequentially excavated downward from the ground surface. Apparent
earth pressure diagrams derived from empirical observations are used to design both the earth retention wall elements
and the internal bracing elements or ground anchors.
At-rest Earth Pressure—Lateral pressure existing in the soil before it is disturbed by excavation. At-rest pressure
magnitude is a function of the soil formation process and the stress history of the soil subsequent to formation.
Conventionally Mined Tunnel—A tunnel mined using controlled blasting methods or some form of mechanical
excavation other than a Tunnel Boring Machine (TBM).
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Design Lane—A notional traffic lane positioned transversely on the tunnel roadway.
Design Water Depth—Water depth at mean high water in tidal water bodies, or defined flood stage for interior streams,
or maximum pool elevation for streams controlled by dams or other flood control facilities, such as levees. Water
depth used to determine design water pressures for sub-aqueous tunnels.
Distortion—Change in structural geometry.
Dynamic Load Allowance—An increase in the applied static force effects to account for the dynamic interaction
between the tunnel and moving vehicles, and for air pressures associated with vehicle movement and the operation of
tunnel ventilation systems.
Extreme—A maximum or minimum.
Final Lining—The permanent tunnel structure, constructed within an excavation which has been supported by
temporary (initial) support elements installed concurrently with excavation.
Fixtures—Fixtures include lighting, signs, signals, fans, and other mechanical equipment, conduits, suspended
ceilings, roadway slabs supporting traffic over ventilation ducts, and other items attached to the tunnel walls.
Lane—The area of roadway receiving one vehicle or one uniform load line.
Lithification—The process for the formation of sedimentary rock from compaction or consolidation of soil under the
weight of overlying material, often accompanied by the deposition of cementing material in the pore space of the soil.
Normally Consolidated Soil—A soil for which the current effective overburden pressure is the same as the maximum
pressure that has been experienced.
Overconsolidated Soil—A soil that has been under greater overburden pressure than currently exists.
Overconsolidated soils generally exhibit greater at-rest earth pressures than normally consolidated soils.
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Overconsolidation Ratio—Ratio of the maximum preconsolidation pressure to the overburden pressure.
Passive Earth Pressure—Lateral pressure resulting from the soil’s resistance to the lateral movement of a structure or
component into the soil mass.
Permanent Loads—Loads and forces that are, or are assumed to be, either constant upon completion of construction
or varying only over a long time interval.
Rock—Material that is formed by the lithification of soil, the cooling and solidification of molten magma, or the
alteration of existing rocks under conditions of high pressure and high temperature.
Soil—Natural material derived from the decomposition and weathering of rock. Soil that remains in place at its point
of formation is called residual soil. Soil that is eroded, transported away from the location of its formation, and
deposited at a remote location is called transported soil.
Squeezing Ground—Ground which generates potentially large pressures on final linings and causes distortion or
failure of temporary (initial) support elements from the release of stresses which have developed over time. Squeezing
ground generally consists of weak claystones, mudstones, shales, overconsolidated clays, and soft clays.
Sub-aqueous Tunnel—A tunnel constructed beneath a body of water.
Swelling Ground—Ground containing minerals that expand upon absorption of water, which can generate pressures
on final linings and cause significant distortion or failure of temporary (initial) support elements.
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Temporary (Initial) Support Elements—Support elements installed concurrently with excavation which stabilize the
opening until the final lining can be constructed. Certain types of these elements may perform the dual function of
temporary (initial) support and final lining.
3.3—NOTATION
3.3.1—General
For notation not shown below, refer to the LRFD Specifications.
A = cross sectional striking area of a dropped ship’s anchor (ft2) (3.14)

AEP = apparent earth pressure for design of excavation support (3.5.2)
B = excavated width or diameter of tunnel (ft) (3.5.2.5)
DLF = dynamic load factor for dropped ship’s anchor (3.15)
de = equivalent diameter of ship’s anchor striking area (ft) (3.15)
Er = modulus of elasticity in the longitudinal direction of soil layer overlaying an immersed tunnel (lb/ft2)
(3.14)
F = triangular dynamic load pulse of a dropped ship’s anchor (3.14)
H = total height of cut-and-cover tunnel (ft); depth of cut-and-cover excavation (ft) (3.5.2.2.1) (3.5.2.2.2)
H1 = distance from ground surface to uppermost bracing level or ground anchor for a cut-and-cover tunnel
excavation (ft) (3.5.2.2.2.1)
Hn+1 = distance from base of excavation to lowermost bracing level or ground anchor for a cut-and-cover
tunnel excavation (ft) (3.5.2.2.2.1)
Hp = rock load (ksf) (3.5.2.5)
Ht = excavated height or diameter of tunnel (ft) (3.5.2.5)
k = average coefficient of lateral earth pressure (3.5.2.2.1)
ma = weight of ship’s anchor in air (lb) (3.14)
mw = weight of ship’s anchor reduced by the mass of displaced water (lb) (3.14)
Npen = penetration parameter for dropped ship’s anchor (3.14)
NS = stability number (3.5.2.2.2)
P1 = load in highest level of bracing for internally braced excavations (kips) (3.5.2.2.1) (3.5.2.2.2)
P2 = load in the next to highest level of bracing for internally braced excavations (kips) (3.5.2.2.1)
(3.5.2.2.2)
Pn = load in nth lower level of bracing for internally braced excavations (kips)
pa = apparent earth pressure (ksf); maximum ordinate of pressure diagram (ksf) (3.5.2.2)
Q = total factored load; tunneling quality index (3.4) (3.5.2.5)
Qi = force effects (3.4)
T = natural frequency of an immersed tunnel element (sec) (3.14)
Td = minimum duration of impact of a dropped ship’s anchor (sec) (3.14)
vi = impact velocity of a dropped ship’s anchor (ft/s) (3.14)
x = penetration depth of dropped ship’s anchor (ft) (3.14)
γs = unit weight of soil (kcf) (3.5.2.2.1) (3.5.2.2.2)
γi = load factor (3.4)
γp = load factor (3.4)
ηi = load modifier (3.4)
3.3.2—Loads and Load Designation
The following permanent and transient loads shall be considered:
• Permanent Loads
CR = force effects due to creep
DC = dead load of structural components and nonstructural attachments
DW = dead load of wearing surfaces and utilities
EH = horizontal earth pressure load
ES = earth surcharge including foundation surcharges
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EV = vertical pressure from soil and rock tunnels

PI = loads due to piping systems inside the tunnel
PS = secondary forces due to post-tensioning
SE = effect of settlement of tunnel structure
SH = force effects due to shrinkage
• Transient Loads
AD = anchor drop
AP = air pressure
BL = force effect due to blast
BR = vehicular braking force
CE = vehicular centrifugal force
CS = construction loadings
EQ = earthquake load
FI = force effect due to fire
IA = attachment dynamic load allowance
IM = vehicular dynamic load allowance
LL = vehicular live load
LS = live load surcharge
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PL = pedestrian live load

SS = ship sinking
TG = force effect due to temperature gradient
TU = force effect due to uniform temperature
WA = water load
WAf = water load due to flooding
WAt = transient water load
Wtsu = water load due to tsunami
BEM: boundary element method

DEM: discrete element method
FDM: finite difference method
FEM: finite element method
SOE: support of excavation
ft: foot/feet
ksf: kips per square foot
psf: pounds per square foot
sec: second
3.4—LOAD FACTORS AND COMBINATIONS C3.4
The total factored force effect shall be taken as: The load factors specified herein and the resistance
factors specified in other sections of these
Q = ΣηiγiQ I (3.4-1) Specifications were calibrated to provide designs with
member proportions consistent with the current practice
where: in tunnel design. Load factors that differ from the LRFD
Specifications do so due to this calibration. Load factors
ηI = load modifier specified in Article 1.3.2 that were not calibrated were carried over from the
γI = load factors specified in Tables 3.4-1 and 3.4-2 LRFD Specifications. This initial step in the calibration
Qi = force effects from loads specified herein process is considered preliminary and further work is
warranted to obtain a comprehensive calibration.
Components and connections of a tunnel shall Information regarding the process can be found in
satisfy Equation 1.3.2.1-1 for the applicable NCHRP Report 12-89.
combinations of factored extreme force effects as These factors are calibrated and not developed from
specified at each of the following general limit states: basic principles. Therefore, the Engineer may use pre-
LRFD practice to verify/validate the design.
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• Strength T-I—Basic load combination relating In Table 3.4-1, the variable γp represents load
to permanent ground loading conditions that factors for all of the permanent loads, shown in the first
develop over time after the completion of column of load factors. This variable reflects that the
construction, and to the normal vehicular use of Strength and Extreme Event limit state load factors for
the structure. This limit state shall also apply to the various permanent loads are not single constants, but
normal (non-extreme) conditions for internal they can have two extreme values. Table 3.4-2 provides
tunnel components and to initial ground these two extreme values for the various permanent load
support elements used to support permanent factors, maximum and minimum. Permanent loads are
loads in the finished structure. Strength T-I always present, but the nature of uncertainty is that the
shall be used for the design of fixtures actual loads may be more or less than the nominal
supported by the main tunnel structure, and the specified design values. Therefore, maximum and
connection of the supporting elements minimum load factors reflect this uncertainty.
attaching those fixtures to the main tunnel The maximum and minimum values of the load
structure. Fixtures are defined in Article 3.2. factors do not represent a range of values; rather they
• Strength T-II—Load combination relating to represent two values that should be used when
the temporary ground loads imposed during developing possible load combinations. All possible
tunnel excavation. Also related to construction combinations should be developed using the two values
imposed loading on segmental tunnel linings given. Load combinations using values between the
and immersed tunnel segments during maximum and minimum values should not be used for
fabrication, transportation, handling, and design.
erection or placement. Also related to
temporary (initial) ground support elements not
incorporated into the final structure.
• Extreme Event T-I—Load combination
including earthquake.
• Extreme Event T-II—Load combination
relating to ship grounding/sinking, anchor
drop, flood, tsunami, blast, or fire. These loads
shall not be combined with earthquake loads.
The load combinations presented for Extreme
Event T-II are the minimum checks required,
since the likelihood of any of these loads
occurring simultaneously is remote. The Owner
may, at its discretion and after performing a
hazard analysis create load combinations that
have more than one of these loads applied to the
structure simultaneously. In this case, it is
recommended that the load factors shown in
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Table 3.4-1 be used when combining the loads.
• Extreme Event T-III—Load combination
relating to flood or tsunami used to check the
resistance of the underground construction to
the effects of buoyancy.
• Service T-I—Load combination relating to
permanent ground loading conditions that
develop over time after completion of
construction and to the normal vehicular use of
the structure. Also related to deflection control
of mined and bored tunnel linings; cut-and-
cover tunnel walls, floors, and roofs; and crack
control when concrete is used in construction of
these elements.
• Service T-IA—Load combination relating to
service level water loads used to check the
resistance of the underground construction to
the effects of buoyancy.
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• Service T-II—Load combination relating to

temporary ground loading conditions that
develop during construction. Also related to
control during construction of deflections in
mined and bored tunnel linings; cut-and-cover
tunnel walls, floors, and roofs; and crack
control when concrete is used in construction of
these elements. Also related to buoyancy
resistance of tunnels during construction.
• Fatigue T-I—Fracture and fatigue load
combination related to infinite load-induced
fatigue life. Fatigue T-I shall be used for the
design of fixtures supported by the main tunnel
structure, and the connections of the supporting
elements attaching those fixtures to the main
tunnel structure that are subject to cyclic
loading due to the wind pressure generated by
passing vehicles or operation of the tunnel
ventilation system. Fixtures are defined in
Article 3.2.
The load factors for various loads comprising a load

combination shall be taken as specified in Table 3.4-1.
All relevant subsets of the load combinations shall be
investigated. For each load combination, every load that
is indicated to be taken into account and that is germane
to the component being designed, including all
significant effects due to distortion, shall be multiplied
by the appropriate load factor.
The factors shall be selected to produce the total
extreme factored force effect. For each load
combination, both positive and negative extremes shall
be investigated.
In load combinations where one force effect
decreases another effect, the minimum value shall be
applied to the load reducing the force effect. For
permanent force effects, the load factor that produces the
more critical combination shall be selected from Table
3.4-2. Where the permanent load increases the stability
or load-carrying capacity of a component, the minimum
value of the load factor for that permanent load shall also
be investigated.
The larger of the two values provided for load factor
of TU shall be used for deformations and the smaller
values for all other effects. For simplified analysis of
underground tunnel concrete structures in the strength
limit state, a value of 0.50 for γTU may be used when
calculating force effects, but shall be taken in
conjunction with the gross moment of inertia of the
structural components. When a refined analysis is
completed for underground tunnel concrete structures in
the strength limit state, a value of 1.0 for γTU shall be used
in conjunction with a partially cracked moment of inertia
determined by analysis. For underground tunnel
concrete structures in the strength limit state, the value
of 0.50 for γPS, γCR, and γSH may similarly be used when
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calculating force effects, but shall be taken in

conjunction with the gross moment of inertia of the
structural components.
The load factor for temperature gradient, γTG, should
be considered on a project-specific basis. In lieu of
project-specific information to the contrary, γTG, may be
taken as:
• 0.0 at the strength and extreme event limit states,
• 1.0 at the service limit state when live load is not
considered, and
• 0.50 at the service limit state when live load is
considered.
Table 3.4-1—Load Combinations and Load Factors
CR Use One of
DC These at a
BR
DW Time
CE
EH
IA
ES WA
IM AP TG TU CS EQ
Load Combination EV Wt AD
LL
Limit State PI FI WAf
LS
PS BL WAtsu
PL
SE SS
SH
Strength T-I γp 1.75 1.0 1.0 γTG 0.5/1.2 - - - -
Strength T-II γp - 1.0 - - - 1.3 - - -
Extreme Event T-I γp 0.5 1.0 0.5 - - - 1.0 - -
Extreme Event T-II γp 0.5 1.0 0.5 - - - - 1.0 -
Extreme Event T-III 0.9 - - - - - - - - 1.1
Service T-I 1.0 1.0 1.0 1.0 γTG 1.0/1.2 - - - -
Service T-IA γp - 1.1 - - - - - - -
Service T-II 1.0 - 1.0 - - - 1.0 - - -
Fatigue T-I
- 1.5 - 1.1 - - - - - -
LL, IM & IA only
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Table 3.4-2—Load Factors for Permanent Loads, γp
Load Factor
Type of Load
Maximum Minimum
CR: Creep (using Ieffective) 1.00 1.00
CR: Creep (using Ig) 0.50 0.50
DC: Components & non-structural attachments 1.25 0.90
DC: Service T-IA Only 0.90 N/A
DW: Wearing Surface 1.50 0.65
EH: Horizontal Earth Pressure
- Cut-and-cover & immersed tunnels
• Active 1.35 0.75
• At-rest 1.35 0.75
• AEP for walls with multiple levels of anchors or 1.35 N/A
braces
- Mined & bored tunnels 1.35 0.90
EH: Service T-IA only 0.95 N/A
EV: Vertical Earth Pressures
- Cut-and-cover & immersed tunnels 1.35 0.75
- Mined & bored tunnels 1.35 0.75
ES: Earth surcharge and foundation loads 1.35 0.75
ES: Service T-IA only 1.00 0.00
PI: Piping loads 1.30 1.00
PS: Secondary loads due to prestressing (using Ieffective) 1.00 1.00
PS: Secondary loads due to prestressing (using Ig) 0.50 0.50
SE : Settlement 1.30 0.00
SH: Shrinkage (using Ieffective) 1.00 1.00
SH: Shrinkage (using Ig) 0.50 0.50
3.5—PERMANENT LOADS
3.5.1—Dead Loads (DC, DW) C3.5.1
Dead loads shall include the weight of all The LRFD Specifications include vertical earth
components of the tunnel lining, ceilings, roadway pressure (EV) in the dead load grouping. This has
slabs, appurtenances, mechanical equipment, signs, been modified here to include the EV above cut-and-
signals, systems and utilities attached thereto, wearing cover and immersed tunnels. EV is included in the
surface, future overlays, and loads from planned or dead load grouping for mined and bored tunnels. The
future development. calculation of this load is not always the weight of the
In the absence of more precise information, the unit earth (soil or rock) above the structure. Soil arching
weights specified in Table 3.5.1-1 of the LRFD can occur when the tunnel is deep resulting in lower
Specifications may be used for dead loads. pressures. Rock loads will be a function of the
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characteristics of the rock. These loads should be

determined by experienced geotechnical engineers.
3.5.2—Earth Pressures (EV, EH) C3.5.2
Except as specified herein, horizontal earth load on For soils retaining cohesive materials, the effects of
cut-and-cover tunnels and immersed tunnels shall be soil creep should be taken into consideration in
determined in accordance with the LRFD Specifications. estimating the design earth pressures. Evaluation of
soil creep is complex and requires duplication in the
laboratory of the stress conditions in the field as
discussed by Mitchell (1976).
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3.5.2.1—Cut-and-Cover and Immersed Tunnels in Soft

Ground
a) Vertical earth pressure (EV) for cut-and-cover

tunnels and immersed tunnels shall be the
pressure resulting from the total thickness of
backfill placed directly over the structure. Use
moist unit weight above groundwater table and
buoyant unit weight below ground water table
or surface water level. Use buoyant unit weight
of backfill for immersed tunnels under the
groundwater table or below the surface water
level.
b) The earth pressure loads shall be applied taking
into account construction stages and
sequencing.
c) For immersed tunnels, EV shall include an
allowance for siltation above the original
design fill level that occurs during the service
life of the tunnel. The siltation shall be
estimated based upon historical records for the
waterway and planned dredging if applicable.
d) The moist unit weight for backfill shall be
determined by laboratory testing or recognized
engineering values based on specified soil
classification for backfill and shall be specified
as a maximum permissible value in the
construction specifications.
e) Horizontal earth pressure (EH) for cut-and-
cover and immersed tube tunnels shall be
determined in accordance with the LRFD
Specifications, except as modified herein.
f) EH is generated by the soil and fill materials
and, for immersed tube tunnels, any scour
protection located above the fill. The properties
of the soil and fill materials shall be well
defined. The value of the EH shall be
calculated based on the properties of the soil
and specified fill materials. At-rest pressures
shall be used in the design of tunnels during the
permanent condition. The tunnel structure shall
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also be checked for the design case where the

maximum vertical load is applied on the roof
of the tunnel and active pressure on the sides of
the tunnel.
3.5.2.2—Apparent Earth Pressure (AEP) Diagrams for C3.5.2.2

Design of Braced Support of Excavation (SOE)
Walls Used as Part of the Permanent Structure
The provisions of this article shall apply only to For permanent wall elements, numerical
construction-stage loadings for braced or anchored SOE analyses, as defined in Article 3.5.2.5.c.1, are
walls that are also used as the permanent structural walls commonly performed to assess structure and ground
for the tunnel in cut-and-cover construction. The displacements, as well as determining load demands
provisions of this article only apply to construction for the structural elements. Accordingly numerical
stages where multiple levels of anchors or bracing is analyses should typically be performed for most
used. The AEP diagrams provided shall be used to check permanent wall applications. Use of AEP diagrams is
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the walls for the temporary bracing or anchored considered more appropriate for preliminary design
condition for all stages of excavation. The design of to estimate upper bound loads on the wall and on
these walls under permanent condition shall be support braces and anchors.
performed separately as presented in the LRFD Anchored walls have the bracing elements
Specifications. external to the excavation, braced walls have the
Except as specified herein, AEP diagrams shall be bracing elements internal to the excavation.
developed in accordance with the LRFD Specifications. AEP diagrams for the temporary braced
For top-down constructed structures, a soil– condition of deep excavations have been developed
structure interaction analysis that takes into account on the basis of field measurements to approximate the
construction staging, soil/wall stiffness, and ground distribution of lateral earth pressure upon SOE walls.
deformation shall be used to estimate lateral earth The envelope of expected maximum pressures and
pressure and ground deformations. their distribution along the SOE wall are affected by
the excavation process and cannot be determined by
conventional lateral earth pressure theory. These
diagrams are used for the temporarily braced
condition. For permanent lateral earth loads, refer to
the LRFD Specifications.
Construction of cut-and-cover tunnels in urban
and suburban areas usually requires a braced
excavation to control deformations and adverse
impact on adjacent surficial development. When SOE
walls are also used as the permanent walls, they are
typically braced in a temporary condition until the
permanent structural slabs are constructed. The
provisions of this section are intended for checking
the SOE walls in this temporary condition.
Bracing of excavations can consist of struts
extending across the excavation or ground anchors
installed through the SOE wall into the adjacent
ground. Use of ground anchors requires the
acquisition of temporary construction easements and
staging of the construction of the final structure to
accommodate de-stressing of the ground anchors.
Support of braced excavations is designed on the
basis of AEP diagrams. These diagrams are based on
empirical experience and measurement of
deformations and member stresses that have been
acquired over the years.
For more commentary, please refer to Article
C3.11.5.7 of the LRFD Specifications.
The at-rest and active lateral earth pressure
coefficients for cohesionless soils can be estimated
using equations included in Articles 3.11.5.2 and
3.11.5.7.1 of the LRFD Specifications, respectively.
In general, numerical methods may be used to
estimate deformations if necessary once the structural
members are designed based on the AEP diagrams.
The numerical methods shall not be used to evaluate
the ground pressures for these structures unless
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approved by the Owner and verified by prior local

experience.
Depending upon available right-of-way, cut-
and-cover tunnels in exurban and rural areas can be
constructed within open excavations with properly
designed sideslopes.
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3.5.2.2.1—AEP Diagram for Cohesionless Soil

AEP for braced excavations in cohesionless
soils shall be assumed to be distributed as shown in
Figure 3.5.2.2.1-1. The magnitude of the load shall
be taken as:
pa = 0.65k γsH (3.5.2.2.1-1)
where:
k = average of at-rest lateral earth pressure

coefficient and the active lateral earth
pressure coefficient for semi-rigid SOE walls
(diaphragm (slurry) walls, tangent pile walls,
or secant pile walls), or the active earth
pressure coefficient for flexible walls (sheet
piling, soldier piles, etc.).
γs = unit weight of soil (kcf)
Use buoyant unit weight of soil below groundwater

and moist unit weight above groundwater table.
Hydrostatic water pressure shall be applied in addition
to the buoyant weight of soil.
H = total excavation depth (ft)

The magnitude of the load (pa) included in the
See Figure 3.5.2.2.1-1. LRFD Specifications is applicable for flexible walls
For anchored walls in cohesionless soils, the lateral only (e.g., sheet piling, soldier piles, etc.). Equation
loads shall be developed based on the AEP diagrams 3.5.2.2.1-1 is applicable for semi-rigid walls (e.g.,
presented in LRFD Specifications, except for the diaphragm walls, tangent or secant pile walls) as well
magnitude of the load (pa). The magnitude of the load as flexible walls.
(pa) shall be developed based on Equation 3.5.2.2.1-1.
Figure 3.5.2.2.1-1—EP Distribution for Braced

Walls in Cohesionless Soils
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3.5.2.2.2—AEP Diagrams for Cohesive Soil C3.5.2.2.2

The AEP distribution for cohesive soils shall be
determined using the stability number, NS, which
shall be defined as:
NS = γsH (3.5.2.2.2-1)
Su
where:
γs = total unit weight of soil (kcf)
H = total excavation depth (ft)
Su = undrained shear strength
In the absence of laboratory test data, Laboratory or in-situ testing should be used to
pa = 0.3γsH should be used for the maximum determine representative values of undrained strength
pressure ordinate when struts or ground anchors are for final design.
prestressed or locked off at 75 percent of the
unfactored design load or less. When struts or
ground anchors are prestressed or locked off to 100
percent of the unfactored ground load or greater, a
maximum pressure ordinate of pa = 0.4γsH may be
used.
The AEP diagrams and earth pressures
specified in this section are for braced excavations
only. For anchored walls, the AEP diagrams and
earth pressures in the LRFD Specifications shall be
used.
3.5.2.2.2.1—Stiff to Hard Cohesive Soil

For braced excavations in stiff to hard cohesive
soil (NS ≤ 4), the earth pressure may be determined
using Figure 3.5.2.2.2.1-1, with the maximum
ordinate of the pressure diagram, pa, computed as:
pa = 0.2 γsH to 0.4 γsH (3.5.2.2.2.1-1)
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H
H1
1
4
P1
H2
H P2
H
1
2
Hn
Pn
Hn+1
H
1
4
R pa
Figure 3.5.2.2.2.1-1—Apparent Earth Pressure

Distribution for Braced Walls in Stiff to Hard
Cohesive Soils (FHWA, 1999)
3.5.2.2.2.2—Medium Stiff to Stiff Cohesive Soil

For soils with 4 < NS < 6, use the larger of pa
from Equation 3.5.2.2.2.1-1.
3.5.2.2.2.3—Soft to Medium Stiff Cohesive Soil

For braced excavations in soft to medium stiff
cohesive soil (NS ≥ 6), the AEP diagrams and earth
pressures included in the LRFD Specifications for
anchored walls shall be used.
3.5.2.3—Cut-and-Cover and Immersed Tunnels in C3.5.2.3

Rock
a) Lateral rock pressure for design of cut-and- Tetrahedral wedge geometry can be defined
cover tunnels in rock shall be determined from when there are sufficient data on joint dip angle and
analysis of tetrahedral or planar failure wedges dip direction to define wedges. See Section 5 for
defined by the vertical excavation line and the definitions of these terms.
top of rock.
b) When data are insufficient to define tetrahedral
wedges, lateral rock pressures shall be
determined by analyzing planar failure wedges. --`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
c) Analyses will require values for frictional and This will result in a conservative evaluation of
cohesion components of the shear strength of lateral rock pressure.
individual joints. Section 5 provides guidance
on determination of these values, as well as
representative values of joint friction for
particular rock types.
d) Surcharge loads, such as weight of soil
overburden and foundation effects, shall be
added to the wedge analyses.
e) Alternatively, a nominal rock load consistent Often, there is a gap between the excavated rock
with local practice for the design of building surface and the side of a cut-and-cover tunnel, and the
foundations in rock may be used. gap is backfilled with soil. When rock excavation is
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required for an immersed tube tunnel, the excavated

trench would be wider than the tunnel element,
requiring placement of backfill in the space between
the tunnel wall and the excavated rock surface. For
these cases, the design also needs to consider the
lateral pressure from the soil backfill.
f) For highly fractured and weathered rock,
lateral rock pressures may be determined
assuming properties of an equivalent soil
material.
3.5.2.4—Mined Soft Ground Tunnels C3.5.2.4
a) The EV for mined tunnels in soft ground may Numerical analyses performed utilizing finite
be taken as the pressure resulting from the total element or finite difference computer software may
height of ground directly over the tunnel crown also be used to determine the earth pressures and
when the height of ground over the tunnel resulting load effects for the design of mined soft
crown is two times the excavated width of the ground tunnels.
tunnel or less.
b) When the height of ground directly over the
tunnel crown is greater than two times the
excavated width of the tunnel, the minimum
EV shall be the pressure resulting from a height
of soil equal to two times the excavated width
of the tunnel. The arching action of the soil
shall be evaluated to determine if this minimum
pressure should be increased to account for the
additional height of soil over the tunnel crown.
c) EH shall be the at rest earth pressure. The EH The at-rest earth pressure immediately after
shall vary linearly between the tunnel crown excavation (short term) will be lower than the long-
and tunnel invert. term at-rest earth pressure that develops with time.
At-rest earth pressure is related to both the material
characteristics and the stress history of the geologic
stratum in which the tunnel is constructed. Both the
short-term and long-term at-rest pressure shall be
checked in combination with lower and upper bounds
of groundwater pressures.
3.5.2.5—Mined Rock Tunnels C3.5.2.5
Rock loads for initial ground support and final Detailed information including guidance on the
lining design may be computed by one of the use of the methods described in this section can be
following methods depending on ground found in the Technical Manual (AASHTO, 2010).
conditions, geometry, size, and complexity of the Each method has appropriate applications and
tunnel being designed. The appropriate method limitations.
shall be selected based on the guidance in the
Technical Manual for Design and Construction of
Road Tunnels—Civil Elements (AASHTO, 2010).
Where commercially available software is
used, the Engineer shall be responsible for the
subsequent design.
a) Empirical Methods
1. Rock Load Method as presented in the This method was originally developed by
U.S. Army Corps of Engineers Manual Terzaghi (1946) and modified by Deere and Miller
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EM-1110-2-2901 Tunnels and Shafts in (1967). This method does not account for ground–
Rock (USACE, 1997). structure interaction and the ability of a rock mass to
The rock load in ksf is equal to the unit self-support with or without reinforcement. It is based
weight of the rock determined by on an assumed rock wedge that is supported by the
laboratory testing multiplied by the value initial support or final lining. The size of the wedge is
Hp from Table 3.5.2.5-1. a function of the tunnel’s excavated width. This
Initial and final support structural method yields conservative results for loadings on the
elements shall be designed using the final supporting structure.
rock load Hp values given in Table Table 3.5.2.5-1 is adapted from the U.S. Corps of
3.5.2.5-1. Engineers manual EM-1110-2-2901. Refer to Section
For rock conditions 4, 5, 6, 7 when above 5 for additional information.
groundwater table, reduce the loads by 50
percent.
C = B + Ht (3.5.2.5-1)
where:
B = excavated width of the tunnel

Ht = excavated height of the tunnel
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Table 3.5.2.5-1—Terzaghi’s Rock Load Classifications as Modified by Deere et al. 1970 (USACE, 1997)
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2. Tunneling Quality Index (Q) developed by This method proposes the use of a Tunneling Quality
Barton, Lien, and Lunde (1974), updated by Index (Q) for the determination of rock mass
Grimstad and Barton (1993). characteristics and tunnel support requirements. This
method is based on field observation and case histories
and does not take into account the concept of ground–
structure interaction.
3. Rock Mass Rating (RMR) system
developed by Bieniawski (1989).
4. Ubiquitous Joint Method

For conventional two-lane or three-lane In this method, rock wedges developed from
highway tunnels with a total excavation width in discontinuity information developed by the subsurface
the range of 40 to 55 feet, use a maximum apex investigation program are drawn to scale on a tunnel
height of 15 feet. cross-section. Apparent dip angle and dip directions are
An envelope is drawn through the wedge plotted, oriented to the azimuth of the tunnel longitudinal
apices and the rock load (ksf) is the total weight axis. This method requires the assumption of a maximum
of rock beneath the envelope, divided by the wedge apex height. Apex heights greater than 15 feet
opening width. would be unusual.
This load shall be directly applied for the
design of the final lining, using appropriate load
factors and resistance factors, and using either
total unit weight of the rock or buoyant unit
weight, depending upon groundwater
conditions.
The total unit weight rock load shall be used
for design of temporary (initial) support such as
rock reinforcement or direct rock support such
as steel ribs or lattice girders, without
considering water pressure (for cases where
excavation drains the rock mass or substantially
reduces water pressure on the joints).
b) Analytical Methods
1. Kirsch’s elastic closed form solution. This method is limited to use with simple geometries
and material models and is therefore of limited practical
value. This method is considered useful for checking the
reasonableness of the design developed using other
methodologies.
2. Ground reaction curves as developed by This method relates internal support pressure to
Hoek, Kaiser, and Bawden (1995). tunnel wall convergence. This method is based on an
assumed elastic behavior of the support, and its ability to
resist the deformation of the surrounding rock resulting
from the excavation. Although this method accounts for
structure–ground interaction, it does not fully account for
the ability of the rock to support itself with nominal
resistance from the supporting structure.
3. Reinforced Arch Concept developed by This concept is based on the true behavior of rock
Bischoff and Smart (1977). bolts: to act as reinforcement of the rock arch around the
opening.
4. Computer software that develops the size
and shape of wedges formed in the rock
mass surrounding a tunnel excavation based
upon the geometry and orientation of the
joint sets.
c) Numerical Methods
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1. Numerical analysis programs that predict

the behavior of structures and the
surrounding ground. Acceptable methods of
analysis include finite element method
(FEM), finite difference method (FDM),
boundary element method (BEM), discrete
element method (DEM), and hydrocodes.
3.5.3—Surcharge Loads (ES) C3.5.3
Surcharge loads shall be calculated in accordance Concentrated surcharge loads induced by buildings
with the LRFD Specifications. Surcharge loads shall and other foundations are typically the result of dead load,
include loads from existing buildings and other live load, wind load, and possibly other loads that are
infrastructure foundations, loads from planned or future associated with load factors other than ES. However, the
development, and surcharge from future sedimentation or controlling uncertainty in load prediction for surcharges
landslides that could be applied to the tunnel. is the transmission of the surcharge load through the soil
The factored soil stress increase on the tunnel wall or to the tunnel below the surface. Hence, ES should be
lining caused by concentrated surcharge loads or stresses applied to the unfactored concentrated surcharge loads.
from structures constructed adjacent to or above the When available, construction plans and other
tunnel alignment shall be calculated using the unfactored information regarding existing buildings should be
surcharge loads generated by the structure multiplied by consulted to establish realistic surcharge load values and
the load factor ES. to determine the point of application of the loads relative
to the position of the tunnel.
3.5.4—Piping Loads (PI)
Loads due to piping for water supply and

firefighting/protection piping shall be determined
according to the following:
• Fixed fire suppression (deluge/sprinkler system)—

NFPA 13
• Standpipe—NFPA 14
• Water main serving both type systems—NFPA 24
• Ice accumulation of 1/2 inch around the entire
perimeter of an exposed pipe in conditions where ice
can form on pipes
3.6—LIVE LOADS
3.6.1—Gravity Loads (LL and PL)
3.6.1.1—Vehicular Live Load (LL) C3.6.1.1
Tunnel components subject to highway vehicular

loads and/or loads associated with specialized vehicles
used for tunnel maintenance and operations shall be
designed in accordance with Article 3.6.1 of the LRFD
Specifications.
The loading and characteristics of specialized When designing for specialized equipment or an
equipment expected to operate inside the tunnel shall be Owner-specified special permit design load,
specified by the owner. consideration should be given to lowering the live-load
load factor of the Strength T-I limit state to 1.35 as
suggested by the Strength T-II limit state of the LRFD
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Specifications.
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Barriers or railing in the roadway portion of tunnels

subject to traffic and or bicycle loads shall be designed in
accordance with Section 13 of the LRFD Specifications.
3.6.1.2—Pedestrian Loads (PL) C3.6.1.2
A pedestrian load of 0.075 ksf shall be applied to A detailed discussion of the development of the
components inside the roadway portion of the tunnel that pedestrian load is given in the AASHTO LRFD Guide
are subject to pedestrian loads. Specifications for Design of Pedestrian Bridges
The pedestrian live load to be applied to components (AASHTO, 2009).
outside the roadway portion of the tunnel shall be
determined by the planned use for the space.
A minimum live load of 0.1 ksf shall be applied to The minimum live load stipulated here accounts for
suspended ceilings over roadways that enclose ventilation personnel carrying small tools and light equipment into
ducts large enough for personnel to enter. This load shall the air duct for the purposes of maintenance and repairs.
be applied to the suspended ceiling in a manner that Tunnel owners may elect to design suspended ceilings for
causes the maximum load effect to the components, the larger loads and should incorporate any special
connections, and attachments that comprise the operational aspects of the tunnel into the design loading
suspended ceiling systems. for the ceilings.
Ancillary spaces such as staircases, corridors, and These underground spaces may be used in the event
cross passages adjacent to or between tunnels shall be of an emergency evacuation of the tunnel and as such can
designed for a minimum pedestrian live load of 0.15 ksf. be congested with motorists exiting the tunnel. Therefore
a larger live load is specified for these spaces.
Spaces containing machinery should be designed for
a live load consistent with the use of the space and local
building codes.
Pedestrian railings shall be designed in accordance
with Section 13 of the LRFD Specifications.
3.6.1.3—Vehicular Dynamic Load Allowance (IM)
The static effect of the design truck or tandem, other

than centrifugal or braking force, shall be increased by the
percentage specified in Article 3.6.2.1 of the LRFD
Specifications.
3.6.1.4—Attachment Dynamic Load Allowance (IA)
The static effects of mechanical equipment and water

lines shall be increased to account for the dynamic effects
of starting, stopping, and operating the machinery and
water lines.
The dynamic effect of mechanical equipment shall be
obtained from equipment manufacturers or estimated and
confirmed during construction from information provided
by the equipment manufacturer.
The dynamic effects from water lines shall be
determined as part of the design of the water system in
accordance with Article 3.5.4.
3.6.1.5—Centrifugal Forces (CE) and Braking Forces

(BR)
Centrifugal forces and braking forces shall be

computed in accordance Section 3 of the LRFD
Specifications.
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3.6.1.6—Live Load Surcharge (LS)
Live load surcharge forces shall be computed in

accordance Section 3 of the LRFD Specifications.
3.7—WATER LOADS (WA, WAf , WAt, WAtsu)
WA during construction is dependent upon the

construction methodology. See Sections 6, 7, and 8 for
additional information.
Groundwater elevations shall be determined as part
of the subsurface investigation program. Seasonal, flood,
and tidal variations in groundwater elevations shall be
determined as part of the subsurface investigation
program.
Water loads applied to the tunnel shall be the actual
hydrostatic pressure applied to the tunnel as determined
by the ground water elevation or water surface elevation
as determined in the subsurface investigation. The
hydrostatic pressure shall vary linearly across the height
of the tunnel from crown to invert according to the depth.
Water loads for cases where the tunnel is constructed
within a confined aquifer shall be based on the
groundwater pressures within the aquifer.
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Water loads may be reduced if an active drainage
system is installed in the tunnel. If an active drainage
system is installed, the actual loading applied to the tunnel
shall be determined on the basis of groundwater flow
rates. Design of the active drainage system shall include
provisions for inspection and maintenance of the system.
Tunnels in coastal areas are subject to flooding and A tsunami is in effect a very long period wave,
tsunamis. Tsunami and flood water surface elevation usually led by the trough. Typical effects of the trough are
levels shall be determined from historical data and/or that it reduces the water level in front of sea walls without
modeling. The effects of tsunami and flood water shall giving time for the water level behind to fall, toppling
be considered in the design and shall not be combined walls towards the sea.
with other extreme loads.
When designing for resistance to buoyancy, only the
permanent structural loads shall be used to resist the
effects of buoyancy. The weight of items that could be
removed from the tunnel such as machinery, lighting
fixtures, signs, signals, and architectural finishes shall not
be included in the calculation of the resisting forces.
See Article 8.7.1.2.1 for transient water loads for
immersed tunnels.
3.8—AIR PRESSURE LOADS (AP) C3.8
AP are developed from two sources: the tunnel

ventilation system and vehicles passing through the
tunnel.
Air pressures from the ventilation system shall be Guidance for the design of the tunnel ventilation
determined from the design of the tunnel ventilation system can be found in Section 2.
system and shall be applied to the structure and/or
structural system and its connections and attachments to
the tunnel in accordance with the load combinations
provided.
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AP generated by passing vehicles shall be used in the The transient air pressures from the ventilation
design of attachments to the tunnel and supports for signs, system and the passing of vehicles can be the source of
signals, cameras, piping, suspended ceilings, and any repetitive loading that requires a check for fatigue. The
other feature located inside the roadway portion of the calculation of air pressures due to passing vehicles is a
tunnel. complex process. Hand methods for calculating air
In the absence of more detailed analysis, the air pressures from passing vehicles can be found in the
pressure exerted on attachments to the tunnel interior due Subway Environment Design Handbook, Volume I
to passing vehicles may be taken as 10 psf. This force (1976). The maximum pressure acting on attachments to
effect shall be applied in both directions and act in a load the tunnel interior induced by traffic can be estimated
reversal manner. based on the calculation procedures for “Portal Entry”
The number of cycles for use in the fatigue design of and “Portal Post Entry” in the SEDH. The “Portal Entry”
attachments shall be determined based on the number of and “Portal Post Entry” calculation procedure predicts the
trucks expected to pass through the tunnel during the pressure profile in the vicinity of the vehicle entering the
anticipated service life of the attachment. tunnel as the vehicle transits the portal and continues
down the tunnel. The pressure profile can then be used to
determine the maximum pressure transients acting on the
tunnel structures. The calculation procedure is
demonstrated in Example 3.11 in the handbook.
Alternately, the Subway Environment Simulation
(SES) program can be utilized for predicting pressure
transients in tunnels. This methodology was utilized to
determine the 10 psf pressure value provided in Article
3.8. The data used in the analysis are as follows:
Tunnel Data:
o Length = 8,000 feet
o Cross-Sectional Area = 510 square feet
o Perimeter = 94 feet
o Friction Factor = 0.025
Truck Data:
o Length = 60 feet
o Cross Sectional Area = 80 square feet
o Perimeter = 36 feet
o Skim Friction Coefficient = 1.0
o Drag Coefficient = 1.0
o Vehicle Speed = 50 mph
Cases Examined:
o Single truck through the tunnel
o Two trucks side by side
The SES program software, reports, and background

information can be obtained through the U.S. Department
of Transportation, Research and Innovative Technology
Administration, Volpe National Transportation Systems
Center.
3.9—EARTHQUAKE EFFECTS (EQ)

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See Section 10 for calculation of earthquake effects.
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3.10—FORCE EFFECTS DUE TO

SUPERIMPOSED DEFORMATIONS (TU, TG,
SH, CR, SE, PS)
3.10.1—Uniform Temperature (TU) C3.10.1
Tunnel elements subject to uniform temperature Examples of tunnel elements that are subject to
change shall be designed in accordance with provisions uniform temperature change include suspended ceilings
of Article 3.12 of the LRFD Specifications. and roadway slabs that enclose ventilation ducts.
3.10.2—Temperature Gradient (TG) C3.10.2
The temperature gradient between the inside face The temperature gradient described in this Article is
(face of tunnel lining exposed to the inside of the tunnel) the gradient due to temperature differences between the
of the tunnel lining and the outside face (face of tunnel inside and outside face of the tunnel lining due to seasonal
lining adjacent to the ground) is a function of the average changes in ambient air temperature inside the tunnel. This
yearly variation in the outside ambient air temperature at provision shall not be used to check the tunnel lining
the tunnel site. For normal ranges of tunnel lining under fire conditions. For fire loading, see Article 3.12.
thickness (<30″), the temperature gradient between the The provisions of this section are derived from
inside and outside face of the tunnel lining may be research performed in the development of the SES
estimated as 4º F per 20º F variation in yearly average program software. Reports and background information
outside ambient air temperature. The temperature can be obtained through the U.S. Department of
gradient shall be checked with both the lower and higher Transportation, Research & Innovative Technology
temperature on the inside face of the tunnel lining. Administration, Volpe National Transportation Systems
Frictional restraint from the foundation and backfill Center.
material shall be considered and may influence Information regarding local ambient temperature
longitudinal axial forces. yearly variations should be determined from historical
records for the location of the tunnel. If more accurate
information is not available, the maximum and minimum
values presented in Figures 3.12.2.2-1 and 3.12.2.2-2
respectively in the LRFD Specifications can be used.
3.10.3—Differential Shrinkage (SH)
Where appropriate, differential shrinkage strains

between concretes of different age and composition, and
between concrete and steel, shall be determined with the
provisions of Section 5 of the LRFD Specifications.
In the case of concrete immersed tunnels, adequate
attention to details and construction methods shall be
employed to minimize cracking resulting from shrinkage.
3.10.4—Creep (CR)
Creep strains for concrete shall be in accordance with

the provisions of Section 5 of the LRFD Specifications.
3.10.5—Settlement (SE) C3.10.5

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The effects of settlement of immersed and cut-and- The settlement described herein is the settlement of
cover tunnel structures shall be evaluated. Ground and the tunnel structure and does not address the effects of
structure settlement due to applied loads, dewatering, settlement and ground movement caused by the tunnel
excavations, tunneling, pile driving, and other excavation on adjacent existing structures and
construction activities shall be estimated in designs, using infrastructure. These effects should be evaluated as part
generally recognized procedures and methods of analysis. of a tunnel project. Methodologies for predicting ground
Differential settlement due to varying ground and movements due to tunnel excavation can be found in
loading conditions longitudinally and transversely shall Sections 6 and 7.
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be analyzed and the effects of predicted settlement shall

be accounted for.
See Article 8.7.1.1.1 for information regarding
settlement of immersed tunnel sections.
When ground treatment is used that could degrade
with time (for example ground freezing) the effects of
settlement due to the degradation shall be considered
regardless of the construction methodology used to
construct the tunnel.
3.10.6—Secondary Forces from Post-Tensioning (PS) C3.10.6
The application of post-tensioning forces on a In frame analysis software, secondary forces are
continuous structure produces reactions at the supports generally obtained by subtracting the primary prestress
and internal forces that are collectively called secondary forces from the total prestressing.
forces, which shall be considered where applicable.
3.11—BLAST LOADING (BL) C3.11
Where it has been determined that a tunnel or tunnel The size, shape, location, and type of explosive
component shall be designed for intentional or charge determine the intensity of the blast effect produced
unintentional blast effects, the following shall be by an explosion. For comparison purposes, all explosive
considered: charges are typically converted to their equivalent TNT
charge weights.
• Size of explosive charge Explosions inside a tunnel create effects very
• Shape of explosive charge different from an explosion in the open air. When an
• Type of explosive explosion occurs in a tunnel, the peak pressure and the
• Stand-off distance impulse associated with the shock front are extremely
• Location of the charge high and amplified by the confining structure. Because of
• Possible modes of delivery and associated the close-in effects of the explosion and the amplification
capacities (e.g., maximum charge weight will of the blast pressures due to reflections within the
depend upon the delivery method and can structure, the distribution of the shock loads on any one
include pedestrians, cars, trucks, buses, etc.) surface is non-uniform and extremely complicated.
An explosion in an underground structure produces
• Fragmentation associated with vehicle-delivered
an air blast that interacts with the tunnel surface and may
explosives
also induce damage to the surrounding ground. The
underground features (tunnel lining and surrounding
ground) go through several cycles of expansion and
rebound (reflection) due to the shock interactions between
the tunnel boundary and the air. The rebound motion is
considered to be the most critical with regard to the
potential separation of a liner from its confining
surrounding grout and/or ground. After or during
separation and fragmentation of the liner, the dynamic
wave propagates through the surrounding medium,
potentially damaging adjacent structures and surface and
underground utilities. The disruption of the intimate
contact between the tunnel lining and the surrounding
medium can cause additional instability in the tunnel
lining due to the fact that the tunnel lining and
surrounding ground rely on each other for stability. This
loss of surrounding ground support can lead to secondary
damage due to unanticipated loading on the lining
resulting in collapse of the tunnel lining.
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Other modes of failure of a tunnel lining due to blast

include excessive cracking that leads to excessive water
infiltration and flooding for tunnels under the
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groundwater table. Breaching of the tunnel lining can also

lead to flooding or the inflow of surrounding earth. The
loss of ground surrounding the tunnel due a breach could
lead to collapse of the tunnel lining or settlement at the
surface.
Post-blast analysis of the effects of the explosion
should be a component of the investigation into the effects
of the blast.
Information on blast loads and their effect on tunnels
may be found in S. Choi (2009), FHWA (2003), and
NCHRP (2006).
3.12—FIRE LOAD (FI) C3.12
Tunnel elements essential to the stability of the Tunnel elements essential to the stability of the
opening that are directly exposed to the effects of a opening include any element in direct contact with the
vehicle fire in the roadway portion of the tunnel shall be surrounding ground and any element that supports or
designed to resist the heat released by the design fire for braces an element in direct contact with the ground.
a minimum of 1 hour. Analysis of heat transfer to the Owners may elect to include other components or tunnel
material that includes material behavior as it absorbs the elements in this category at their discretion.
heat shall be performed. Additional information can be obtained from the ITA
Alternately, essential tunnel elements can be Guidelines for Structural Fire Resistance of Road
protected from exposure to heat by sacrificial layers, Tunnels (Russell, 2004) and NCHRP Synthesis 415
protective coatings, or protective boards. Protective (Maevski, 2011).
measures shall be designed to provide protection against
the heat released by the design fire for a minimum of 1
hour with a maximum temperature at the surface of the
protected element of 250º C.
3.13—SHIP SINKING (SS)
The primary sunken ship design case for Extreme

Event Limit State T-II shall be assumed to result from a
ship of the size approximating those using or expected to
use the waterway and which has the most severe load
effect on the tunnel. In lieu of more accurate data, the
imposed loading of a sunken ship resting on the tunnel
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may be taken as a uniformly distributed loading over an

area not exceeding the full width of the tunnel times a
length as measured on the longitudinal axis of the tunnel
of 100 ft.
The intensity of an appropriate uniformly distributed
loading from a sunken ship may be determined by
methods such as those outlined in Chapter 6 of the
International Tunneling Association Immersed and
Floating Tunnels State of the Art Report (1997),where
typical values may also be found.
If appropriate, based on marine traffic for Extreme
Event T-II, a secondary sunken ship design case shall be
assumed to consist of a smaller vessel, such as a ferry or
barge, sinking and impacting the tunnel structure with the
stem or sternpost in a manner similar to that of a dropped
anchor. In lieu of more accurate data for the secondary
sunken ship, a static equivalent concentrated load of 225
kips working on an area of 3.3 × 6.6 ft² directly on the
tunnel roof may be considered.
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3.14—ANCHOR DROP (AD)
The effect of an anchor impacting the underwater

tunnel structure directly or being dragged across the line
of the tunnel structure shall be considered. The tunnel
structure shall be designed either to resist the full loading
imposed by the design anchor system or the fill and scour
protection system shall be designed to mitigate the
loading, in which case the tunnel structure may be
designed for the reduced loading. Rupture of any
waterproofing system shall not occur. The design anchor
shall be selected as appropriate to shipping using or
expected to use the waterway, based on the relevant
section of the American Bureau of Shipping Rules.
The intensity of loads from falling anchors may be
determined by methods such as those outlined in Chapter
6 of the International Tunneling Association Immersed
and Floating Tunnels State of the Art Report (1997),
where typical values may also be found.
The penetration depth of a falling anchor through
tunnel roof protection material shall be estimated. The
formulae given in The International Federation for
Structural Concrete Information Bulletin No. 187,
“Concrete under Impact and Impulsive Loading” (August
1988), reproduced below, may be used to calculate the
anchor penetration depth in granular material.
𝑥𝑥 = 0.4𝑁𝑁𝑝𝑝𝑝𝑝𝑝𝑝 𝑑𝑑𝑒𝑒 (3.14-1)
3.0𝑚𝑚𝑤𝑤
𝑁𝑁𝑝𝑝𝑝𝑝𝑝𝑝 = 3.28� 3 ∙ 𝑣𝑣𝑖𝑖 (3.14-2)
𝐸𝐸 𝑟𝑟 𝑑𝑑𝑒𝑒
4𝐴𝐴
𝑑𝑑𝑒𝑒 = � (3.14-3)
𝜋𝜋
𝐴𝐴 = 6.5 + 0.005 m a (3.14-4)

--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
where:
x = penetration depth (ft)
N pen = penetration parameter
de = equivalent diameter of anchor striking area

(ft)
mw = weight of anchor reduced by the mass of

the displaced water (lb)
ma = weight of anchor in air (lb)
Er = modulus of elasticity in the longitudinal

direction of the layer (lb/ft²)
vi = impact velocity of anchor (ft/s)
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A = cross-sectional striking area of anchor (ft²)
Figure 3.14-1—Graph of Dynamic Load Factor (DLF)

against 𝑻𝑻𝒅𝒅 / 𝑻𝑻
The calculated maximum penetration depth shall not

exceed 90% of the total depth of the protection layer
covering the tunnel using the 5% fractal value for E r . The
dynamic load factor (DLF) ratio of the static equivalent
load on the tunnel roof to the triangular dynamic load
pulse F = m w v i / Td may be obtained from Figure
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
3.14-1 using the minimum duration of impact Td = x / v i

(where x is calculated with the 95 percent fractal value for
E r ), and the natural period, T, of the affected element.
3.15—CONSTRUCTION LOADS (CS) C3.15
Recommended construction loading types for the The recommended construction loading types are
tunnel construction methodologies are provided in the based on typical loads used in the design of tunnel
Sections specific to those methodologies. The Contractor projects. The design for construction loads is highly
shall be responsible for verifying that the construction dependent upon Contractor means and methods.
loadings can be supported by the tunnel structural
components.
3.16—REFERENCES
3. AASHTO. LRFD Guide Specifications for Design of Pedestrian Bridges. 2nd ed. American Association of State
4. American Bureau of Shipping. Rules for Building and Classing Steel Vessels Under 90 Meters (295 Feet) in
Length. American Bureau of Shipping, Houston, TX, 2016.
5. American Concrete Institute. “Guide for Determining the Fire Endurance of Concrete Elements” (ACI 216R).
1989.
6. Barton, N., R. Lien, and J. Lunde. "Engineering Classification of Rock Masses for the Design of Tunnel
Support”. Rock Mechanics, Vol. 6, No. 4. 1974.
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7. Bickel, J., T. Kuesel, and E. King. Tunnel Engineering Handbook. 2nd ed. Chapman & Hall, NY. 1996.
8. Bieniawski, Z. T. Design Methodology in Rock Engineering. Rotterdam: A.A., 1992.
9. Bieniawski, Z. T. Engineering Rock Mass Classifications: A Complete Manual for Engineers and Geologists in
Mining, Civil and Petroleum Engineering. Wiley, New York, 1989.
10. Choi, Sunghoon. “Tunnel Stability Under Explosion,” Parsons Brinckerhoff, Incorporated, New York, NY,
2009.
11. Deere, D.U., et al. “Design of Tunnel Liners and Support Systems.” PB 183799, National Technical
Information Service, Customer Services Clearing-house, U.S. Department of Commerce, Springfield, Virginia,
1967.
12. FHWA. “Recommendations for Bridge and Tunnel Security.” The Blue Ribbon Panel on Bridge and Tunnel
Security, Federal Highway Administration, U.S. Department of Transportation, Washington, DC, 2003.
13. FHWA. Reference Manual on Earth Retaining Structures. Publication No. FHWA-NHI-99-025, Federal
Highway Administration, U.S. Department of Transportation, Washington, DC, April 1999.
14. Grimstad, E. and N Barton. Updating of the Q-System for NMT. In Kompen, Opsahl & Berg (eds.), Proc. Of
the International Symposium on Sprayed Concrete – Modern Use of Wet Mix Sprayed Concrete for
Underground Support, Fagernes, Norway, 1993.
15. The International Federation for Structural Concrete. “Concrete Structures under Impact and Impulsive
Loading.” Information Bulletin No. 187, International Federation for Structural Concrete, August, 1988.
16. International Tunneling Association (ITA). Guidelines for Structural Fire Resistance for Road Tunnels.
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
Working Group Number 6: Maintenance and Repair, Lausanne, Switzerland, May, 2004.
17. International Tunneling Association. Immersed and Floating Tunnels State of the Art Report. Working Group
No. 11, Tunneling and Underground Space Technology, Vol. 12, No. 2, Pergamon Press, Oxford, United
Kingdom, April 1997.
18. Kirsch, G. Die Theorie der Elastizität und die Bedürfnisse der Festigkeitslehre. Zeitschrift des Vereines
deutscher Ingenieure, 42, 797–807, Springer, 1898.
19. Maevski, I. National Cooperative Highway Research Program Synthesis 415: Design Fires in Road Tunnels.
NCHRP, Transportation Research Board, Washington, DC, 2011.
20. McMahon, G.W. Vulnerability of Transportation Tunnels to Terrorist Attack. Bridge and Tunnel Vulnerability
Workshop, sponsored by Federal Highway Administration.
21. Mitchell, J.K and K. Soga. Fundamentals of Soil Behavior. J. Wiley and Sons, 1976.
22. National Cooperative Highway Research Program. National Cooperative Highway Research Report 525:
Making Transportation Tunnels Safe and Secure. NCHRP, Transportation Research Board, Washington, D.C,
2006.
23. Russell, R.A. ITA Guidelines for Structural Fire Resistance of Road Tunnels. International Tunneling and
Underground Space Association, Lausanne, Switzerland, 2004.
24. Terzaghi, K. “Rock Defects and Loads on Tunnel Supports.” Rock Tunneling with Steel Support, Commercial
Shearing Co., Youngstown, OH, 1946, pp15–99.
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25. Transit Development Corporation, Inc. and Urban Mass Transportation Administration. Subway Environmental
Design Handbook, Volume I, Principles and Applications (SEDH). 2nd ed. NTIS PB254788, Associated
Engineers, a Joint Venture of Parsons Brinckerhoff Quade & Douglas, Inc., DeLeuw Cather & Company, and
Kaiser Engineers, 1976.
26. U.S. Army Corps of Engineers (USACE). “Engineering and Design, Tunnels and Shafts in Rock.” EM 1110-2-
2901, U.S. Army Corps of Engineers, Washington, DC, May 1997.
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SECTION 4 – STRUCTURAL MATERIALS AND DESIGN CONSIDERATIONS
TABLE OF CONTENTS
4.1—SCOPE ...............................................................................................................................................................4-1
4.1.1—Material Properties .....................................................................................................................................4-1
4.2—DEFINITIONS ..................................................................................................................................................4-1
4.3—NOTATION.......................................................................................................................................................4-1
4.3.1—Abbreviations .............................................................................................................................................4-2
4.4—DESIGN REQUIREMENTS .............................................................................................................................4-2
4.4.1—General .......................................................................................................................................................4-2
4.4.2—Limit States ................................................................................................................................................4-2
4.4.3—Load Combinations ....................................................................................................................................4-3
4.5—CONCRETE STRUCTURES ............................................................................................................................4-3
4.5.1—Limit States ................................................................................................................................................4-3
4.5.1.1—Service Limit State ...............................................................................................................................4-3
4.5.1.2—Fatigue Limit State ..............................................................................................................................4-3
4.5.1.3—Strength Limit State .............................................................................................................................4-3
4.5.1.4—Extreme Event Limit State ...................................................................................................................4-4
4.5.2—Reinforced and Prestressed Concrete .........................................................................................................4-4
4.5.2.1—Material Properties .............................................................................................................................4-4
4.5.2.2—Design Considerations ........................................................................................................................4-4
4.5.2.3—Details of Reinforcement .....................................................................................................................4-6
4.5.3—Structural Plain Concrete ............................................................................................................................4-6
4.5.4—Fiber-Reinforced Concrete (FRC) ..............................................................................................................4-7
4.5.4.1.1—Steel Fibers ...............................................................................................................................4-7
4.5.4.1.2—Fiber-Reinforced Concrete .......................................................................................................4-8
4.5.4.2—Resistance Factors ..............................................................................................................................4-8
4.5.4.3—Design for Flexural and Axial Force Effects.......................................................................................4-9
4.5.4.3.1—Assumptions for Service Limit State ..........................................................................................4-9
4.5.4.3.2—Assumptions for Strength and Extreme Limit States .................................................................4-9
4.5.4.3.3—Flexural Members ...................................................................................................................4-10
4.5.4.3.3.1—General .........................................................................................................................4-10
4.5.4.3.3.2—Factored Flexural Resistance .......................................................................................4-10
4.5.4.3.3.3—Factored Early Age Flexural Resistance ......................................................................4-10
4.5.4.3.3.4—Factored Axial Resistance ............................................................................................4-11
4.5.4.3.3.5—Factored Axial/Moment Resistance ..............................................................................4-11
4.5.4.3.4—Bearing....................................................................................................................................4-11
4.5.4.3.4.1—General .........................................................................................................................4-11
4.5.4.3.4.2—Factored Bearing Resistance ........................................................................................4-11
4.5.4.3.4.3—Factored Splitting Resistance .......................................................................................4-11
4.5.4.3.5—Shear .......................................................................................................................................4-12
4.5.4.3.5.1—General .........................................................................................................................4-12
4.5.4.3.5.2—Factored Shear Resistance............................................................................................4-12
4.5.4.3.6—Details of Reinforcement .........................................................................................................4-12
4.5.4.3.6.1—Minimum Dosage Requirements ...................................................................................4-12
4.5.5—Shotcrete ...................................................................................................................................................4-12
4.5.5.1—Service Limit State .............................................................................................................................4-13
4.6—STEEL STRUCTURES ...................................................................................................................................4-14
4.6.1—Material Properties ...................................................................................................................................4-14
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`
4-i
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4.7—WOOD STRUCTURES ..................................................................................................................................4-14

4.8—LATTICE GIRDERS.......................................................................................................................................4-14
4.8.1—General .....................................................................................................................................................4-14
4.8.1.1—Definitions .........................................................................................................................................4-15
4.8.1.2—Notation .............................................................................................................................................4-15
4.8.2—Material Properties ...................................................................................................................................4-15
4.8.3—Limit States ..............................................................................................................................................4-15
4.8.3.1—General..............................................................................................................................................4-15
4.8.3.2—Service Limit State .............................................................................................................................4-16
4.8.3.3—Fatigue Limit State ............................................................................................................................4-16
4.8.3.4—Strength Limit State ...........................................................................................................................4-16
4.8.3.5—Extreme Event Limit State .................................................................................................................4-16
4.8.4—Design Considerations ..............................................................................................................................4-16
4.8.5—Design for Flexural and Axial Load Effects .............................................................................................4-16
4.8.6—Shear .........................................................................................................................................................4-17
4.9—REFERENCES ................................................................................................................................................4-17
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
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SECTION 4: STRUCTURAL MATERIALS AND DESIGN CONSIDERATIONS 4-1
4.1—SCOPE
This section covers material requirements and the

structural design of tunnel components made of concrete,
steel, and wood.
4.1.1—Material Properties
Refer to Section 8 of the LRFD Specifications for

wood material properties.
4.2—DEFINITIONS
For definitions not shown, see the LRFD Specifications or the reference document associated with the term.
Aspect ratio—The nominal length of an individual steel fiber divided by the diameter of the fiber.
Dosage—The mass of fibers per unit volume of concrete.
Flexural stress—Force per unit area at a given distance from the neutral axis, determined using linear elastic
assumptions.
Lattice girder—a ground support element consisting of an open lattice of three or four steel bars connected by lacing
bars and encapsulated with shotcrete, which is sprayed through the open-work lattice.
Modulus of rupture—The peak flexural strength of an unreinforced test beam.
Net deflection—The deflection of a beam specimen, measured at mid-span, excluding any extraneous effects due to
seating or twisting of the specimen on its supports or deformation of the support and loading system.
Neutral axis—The plane of zero stress in a member subjected to flexural stresses.
Peak flexural strength—The maximum flexural tensile stress recorded in a beam test. For a fiber volume fraction of
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
less than approximately 0.5 percent, the peak strength is equal to the modulus of rupture.
Residual flexural strength—The flexural tensile stress recorded in a beam test at a stated mid-span deflection.
Shotcrete—Sprayed concrete applied as dry mix or wet mix by pneumatic methods. Shotcrete may be either plain
shotcrete, applied alone or reinforced with welded wire fabric, glass-reinforced plastic (GRP) fabric, or steel fiber-
reinforced shotcrete (SFRS), which includes deformed steel fibers distributed throughout the shotcrete. Thin layers of
shotcrete (less than 4 in. [100 mm] nominal thickness) placed as surface protection to prevent raveling behaves as
membranes. Greater thicknesses should be analyzed as structural members, either alone or compositely with lattice
girders.
Toughness—The amount of energy absorbed during the cracking process. When a steel fiber-reinforced concrete
(FRC) specimen is tested in flexure, toughness is defined as the area under the load–deflection curve up to a certain
deflection. Toughness represents the ability of FRC to sustain load after it cracks.
Volume fraction—The concentration of fibers in concrete, defined as the volume of fibers per unit volume of concrete.
4.3—NOTATION
For notations not shown, see the LRFD Specifications or the reference document associated with the definition.
The following notations are applicable to steel fiber-reinforced concrete (FRC):
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df = Fiber diameter (4.5.4.3.6)

f150,3.0 = Residual flexural strength associated with a mid-span deflection of 3 mm (ASTM C1609) (psi)
(4.5.4.3.2) (4.5.4.3.3)
fe,d = Peak flexural strength at age in question (psi) (4.5.4.3.3.3)
fe,28 = Peak flexural strength at 28 days (psi) (4.5.4.3.3.3)
f’c,d = Compressive strength at age in question (psi) (4.5.4.3.3.3)
f’c,28 = Compressive strength at 28 days (psi) (4.5.4.3.3.3)
lf = Fiber length (4.5.4.3.6)
Mn = Nominal flexural resistance (ft-lbs) (4.5.4.3.3)
Mr = Factored flexural resistance (ft-lbs) (4.5.4.3.3)
Pn = Nominal compression resistance, nominal axial resistance (lbs) (4.5.4.3.3.4)
Pr = Factored compression resistance, factored axial resistance (lbs) (4.5.4.3.3.4)
Sm = Elastic section modulus (psi) (4.5.4.3.3)
s = Average distance between fibers (3D) (in.) (4.5.4.3.6.1)
Tn = Nominal splitting resistance (psi) (4.5.4.3.4.3)
Tr = Factored splitting resistance (psi) (4.5.4.3.4.3)
Vn = Nominal shear resistance (lbs) (4.5.4.3.5.2)
Vr = Factored shear resistance (lbs) (4.5.4.3.5.2)
vf = Fiber volume fraction (= volume of fibers per unit volume of FRC) (lbs/yd3) (4.5.4.3.6.1)
φ = Resistance Factor (4.5.4.2) (4.5.4.3)
σ2 = Stress at extreme tensile fiber associated with a mid-span deflection of 0.75 mm (ASTM C1609)
(psi) (C4.5.4.3.2)
σ3 = Stress at extreme tensile fiber associated with a mid-span deflection of 3 mm (ASTM C1609)
(psi) (C4.5.4.3.2)
ACI: American Concrete Institute

FRC: fiber-reinforced concrete
GRP: glass-reinforced plastic
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
SFRS: steel fiber-reinforced shotcrete
4.4—DESIGN REQUIREMENTS
4.4.1—General
The structural design of tunnel components shall

conform to the requirements of the LRFD Specifications
including all applicable interim changes, except as
modified or supplemented herein.
The structural behavior of components constructed

from concrete, steel or steel in combination with other
materials, and wood shall be investigated for each stage
that may be critical during the construction, handling,
transportation, and erection, as well as during the service
life of the structure of which they are a part.
Structural components shall be proportioned to
satisfy the requirements at the strength, extreme event,
service, and fatigue limit states.
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4.4.3—Load Combinations
Components and connections shall be designed to

resist load combinations as specified in Section 3 at all
stages during the life of the tunnel, including during
construction. Load factors shall be as specified in
Section 3.
4.5—CONCRETE STRUCTURES
4.5.1.1—Service Limit State C4.5.1.1
The service limit state shall be investigated in

accordance with the applicable requirements of Section
5 of the LRFD Specifications with the following
modifications:
• The spacing, s, of mild steel reinforcement bars In order to better minimize and distribute cracking
in the layer closest to the tension face shall be in concrete structures, more restrictive criteria than that
0.95 times that calculated in accordance with of the LRFD Specifications is presented as part of this
the LRFD Specifications. design specification. Cracking is a source of leakage in
• The provisions governing the control of underground structures. Limiting cracking through more
cracking by distribution of reinforcement are restrictive service requirements combined with dense
not applicable to structural plain concrete. concrete mixes will tend to minimize leaks associated
• Deformations for structural plain concrete shall with cracking.
be calculated in accordance with the latest
edition of the American Concrete Institute’s
Building Code Requirements for Structural
Concrete (ACI 318).
• Deformations for fiber reinforced shotcrete
shall be calculated in accordance with the
LRFD Specifications.
• The provisions governing the stress limits for
concrete are not applicable to structural plain
concrete or to fiber-reinforced concrete.
4.5.1.2—Fatigue Limit State
The fatigue limit state shall be investigated in

accordance with the applicable requirements of
Section 5 of the LRFD Specifications with the following
modifications:
• Fatigue shall be investigated for tunnel
roadway slabs constructed over ventilation
ducts and any other concrete element subjected
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
to repetitive loading.
• The fatigue limit state is not applicable to
structural plain concrete or fiber-reinforced
concrete.
4.5.1.3—Strength Limit State C4.5.1.3
The strength limit state shall be investigated in During tunnel construction, the tunnel excavation
accordance with the requirements of Section 5 of the process disturbs the in-situ state of stress. An immediate
LRFD Specifications with the following modifications. state of equilibrium occurs that will result in initial load
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• The provisions for segmental construction effects imposed on the tunnel structure. Strain within the
contained in Section 5 of the LRFD surrounding ground continues to change with time until
Specifications are not applicable to segmental a final condition of equilibrium is reached which will
concrete tunnel linings or to precast concrete result in the final load effects imposed on the tunnel
immersed tunnel components. structure. The load effects during both the short-term (or
temporary) condition and the long-term (or final)
condition are checked using the strength limit state.
In addition to the load effects produced by the
surrounding ground, construction processes may also
produce load effects that are temporary, but must be
resisted by the structural component. The strength limit
state is used to check for construction-process imposed
loadings. Examples of this type of load include the
handling, transportation, and installation loads imposed
on precast concrete components such as segmental
tunnel linings and concrete immersed tunnel
components.
4.5.1.4—Extreme Event Limit State
The tunnel system, including appurtenances inside

the tunnel, shall be proportioned to resist collapse due to
earthquakes, tsunami, floods, and fires.
The tunnel response due to blast shall be defined by
the Owner.
4.5.2—Reinforced and Prestressed Concrete
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
The provisions of this article shall apply to the
design of tunnel structural components constructed of
normal weight or lightweight concrete and reinforced
with steel bars or welded wire reinforcement, and/or
prestressed with strands, bars, or wires.
4.5.2.1—Material Properties C4.5.2.1
Refer to Section 5 of the LRFD Specifications for Concrete mix designs should be formulated to result
reinforced or prestressed concrete material properties. in dense concrete to minimize the potential of leakage
through the concrete. Dense concrete mixes can be
subject to shrinkage cracking. When designing dense
concrete mixes, the effects of heat of hydration and the
formation of shrinkage cracking should be considered,
and the mix formulated to minimize shrinkage cracks.
The intent of the mix design should be a durable
concrete with low permeability.
4.5.2.2—Design Considerations C4.5.2.2

Section 3.
The assumptions for the service, fatigue, strength,
and extreme limit states given in Section 5 of the LRFD
Specifications shall be used in the design of reinforced
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and prestressed concrete tunnel structural components

for the force effects due to moment, axial force, shear,
and torsion.
The provisions for moment redistribution of the
LRFD Specifications may be used for the design of cut-
and-cover and immersed tunnel box sections.
Redistribution of moments by empirical formulas Moment redistribution in tunnel linings will occur
for cast-in-place concrete linings shall not be used for as the tunnel lining cracks, resulting in varying moments
the design of bored or mined tunnel linings. Modeling of inertia around the perimeter of the tunnel lining.
redistribution of moments due cracking should be
performed using analysis software that can account for
the ground–structure interaction.
Cast-in-place concrete linings for mined and bored
tunnels and precast segmental concrete linings for bored
tunnels shall be designed for the combined effects of
moment and axial load in accordance with Section 5 of
the LRFD Specifications, with the following exceptions:
• The provisions for additional limits on
reinforcement for compression members
specified in the LRFD Specifications shall not
apply to tunnel linings for bored and mined
tunnels.
• The provisions for the approximate evaluation
of slenderness effects specified in the LRFD
Specifications shall not apply to tunnel linings
for bored and mined tunnels. The effects of
slenderness and stability for tunnel linings for
mined and bored tunnels shall be accounted for
through a numerical analysis that takes into
account the effects of structure–ground
interaction, eccentricity of loads, and the
secondary effects of deformations of the lining
under load.
• Tunnel linings for mined and bored tunnels and
the walls, roof, and floors of cut-and-cover and
immersed tunnels shall be designed using the
LRFD Specifications’ strength reduction
factors for compression members with tie
reinforcement.
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
• The reinforcement provided in cast-in-place

concrete linings for bored and mined tunnels,
placed parallel to the longitudinal axis of the
tunnel, may be considered to provide the same
confinement as ties as defined in the LRFD
Specifications when the longitudinal
reinforcement is placed outside the transverse
or circumferential reinforcement.
• The provisions of Section 10 shall be used to
determine the load effects associated with
seismic events. The load effects determined in
this manner shall be used for seismic detailing
of reinforcement.
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4.5.2.3—Details of Reinforcement
Reinforcement details shall be in accordance with

the LRFD Specifications and as specified herein.
• Segments for precast segmental linings shall be
detailed as compression members.
• Reinforcement placed parallel to the
longitudinal axis of the tunnel shall be
terminated at the edges of the segments or at
expansion, contraction, and construction joints
in cast-in-place linings with hooks or U-shaped
bars spliced to the longitudinal bars.
4.5.3—Structural Plain Concrete
The provisions of this article apply to the design of

tunnel structural components constructed of normal
weight or lightweight concrete not meeting the
minimum reinforcement requirements of Section 5 of
the LRFD Specifications or those specified in Article
4.5.4.
The structural design of tunnel components
constructed from structural plain concrete shall conform
to the requirements of the latest edition of the American
Concrete Institute’s Building Code Requirements for
Structural Concrete (ACI 318), except as modified or
supplemented herein.
Definitions and Notation shall be as per the latest
edition of ACI 318.
4.5.3.1—Material Properties C4.5.3.1
• Compressive Strength: The specified The 3.5 ksi minimum compressive strength is
compressive strength for concrete (f'c) shall not required here to accommodate uncertainties in loadings
be less than 3.5 ksi. Otherwise the provisions and the length of time required for the surrounding soil
of Chapter 1 of the latest edition of ACI 318 and groundwater to reach its permanent loading
shall apply. condition.
• Coefficient of Thermal Expansion: The
coefficient of thermal expansion of structural
plain concrete should be determined by
laboratory tests on the specific mix used. In the
absence of more precise data, the thermal
coefficient of expansion may be taken as
6.010-6/°F for both normal weight and
lightweight concrete.
• Shrinkage and Creep: Values for shrinkage and
creep shall be in accordance with Section 5 of
• Modulus of Elasticity: The modulus of
elasticity of structural plain concrete shall be as
per the latest edition of ACI 318.
• Poisson’s Ratio: Unless determined by
physical tests, Poisson’s ratio may be assumed
as 0.2. For components expected to be subject
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to cracking, the effect of Poisson’s ratio may be

neglected.
4.5.4—Fiber-Reinforced Concrete (FRC) C4.5.4
The provisions of this article apply to the design of The provisions of this article are based upon
tunnel structural components constructed of normal research summarized in Fiber Reinforced Concrete for
weight concrete and reinforced with steel fibers cut from Precast Tunnel Structures (Smith, 2011).
cold drawn wire.
The use of FRC shall be limited to the following:
a) Members that are in continuous contact with
the ground on one face in a manner such that
ground–structure interaction is ensured.
b) Members for which arch action minimizes To limit flexural tension, and to maintain at least
flexural tension under all conditions of loading. half the segment thickness in compression, it is
recommended to limit the eccentricity of the line of
thrust (Mu/Nu) to h/3.
The use of synthetic fibers as structural Concrete tunnel components are often exposed to
reinforcement for concrete tunnel components is extreme heat during fire incidents inside the tunnel.
prohibited. Exposure to high temperatures will cause synthetic
fibers to melt which destroys their load carrying
capacity. Synthetic fibers may be used to increase the
resistance of the concrete to explosive spalling during a
fire event.
If lightweight concrete is used in FRC, all design The use of lightweight concrete is not recommended
parameters must be determined through laboratory for FRC.
testing.
4.5.4.1—Material Properties
4.5.4.1.1—Steel Fibers C4.5.4.1.1

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Steel fibers shall be cut from cold drawn wire and

shall meet the requirements of ASTM A820 fiber
Type 1.
• Anchorage and Bond
Steel fibers shall be deformed to enhance the Deformed fibers are specified to increase the pullout
pull out strength of the fiber. strength of the fibers. The pullout strength combined
with the bond strength between the fiber and the
concrete accounts for the strength and toughness of the
FRC.
Deformed fibers are available in a variety of
configurations. The performance of FRC is dependent
on the configuration of the deformation and surface
qualities of the fiber, combined with the properties of the
concrete mix.
Performance of the product selected for
inclusion in the FRC shall be verified through
testing.
• Tensile Strength
The minimum tensile strength of steel fibers
shall be 150 ksi. The tensile strength of the
fiber shall be such that that it will pull out of
the concrete prior to breaking.
The tensile strength and pullout performance of
the steel fiber selected for inclusion in the FRC
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shall be verified by testing prior to production

of the FRC.
• Aspect Ratio
The aspect ratio of individual fibers shall be
greater than or equal to 65 and less than or
equal to 80.
4.5.4.1.2—Fiber Reinforced Concrete C4.5.4.1.2

• Compressive Strength
The maximum 28-day compressive strength of Higher concrete strengths may result in less ductile
concrete mixes used for FRC shall be limited failure, due to more fibers breaking instead of gradually
to 8.0 ksi unless full scale testing is employed pulling out of the concrete matrix by deforming.
to verify that greater strengths may be
employed without detrimental effect to the
final structure.
The minimum 28-day compressive strength Concrete with a compressive strength of less than
shall be 4.0 ksi. 4.0 ksi has not been extensively tested with fibers.
Lower strengths could result in fibers pulling out of the
concrete matrix prematurely.
• Coefficient of Thermal Expansion
Coefficient of Thermal Expansion shall be in
accordance with the LRFD Specifications.
• Shrinkage and Creep
Shrinkage and creep shall be in accordance
with Section 5 of the LRFD Specifications.
• Modulus of Elasticity
Prior to cracking, the modulus of elasticity of
FRC may be calculated in accordance with the
LRFD Specifications. After cracking, the
stress-strain response of FRC is nonlinear and
shall be determined through laboratory testing
of the specific concrete mix used for
construction.
• Modulus of Rupture
Unless determined by physical tests, the In lieu of testing, the peak flexural strength of fiber-
modulus of rupture of FRC for the concrete reinforced concrete may conservatively be taken as the
strength limits shown above shall be modulus of rupture of the plain concrete.
determined in accordance with the LRFD
Specifications.
The tensile strength of FRC shall be
determined in accordance with Section 5 of the
4.5.4.2—Resistance Factors C4.5.4.2
Resistance factors, φ, shall be taken as: See Smith (2007) for information regarding
recommended resistance factors.
• For shear……………………………...….. 0.6
• For bending (tension-controlled)…...…..… 0.7
• For bending (compression-controlled)…… 0.7
• For tensile-splitting (bursting)………….... 0.7
• For tensile-splitting (spalling)………..…... 0.7
• For bearing……………………...…........... 0.7
• For compression…………...………..…… 0.6
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4.5.4.3—Design for Flexure and Axial Force Effects
4.5.4.3.1—Assumptions for Service Limit State C4.5.4.3.1

The strains in the concrete may be assumed to vary Examples of components for which the assumption
linearly, except in components or regions for which of linearly varying strains may not be suitable include
conventional strength of materials is inappropriate, for deep components such as deep beams, corbels, and
the design of FRC. brackets as defined in the LRFD Specifications.
4.5.4.3.2—Assumptions for Strength and Extreme Limit C4.5.4.3.2

States
When calculating combined axial and flexural
strength, reduce the nominal section thickness by 1 in.
to account for corrosion of the fibers on the tension face.
Factored resistance of FRC components shall be
based on the conditions of equilibrium and strain
compatibility, the resistance factors as specified in
Article 4.5.4.2, and the following assumptions:
• The maximum usable strain at the extreme concrete The stress–strain relationships stated in this section
compression fiber shall not be taken greater than are applicable to FRC meeting the requirements of this
0.003. specification. Alternative stress–strain relationships can
• The relationship between concrete compressive be derived in accordance with ACI 544.8 (Report on
stress and strain may be considered satisfied by an Indirect Method to Obtain Stress-Strain Response of
equivalent rectangular concrete compressive stress Fiber-Reinforced Concrete), subject to approval by the
block of 0.85 f’c over a zone bounded by the edges owner.
of the cross-section and a straight line located Strain compatibility equations are typically used to
parallel to the neutral axis at the distance a = β1c generate interaction diagrams that define the capacity of
from the extreme compression fiber. The distance c a member under different flexural and axial load
shall be measured perpendicular to the neutral axis. conditions. Load cases are plotted on the same diagram,
The factor β1 shall be taken as 0.85 for concrete and the factor of safety determined. The demand and
strengths not exceeding 4.0 ksi. For concrete capacity must be determined for a consistent length of
strengths exceeding 4.0 ksi, β1 shall be reduced at a tunnel, such as per linear foot.
rate of 0.05 for each 1.0 ksi of strength in excess of
4.0 ksi, except that β1 shall not be taken to be less
than 0.65.
• The maximum usable tensile strain shall be set at An equivalent rectangular stress block is
0.005, which is estimated to occur at a test specimen recommended. A more precise stress–strain relationship
deflection at mid-span of 3 mm as per ASTM can be developed, with stress varying from zero at the
C1609. The associated stress at the extreme tension neutral axis, increasing to a maximum value of σ2 close
fiber is σ3. to the neutral axis, and reducing to σ3 at the extreme
• The relationship between tensile stress in the fiber tension fiber. However, the added precision and
matrix and strain, may be considered satisfied by an complexity generally provide minimal increase in
equivalent rectangular concrete tensile stress block capacity.
of σ3 over a zone bounded by the edges of the cross-
section and the neutral axis.
where σ3 = 0.37 f150,3.0 (4.5.4.3.2-1) The 0.37 factor converts the flexural stress
calculated assuming linear-elastic behavior to direct
f150,3.0 is described in Article 4.5.4.3.3. tensile stress assuming cracked behavior, with
rectangular stress blocks. See Smith (2011) for more
information.
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4.5.4.3.3—Flexural Members
4.5.4.3.3.1—General C4.5.4.3.3.1
For components in pure bending, the required fiber Fiber reinforced concrete should not be used for
type and dosage shall be determined through the use of permanent members in pure bending. However, for
manufacturer’s data for specified concrete strengths. temporary load cases, such as handling loads on precast
members, these provisions can be applied.
The manufacturer’s data should be certified by an
independent testing laboratory.
4.5.4.3.3.2—Factored Flexural Resistance C4.5.4.3.3.2

The factored flexural resistance shall be taken as:
Mr = φMn (4.5.4.3.3.2-1)
where:
Mn = nominal flexural resistance = f150,3.0 x Sm Residual flexural strength data is typically provided
by manufacturers based on testing in accordance with
φ = resistance factor as specified in Article 4.5.4.2 ASTM C1609. Values are typically provided based on
testing of standard specimens at a mid-span deflection
Sm = Elastic section modulus of 3 mm. Manufacturers may provide the residual
flexural strength directly, or as a percentage of the peak
f150,3.0 = Residual flexural strength, according to the flexural strength.
manufacturer’s data. The manufacturer’s data should be certified by an
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independent testing laboratory. The analysis using

residual flexural strength should use the full/gross
section because, although cracked, the fibers engage
throughout the section, to the extreme tension face.
Residual flexural strengths reported in accordance with
ASTM C1609 tests are based on the full/gross section
modulus of the test specimen.
4.5.4.3.3.3—Factored Early Age Flexural Resistance

Flexural testing of immature beam samples shall be
used to determine the peak flexural strength. If flexural
testing is not available, the following relationship may
be used to determine the peak flexural strength.
2
𝑓𝑓′ 𝑐𝑐,𝑑𝑑 3
𝑓𝑓𝑒𝑒,𝑑𝑑 = 𝑓𝑓𝑒𝑒,28 . �𝑓𝑓′ � (4.5.4.3.3.3-1)
𝑐𝑐,28
where:
fe,d = peak flexural strength at age in question

fe,28 = peak flexural strength at 28 days
f’c,d = compressive strength at age in question
f’c,28 = compressive strength at 28 days
Unless otherwise permitted, compression members

shall be analyzed with consideration of the effects of:
• Eccentricity
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• Axial loads
• Variable moments of inertia
• Degree of end fixity
• Deflections
• Duration of loads
4.5.4.3.3.4—Factored Axial Resistance

The factored axial resistance shall be taken as:
Pr = φPn (4.5.4.3.3.4-1)
where:
Pn = (0.80)0.85 𝑓𝑓′𝑐𝑐 𝐴𝐴1 (4.5.4.3.3.4-2)

φ = resistance factor as specified in Article
4.5.4.2
4.5.4.3.3.5—Factored Axial/Moment Resistance

The factored axial/moment resistance shall account
for the presence of both axial and flexural stress using
the assumptions set forth in Articles 4.5.4.3.1 and
4.5.4.3.2.
4.5.4.3.4—Bearing
4.5.4.3.4.1—General
FRC shall be designed to resist force effects
imposed through bearing, including bearing and
splitting.
4.5.4.3.4.2—Factored Bearing Resistance

The factored bearing resistance shall be taken as:
Pr = φPn (4.5.4.3.4.2-1)
where:
Pn = 0.85f’cA1m (4.5.4.3.4.2-2)
4.5.4.2
f’c = 28 day compressive strength (psi)
A1 = loaded area (in.2)
m = modification factor as per Section 5 of the
LRFD Specifications
4.5.4.3.4.3—Factored Splitting Resistance

The factored splitting resistance shall be taken as:
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Tr = φTn (4.5.4.3.4.3-1)
where:
Tn = 0.21�𝑓𝑓′𝑐𝑐 (ksi) (4.5.4.3.4.3-2)
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4.5.4.2
4.5.4.3.5—Shear
4.5.4.3.5.1—General
Members shall be checked for the effects of shear.
4.5.4.3.5.2—Factored Shear Resistance

The factored shear resistance shall be taken as:
Vr = φVn (4.5.4.3.5.2-1)
where:
Vn = 1.33�𝑓𝑓’𝑐𝑐 bh (4.5.4.3.5.2-2)
and
4.5.4.2
f’c = 28 day compressive strength (psi)
b = width of the beam (in.)
h = height of beam (in.)
4.5.4.3.6—Details of Reinforcement
4.5.4.3.6.1—Minimum Dosage Requirements

The minimum average three-dimensional fiber
spacing shall be 0.45 times the nominal fiber length. In
addition to the minimum fiber dosage provided below,
the following fiber spacing relationship shall be
satisfied:
3 𝜋𝜋.𝑑𝑑𝑓𝑓 2 .𝑙𝑙𝑓𝑓
𝑠𝑠 = � (4.5.4.3.6.1-1)
4.𝑣𝑣𝑓𝑓
where:
s = average distance between fibers (3D)

vf = fiber volume fraction
= volume of fibers per unit volume of
FRC
df = diameter of fiber
lf = length of fiber
The minimum fiber dosage shall be 40 lbs/yd3.
4.5.5—Shotcrete C4.5
The provisions of this section shall apply to the Applying shotcrete is a process of installing
design of tunnel structural components constructed of concrete at a high velocity. In general if applied
reinforced, unreinforced, and fiber-reinforced shotcrete. correctly, its behavior and properties are not different
Unless otherwise specified herein, design of the from concrete. Shotcrete typically has a compressive
tunnel components constructed using reinforced strength similar to normal and high-strength concrete,
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shotcrete, unreinforced shotcrete, and fiber-reinforced but hardened properties are operator-dependent.
shotcrete shall conform to the requirements of Articles Because shotcrete is installed at a high velocity, it will
4.5.2, 4.5.3, or 4.5.4, respectively. have a higher density than conventional concrete in most
Definitions and notation shall be as per the latest cases. The increased density will provide reduced
edition of the American Concrete Institute’s Guide for permeability and higher durability. Shotcrete mixtures
Specifying Underground Shotcrete (ACI 506.5R). can in fact exceed the compressive strength of most
Shotcrete proportions shall be selected that allow mixtures used for placed walls. The compaction that
suitable placement procedures using the delivery occurs during application of shotcrete helps achieve
equipment selected and shall result in finished in-place improved compressive strength and durability, and low
hardened shotcrete meeting the strength requirements of water–cementitious material ratios of shotcrete mixtures
this specification. produce other benefits, including reduced shrinkage and
Supplementary cementitious materials like fly ash, lower permeability. A well designed shotcrete mix that
silica fume, and slag cement may be used in shotcrete provides the proper material properties for shotcrete
applications to improve workability, durability, and placement is essential to the successful installation of
chemical resistance. the product.
Proper placement is an important component in
achieving good shotcrete results. Defects that occur in
shotcrete can be due to poor placement. Proper handling
of the material components of the shotcrete at the
construction site is also an important component in
achieving good shotcrete results.
Steel fibers may be used in shotcrete to improve the Synthetic (polypropylene) fibers may be used in
flexural strength, ductility, and toughness. Plastic fibers shotcrete to improve placement, limit cracking, and
shall not be used for these purposes. improve performance during fires. Synthetic fibers are
not permitted for strength applications due to the fact
that they melt during fire events.
4.5.5.1—Details of Reinforcement C4.5.5.1
Reinforcement details shall be in accordance with For additional information with regard to
the LRFD Specifications, Article 4.5.2 of these reinforcement details see the latest edition of ACI 506R
Specifications, and as specified herein: Guide to Shotcrete, Reported by ACI Committee 506,
and the “International Building Code”.
• The maximum size of reinforcement shall be
No. 5 bars unless it is demonstrated by
preconstruction tests that adequate encasement
of larger bars will be achieved.
• When No. 5 or smaller bars are used, there shall
be a minimum clearance between parallel
reinforcement bars of 2 1/2 in. When bars larger
than No. 5 are permitted, there shall be a
minimum clearance between parallel bars
equal to six diameters of the bars used. When
two mats are used, the mat closer to the nozzle
shall have a minimum spacing equal to 12 bar
diameters, and the remaining mat shall have a
minimum spacing of six bar diameters.
• The lap splices of reinforcing bars shall utilize
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the noncontact lap splice method with a

minimum clearance of 2 in. between bars. The
use of contact lap splice necessary for the
support of the reinforcement is permitted when
approved based on satisfactory preconstruction
tests that show that adequate encasement of the
bars will be achieved, and provided that the
splice is oriented so that a plane through the
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center of the spliced bars is perpendicular to the

surface of the shotcrete.
4.6—STEEL STRUCTURES
The provisions of this section shall apply to the

steel components, splices and connections for girder and
beam structures, frames, trusses and arches, and any
load carrying steel system, as applicable.
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Framed structures shall be analyzed by rational
methods which consider the effects of relative stiffness
of connected members, relative displacement, rotation
of joints, and the effects of axial deformations.
Consideration shall be given to the variations in elastic
properties and stress distribution of complex
frameworks resulting from different construction
sequences. Any limitations on construction operations
inherent in the design assumptions shall be noted on the
project drawings and specified in the special provisions.
Conversely, advantage may be taken of specified
construction procedures, or sequences, to effect a more
favorable distribution of loads or stresses.
Refer to Section 6 of the LRFD Specifications for

structural steel material properties.
4.7—WOOD STRUCTURES
The provisions of this section shall apply to the

wood components, splices, and connections for girder
and beam structures, frames, trusses and arches and any
load carrying wood system, as applicable.
Framed structures shall be analyzed by rational
methods which consider the effects of relative stiffness
of connected members, relative displacement, rotation
of joints, and the effects of axial deformations. Any
limitations on construction operations inherent in the
design assumptions shall be noted on the project
drawings and specified in the special provisions.
Conversely, advantage may be taken of specified
construction procedures or sequences to effect a more
favorable distribution of loads or stresses.
4.8—LATTICE GIRDERS
The provisions of this section shall apply to the Lattice girders are structural members made of bars
design of permanent tunnel structural components with an open lattice. The girder, once encapsulated with
constructed using steel lattice girders. shotcrete that has sufficiently cured, can provide initial
support for openings and acts together with the shotcrete
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as an arch. The shotcrete between the girders acts as

lagging between these arches.
The structural design of tunnel components The main advantage of the lattice girder is its ability
constructed from lattice girders shall conform to the in working with shotcrete. Because of the open nature of
requirements of Article 4.5 except as modified or the lattice girder's construction, shotcrete passes through
supplemented herein: it, reducing the potential for unconsolidated shotcrete
• All lattice girders shall consist of three or four areas behind the girder. The shotcrete can be applied
primary retaining bars connected by stiffening evenly, producing an integral lining. On the other hand,
components. some minimum stiffness is required to make sure that
• The spacing and size of the bars used in a lattice the individual bars in the lattice girder will not deform
girder shall be designed to allow shotcrete to during the shotcrete application process.
penetrate into, and behind, the girder with a Lattice girders provide important functions in the
minimum of shotcrete shadows. tunneling process. They could be used as:
• The maximum centerline spacing of the • Temporary ground support once encapsulated
stiffening components shall be less than three with shotcrete.
times the height of the girder to assure stability • Support for steel bar or fabric reinforcement of
against buckling. the shotcrete lining shell.
• Add to the reinforcement for the overall
Some important aspects for designing the lattice completed lining.
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girders that shall be considered during the design • Provide a template for initial ground support
process are: limits.
• Required rigidity, capacity, and moment
characteristics.
• Avoidance of shotcrete voids (shadowing) for
complete encapsulation.
• Required shotcrete lining thickness and cover
to steel.
4.8.1.1—Definitions
Refer to Articles 5.2 and 6.2 of the LRFD

Specifications for definitions applicable to this section.
4.8.1.2—Notation
Refer to Articles 5.3 and 6.3 of the LRFD

Specifications for notation applicable to this section.
Refer to Articles 4.4 and 4.5 for material properties.
4.8.3.1—General
The structural behavior of the components made of

steel, or steel in combination with concrete, shall be
investigated for each stage that may be critical during
construction, handling, transportation, and erection as
well as during the service life of the structure of which
they are part.
Structural components shall be proportioned to
satisfy the requirements at strength, extreme event,
service, and fatigue limit states.
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4.8.3.2—Service Limit State
The service limit state shall be investigated in

accordance with the requirements of Section 5 of the
LRFD Specifications unless noted otherwise in this
section.
• For composite sections, the service limit state
shall be investigated in accordance with the
requirements of Section 6 of the LRFD
Specifications.
4.8.3.3—Fatigue Limit State
The fatigue limit state does not apply to lattice

girders.
4.8.3.4—Strength Limit State
The strength limit state shall be investigated in

accordance with the requirements of Sections 5 and 6 of
the LRFD Specifications, as applicable.
The strength limit state shall take into account both
temporary and final conditions of the load resisting
systems (composite or non-composite).
Resistance factors shall be in accordance with the
requirements of Sections 5 and 6 of the LRFD
Specifications.
4.8.3.5—Extreme Event Limit State C4.8.3.5

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The lattice girder system, which is part of the

permanent loads resisting system in the tunnel, shall be
proportioned to resist collapse due to earthquake,
tsunami, floods, and fires.
The tunnel response due to blast shall be defined by The blast referenced here is due to vehicle accidents
the Owner. or intentional explosions intended to do harm to the
tunnel.
4.8.4—Design Considerations

Section 3.
Unless otherwise specified herein, design shall be
in accordance with Sections 5 and 6 of the LRFD
Specifications.
4.8.5—Design for Flexural and Axial Force Effects
The assumptions for the service, strength and

extreme event limits given in Article 4.4.1 shall be used
in the design of lattice girder system.
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4.8.6—Shear
The design for shear shall be in accordance with the

provisions of Section 6 of the LRFD Specifications.
4.9—REFERENCES
3. American Concrete Institute. Code Requirements for Environmental Engineering Concrete Structures. ACI-
350-06. Farmington Hills, MI, 2011.
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4. American Concrete Institute. Building Code Requirements for Structural Concrete and Commentary. ACI-318-
14. Farmington Hills, MI, 2015.
5. American Concrete Institute. 506R-16: Guide to Shotcrete. Farmington Hills, MI, 2016.
6. American Concrete Institute. ACI 544.8R-16, Report on Indirect Method to Obtain Stress-Strain Response of
Fiber-Reinforced Concrete. Farmington Hills, MI, 2016.
7. Bickel, J. O., T. R. Kuesel, and E. H. King. "Tunnel Engineering Handbook. 2nd ed. Chapman & Hall, NY,
1996.
8. International Code Council. 2015 International Building Code. ICC, Country Club Hills, IL, 2015.
9. Smith, D. D. 2011, Fiber Reinforced Concrete for Precast Tunnel Structures, Parsons Brinckerhoff, Inc., New
York, NY, 2011.
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SECTION 5 – GEOTECHNICAL CONSIDERATIONS
TABLE OF CONTENTS
5.1—SCOPE ...............................................................................................................................................................5-1
5.2—DEFINITIONS ..................................................................................................................................................5-2
5.3—NOTATION.......................................................................................................................................................5-3
5.3.1—General .......................................................................................................................................................5-3
5.3.2—Abbreviations .............................................................................................................................................5-4
5.4—GEOTECHNICAL INVESTIGATION .............................................................................................................5-4
5.4.1—General .......................................................................................................................................................5-4
5.4.2—Office Studies .............................................................................................................................................5-5
5.4.2.1—Review of Existing Reports ..................................................................................................................5-5
5.4.2.2—Review of Historical Maps ..................................................................................................................5-6
5.4.2.3—Imagery Evaluation .............................................................................................................................5-6
5.4.3—Field Reconnaissance and Geologic Mapping ..........................................................................................5-10
5.4.4—Geotechnical Borings ...............................................................................................................................5-11
5.4.5—In-Situ Tests and Sampling of Soil and Rock ...........................................................................................5-12
5.4.5.1—Soil Sampling ....................................................................................................................................5-12
5.4.5.2—Rock Coring ......................................................................................................................................5-13
5.4.5.3—Bore Hole Sealing .............................................................................................................................5-13
5.4.6—Geophysical Tests.....................................................................................................................................5-17
5.4.7—Laboratory Tests .......................................................................................................................................5-20
5.4.7.1—Soil Tests ...........................................................................................................................................5-20
5.4.7.2—Rock Tests..........................................................................................................................................5-20
5.4.8—Groundwater and Surface Water Investigation .........................................................................................5-20
5.5—SELECTION OF SOIL AND ROCK PARAMETERS FOR DESIGN ..........................................................5-21
5.5.1—General .....................................................................................................................................................5-21
5.5.2—Soil Strength .............................................................................................................................................5-22
5.5.2.1—Undrained Shear Strength of Cohesive Soils ....................................................................................5-22
5.5.2.2—Drained Strength of Cohesive Soils ...................................................................................................5-22
5.5.2.3—Drained Strength of Granular Soils ..................................................................................................5-23
5.5.3—Soil Deformation ......................................................................................................................................5-23
5.5.4—Rock Shear Strength .................................................................................................................................5-23
5.5.5—Rock Deformation Modulus .....................................................................................................................5-26
5.5.6—Poisson’s Ratio .........................................................................................................................................5-29
5.6—ENVIRONMENTAL ISSUES ........................................................................................................................5-29
5.7—INSTRUMENTATION AND MONITORING ...............................................................................................5-29
5.8—GEOTECHNICAL REPORTS ........................................................................................................................5-30
5.8.1—Geotechnical Data Report.........................................................................................................................5-30
5.8.2—Geotechnical Baseline Report ..................................................................................................................5-30
5.9—GEOTECHNICAL DESIGN MEMORANDA ...............................................................................................5-31
5.10—REFERENCES ..............................................................................................................................................5-32
5-i
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SECTION 5: GEOTECHNICAL CONSIDERATIONS 5-1
5.1—SCOPE C5.1
The provisions of this section shall apply to the The geotechnical considerations presented in this
geotechnical considerations for planning, design, section include the geotechnical investigation program
evaluation, and rehabilitation of road tunnels. and the development of geotechnical parameters for
Geotechnical considerations that shall be evaluated for planning, design, and construction of road tunnels. The
tunnels include, but are not limited to: information gathered during the investigation program
• Historical, physical, and structural geology will also be used for geotechnical design analyses,
• Identification and characterization of soil and rock constructability studies, and the development of
units geotechnical reports. The provisions included in this
• Identification of variation of ground conditions section are based on the guidelines presented in
along tunnel alignment Technical Manual for Design and Construction of Road
• Identification of geological hazards (e.g., Tunnels—Civil Elements (AASHTO, 2010), relevant
landslides, rock fall, debris flows, fault zones) provisions included in AASHTO LRFD Bridge Design
• Determination of the groundwater regime and Specifications (herein referred to as the LRFD
evaluation of short-term and long-term impacts of Specifications), and the FHWA Geotechnical
the tunnel on it Engineering Circular No. 5 – Evaluation of Soil and
• Evaluation of soil permeability and rock Rock Properties (FHWA, 2002).
conductivity for dewatering considerations Successful planning, design, and construction of a
highway tunnel requires the use of various types of
• Identification of type and location of hazardous and
investigative techniques to obtain a broad spectrum of
explosive gases in the ground
pertinent topographic, geologic, subsurface,
• Identification of hazardous materials requiring
hydrogeological, and structural information and data.
mitigation or special disposal methods
Although most of these techniques and procedures are
• Identification and location of underground
similar to those applied for roadway and bridge projects,
obstructions and boulders
the specific scope, objective, and focus of the
• Identification and location of karst terrain, caverns, investigations are considerably different for tunnel
abandoned mines, and development of mitigation projects and can vary significantly with subsurface
measures conditions and tunneling methods.
• Identification of seismicity and seismic hazards
• Identification of potentially active faults along the
tunnel alignment or nearby
• Location of volcanic centers/hydrothermal activity
• Characterization of groundwater chemistry.
• Development of ground loads for tunnel design
(short-term and long-term loadings)
• Development of hydrostatic pressures for tunnel
design
• Evaluation of ground loss, ground deformations,
and consolidation settlement caused by tunneling
• Evaluation of long-term and time-dependent ground
settlement
• Evaluation of impact of tunneling on nearby
structures and utilities
• Evaluation of disposal or use of excavated material
• Evaluation of the seismic response of the tunnel
• Evaluation of soil and rock conditions for
application of ground improvement measures
• Evaluation of ground behavior for soft ground
tunnels
• Evaluation of rock jointing for stability analysis and
rock reinforcement design
• Evaluation of rock abrasion characteristics for
tunnel boring machine (TBM) cutter wear
• Ground/structure interaction analysis
• Stability analysis for soil and rock slopes for cut-
and-cover excavations
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• Development of geotechnical instrumentation

program
5.2—DEFINITIONS
Bedding—The layering in a sedimentary rock unit. Rock units range from thinly bedded (less than 2 inches between
bedding planes) to massively bedded (greater than 10 feet between bedding planes).
Bedding plane—A smooth, continuous plane in a sedimentary rock unit, parallel to the bedding; often a weakness
plane.
Boulder—A rock fragment with a maximum edge dimension greater than 12 inches, with no upward limit. Boulders
may be found disseminated throughout deposits of cohesionless and cohesive soil or may be concentrated in dense
layers.
Breccia—A zone of fractured rock often associated with a fault. If the breccia zone is porous, it can be a source of
significant initial and sustained water inflows into a tunnel excavation. The breccia zone may include soil material
filling the pore space between rock fragments.
Cobble—A rock fragment ranging in size from 3 inches to 12 inches. Cobbles may be found disseminated throughout
deposits of cohesionless and cohesive soil or may be concentrated in dense layers.
Core stone—A rock fragment with a maximum edge dimension greater than 12 inches, with no upward limit. Core
stones are masses of rock surrounded by highly weathered to decomposed rock as a result of in-situ weathering.
Cohesionless soil—A soil composed of visible soil particles. Cohesionless soils include non-plastic silt, sand, gravel,
cobbles, and boulders. Shear strength of cohesionless soils is developed from inter-granular friction. Many natural
cohesionless soil deposits have a minor fraction of cohesive soil which adds a cohesion component to shear strength.
Cohesive soil—A soil composed principally of sub-microscopic particles. Cohesive soils generally are characterized
as clays and plastic silts. Electrical charges on the surface of the plate or rod-shaped soil particles develop a shear
strength component that is known as cohesion. Many natural deposits of cohesive soils have minor fractions of
cohesionless soil.
Fault—A fracture in a rock mass with significant indication of displacement. Fault thickness may range from inches
to hundreds of feet.
Gouge—A zone of finely comminuted soil and rock material often associated with a fault. Gouge material can range
from clay to sand size, but may include cobble or boulder size material in the same gouge zone.
Igneous rock—Rock formed by the cooling and solidification of molten magma. Examples of igneous rocks include
basalt, gabbro, granite, and rhyolite.
Joint—A fracture in the rock mass with minimal indication of displacement. Joints are secondary features that develop
after formation of the rock unit. Joints may be formed by tensile or shear forces caused by cooling of magma, or
folding or faulting of the rock unit.
Lithification—The process for the formation of sedimentary rock from compaction or consolidation of soil under the
weight of overlying material and often accompanied by the deposition of cementing material in the pore space of the
soil.
Metamorphic rock—Rock formed by the alteration of existing rock under conditions of high temperature and high
pressure. Examples of metamorphic rocks include gneiss, phyllite, schist, and slate.
Parting—A thin layer of one type of sedimentary rock embedded within a sedimentary rock unit of different lithology.
Often a weakness plane, such as a shale parting in a sandstone or limestone unit.
Rock—Material that is formed by the lithification of soil, the cooling and solidification of molten magma, or the
alteration of existing rocks under conditions of high pressure and high temperature.
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Sedimentary rock—Rock formed by the lithification of deposits of sand, silt, clay, gravel, cobbles, and boulders, or
the precipitation of calcium carbonate and magnesium carbonate from water. Examples of sedimentary rocks include
claystone, conglomerate, dolomite, limestone, mudstone, sandstone, shale, and siltstone.
Shear—A fracture in the rock mass that has an indication of displacement.
Shear zone—An area of concentrated shears. Distance between individual shears in a shear zone can be highly
variable.
Slickenside—A smooth, polished, and often striated surface on a rock joint or in stiff to hard cohesive soils.
Soil—Natural material derived from the decomposition and weathering of rock. Soil that remains in place at its point
of formation is called residual soil. Soil that is eroded, transported away from the location of its formation, and
deposited at a remote location is called transported soil.
5.3—NOTATION
5.3.1—General
For notation not shown below, refer to the LRFD Specifications.
c = Cohesion (ksf) (C5.5.4)

c’ = Effective cohesion (ksf) (5.5.2.2) (C5.5.4)
ch = Horizontal coefficient of consolidation (C5.4.5)
Dr = Relative density (C5.4.5)
D = Disturbance factor (C5.5.5)
E = Young’s modulus (ksf) (C5.4.5)
Emax = Small-strain Young’s modulus (ksf) (C5.4.5)
Em = Rock mass deformation modulus (ksf) (C5.5.5)
Ei = Elastic modulus (ksf) (C5.5.5)
eo = In-situ void ratio (C5.4.5)
Gmax = Small-strain shear modulus (ksf) (C5.4.5) (C5.4.6)
Ja = Joint alteration number (C5.5.4)
Jn = Joint set number (C5.5.4)
Jr = Joint roughness number (C5.5.4)
Jv = Total number of joints per m3 (C5.5.4)
Jw = Joint water number (C5.5.4)
kh = Horizontal hydraulic conductivity (ft/day) (C5.4.5)
Ko = Coefficient of at-rest earth pressure (C5.4.5)
mv = Volumetric compressibility coefficient (ft2/kip) (C5.4.5)
po = Initial mask liftoff pressure (ksf) (C5.4.5)
ρtot = Total density (pcf) (C5.4.5)
Q = Tunnel Quality Index (C5.5.4) (C5.5.5)
RQD = Rock Quality Designation (C5.5.4)
SRF = Stress reduction factor (C5.4.5) (C5.5.4)
St = Soil Sensitivity (C5.4.5)
su = Undrained shear strength (ksf) (C5.4.5)
uo = Initial pore water pressure (ksf) (C5.4.5)
ν = Poisson’s ratio (C5.5.6)
Vs = Shear wave velocity (ft/sec) (5.4.6)
σho′ = In-situ horizontal effective stress (ksf) (C5.4.5)
σp′ = Preconsolidation stress (ksf) (C5.4.5)
σ1 = Major principal stress (ksf) (C5.5.4)
σ3 = Minor principal stress (ksf) (C5.5.4)
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σt = Tensile strength (point load) (ksf) (C5.5.4)

σ’ = Effective normal stress (ksf) (C5.5.4)
σc = Unconfined compressive strength (ksf) (C5.5.4)
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φ = Friction angle (degrees) (C5.5.4)

φr = Friction angle (degrees) (C5.5.4)
ATV: Acoustic Televiewers

BVS : Borehole Video System
BWI: Bit Wear Index
CLI : Cutter Life Index
CPT: Cone Penetration Test
CPTu: Piezocone Penetrometer
CD: Consolidated drained
CU: Consolidated undrained
DMT: Flat Plate Dilatometer
DRI: Drilling Rate Index
GBR: Geotechnical Baseline Report
GDM: Geotechnical Design Memoranda
GDR: Geotechnical Data Report
GSI: Geological Strength Index
NATM: New Austrian Tunneling Method
OCR: Overconsolidation ratio
PMT: Pressuremeter
RMR: Rock Mass Rating
RQD: Rock Quality Designation
SASW: Spectral analysis of surface waves
SCPTu: Seismic CPTu
SEM: Sequential Excavation Method
SOE: Support of excavation
SPT: Standard Penetration Test
UU: Unconsolidated undrained
VST: Vane Shear Test
5.4—GEOTECHNICAL INVESTIGATION
A geotechnical investigation program for a tunnel Geotechnical investigation includes all preparatory
project shall use appropriate means and methods to obtain office and field work to develop the subsurface
necessary characteristics and properties as the basis for investigation and field/laboratory testing program, as well
planning, design, and construction of the tunnel and the as the subsurface investigation program and other
related underground facilities; to identify the potential investigations needed to obtain information for planning,
construction risks; and to establish a realistic cost design, and construction of a tunnel. In general, an
estimate and schedule. At a minimum, the geotechnical investigation program for a highway tunnel project may
investigation shall be performed to provide information include the following components:
required for evaluation of stability of • Existing information collection and study
excavation/tunneling, design of the tunnel structures, • Surveys and site reconnaissance
impact of excavation/tunneling on nearby utilities and • Geologic mapping
structures, groundwater conditions and the short-term and • Subsurface investigations
long-term impact of tunnel construction on these • Field and laboratory testing
conditions, and identification of potential obstructions • Geophysical testing
and construction risks.
• Test pits
The extent of the investigation program shall be
• Environmental studies
consistent with the project scope (i.e., location, size,
budget), the project objectives (i.e., risk tolerance, long- • Seismicity evaluation
term performance), anticipated site variability, and the • Geospatial data management
project constraints (i.e., geometry, constructability, third- • Groundwater evaluation
party impacts, aesthetics, and environmental impact).
Because the alignment and profile may often deviate
from those
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subsurface investigations may provide an economical and

rational approach for adjusting to these deviations.
The elements of the process that shall precede the The performance of a geotechnical investigation
subsurface investigation and field and laboratory testing program is part of the process of obtaining information
program include a review of local and regional geological relevant for the design and construction of tunnels.
publications, a search and review of published and Examples of unpublished information include subsurface
unpublished information at and near the project location, data and construction records from the tunnel owner, and
review of available imagery, and a detailed field from government agencies, utility owners, and private
reconnaissance of the tunnel site and its immediate owners of nearby structures and facilities. Unpublished
vicinity. The geotechnical investigation program shall be information may also be available from individuals with
developed by a geotechnical engineer knowledgeable of local experience from previous projects in the vicinity of
tunnel design and construction requirements. The the tunnel, or with tunneling within the same geologic
geotechnical investigation program shall be appropriate formations.
for the project requirements and data needs for planning, Special investigation needs based on tunneling
design, and construction. methods and anticipated geology along the tunnel profile
are summarized in Tables C5.4.1-1 and C.5.4.1-2,
respectively.
The guidelines included in this article for the For further information on planning a geotechnical
geotechnical investigation program shall be considered as investigation program, refer to the Technical Manual for
minimum requirements and shall be supplemented with Design and Construction of Road Tunnels—Civil
additional investigation and testing depending on the Elements (AASHTO, 2010), the FHWA reference manual
nature of the project and the subsurface conditions on subsurface investigations (FHWA, 2002a), and the
encountered during investigation. AASHTO LFRD Bridge Design Specifications (2014).
At a minimum, the subsurface investigation
component of the geotechnical investigation shall consist
of borings, Standard Penetration Tests (SPT), undisturbed
sampling in cohesive soils, double or triple tube core
barrel coring and packer testing in rock, groundwater
measurements and Cone Penetration Tests (CPT) within
soil deposits and laboratory testing on recovered soil/rock
samples, supplemented with other in-situ soil and rock
tests as necessary to meet project requirements.
5.4.2—Office Studies C5.4.2
Available materials relating to geological and Detailed office study of existing reports, geology
subsurface conditions shall be reviewed and evaluated references, historical maps, and evaluation of imagery can
prior to developing a boring program for the project. A maximize the results of the geotechnical investigation
list of documents reviewed shall be included in the program by providing a general overview of the project
Geotechnical Data Report (GDR). Potentially relevant geologic environment for planning of the subsurface
actions are included herein. investigation program, as well as indications of potential
problem zones that may require detailed investigation.
Maps and imagery are also useful in assessing
accessibility to possible boring locations, especially in
rural or mountainous locations, where construction of
access roads or clearing of landing zones for helicopter
access for drill rigs may be required.
5.4.2.1—Review of Existing Reports C5.4.2.1
Existing reports may include geologic reports and Geologic reports discuss the mineralogy of the
maps prepared by the U.S. Geological Survey and the different rock types in the project area, structural geology,
various state geological agencies, county agricultural soil and groundwater. County agricultural soil maps,
maps published by the U.S. Department of Agriculture, published by the U.S. Department of Agriculture, are on
and geotechnical and/or construction reports prepared for an aerial photographic base, show the distribution of rock
other projects in the tunnel project vicinity. types and agricultural soils within the county and contain
various engineering soil classification properties, using
the AASHTO system, for the different soils. Geotechnical
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reports prepared for other projects in the tunnel project

vicinity may contain extremely valuable information,
irrespective of project age. Construction reports, if
available, can also provide extremely useful information.
5.4.2.2—Review of Historical Maps C5.4.2.2
Historical maps may include both planimetric and Historical maps show terrain conditions and changes
topographic maps. in terrain conditions. Locations of former marsh areas and
stream areas shown on historical maps can be of
assistance in planning effective boring programs by
identifying locations of potentially adverse ground
conditions. Historical maps can also provide useful
insight about previous land use and site development.
5.4.2.3—Imagery Evaluation C5.4.2.3
Various types of imagery may include those from Imagery evaluation is important for evaluating
various U.S. government and state agencies, county and possible stability issues at portal locations in both rural
municipal governments, regional planning agencies, and and urban locations, where tunnels may pass though
private companies. significant geologic features, and where inactive
landslides may be present. Based on the evaluation using
imagery, relocation of portals may be indicated as
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desirable within overall project location constraints.
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Table C5.4.1-1—Special Investigation Needs Related to Tunneling Methods (after AASHTO, 2010; Bickel et
al. 1996)
Cut-and-Cover Plan exploration to obtain design parameters and define groundwater conditions for
excavation support, assessment of excavation base stability, seepage analyses, and
dewatering or seepage cut-off systems. Also, define conditions to reliably
determine appropriate and cost-effective location to change from cut-and-cover to
mined tunnel or Tunnel Boring Machine (TBM) tunnel construction.
Drill and Blast Obtain data needed to determine blasting patterns and sequencing, estimate stand-
up time, determine initial (temporary) support requirements, estimate overbreak,
and evaluate water inflow.
Rock TBM Obtain data on rock hardness to determine cutter wear, cutter costs, and penetration
rate. Obtain data to estimate stand-up time to determine if an open-type machine
will be acceptable or if a fully shielded TBM is necessary. Determine adequacy of
rock to support loads from gripper pads. Evaluation of immediate and sustained
water inflow.
Roadheader Obtain data on jointing to evaluate if roadheader will be plucking out small joint
blocks or must grind rock away, and to estimate overbreak. Obtain data on hardness
of rock to predict cutter/pick costs and advance rate. Also, evaluation of immediate
and sustained water inflow.
Shielded Soft Ground TBM Obtain data for assessing stand-up time important to face stability and the need for
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breasting at the face, as well as to determine the requirements for filling tail void.
Need to fully characterize and define limits of potential mixed-face conditions.
Also, evaluation of immediate and sustained water inflow.
Pressurized-Face (Earth Obtain reliable estimate of groundwater pressures and of strength and permeability
Pressure Balance and Slurry of soil (or rock) to be tunneled. Obtain data to predict size, distribution, and amount
Shield) Tunnel Boring of boulders or core stones. Need to fully characterize and define limits of potential
Machines mixed-face conditions.
Compressed Air Borings must not be drilled on the alignment, and must be carefully grouted to
avoid loss of compressed air into old boreholes. Identify strata where air loss may
occur. Identify hazardous gases that may migrate due to tunnel air pressure.
Sequential Excavation Requires comprehensive geotechnical data and analysis to predict behavior, and to
Method(SEM)/New classify the ground conditions and ground support systems into multiple categories
Austrian Tunneling Method based on the estimated behavior. Obtain data for design of tunnel supports. Assess
(NATM) potential for ground swelling. Also, evaluate water inflow.
Immersed Tube Obtain soil data to reliably design dredged slopes, to predict rebound of the dredged
trench, estimate settlement of the completed immersed tube structure, and evaluate
liquefaction potential. Also identify and assess potential obstructions and/or rock
ledges. Determine appropriate and cost-effective locations to transition to cut-and-
cover or bored/mined tunnels. Obtain data for excavation support for trenching that
extends inboard of shoreline.
Jacked Box Tunneling Obtain data to estimate soil skin friction and to determine the method of excavation
and support/ground treatment needed at the heading. Also obtain data to design
reaction thrust blocks. For launch and receiving pits, obtain data as noted for cut-
and-cover tunnels.
Portal Construction Obtain data to determine appropriate and cost-effective location of portals and to
design temporary and final portal structures. For portal excavations, obtain data as
noted for cut-and-cover tunnels.
Shafts Obtain data to identify appropriate and cost-effective locations for the shafts. At
each shaft location, obtain data as noted for cut-and-cover tunnels.
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Table C5.4.1-2—Geotechnical Investigation Needs Dictated by Geology (AASHTO, 2010; Bickel et al., 1996)
Hard or Abrasive Rock • Difficult and expensive for TBM or roadheader to excavate. Investigate, obtain
samples, and conduct lab tests to provide parameters needed to predict rate of
advance and cutter costs.
Mixed-Face • Especially difficult for wheel type TBM
• Particularly difficult tunneling condition in soil and in rock. Should be
characterized carefully to determine nature and behavior of mixed-face and
approximate length of tunnel likely to be affected for each mixed-face condition.
Size and concentration of boulders or core stones in mixed-face conditions often
are significant.
Karst • Potentially large cavities along joints, especially at intersection of master joint
systems; small but sometimes very large and very long caves capable of
generating undesirably large sustained inflows of groundwater.
Gypsum/Pyrite • Potential for removal of soluble gypsum or expansion of pyrite because of change
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of groundwater conditions during and after construction. Evaluate muck disposal

issues.
Salt or Potash • Creep characteristics and, in some cases, thermal-mechanical characteristics are
very important.
Saprolite • Investigate for relict structure that might affect behavior.
• Depth and degree of weathering; important to characterize especially if tunneling
near rock–soil boundary.
• Different rock types exhibit vastly differing weathering profiles.
• Size and concentration of core stones in saprolitic soils often are significant
parameters.
High In-Situ Stress • Could strongly affect stand-up time, support requirements, and deformation
patterns, both in soil and rock tunnels. Should evaluate for rock bursts or popping
rock in particularly deep tunnels. Conduct in-situ stress testing, such as
hydrofracture tests or overcoring, where applicable.
Low In-Situ Stress • Investigate for open joints that dramatically reduce rock mass strength and
modulus and increase permeability. Often potential problem for portals in
downcut valleys and particularly in topographic “noses” where considerable
relief of strain could occur.
Hard Fissured or • Lab tests often overestimate mass physical strength of soil. Large-scale testing
Slickensided Soil and/or exploratory shafts/adits may be appropriate.
Gassy Ground • Test for hazardous, toxic, and explosive gasses: methane and hydrogen sulfide
as a minimum.
Adverse Geological • Faults
Features  Known or suspected active faults. Investigate to determine location and
estimate likely ground motion.
 Inactive faults are still sources of potentially difficult tunneling conditions
o Faults sometimes act as dams and other times as drainage paths to
groundwater.
o Fault gouge sometimes a problem for strength and modulus.
• High temperature groundwater
 Collect samples for chemical tests.
• Sedimentary formations
 Frequently highly jointed
 Concretions could be problem for TBM
 Presence of weak layers or seams
Continued on next page
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Table C5.4.1-2—(Cont’d) Geotechnical Investigation Needs Dictated by Geology (AASHTO, 2010; Bickel et
al., 1996)
Adverse Geological  Groundwater
Features (Continued) o Groundwater is one of the most difficult and costly problems to
control. Must investigate to predict groundwater as reliably as possible.
o Site characterization should investigate for signs of and nature of:
• Groundwater level
• Groundwater flow
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• Artesian pressure
• Multiple aquifers
• Higher pressure in deeper aquifer
• Groundwater perched on top of impermeable layer or at top of
rock
• Permeability of soil layers and hydraulic conductivity in rock
o Aggressive groundwater
• Soluble sulfates that attack concrete and shotcrete
• Acidic groundwater
o Short-term and long-term impact of tunnel on groundwater regime
requires evaluation.
• Lava or volcanic formation
 Highly variable rock types and conditions
 Flow tops and flow bottoms frequently are very permeable and difficult
tunneling ground
 Lava tubes
 Vertical borings do not disclose the nature of columnar jointing. Need
inclined borings
 Potential for significant groundwater flows from columnar jointing
• Boulders (sometimes nests of boulders)
 Cobbles and boulders not always encountered in borings which could be
misleading.
 Frequently rest at base of strata
 Should predict size, number, and distribution of boulders on basis of
outcrops and geology
 Core stones in saprolitic soils are analogous to boulders in glacial or alluvial
soils.
• Beach and fine sugar sands
 Very little cohesion. Need to evaluate stand-up time.
• Glacial deposits
 Deposits may be very heterogeneous.
 Boulders frequently associated with glacial deposits. Must actively
investigate for size, number, and distribution of boulders.
 Some glacial deposits are so hard and brittle that they are jointed, and
ground behavior is affected by the jointing, as are properties of the matrix of
the deposit.
• Permafrost and frozen soils
 Special soil sampling techniques required.
 Thermal-mechanical properties required.
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Table C5.4.1-2—(Cont’d) Geotechnical Investigation Needs Dictated by Geology (AASHTO, 2010; Bickel et
al., 1996)
Manmade Features • Contaminated groundwater/soil/rock
 Check for movement of contaminated plume caused by changes in
groundwater regime as a result of construction.
• Existing Obstructions
 Piles
 Miscellaneous shoreline structures
 Previously constructed tunnels
 Tiebacks extending out into alignment
• Existing Utilities
• Age and condition of overlying or adjacent utilities within zone of influence.
5.4.3—Field Reconnaissance and Geologic Mapping C5.4.3
A field reconnaissance shall be performed after The importance of a field reconnaissance in the
preliminary selection of boring locations to confirm early stages of a project cannot be over-emphasized.
preliminary decisions made on the basis of the office Investigations during the planning phase of a tunnel
study. The field reconnaissance shall also include detailed could lead to decisions regarding the final
study of portal locations and any intermediate configuration of the project. See Section 2 and
construction shaft locations, as well as an assessment of Appendix A for information regarding tunnel
special accessibility requirements for selected borings. planning.
Where outcrops of rock formations in the mining
horizon are accessible, a program of geologic mapping
shall be planned and executed to supplement the boring
program. In areas of substantial relief, the mining horizon
may be available for mapping at locations reasonably
close to the tunnel alignment that have been identified
either by map study or by imagery evaluation.
For a rural project, the field reconnaissance team For a tunnel project in rural terrain, the
should be composed of a multi-disciplinary team that reconnaissance will identify accessibility constraints to
includes expertise in geotechnical engineering, geology, the portal locations, both for subsurface investigation
structures, alignments, estimating, and management from and construction purposes.
both the design consultant and the Owner. Access requirements for remote boring locations
can also be confirmed, assisting in preparation of
specifications for boring access road construction,
including acceptable cut slopes, erosion control
requirements, stream bridging/fording requirements,
stream siltation protection requirements, and site
restoration requirements. Certain federal and state
agencies, e.g., U.S. Forest Service, have very specific
requirements relating to temporary road construction
and restoration.
If a need for helicopter transportation of drill rigs
is identified, specifications for landing zone
preparation, maintenance, and restoration can be
prepared. Also, the feasibility of pumping drilling
water from nearby steams vs. requirements for water
trucks can also be evaluated during the field
reconnaissance.
For an urban project, the field reconnaissance team For a tunnel project in an urban area, the field
may be limited to staff with expertise in geotechnical reconnaissance can identify surface structures in the
engineering and structures. portal areas that must be removed or supported.
Overhead obstructions and subsurface utilities that
may interfere with boring operations can be identified
and alternative locations can be selected for borings.
The field reconnaissance shall be documented by a
detailed written report, with location maps and numerous
photographs. The report shall be prepared immediately
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upon return of the field reconnaissance team to the design

office.
5.4.4—Geotechnical Borings C5.4.4
Borings shall be used to identify subsurface For the most part, field classification of soil for a
stratigraphy and to obtain disturbed and undisturbed tunnel project is similar to that for other geotechnical
samples for visual classification and laboratory testing. applications, except that special attention must be
Borings shall be sufficient in number and depth to given to accurately defining and documenting soil
establish a reliable subsurface profile at areas of concern grain size characteristics and stratification features.
(e.g., variations in soil deposits and/or rock formations) Items of particular importance to tunnel projects are
and to investigate any geologic hazards (e.g., karstic listed below:
formations, mined out areas, swelling/collapsible soils, • Groundwater levels (general and perched levels),
existing fill/waste areas, fault/shear zones, layers evidence of ground permeability (loss of drilling
susceptible to liquefaction, slope instability potential) that fluid, rise or drop in borehole water level, etc.), and
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could impact the tunnel design, construction, and evidence of artesian conditions.
performance. • Consistency and strength of cohesive soils
Table 5.4.4-1 shall be used as guidance for • Composition, gradation, and density of
determining the number and locations of borings. The cohesionless soils
final number of borings shall be adjusted based on the • Presence of lenses and layers of higher-
variability of the anticipated subsurface conditions for the permeability soils
project, as well as the conditions encountered during • Presence of gravel, cobbles, boulders, and core
execution of the investigation program. Additional stones, and potential for nested boulders or
borings shall be provided to better define localized concentrated core stones
geologic hazards, such as faults and slope instability, and • Maximum cobble/boulder/core stone size from
for assessing potential impacts and protection measures at coring and/or large diameter borings (and based on
existing structures and facilities. For economy, the understanding of local geology) and the
program should be staged to gather the amount of unconfined compressive strength, abrasiveness,
information appropriate to the stage of project and hardness of cobbles/boulders/core stones
development (i.e., planning, preliminary design, final (from field index tests or laboratory testing of
design, etc.). recovered samples)
Borings for tunnels and shafts shall extend to at least
• Presence of cemented soils
1.5 tunnel-shaft diameters below the proposed tunnel-
• Presence of contaminated soil or groundwater
shaft invert unless there is uncertainty regarding the final
profile of the tunnel. Borings for cut-and-cover tunnels
In rock, rock mass characteristics (e.g.,
and portals shall extend at least 1.5 times the depth of the
discontinuities) as well as special intact rock properties
portal excavation for design of the support of excavation
are of interest for tunnel projects. In addition to general
(SOE) system and portal structure foundations. This
rock lithology and discontinuity descriptions (e.g.,
requirement may be waived if the portal excavation
predominant joint sets with strike and dip orientations,
extends into rock. In that case, exploration generally
joint roughness, joint persistence, joint spacing, joint
should be advanced below the excavation invert until a
weathering, and infilling), other information that
minimum continuous core recovery of 85% is recorded
should be noted include:
with rock quality designation (RQD) greater than 50 over
• Presence of faults or shear zones
a length of 20 feet.
If there is uncertainty regarding the final profile of • Presence of intrusive material (volcanic dikes and
the tunnel, the borings should extend at least two to three sills)
times the tunnel diameter below the preliminary tunnel • Presence of voids (solution cavities, lava tubes,
invert level. etc.)
• Groundwater levels, artesian pressure, and
evidence of rock permeability (loss of drilling
fluid, rise or drop in borehole water level, etc.)
In addition to vertical and inclined boreholes,

horizontal boreholes or a pilot tunnel along the
proposed tunnel alignment can provide a continuous
record of ground conditions and information directly
relevant to the tunnel design and excavation.
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Refer to FHWA (2002 and 2002a) for guidance

regarding the planning and conduct of subsurface
exploration programs. For further information on
critical information to be collected from borings for
tunnel projects, refer to Technical Manual for Design
and Construction of Road Tunnels—Civil Elements
(AASHTO, 2010).
Table 5.4.4-1—Guidelines for Vertical/Inclined Borehole Spacing (after AASHTO, 1988; AASHTO 2010)
Typical Borehole
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
Structure Type/Ground Conditions
Spacing
Cut-and-Cover Tunnels 100 to 300 ft
Rock Tunneling
Adverse conditions, closely jointed to sheared and folded rock 50 to 200 ft
Favorable conditions, moderately to widely jointed or massive rock 500 to 1,000 ft
Soft Ground Tunneling
Adverse conditions, soft compressible soils or significant groundwater issues. 50 to 100 ft
Favorable conditions, moderately dense to very dense or stiff to hard soils 300 to 500 ft
Mixed-Face Tunneling
Adverse conditions, irregular and variable rock contact 25 to 50 ft
Favorable conditions, relatively uniformly varying rock contact 50 to 75 ft
5.4.5—In-Situ Tests and Sampling of Soil and Rock C5.4.5
In-situ tests may be performed to obtain deformation For further information on in-situ testing and
and strength parameters for soil and rocks for design and sampling of soils and rocks relevant to highway
analysis purposes. At a minimum, in-situ tests shall be tunnels and limitations refer to the Technical Manual
conducted in soils that do not lend themselves to for Design and Construction of Road Tunnels—Civil
undisturbed sampling as a means to estimate design Elements (AASHTO, 2010). The in-situ tests usually
parameters. When performed, in-situ tests shall be used for soils and rock are presented in Tables C5.4.5-
conducted in accordance with the appropriate ASTM or 1 and C5.4.5-2.
AASHTO standards. When in-situ test results are used to estimate
Whenever in-situ tests are performed, several of the design properties through correlations, such
in-situ test holes shall be performed adjacent to correlations should be well established through long-
geotechnical borings to assist in the interpretation of soil term widespread use or thorough detailed
classifications at other in-situ test locations, and to measurements that illustrate the accuracy of the
provide correlations between in-situ test data and correlation.
laboratory test results. Often, CPT soundings are performed in soil to
A soil/rock sampling program shall be developed to obtain in-situ test data to complement the data obtained
obtain necessary information for planning, design, and from geotechnical borings and laboratory soil tests.
construction of the tunnel. CPT soundings are an economical means of providing
a larger number of exploration locations in comparison
to geotechnical borings. In addition, when considered
appropriate by the Project Geotechnical Engineer, CPT
soundings may be used to replace some of the
geotechnical borings, particularly at sites requiring a
large number of borings.
5.4.5.1—Soil Sampling
The overburden soil shall be sampled at intervals not

greater than five feet and at changes in strata using a
Standard Split Spoon Sampler (ASTM D1586). In
addition, undisturbed tube samples from cohesive soil
strata shall be collected at intervals not exceeding 15 ft.
For bored and mined tunnels, continuous sampling from
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5.4.5.2—Rock Coring C5.4.5.2
Continuous rock core generally shall be obtained It is desirable to preserve the rock cores retrieved
below the surface of rock, with a minimum core diameter from the field properly until the construction is
of NX-size (diameter of 2.16 in.). completed and disputes/claims are settled. Common
At the discretion of the Project Geotechnical practice is to photograph the rock cores in core boxes
Engineer, based on their evaluation of project geology, and possibly scan the core samples for review by
the continuous rock coring requirement may be waived designers and contractors.
for very deep holes. In that situation, coring may begin Drilling through a significant depth of soil and
two to three tunnel diameters (widths) above the crown of rock above the tunnel horizon using conventional soil
the tunnel. The boring may be advanced by rotary drilling sampling techniques and rock coring is a significant
methods from the ground surface to the start of coring expense that may yield limited useful information for
operations. A post-completion ATV survey may be deep tunnels. In such cases, an economical approach
desirable in this situation if the geologic environment is may be to limit soil sampling and rock coring to zones
complex. within and near the tunnel horizon. The limits of
Double or triple tube core barrels shall be used to sampling and coring should be determined by a
obtain high quality cores representative of the in-situ geotechnical engineer who is knowledgeable of
rock. For deeper holes, coring shall be performed with the tunneling and the geologic formations within the
use of wire-line drilling equipment to further reduce project site.
potential degradation of the recovered core samples. Core
runs shall be limited to a maximum length of 10 ft in
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
moderate to good quality rock, and 5 ft in poor quality
rock.
5.4.5.3—Bore Hole Sealing
All borings shall be sealed at the completion of the

subsurface investigation, if not intended to be used as
monitoring wells. Sealing of the borings shall be done in
a manner that will not be detrimental to the anticipated
tunnel construction methodology.
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Table C5.4.5-1—In-Situ Testing Methods Used in Soil (After FHWA, 2002a; AASHTO, 2010)
Method Procedure Applicable Applicable Soil Limitations/Remarks
Soil Types Properties
Electric Cone A cylindrical probe is Silts, Estimation of soil Excellent tool for providing
Penetrometer hydraulically pushed sands, type and detailed continuous profile of soil
(CPT) vertically through the soil clays, and stratigraphy characteristics and can capture
measuring the resistance at the peat Sand: φ′, Dr, σho′ thin layers often missed by
conical tip of the probe and conventional SPT tests.
along the steel shaft; Clay: su, σp′ No soil sample is obtained; the
measurements typically probe may become damaged if
recorded at 1- to 2-in. testing in gravelly soils is
intervals attempted.
Piezocone Same as CPT; additionally, Silts, Same as CPT, If the filter element and ports are
Penetrometer penetration porewater sands, with additionally: not completely saturated, the pore
(CPTu) pressures are measured using clays, and Sand: uo/water pressure response may be
a transducer and porous filter peat table elevation misleading.
element Compression and wear of a mid-
Clay: σp′, ch, kh
face (u1) element will effect
OCR readings; test results not
particularly good for estimating
deformation characteristics.
Seismic Same as CPTu; additionally, Silts, Same as CPTu, Excellent tool for obtaining shear
CPTu shear waves generated at the sands, with additionally: wave velocity profile of the soil
(SCPTu) surface are recorded by a clays, and Vs, Gmax, Emax, which represents maximum soil
geophone at 3 ft intervals peat stiffness, a key parameter for
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
ρtot, eo
throughout the profile for estimating deformation
calculation of shear wave characteristics, at small strains
velocity and seismic evaluation of soil
response.
First arrival times should be used
for calculation of shear wave
velocity. (If first crossover times
are used, the error in shear wave
velocity will increase with depth.)
Flat Plate A flat plate is hydraulically Silts, Estimation of soil Membranes may become
Dilatometer pushed or driven through the sands, type and deformed if over-inflated.
(DMT) soil to a desired depth; at clays, and stratigraphy Deformed membranes will not
approximately 12 in. intervals, peat Total unit weight provide accurate readings.
the pressure required to
Sand: φ′, E, Dr, mv Leaks in tubing or connections
expand a thin membrane is
will lead to high readings.
recorded. Two to three Clays: σp′, Ko, su,
measurements are typically Good test for estimating
mv, E, ch, kh deformation characteristics at
recorded at each depth.
small strains.
Pre-bored A borehole is drilled and the Clays, silts, E, G, mv, su Preparation of the borehole most
Pressure bottom is carefully prepared and peat; important step to obtain good
Meter (PMT) for insertion of the equipment; marginal results; provides useful
The pressure required to response in information for calculation of
expand the cylindrical some sands lateral deformation characteristics
membrane to a certain volume and gravels
or radial strain is recorded.
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Table C5.4.5-1 (Cont’d)—In-Situ Testing Methods Used in Soil (After FHWA, 2002a; AASHTO. 2010)
Method Procedure Applicable Applicable Soil Limitations/Remarks
Soil Types Properties
Full A cylindrical probe with a Clays, silts, E, G, mv, su Disturbance during
Displacement pressure meter attached and peat advancement of the probe will
Pressure behind a conical tip is lead to stiffer initial modulus
Meter (PMT) hydraulically pushed through and mask liftoff pressure (po).
the soil and paused at select Provides useful information for
intervals for testing; the calculation of lateral
pressure required to expand deformation characteristics.
the cylindrical membrane to a
certain volume or radial strain
is recorded
Vane Shear A four-blade vane is Clays, su, St, σp′ Disturbance may occur in soft
Test (VST) hydraulically pushed below some silts sensitive clays, reducing
the bottom of a borehole, then and peats if measured shear strength.
slowly rotated while the undrained Partial drainage may occur in
torque required to rotate the conditions fissured clays and silty
vane is recorded for can be materials, leading to errors in
calculation of peak undrained assumed; calculated strength.
shear strength; the vane is not for use
Rod friction needs to be
rapidly rotated for 10 turns, in granular
accounted for in calculation of
and the torque required to fail soils
strength.
the soil is recorded for
calculation of remolded Vane diameter and torque
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
undrained shear strength wrench capacity need to be

properly sized for adequate
measurements in various clay
deposits.
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Table C5.4.5-2—Common In-Situ Test Methods for Rock (after USACE, 1997; AASHTO, 2010)
Parameter Test Method Procedure/Limitations/Remarks
In situ Stress Hydraulic This method is typically conducted in vertical boreholes. A short segment of
Fracturing the hole is sealed off using a straddle packer. This is followed by pressurization
by pumping in water. The pressure is raised until the rock surrounding the hole
fails in tension at a critical pressure. Following hydraulic fracturing of the
rock, the applied test pressure at which the hydrofracture closes completely
estimates the in situ stress acting normal to the hydrofracture In a vertical test
hole, the hydrofractures are expected to be formed vertical and perpendicular
to the minimum horizontal stress. Interpretation of hydrofracturing tests can
be difficult at depths less than 150 feet below ground surface.
Overcoring Overcoring drills a small diameter borehole and sets an instrument to respond
to changes in diameter into it. Rock stresses are determined indirectly from
measurements of the dimensional changes of the borehole, occurring when the
rock volume surrounding the hole is isolated from the stresses in the host rock.
Maintaining correct drill hole orientation is of critical importance.
Flat Jack Test This method involves the use of flat hydraulic jacks, con.sting of two plates of
steel welded around their edges and a nipple for introducing oil into the
intervening space. The flat jack is inserted into the slot, cemented in place, and
pressurized. When the pins have been returned to the initial separation, the
pressure in the jack approximates the initial stress normal to the jack. Usually
performed in an exploratory tunnel/adit. Disturbance of stress field around
exploratory tunnel/adit is a concern.
Modulus of Plate Bearing A relatively flat rock surface is sculpted and leveled with mortar to receive
Deformation Test circular bearing plates 20 to 40 in. in diameter. The rock surface is loaded and
the resulting displacement is monitored. This is easily arranged in an
exploratory tunnel/adit. The site should be selected carefully to exclude loose,
highly fractured rock.
Borehole The test is a borehole expansion experiment conducted with a rubber sleeve.
Dilatometer Test The expansion of the borehole is measured by the oil or gas flow into the sleeve
as the pressure is raised, or by potentiometers or linear variable differential
transformers built inside the sleeve. One problem with the borehole
dilatometer test is that it affects a relatively small volume of rock and therefore
contains an incomplete sample of the fracture system.
Flat Jack Test This method involves the use of flat hydraulic jacks, consisting of two plates
of steel welded around their edges and a nipple for introducing oil into the
intervening space. Provide measurement points on the face of the rock and
deep slot (reference points). Modulus of deformation can be calculated from
the measured pin displacements.
Radial Jacking Loads are applied to the circumference of a tunnel by a series of jacks reacting
Test against circular steel ring members. This test allows the direction of load to be
varied according to the plan for pressuring the jacks.
Pressuremeter The pressure required to expand the cylindrical membrane to a certain volume
or radial strain is recorded in a borehole. It is applicable for soft rocks.
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
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Table C5.4.5-2 (Cont’d)—Common In-Situ Test Methods for Rock (after USACE, 1997; AASHTO, 2010
Parameter Test Method Procedure/Limitations/Remarks
Dynamic The velocity of stress waves is measured in the field. The wave velocity can
Measurement be measured by swinging a sledgehammer against an outcrop and observing
the travel time to a geophone standing on the rock at a distance of up to about
150 ft. The stress loadings sent through the rock by this method are small and
transient. Most rock masses depart significantly from the ideal materials;
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
consequently, elastic properties calculated from these equations are often
considerably larger than elastic properties calculated from static loading tests,
particularly in the case of fractured rocks.
Imaging and Acoustic ATV produces images of the borehole wall based on the amplitude and travel
Discontinuities Televiewing time of acoustic signals reflected from the borehole wall. A portion of the
reflected energy is lost in voids or fractures, producing dark bands on the
amplitude log. Travel time measurements allow reconstruction of the borehole
shape, making it possible to generate a 3-D representation of a borehole.
Borehole Video The Borehole Video System (BVS) is lowered down boreholes to inspect the
geology and structural integrity. The camera view of fractures and voids in
Televiewing
boreholes provides information.
Permeability Slug Test Slug tests are applicable to a wide range of geologic settings as well as small-
diameter piezometers or observation wells, and in areas of low permeability
where it would be difficult to conduct a pumping test. A slug test is performed
by injecting or withdrawing a known volume of water or air from a well and
measuring the aquifer’s response by the rate at which the water level returns
to equilibrium. Permeability values derived relate primarily to the horizontal
conductivity. Slug tests have a much smaller zone of infiltration than pumping
tests, and thus are only reliable at a much smaller scale.
Packer Test The test is conducted by pumping water at a constant pressure into a test
section of a borehole and measuring the flow rate. Borehole test sections are
sealed off by packers, with the use of one or two packers being the most widely
used techniques. The test is rapid and simple to conduct, and by performing
tests within intervals along the entire length of a borehole, a permeability
profile can be obtained. The limitation of the test is that it affects a relatively
small volume of the surrounding medium, because frictional losses in the
immediate vicinity of the test section are normally extremely large.
Pumping Tests In a pumping test, water is pumped from a well normally at a constant rate
over a certain time period, and the drawdown of the water table or piezometric
head is measured in the well and in piezometers or observation wells in the
vicinity. Since pumping tests involve large volumes of the rock mass, they
have the advantage of averaging the effects of the inherent discontinuities.
Most classical solutions for pump test data are based on the assumptions that
the aquifers are homogeneous and isotropic, and that the flow is governed by
Darcy's Law. The major disadvantage is the period of time required to perform
a test. Test durations of one week or longer are not unusual when attempting
to approach steady-state flow conditions. Additionally, large diameter
boreholes or wells are required since the majority of the conditions
encountered require the use of a downhole pump.
5.4.6—Geophysical Tests C5.4.6
Geophysical tests shall be used only in combination Application of geophysical testing methods and
with information from direct methods of exploration to other relevant information regarding subsurface
establish location and identification of the subsurface investigation for highway tunnels are presented in
materials, the profile of the top of bedrock and bedrock Tables C5.4.6-1 and C5.4.6-2.
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quality, the depth to groundwater, the limits of soil layers, ASTM D6429, Standard Guide for Selecting
the limits of organic deposits, the presence of voids, the Surface Geophysical Methods, provides additional
location and depth of utilities, the location and depth of guidance on selection of suitable methods.
existing foundations and other obstructions, etc.
Geophysical tests shall also be used to define the shear Vs is a parameter that is needed to compute the
wave velocity profile of soil and rock formations, Vs. This maximum shear modulus, Gmax, for analysis of
parameter, Vs, is an essential parameter for estimating small deformations around tunnels and excavation in some
strain deformation around tunnels and excavations, geotechnical software that employs finite element
especially in urban areas. This parameter, Vs, is also and finite difference methods. It is also a parameter
essential for seismic site response evaluation and can be needed in seismic site response analysis.
used in liquefaction evaluation of soil.
The shear wave and pressure wave velocities of the
geologic strata required for seismic design shall be
evaluated using cross-hole seismic logging, suspension
logging, spectral analysis of surface waves (SASW),
multichannel analysis of surface waves (MASW), or
similar. For preliminary assessment, dynamic properties
based on empirical correlations (e.g., correlations with
measured SPT values or laboratory measured undrained
shear strength) may be used in the absence of measured
data.
Table C5.4.6-1—Applications for Geophysical Testing Methods (after AASHTO, 1988; AASHTO, 2010)
Geological Conditions to be Useful Geophysical Techniques

Investigated Surface Subsurface
Stratified Rock and Soil Units
Seismic Refraction Seismic Wave Propagation
(depth and thickness of layers)
Seismic Refraction
Depth to Bedrock Electrical Resistivity Seismic Wave Propagation
Ground Penetrating Radar
Seismic Refraction
Depth to Groundwater Table Electrical Resistivity
Ground Penetrating Radar
Location of Highly Fractured
Electrical Resistivity Borehole TV Camera or ATV
Rock and/or Fault Zone
Bedrock Topography (troughs, Seismic Refraction

pinnacles, fault scarp) Gravity
Location of Planar Igneous Gravity, Magnetics
Intrusions Seismic Refraction
Electrical Resistivity
Solution Cavities Borehole TV Camera or ATV
Ground Penetrating Radar Gravity
Isolated Pods of Sand, Gravel, or
Electrical Resistivity Seismic Wave Propagation
Organic Material
Permeable Rock and Soil Units Electrical Resistivity Seismic Wave Propagation
Topography of Lake, Bay, or Seismic Reflection (acoustic
River Bottoms sounding)
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
Stratigraphy of Lake, Bay, or Seismic Reflection (acoustic

River Bottom Sediments sounding)
Lateral Changes in Lithology of Seismic Refraction

Rock and Soil Units Electrical Resistivity
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Table C5.4.6-2—Geophysical Testing Methods (AASHTO, 2010)

Method Procedure Limitations/Remarks
Seismic Refraction Detectors (geophones) are positioned on the Distance between closest and furthest
ground surface at increasing distance from a geophone must be three to four times the
seismic impulse source, also at the ground depth to be investigated. Reflection from
surface. The time required for the seismic hard layer may prevent identification of
impulse to reach each geophone is recorded. deeper layers. Other conditions affecting
interpretation: insufficient density contrast
between layers; presence of low-density
layer; irregular surface topography.
Seismic Reflection Performed for offshore applications from a boat The position and direction of the boat must
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
using an energy source and receiver at the water be accurately determined by GPS or other
surface. The travel time for the seismic wave to suitable method. Reflection from hard
reach the receiver is recorded and analyzed. layer may prevent identification of deeper
layers.
Electrical Wenner Four Electrode Method is the most Results may be influenced by presence of
Resistivity/ commonly used test in the U.S. Four electrodes underground obstructions, such as
Conductivity are placed partially in the soil, in line and pipelines, tanks, etc.
equidistant from each other. A low magnitude
current is passed between the outer electrodes,
and the resulting potential drop is measured at
the inner electrodes. A number of traverses are
used, and electrode spacing is varied to better
define changes in deposits and layering.
Seismic Wave Propagation:
Cross-Hole At least two boreholes are required: a source Receivers must be properly oriented and
borehole within which a seismic pulse is securely in contact with the side of the
generated, and a receiver borehole in which a borehole. Boreholes deeper than about 30
geophone records generated compression and ft should be surveyed using an
shear waves. For increased accuracy, additional inclinometer or other device to determine
receiver boreholes are used. the travel distance between holes.
Up-Hole or Down- Performed in a single borehole. In up-hole Data limited to area in immediate vicinity
Hole method, a sensor is placed at the ground surface of the borehole.
and shear waves are generated at various depths
in the borehole. In down-hole method, a seismic
wave is generated at the surface and one or more
sensors are placed at different depths within the
hole.
Parallel Seismic Used to determine the depth of existing Requires access to top of foundation.
foundations, an impulse wave is generated at the
top of the foundation, and a sensor in an adjacent
borehole records arrival of the stress wave at set
depth increments.
Ground Repetitive electromagnetic impulses are The presence of a clay layer may mask
Penetrating Radar generated at the ground surface and the travel features below that layer.
time of the reflected pulses to return to the
transmitter are recorded.
Continued on Next Page
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Table C5.4.6-2 (Cont’d)—Geophysical Testing Methods (AASHTO, 2010)

Method Procedure Limitations/Remarks
Gravity A sensitive gravimeter is used at the ground May not identify small changes in density.
surface to measure variations in the local May be influenced by nearby surface or
gravitational field in the earth caused by changes subsurface features (mountains, solution
in material density or cavities. cavities, buried valleys, etc.) not directly in
area of interest.
Magnetics Magnetic surveys can be performed using either Monitoring locations should not be located
ground-based or airborne magnetometers. With near man-made objects that can change the
ground equipment, measurements of changes in magnitude of the earth’s magnetic field
the earth’s magnetic field are taken along an (pipelines, buildings, etc.). Corrections need
established survey line. to be made for diurnal variations in the
earth’s magnetic field.
Suspension Performed in a single borehole. The seismic Data limited to area in immediate vicinity of
Logging wave is generated from a source located on a 25- the borehole. This method has been used at
ft long probe. The two receivers are also located boreholes with depths greater than 1,000 ft.
on the probe.
5.4.7—Laboratory Tests
5.4.7.1—Soil Tests C5.4.7.1
Laboratory testing shall be performed to provide For further information on laboratory soil tests, refer
basic data with which to classify soils and to provide to the FHWA Geotechnical Engineering Circular No.
parameters for design and modeling purposes. When 5—Evaluation of Soil and Rock Properties (Sabatini et
performed, laboratory tests shall be conducted in al., 2002).
accordance with AASHTO, ASTM, or Owner-supplied
procedures applicable to the design properties needed.
5.4.7.2—Rock Tests C5.4.7.2
When performed, laboratory tests shall be Standard rock tests used to evaluate physical
conducted in accordance with ASTM or Owner- properties of the rock include density and mineralogy
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
supplied procedures applicable to the design properties tests (thin-section analysis). The mechanical properties
needed. Laboratory tests shall be used in conjunction of the intact rock core include uniaxial compressive
with field tests and field characterization of the rock strength, tensile strength, static and dynamic elastic
mass to give estimates of rock mass behavioral constants, hardness, and abrasiveness indices.
characteristics.
TBM performance rates shall be assessed through
specialized tests including three drillability and
boreability tests, namely, Drilling Rate Index (DRI), Bit
Wear Index (BWI), and Cutter Life Index (CLI).
Joint shear strength may be evaluated using
laboratory direct shear tests.
5.4.8—Groundwater and Surface Water C5.4.8

Investigation
Depth to groundwater shall be recorded at all Groundwater is a major factor for tunnels since it
boreholes during drilling. Groundwater levels within the may not only represent a large percentage of the loading
limits of the tunnel shall be monitored periodically with on the final tunnel lining, but also it largely determines
groundwater observation wells or piezometers over a ground behavior and stability for soft ground tunnels;
prolonged period of time to provide information on the inflow into rock tunnels during construction; the
seasonal variations in groundwater levels. An method and equipment selected for tunnel construction;
appropriate minimum monitoring period shall be at least and the long-term performance of the completed
12 months, but preferably 24 months, during the project structure. Accordingly, for tunnel projects, special
design period. Monitoring shall also continue during attention must be given to defining the groundwater
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construction to provide information on the influence of regime, aquifers, sources of water, any perched or
tunneling on groundwater levels. artesian conditions, water quality, temperature, depth to
In addition to groundwater levels, hydraulic groundwater, and the permeability of the various
conductivity of the soils and rock shall be evaluated materials that may be encountered during tunneling.
through laboratory testing or field tests. Related considerations include the potential impact
Site specific groundwater chemistry shall also be of groundwater lowering on settlement of overlying and
considered for tunnels, as aggressive groundwater may nearby structures, utilities, and other facilities; other
contribute to a reduction of the lining durability unless influences of dewatering on existing structures (e.g.,
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
special concrete mixtures to resist the attack of accelerated deterioration of exposed timber piles);
aggressive groundwater are used for the final tunnel pumping volumes during construction;
lining. Groundwater chemistry considered to be decontamination/treatment measures for water
aggressive toward concrete durability includes, but is discharged from pumping; migration of existing soil and
not limited to, factors such as adverse pH, high sulfate groundwater contaminants due to dewatering; the
content, and high chloride content. Although potential impact on water supply aquifers; and seepage
waterproofing membranes should limit the exposure of into the completed tunnel.
the final tunnel lining to groundwater, protective Borehole permeability tests in general provide low
measures shall be in place to ensure long-term durability cost means for assessing the permeability of soil and
over the design life of the facility. rock but may provide information for a limited zone near
the test location. Continuous pumping tests, on the other
hand, may provide information over an extended area.
Further information regarding the details and procedures
used for performing and evaluation of these field tests
are provided by Mayne et al. (FHWA, 2002a).
Surface water bodies in the immediate vicinity of If there is a hydraulic connection between the
the tunnel alignment, such as streams, ponds, lakes, and surface water body and the tunnel, high initial water
reservoirs, shall be identified, and the potential for inflows and reduced sustained inflows may be
drainage into the tunnel shall be evaluated. encountered that may damage equipment and require the
implementation of extensive water inflow control
measures.
Although not common, drainage of surface water
bodies into tunnels has been reported with high volume
initial flows and reduced sustained flows. These
incidents have sometimes led to the temporary or
permanent drying up of small streams and ponds and to
significant delays in tunnel construction.
5.5—SELECTION OF SOIL AND ROCK

PARAMETERS FOR DESIGN
5.5.1—General
The soil and rock design parameters shall be

determined using one or more of the following methods:
• In-situ testing during the subsurface
investigation, including consideration of any
geophysical testing conducted;
• Laboratory testing; and/or
• Back analysis of design parameters based on site
performance data.
Local experience, local geologic formation specific

correlations, and knowledge of local geology, in
addition to broader based experience and relevant
published data, shall also be considered in the final
selection of design parameters. If published correlations
are used in combination with one of the methods above,
the applicability of the correlation to the specific
geologic formation shall be considered through the use
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of local experience, local test results, and/or long-term

experience.
The focus of design parameter assessment and final
selection shall be on the individual geologic strata
identified at the project site. The selected design
parameters shall be appropriate to the particular limit
state under consideration and the corresponding analysis
model.
The evaluation of design parameters for rock shall
take into consideration that rock mass properties are
generally controlled by the discontinuities within the
rock mass and not the intact material properties. A
combination of laboratory testing of small samples,
empirical analysis, and field observations shall be
employed to determine the design parameters for the
rock mass, with greater emphasis placed on visual
observations and quantitative descriptions of the rock
mass.
5.5.2—Soil Strength C5.5.2
The selection of soil strength parameters for design For additional information, see Article C10.4.6.2.1
shall consider the following at a minimum: of the LRFD Specifications and FHWA Geotechnical
• Rate of construction loading relative to the Engineering Circular No. 5—Evaluation of Soil and
hydraulic conductivity of the soil (drained versus Rock Properties, 2002.
undrained strengths);
• Loading direction;
• Strain levels; and
• Effect of the construction sequence.
5.5.2.1—Undrained Shear Strength of Cohesive Soils
Generally, laboratory consolidated undrained (CU)

and unconsolidated undrained (UU) testing shall be used
to estimate the undrained shear strength, Su,
supplemented as needed with values determined from
in-situ testing. In-situ testing methods shall be used to
compliment laboratory testing in soils that may be
susceptible to disturbance during sampling,
transportation, and laboratory preparation. For relatively
thick deposits of cohesive soil, profiles of Su as a
function of depth shall be obtained so that the stress
history and properties can be ascertained.
5.5.2.2—Drained Strength of Cohesive Soils
The drained strength parameters, c′ and φ′, of

cohesive soils shall be evaluated by slow consolidated
drained direct shear box tests, CD triaxial tests, or CU
tests with pore pressure measurements. In laboratory
tests, the rate of loading shall be sufficiently slow to
ensure substantially complete dissipation of excess pore
pressure in the drained tests, or in undrained tests,
complete equalization of pore pressure throughout
specimen.
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5.5.2.3—Drained Strength of Granular Soils
The drained strength parameters of granular soils

shall be evaluated in accordance with the procedures
contained in Article 10.4.6.2.4 of the LRFD
Specifications.
5.5.3—Soil Deformation
The undrained and drained elastic deformation

parameters (e.g., Young’s Modulus, Poisson’s ratio)
shall be developed based on the results from in-situ tests
(e.g., DMT, PMT) or laboratory tests directly, or based
on empirical correlations with in-situ test measurements
(e.g., SPT, CPT).
5.5.4—Rock Shear Strength C5.5.4
The design shear strength parameters for the rock In general, the rock shear strength, τ, can be defined
shall be evaluated based on laboratory tests on intact using Mohr-Coulomb envelope as a function of
rock specimens, visual assessment, or rock mass cohesion (c), friction angle (φ), and effective normal
classification of the recovered cores, and available stress (σ’) along the rupture surface. The development
information from previous studies or investigation on of rock shear strength parameters is presented in detail
similar geologic materials to account for discontinuities in the FHWA Geotechnical Engineering Circular No. 5
(e.g., joints, bedding, foliation planes), infillings, and – Evaluation of Soil and Rock Properties (Sabatini et al.,
geologic history. 2002).
Alternatively, other rock mass classification
systems (e.g., Tunneling Quality Index or Q System) can
also be used to evaluate rock mass strength parameters.
For example, Barton (2002) proposed:
c = (RQD/Jn)(1/SRF)(σc/100) (C5.5.4-1)
φ = tan-1 [(Jr/Jn) Jw] (C5.5.4-2)
where:
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RQD = Rock Quality Designation
Jn = joint set number
Jr = joint roughness number
Jw = joint water reduction
SRF = stress reduction factor
σc = unconfined compressive strength
Evaluation of these Q System parameters is presented in

Table C5.5.4-1.
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Table C5.5.4-1—Classification of Individual Parameters for Q System (AASHTO, 2010)
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Table C5.5.4-1 (Cont’d)—Classification of Individual Parameters for Q System (AASHTO, 2010)
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Table C5.5.4-1 (Cont’d)—Classification of Individual Parameters for Q System (AASHTO, 2010)
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5.5.5—Rock Deformation Modulus C5.5.5
The deformation modulus for rock mass shall be For information on rock deformation modulus, see
derived from in-situ tests (e.g., borehole dilatometer, Tables C5.5.5-1 through C5.5.5-4.
borehole jack) or correlations with intact rock modulus
and rock mass classification parameters.
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Table C5.5.5-1—Estimation of Rock Mass Deformation Modulus Using Rock Mass Classification (AASHTO,
2010)
Rock Mass Deformation Modulus (ksi) Reference

𝑅𝑅𝑅𝑅𝑅𝑅−10
𝐸𝐸𝑚𝑚 = 145 �10 40 � Serafim and Pereira (1983)
Barton et. al. (1980, 1992), Grimstad

𝐸𝐸𝑚𝑚 = 3,625 log10 𝑄𝑄
and Barton (1993)
𝜎𝜎𝑐𝑐𝑐𝑐 𝐺𝐺𝐺𝐺𝐺𝐺−10
𝐸𝐸𝑚𝑚 = 145� 10� 40 �
100
where GSI = RMR76 = RMR89 – 5 = 9 LogeQ + 44 Hoek and Brown (1998)

(GSI represents Geological Strength Index. The value of GSI ranges from 10,
for extremely poor rock mass, to 100 for intact rock.)
1 − 𝐷𝐷/2
𝐸𝐸𝑚𝑚 = 145,000 � �
1 + 𝑒𝑒 {(75+25𝐷𝐷−𝐺𝐺𝐺𝐺𝐺𝐺)/11}
Guidelines for the selection of D are presented in Table C5.5.5-2.
Hoek and Diederichs (2006)
(D is a factor which depends upon the degree of disturbance due to blast
damage and stress relaxation. It varies from 0 for undisturbed in situ rock
masses to 1 for very disturbed rock masses.)
Bieniawski (1978)
𝐸𝐸𝑚𝑚 = 145 (2 RMR -100) for RMR ≥ 50
𝐸𝐸𝑖𝑖 𝑅𝑅𝑅𝑅𝑅𝑅
Nicholson and Bieniawski (1990)
𝐸𝐸𝑚𝑚 = � � �0.0028 𝑅𝑅𝑅𝑅𝑅𝑅2 + 0.9 𝑒𝑒 �22.82� � where 𝐸𝐸𝑖𝑖 = 7,250 𝑘𝑘𝑘𝑘𝑘𝑘
100
𝐸𝐸𝑚𝑚 = 14.5 (RMR/10)3 Read et. al. (1999)
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Table C5.5.5-2—Estimation of Disturbance Factor, D (AASHTO, 2010)

Description of Rock Mass Suggested Value
Excellent quality controlled blasting or excavation by TBM results in minimal
D=0
disturbance to the confined rock mass surrounding a tunnel.
Mechanical or hand excavation in poor quality rock masses (no blasting) results in D=0
minimal disturbance to the surrounding rock mass.
Where squeezing problems result in significant floor heave, disturbance can be D = 0.5
severe unless a temporary invert is placed. No invert
Very poor quality blasting in a hard rock tunnel results in severe local damage,
D = 0.8
extending 6 to 9 ft, in the surrounding rock mass.
D = 0.7
Small scale blasting in civil engineering slopes results in modest rock mass damage, Good blasting
particularly if controlled blasting is used. However, stress relief results in some
disturbance. D = 1.0
Poor blasting
Very large open pit mine slopes suffer significant disturbance due to heavy D = 1.0
production blasting and also due to stress relief from overburden removal. Production blasting
In some softer rocks, excavation can be carried out by ripping and dozing, and the D = 0.7
degree of damage to the slope is less. Mechanical excavation
Table C5.5.5-3—Estimation of Em based on RQD (AASHTO, 2014; modified after O’Neill and Reese, 1999)
Table C5.5.5-4—Summary of Elastic Moduli for Intact Rock (AASHTO, 2014; modified after Kulhawy,
1978)
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5.5.6—Poisson's Ratio C5.5.6
Poisson’s ratio for rock shall be determined from For representative values of Poisson’s ratio for
tests on intact rock core. rock, see Table C5.5.6-1.
Table C5.5.6-1—Summary of Poisson’s Ratio for Intact Rock (AASHTO, 2014; modified after Kulhawy,
1978)
5.6—ENVIRONMENTAL ISSUES
The aggressive subsurface environment due to

groundwater chemistry/corrosive soils, handling of
hazardous minerals within the excavated zone (e.g.,
asbestiform minerals), and hazardous and explosive
gases within the subsurface (e.g., hydrogen sulfide, H2S,
and methane, CH4) shall be considered when developing
subsurface investigations. If present, necessary
measures shall be included in the design of the
structures.
The spoils, tunnel muck, and dredged material shall
be treated, reused, or disposed of in accordance with
applicable local and national regulations.
All necessary precautions and instrumentation shall
be implemented to mitigate the impact of construction of
highway tunnels on air quality, noise, vibration,
traffic, nearby aboveground and underground
structures/utilities, groundwater, surface water, etc.
5.7—INSTRUMENTATION AND MONITORING
An instrumentation and monitoring program shall Additional information on geotechnical instrumentation

be in place for all tunneling projects to: and monitoring is provided by J. Dunnicliff (FHWA,
• Prevent and minimize damage to existing 1998).
structures/utilities and the structure under
construction by providing data to evaluate the
source and magnitude of ground movements and
changes to groundwater levels;
• Assess the safety of works by comparison of the
observed response of ground and structures with
the predicted response and allowable
deformations of disturbance levels;
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• Develop protective and preventive measures for

existing and new structures;
• Select appropriate remedial measures, when
required;
• Evaluate critical design assumptions where
significant uncertainty exists;
• Determine adequacy of Contractor’s methods,
procedures, and equipment;
• Monitor effectiveness of protective, remedial,
and mitigative measures;
• Assess Contractor’s performance, Contractor-
initiated design changes, change orders, changed
conditions, and disputes;
• Provide feedback to Contractor on its
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performance; and
• Provide documentation for assessing damages
sustained to adjacent structures allegedly
resulting from construction related activities.
Threshold and limiting values regarding vibrations,

horizontal and vertical deformations, groundwater
drawdown, loads in structural elements, and minimum
standards for instrumentation shall be defined. Included
with the monitoring plan shall be proposed mitigation
measures to be taken in the event threshold and limiting
deformations are exceeded.
Pre- and post-construction condition surveys of all
critical structures and utilities shall be performed and
documented.
5.8—GEOTECHNICAL REPORTS
5.8.1—Geotechnical Data Report C5.8.1
The GDR shall present the factual subsurface data The GDR avoids making any interpretation of the
for the project without including an interpretation of data since these interpretations may conflict with the
these data. All factual geological, geotechnical, data assessment subsequently presented in the
groundwater, and other data obtained from subsurface Geotechnical Design Memoranda (GDM) or other
investigations shall be included. geotechnical interpretive or design reports, and the
Data reduction shall be limited to determination of baseline conditions defined in the Geotechnical
the properties obtained from individual test samples, Baseline Report (GBR). Any such discrepancies may be
while avoiding any recommendations for the a source of confusion to contractors and open
geotechnical properties for the soil or rock unit from opportunities for claims of differing site conditions.
which the sample was obtained. For more information on GDR, refer to the
The GDR shall contain the following information, Technical Manual for Design and Construction of Road
at a minimum: Tunnels—Civil Elements (AASHTO, 2010).
• Description of the geologic setting;
• Descriptions of the site exploration program(s);
• Logs of all borings, trenches, and other site
investigations;
• Groundwater measurements;
• Descriptions/discussions of all field and
laboratory test programs; and
• Results of all field and laboratory testing.
5.8.2—Geotechnical Baseline Report C5.8.2
The GBR shall establish the site specific subsurface The GBR translates facts, interpretations, and
conditions to be considered as baseline conditions to opinions
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develop bids and select means and methods. The GBR unambiguous statements for contractual purposes. Items
shall not be interpreted as a prediction or warranty of the typically addressed in GBR include:
actual site conditions, but rather seen as a contractual • Amounts and distribution of different materials
instrument for allocating risks and a basis for along the selected alignment;
determining the merits of claims of differing site • Description, strength, compressibility, grain size,
conditions during construction. The GBR shall be based and permeability of the existing materials;
on factual information presented in the GDR • Description, strength, and permeability of the
engineering evaluations made in GDM, as well as input ground mass as a whole;
from the Owner. The baseline presented in the GBR • Groundwater levels and expected groundwater
shall be clear and concise and be such that it can be conditions, including baseline estimates of
measured during construction. inflows and pumping rates;
• Anticipated ground behavior and the influence of
groundwater, with regard to methods of
excavation and installation of ground support;
• Construction impacts on adjacent facilities; and
• Potential geotechnical and man-made sources of
potential difficulty or hazard that could impact
construction, including the presence of faults,
gas, boulders, solution cavities, existing
foundation piles, and the like.
Items to be baselined should be limited to those that
have significant influence on construction operations,
cost, and schedule.
For further information, refer to the Technical
Manual for Design and Construction of Road Tunnels—
Civil Elements (AASHTO, 2010) and Geotechnical
Baseline Reports for Construction: Suggested
Guidelines (ASCE, 2007).
5.9—GEOTECHNICAL DESIGN MEMORANDA
One or more GDM shall be prepared for the project,

based on the project complexity. The number, format,
and content of the GDM shall be determined by the
Project Geotechnical Engineer and the Project Structural
Engineer, subject to review and approval by the Project
Manager in accordance with Owner requirements.
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Separate GDM may be prepared for design of

Temporary (Initial) Support and for the design of the
final structures of the different tunnel types.
Alternatively, a GDM may contain information required
for the design of both Temporary (Initial) Support and
the final structure.
Each GDM shall contain unfactored ground loads
and water loads and ground deformation parameters in
the format required by the Project Structural Engineer.
Each GDM shall address construction stages as well
as final equilibrium states.
Water loads shall reflect time-dependent variation,
including water table elevation lowering during
excavation as applicable, post-completion groundwater
level recovery, and lining details, i.e., drained or
undrained. Water loads for drained linings shall also
include a partial clogging condition.
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5.10—REFERENCES
1. AASHTO. Manual on Subsurface Investigations. American Association of State Highway and Transportation
Officials, Washington, DC, 1988.
4. ASCE. Geotechnical Baseline Reports for Construction: Suggested Guidelines. American Society of Civil
Engineers, Reston, VA, 2007.
5. ASTM. Standard Guide for Selecting Surface Geophysical Methods (ASTM D6429). West Conshohocken,
Pennsylvania, 1999.
6. ASTM. Standard Test Method for Standard Penetration Test (SPT) and Split-Barrel Sampling of Soils (ASTM
D1586). West Conshohocken, Pennsylvania, 2014.
7. Barton, N. Some New Q-Value Correlations to Assist in Site Characterization and Tunnel Design. International
Journal of Rock Mechanics and Mining Sciences, Vol. 39, published by Elsevier Science Ltd., Amsterdam, The
Netherlands, 2002, pp. 185–216.
8. Barton, N., R. Lien, and J. Lunde. Application of the Q-System in Design Decisions Concerning Dimensions
and Appropriate Support for Underground Installations. Presented at International Conference on Subsurface
Space, Rockstore, Stockholm, 1980, No. 2, pp. 553–561.
9. Bickel, J. O., T. R. Kuesel, and E. H. King. Tunnel Engineering Handbook. 2nd ed. Chapman & Hall, NY, 1996.
10. Bieniawski, Z. T. Determining Rock Mass Deformability—Experiences from Case Histories. International
Journal of Rock Mechanics and Mining Sciences and Geomechanics Abstract 15, published by Elsevier Science
Ltd., Amsterdam, The Netherlands, 1978, pp. 237–247.
11. FHWA. Geotechnical Instrumentation. Reference manual to NHI Training Course No. 13241—Module 11,
Publication No. FHWA HI-98-034. Federal Highway Administration, Washington, DC, 1998.
12. FHWA. Geotechnical Engineering Circular No. 5—Evaluation of Soil and Rock Properties. FHWA-IF-02-034.
Federal Highway Administration, Washington, DC, 2002.
13. FHWA Subsurface Investigations—Geotechnical Site Characterization Reference Manual. FHWA-NHI-01-031.

14. Grimstad, E. and N. Barton. Updating of the Q-System for NMT. Proc., International Symposium on Sprayed
Concrete—Modern Use of Wet Mix Sprayed Concrete for Underground Support, Kompen, Opsahl, & Berg,
Fagernes, Norway, 1993.
15. Hoek, E. and E. T. Brown. The Hoek–Brown Failure Criterion—A 1988 Update. Proc., 15th Canadian Rock
Mechanics Symposium, Toronto, 1998, pp. 3–38.
16. Hoek, E. and M. Diederichs. Empirical Estimates of Rock Mass Modulus. International Journal of Rock
Mechanics and Mining Sciences. Published by Elsevier Science Ltd., Amsterdam, The Netherlands, Vol. 43,
2006, pp. 203–215.
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17. Kulhawy, F. H. Geomechanical Model for Rock Foundation Settlement. Journal of the Geotechnical and
Geoenvironmental Engineering, Vol. 104, Issue 2, February 1978, pp. 211–227.
18. Nicholson, G. A. and Z. T. Bieniawski. A Nonlinear Deformation Modulus Based on Rock Mass Classification.
International Journal of Mining and Geological Engineering, Vol. 8, Issue 3, October 1990, pp. 181–202.
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19. O’Neil, M. W. and L. C. Reese. Drilled Shafts: Construction Procedures and Design Methods. Publication No.
FHWA-IF-99-025. Federal Highway Administration, Washington, DC, 1999.
20. Serafin, J. L. and J. P. Pereia. Consideration of the Geomechanics Classification of Bieniawski. Proc.,
International Symposium on Exploration for Rock Engineering. January 1983.
21. USACE. Tunnels and Shafts in Rock. EM 1110-2-2901. United States Army Corps of Engineers, Washington,
DC, 1997.
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SECTION 6 – CUT-AND-COVER TUNNEL STRUCTURES
TABLE OF CONTENTS
6.1—SCOPE...............................................................................................................................................................6-1
6.2—DEFINITIONS ..................................................................................................................................................6-1
6.3—NOTATION.......................................................................................................................................................6-2
6.3.1—General .......................................................................................................................................................6-2
6.3.2—Abbreviations .............................................................................................................................................6-2
6.4—GROUND AND MATERIAL PROPERTIES...................................................................................................6-2
6.4.1—Determination of Ground Properties ..........................................................................................................6-2
6.4.1.1—General ...............................................................................................................................................6-2
6.4.1.2—Invert Condition ..................................................................................................................................6-2
6.4.1.3—Envelope Ground ................................................................................................................................6-3
6.4.1.4—Groundwater .......................................................................................................................................6-3
6.4.2—Materials .....................................................................................................................................................6-4
6.4.2.1—Concrete ..............................................................................................................................................6-4
6.4.2.2—Structural Steel ...................................................................................................................................6-4
6.4.2.3—Reinforcing Steel .................................................................................................................................6-4
6.4.2.4—Prestressing Steel................................................................................................................................6-4
6.4.2.5—Shotcrete .............................................................................................................................................6-5
6.5—CONSTRUCTION OF CUT-AND-COVER TUNNEL STRUCTURES ........................................................6-5
6.5.1—General .......................................................................................................................................................6-5
6.5.2—Reinforced Concrete Diaphragm Walls (RCDW) ......................................................................................6-6
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6.5.3—Soldier Pile and Tremie Concrete (SPTC) Walls .......................................................................................6-7
6.5.4—Secant Pile and Tangent Pile Walls ............................................................................................................6-8
6.5.5—Precast, Prestressed Panel Walls ................................................................................................................6-9
6.5.6—Cast-in-Place Concrete Box Structures ......................................................................................................6-9
6.5.7—Structural Steel Frames...............................................................................................................................6-9
6.6—LIMIT STATES AND RESISTANCE FACTORS .........................................................................................6-10
6.6.1—General .....................................................................................................................................................6-10
6.6.2—Service Limit State ...................................................................................................................................6-10
6.6.3—Strength Limit State..................................................................................................................................6-10
6.6.4—Extreme Event Limit State .......................................................................................................................6-10
6.6.5—Load Factors and Load Combinations ......................................................................................................6-11
6.6.6—Resistance Factors ....................................................................................................................................6-12
6.7—GENERAL DESIGN FEATURES ..................................................................................................................6-12
6.7.1—Ground Movement ...................................................................................................................................6-12
6.7.2—Buoyancy ..................................................................................................................................................6-12
6.7.2.1—Partially Completed Structure ..........................................................................................................6-13
6.7.2.2—Complete Structure ...........................................................................................................................6-13
6.7.3—Loading.....................................................................................................................................................6-13
6.7.3.1—Symmetrical Loading ........................................................................................................................6-14
6.7.3.2—Asymmetrical Loading ......................................................................................................................6-14
6.7.3.3—Construction Condition.....................................................................................................................6-14
6.7.3.4—Distribution of Loads ........................................................................................................................6-15
6.7.3.5—Superimposed Loads .........................................................................................................................6-15
6.8—JOINTS ...........................................................................................................................................................6-15
6.8.1—General .....................................................................................................................................................6-15
6.8.2—Construction Joints ...................................................................................................................................6-15
6.8.3—Contraction Joints .....................................................................................................................................6-16
6.8.4—Expansion Joints .......................................................................................................................................6-16
6-i
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6.9—STRUCTURAL ANALYSES .........................................................................................................................6-16

6.9.1—Load Distribution and Sharing .................................................................................................................6-16
6.9.2—Ground–Structure Interaction ...................................................................................................................6-16
6.9.3—Empirical Methods ...................................................................................................................................6-17
6.9.4—Frame Analyses ........................................................................................................................................6-17
6.10—WATERPROOFING .....................................................................................................................................6-17
6.10.1—Treatment of Penetrations.......................................................................................................................6-18
6.10.2—Gaskets ...................................................................................................................................................6-18
6.10.3—Permissible Leakage ...............................................................................................................................6-18
6.11—PRESSURE RELIEF SYSTEMS ..................................................................................................................6-18
6.12—REFERENCES ..............................................................................................................................................6-19
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SECTION 6: CUT-AND-COVER TUNNEL STRUCTURES 6-1
6.1—SCOPE C6.1
The provisions of this Section shall apply to the Cut-and-cover tunnels are tunnels constructed in an
planning, design, evaluation, and rehabilitation of cut- open excavation or trench, then backfilled with fill
and-cover highway tunnels, and the permanent support material. Shallow depth vehicular tunnels are usually
of excavation (SOE) systems that are incorporated into designed as cut-and-cover tunnels. For invert depths up
the final tunnel structure. The tunnels may be to 60 feet below grade, this method is often less
constructed in place or formed of precast sections. expensive and more practical than tunneling. Cut-and-
Temporary SOE and temporary slopes for open cover vehicular tunnels are also used at the approaches
excavations are not included in this Section. to mined, bored, and immersed tunnels.
Cut-and-cover tunnels and their components shall The ground surrounding a tunnel can act as a
be designed to sustain the most severe combination of supporting mechanism, loading mechanism, or both,
loads to which they may be subjected both during depending on the nature of the ground, the tunnel size,
construction and after the final stage when the and the method and sequence of constructing the tunnel.
construction is complete and the tunnel is in service. Thus, the rock or soil surrounding a tunnel is a
Effects of erection, bracing, excavation sequence, construction material.
and other temporary loads during the construction shall
be considered in the design of cut-and-cover tunnels and
their components. A structural system study shall be
prepared to determine the most suitable structural
alternatives for construction of the cut-and-cover tunnel.
This study shall include a determination of the proposed
tunnel section, the excavation support system, the tunnel
structural system, the construction method (top-down or
bottom-up), and the waterproofing system.
When an open cut with stable sloped sides for the earth
being excavated is not practical, an SOE system
(shoring system) shall be used to stabilize the ground.
Permanent SOE systems may be used as part of the final
structure if they are designed and detailed accordingly.
Refer to Section 3 for load factors and load
combinations that shall be considered during the design
of cut-and-cover tunnels.
Refer to Section 4 for material properties and
resistance factors that shall be considered during the
design of cut-and-cover tunnels.
Refer to Section 10 for seismic considerations
during the design of cut and cover tunnels.
Cut-and-cover tunnel structures shall be designed in
accordance with AASHTO LRFD Bridge Design
Specifications (hereinafter referred to as the LFRD
Specifications) including all applicable interim changes,
except as modified or supplemented here.
6.2—DEFINITIONS
Reinforced Concrete Diaphragm Wall—Slurry wall designed to span vertically with no structural continuity between
panels. Typically reinforced with conventional deformed reinforcing steel bars.
Soldier Pile and Tremie Concrete (SPTC) Wall—Slurry wall reinforced with vertical wide-flange steel sections placed
at the ends of the panels.
Secant Pile Wall—Wall constructed of drilled shafts that intersect the perimeter of adjacent shafts.
Slurry Panel—Smallest unit of length of slurry wall constructed at one time. Panels are constructed in an alternate
pattern; primary panels are constructed first, followed by secondary panels.
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Tangent Pile Wall—Wall constructed of drilled shafts that touch each other, but do not overlap.
6.3—NOTATION
6.3.1—General
ft2 = square feet (C6.10.2)

gals = gallons (C6.10.2)
H = The height of vertical wall of a cut-and-cover tunnel from the bottom of the invert
slab to top of the roof slab (6.7.3.2)
ASTM: ASTM International (formerly known as the American Society for Testing and Materials)
AREMA: American Railway Engineering and Maintenance-of-Way Association
EPDM: Ethylene propylene diene monomer
FE: Finite element analysis
PTI: Post-Tensioning Institute
PVC: Polyvinyl chloride
RCDW: Reinforced concrete diaphragm wall
SOE: Support of excavation
SPTC: Soldier pile and tremie concrete
6.4—GROUND AND MATERIAL PROPERTIES
6.4.1—Determination of Ground Properties C6.4.1
Soil and rock parameters to be used in design

should consider possible changes in properties during
construction, such as changes in shear strength, unit
weight, and/or permeability due to ground
improvement methods.
6.4.1.1—General C6.4.1.1
A subsurface investigation shall be performed to obtain Ground conditions including geological,

information on the ground conditions: geotechnical, and hydrological conditions have a
• Defining the subsurface profile major impact on the planning, design, construction,
• Determining soil and rock material properties and and cost of a road tunnel.
mass characteristics Surrounding ground acts as a supporting system
• Identifying geotechnical anomalies, fault zones, and for cut-and-cover tunnels, ground properties, and
other hazards groundwater table level and their variations are
• Defining hydrogeological conditions important parameters to establish for use during the
• Identifying potential construction risks design process.
Design parameters to be used for excavation support and

to define an appropriate and cost-effective route and location
for cut-and-cover tunnels shall be obtained through
subsurface investigations such as borings, sampling, in-situ
testing, geophysical investigation, and laboratory material
testing. Refer to Section 5 for geotechnical considerations for
cut-and-cover tunnels and requirements for subsurface
investigations.
6.4.1.2—Invert Condition C6.2.1.2
The embedment of both permanent and temporary The Engineer is responsible for investigating the
supports for excavation shall be analyzed with respect to stability of the excavation prior to the construction and
stability of the base and ground water cut off or dewatering backfilling of the permanent structure. Studies should
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during construction of the structure. The potential for piping be performed to determine the most economical
and base heave shall be analyzed. Embedment information approach to stabilizing the open excavation.
and appropriate details for the support of excavation (SOE) The Contractor is responsible for the final
shall be developed for incorporation into the structural design selection and proper execution of measures to maintain
and contract documents. The need for mitigating measures stability of the open excavation during construction
such as ground improvement shall be investigated. See when the stability is maintained by temporary means.
Section 9 for ground improvement.
If cut slopes are used in lieu of SOE structures, the
stability of the cut slopes in soil and/or rock, groundwater
conditions and the base of excavation shall be investigated to
ensure a stable, dry open excavation.
6.4.1.3—Envelope Ground C6.2.1.3
The earth and groundwater pressures shall be calculated The characteristics of the ground around a cut-
in accordance with the provisions of Section 3. The modulus and-cover tunnel determine how far the structural
of subgrade reaction may be calculated using conventional walls and invert slab can deflect into the surrounding
soil mechanics used in the design of walls and foundations. ground, how much pressure the ground and
Other pertinent ground properties shall be determined in groundwater will exert on the structural wall over time,
accordance with the provisions of Section 5. and the effects of loadings from adjacent existing
Cut-and-cover tunnels may be designed by applying infrastructure.
external loads to a structural model or may be analyzed taking
into account the effects of soil–structure interaction.
6.4.1.4—Groundwater C6.4.1.4
In addition to subsurface investigations included in Control of groundwater is required during

Section 5 for groundwater considerations during the design construction by cut-and-cover methods to:
and construction of cut-and-cover tunnels, pre-construction • Permit excavation in the dry.
exploration shall take into account the information needed to • Prevent the migration of groundwater
develop a water control plan. contaminants, frequently found in urban
The effect of the hydrostatic pressure shall be considered areas.
whenever the groundwater table is detected within the • Minimize disturbance, heave, or softening of
construction envelope or may be reasonably expected to occur the excavated base and to prevent flow of the
within the envelope over time. materials (piping) through the excavation
Groundwater levels to be used for the design shall be walls and excavation invert.
established in accordance with Sections 3 and 5. • Reduce water pressure acting on the support
Long-term variations in the groundwater level shall be system during the construction.
considered in establishing the design groundwater elevation.
Flood conditions with 500-year return period shall be Design and execution of protection of the
investigated during the design and shall be evaluated as the excavation from flooding during construction is the
extreme load case during the design phase.
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responsibility of the Contractor.
Measures shall be taken to control groundwater entering
the excavation area during construction, either by creating an
impervious SOE wall (e.g., slurry or secant pile walls) or by
allowing water to seep through pervious walls, collecting it in
sump areas and pumping it out. When pervious SOE walls are
used, the potential for soil erosion (piping), and unacceptable
settlement of nearby structures, roadways, and utilities due to
consolidation of compressible strata shall be considered in the
design. Discharge of water collected in excavations shall be
subject to all applicable laws and regulations.
Drawing down the local groundwater table through the
use of wells shall consider the potential for settlement of
surrounding soils and the effects of settlement on adjacent
existing structures and infrastructure.
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Design groundwater levels shall be used to determine

water pressures and hydrostatic uplift pressures in the cut-
and-cover tunnel structure.
6.4.2—Materials
6.4.2.1—Concrete C6.4.2.1
Mixes for cast-in-place concrete shall accommodate Cast-in-place concrete is commonly used to
placement requirements, which frequently involve pumping construct cut-and-cover tunnels due to the ease with
over long distances. Set-time and slump shall be considered which large members can be constructed in restricted
during design of concrete mixes as they pertain to the means work space. The weight of the concrete resists
and methods of concrete placement which will vary with the buoyancy; concrete can be detailed to be fairly water-
Contractor’s equipment and sequence. tight, and it is resistant to fire and corrosion. However,
The chemistry of the groundwater shall be considered other materials such as precast, prestressed concrete,
when designing the concrete mix. post-tensioned concrete, and precast concrete are also
Air entrainment of three to five percent is recommended used for construction of cut-and-cover tunnels. The
for the durability of the concrete in moist and cold selection of materials is based on construction method
environments. and is generally done early in the planning stages.
Often thick elements are required to support loads or to Refer to AASHTO’s Technical Manual for
provide resistance against uplift. Mix designs and Design of Road Tunnels—Civil Elements for more
specifications appropriate to mass concrete may be required. details.
Refer also to Section 4 for concrete material properties.
6.4.2.2—Structural Steel C6.4.2.2
When used, measures shall be provided to protect steel Structural steel framing is not as commonly used
members from corrosion and heat from fire events. The now as it was early in the last century, due primarily to
design life of the structure shall be considered when the difficulties associated with corrosion protection for
developing corrosion protection measures. the structural steel. However, composite designs can
Refer also to Section 4 for structural steel material be used to reduce the thickness of members where
properties. space is constricted. Careful attention to waterproofing
and corrosion protection is required for durable
facilities.
6.4.2.3—Reinforcing Steel
Reinforcing steel shall conform to requirements of

ASTM A615 grade 60 unless corrosive environments call for
the use of galvanized, epoxy-coated, or stainless steel
reinforcement. If reinforcement is to be welded, or if ductility
for seismic capacity is required, ASTM A706 shall be
specified.
Refer also to Section 4 for reinforcing steel material
properties.
6.4.2.4—Prestressing Steel C6.4.2.4
Prestressing steel shall be bonded and protected against Some jurisdictions prohibit the use of prestressed
corrosion, with attention to combating the effects of corrosive elements below grade because of concerns about
compounds in the surrounding soils or groundwater. Bond corrosion. However, with appropriate protection,
capacity shall be tested in accordance with ASTM A981. prestressed, precast elements can streamline
Strand shall conform to ASTM A416, and bars shall conform construction. Prestressed, precast elements have been
to ASTM A722. The Engineer shall include relaxation used to form roofs of shallow buried structures, with
requirements in the project specifications. thin cast-in-place slabs placed over the top to provide
Refer also to Section 4 for prestressing steel material a diaphragm. Prestressed steel is commonly used for
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properties. permanent rock anchors, with protection against

corrosion provided by corrosion-inhibiting compounds
(resins and greases), sleeves, and grout. Prestressed
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steel is also often used in the walls of underground

storage tanks and in underground parking garages.
6.4.2.5—Shotcrete C6.4.2.5
Refer to Section 4 for shotcrete material properties. Shotcrete is frequently used as a smoothing layer
between excavated rock faces, slurry, secant, and
tangent pile walls and waterproofing membranes in
cut-and-cover construction. It has also had limited use
as a replacement for cast-in-place walls to save the
costs and schedule associated with erection and
removal of formwork.
When shotcrete is used to replace concrete in the
final structure, it will be applied in layers with a time
lag between the applications. To ensure that the
behavior is identical to monolithic concrete, it is
essential to limit the time lag between the applications.
It is recommended that a bonding agent be used
between layers.
The surface of the shotcrete shall be clean and free
of any dust or dirt that might create a debonding
between individual layers.
Shotcrete shall not be considered as a barrier to
the movement of water over the long term, i.e.
shotcrete shall not be used as a waterproofing
membrane.
6.5—CONSTRUCTION OF CUT-AND-COVER
TUNNEL STRUCTURES
Excavations shall be supported by wall systems laterally Cut-and-cover tunnels are built inside an
supported by temporary bracing and/or temporary or excavation and covered over with backfill material
permanent tiebacks, unless the excavation is sloped back to when the tunnel structure is completed. This method is
eliminate the need for structural support. These systems shall used when the tunnel profile is not deep, making
also minimize ground movements adjacent to the excavation, excavation from the surface both possible and
to protect adjacent utilities, buildings, and other economical.
infrastructure. Where required, excavation support systems Cut-and-cover construction methodologies
shall be designed to prevent or limit groundwater drawdown include top-down and bottom-up construction. The
outside the excavation limits. SOE systems may be temporary construction methodology must be considered when
or permanent. developing designs and details.
When the construction area is limited and an open
sloped excavation is not possible, a system to support
the excavation is necessary to create space for the
construction.
Groundwater drawdown can result in unwanted
ground settlements that affect adjacent existing
infrastructure, migration of contaminates in
groundwater, and the need for disposal of the
groundwater entering the excavation.
Temporary SOE systems shall be designed by the
Contractor and removed or abandoned in place, as required
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by permitting authorities. The drawings shall show the

following information:
• Space for the temporary SOE system.
• Restrictions on the temporary SOE system.
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• Design load criteria for the temporary SOE system.

• Limits on the vertical and horizontal spacing of
bracing or anchor elements.
Permanent SOE systems are defined as those that serve Permanent support systems can minimize the
both as temporary support and as part of the permanent excavated width of excavation, reduce the time of
structure. Additional mitigation measures, such as an interior construction by eliminating temporary support of
cavity wall drainage system or interior impervious excavation installation, and reduce costs.
architectural facing wall, may be required since seepage
through the permanent excavation support system can occur
because the exterior of the support walls cannot be
waterproofed. Cavity wall drainage systems shall include a
collection system and pumps for discharging the collected
water.
SOE systems shall be classified as flexible or semi-rigid. Flexible SOE systems include sheet piling, and
Flexible systems shall be considered temporary systems soldier pile and lagging walls.
and shall not be incorporated into the permanent structure.
The design of these wall systems is not within the scope of
these Specifications.
Semi-rigid systems may be designed to be incorporated Semi-rigid SOE systems include reinforced
into the permanent structure. When designed to be part of the concrete diaphragm slurry walls, soldier pile and
permanent structure, these wall types shall be designed in tremie concrete (SPTC) walls, secant pile walls,
accordance with these Specifications. tangent pile walls, and precast, prestressed panel walls.
The design and detailing of the SOE shall consider the The sequence of construction may be bottom-up,
sequence of installation and account for the changes in where the excavation is completed first, then the
loading conditions and deflections that occur as excavation structure is built from the bottom up or it may be
proceeds, and the anchor or bracing system is installed. If constructed from the top down, where a deck is
anchors or bracing are not required, the deflection that occurs constructed over the top, for example to allow traffic
as excavation proceeds shall be accounted for. over the work site, and excavation and construction
The design shall be checked for an assumed sequence of proceed sequentially downward.
construction by the Engineer. The assumed sequence of
construction shall be shown on the drawings. Constraints that
would affect alternate sequences of construction shall be
described in the contract documents.
When an alternative sequence of construction is allowed
by the contract documents and proposed by the Contractor,
the Contractor shall verify that the design as shown on the
drawings can adequately support the loads imposed by all
stages of the construction. If the proposed sequence of
construction creates load and deflection effects that cannot be
supported by the design shown on the drawings, the
Contractor shall develop and construct designs in accordance
with this Specification that can adequately support the loads
and result in deflections that are not detrimental to the
structure or surrounding existing infrastructure.
Deflections of walls and other structural systems that are
incorporated into the final structure shall be investigated in
conjunction with potential settlement of earth behind the
walls. Deflections shall be limited to values that do not cause
unacceptable movement of existing structures and
infrastructure, or cause impacts to the performance and
durability of the permanent wall.
6.5.2—Reinforced Concrete Diaphragm Walls (RCDWs) C6.5.2
Reinforced concrete diaphragm walls (RCDWs) shall be Reinforced concrete diaphragm walls are
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designed to support vertical, or near vertical, faces of the constructed by excavating a trench to the thickness
excavation in areas of soil and decomposed rock below the required for the external structural wall of the cut-and-
water table. RCDWs may be designed to be incorporated into cover tunnel and to the depth required for geotechnical
the permanent structure or may be used as temporary SOE. and structural requirements. The trench is kept open by
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RCDWs used for temporary SOE are not included in the filling it with dense slurry of bentonite or other
scope of these Specifications. naturally occurring clays as it is excavated. For this
The invert slab shall be anchored to the wall to transfer reason, diaphragm walls are also referred to as slurry
all the force effects from the wall to the base slab and vice walls. Polymer slurries have been used for diaphragm
versa. Connection details shall be such that they provide a wall construction with variable success. Considering
watertight connection. Lateral earth pressure and water the geometry of the excavated panels and the superior
pressure for reinforced concrete diaphragm walls shall be performance of mineral slurries, the use of mineral
calculated in accordance with Section 3. slurry should generally be specified.
The following are design requirements for RCDWs: The trench will typically extend for some distance
• RCDWs shall be designed to span vertically between below the bottom of the tunnel structure for stability
lateral supporting systems for temporary support and as needed for water cutoff during construction.
conditions encountered during construction. Reinforcing steel is lowered into the slurry-filled
• RCDWs shall be designed for the final location of roof, trench. Concrete is then placed in the trench using
invert, and intermediate horizontal structural elements. tremie pipes, with placement starting from the bottom
• The Engineer shall establish a workable temporary and proceeding upward, with the concrete displacing
bracing scheme and check the walls for that scheme. The the slurry. Once the concrete has cured, excavation for
temporary bracing scheme and assumptions associated the tunnel construction may begin.
therewith, including the design loads, shall be included The walls are constructed in panels, which are
in the contract documents. typically between 5 ft and 20 ft in length. The panel
• Supplemental reinforcement may be required to serve as layout is dictated by the geometry of the structure,
internal walers or to distribute forces around inserts or ground conditions, and site restrictions. The panels are
openings. constructed in an alternating checker board pattern.
• Minimum cover protection for the reinforcement steel Primary panels are constructed first, skipping over
shall be 3 in. for the face of the wall permanently exposed adjacent panels. Secondary panels are constructed
to the earth. between the completed primary panels to complete the
• Detailed analyses shall be performed to evaluate wall wall.
deflection at each stage of construction and the possible For top-down construction, excavation is
ground movement and adjacent ground settlement due to performed to the depth of the bottom of the roof slab.
the wall deflection, and its effect on adjacent existing The tunnel roof slab is constructed on-grade and tied
construction. into the diaphragm wall. The tunnel roof braces the
• The design shall include removable block-outs for diaphragm wall against lateral movement. Depending
on the depth of the tunnel, the roof could be the first
structural connections between the wall and slabs or
level of bracing or an intermediate level, with
other permanent structural features.
temporary bracing levels above and below it. The
excavation then continues downward, with additional
The design shall account for construction tolerances in
bracing or floors constructed as needed. At the bottom
the excavation of the slurry panels and placement of the
of the excavation, the tunnel invert slab is cast and tied
reinforcement cage. Typical vertical construction tolerance
into the walls.
for the excavation of the slurry panels is one percent in the
vertical direction. Typical reinforcement steel cage placement For bottom-up construction, as the excavation
proceeds, intermediate temporary braces are installed,
tolerances are 1 in. horizontally (not including the vertical
often at multiple levels. Once the required depth is
slurry panel construction tolerance) and 12 in. vertically.
reached, the construction of the permanent invert slab
and any intermediate levels will follow from the
bottom to the top. Once the tunnel roof is cast, the
trench is backfilled, and the surface restored.
6.5.3—Soldier Pile and Tremie Concrete (SPTC) Walls C6.5.3

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Soldier pile and tremie concrete (SPTC) walls shall be SPTC walls are constructed in the same sequence
constructed using vertical wide flange or built-up steel as reinforced concrete diaphragm walls. However,
members placed at the ends of excavated slurry panels. once the primary panel is excavated, vertical wide
Concrete is placed between the soldier piles. The soldier piles flange steel beams or girders are lowered into the
shall be designed to span vertically to resist the loads panels, one at each end of the primary panels, followed
transferred by the reinforced concrete spanning horizontally by reinforcing steel cages, if required. Secondary
between them. panels are excavated and constructed between the steel
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The following are design requirements for SPTC walls: members placed in the primary panels. Reinforcing
• Steel piles shall be designed to span vertically and to steel when required is placed into the secondary panel.
resist all temporary, construction, and final loads. The slurry used to hold the excavated secondary panel
• Assumed excavation and construction sequence for the open is displaced by structural concrete placed via
design of walls shall be explicitly and clearly shown on tremie pipes from the bottom of the panel. SPTC walls
the contract drawings, including all bracing assumptions provide a relatively watertight wall and significant
and design loads. strength in the vertical direction. They allow greater
• Effect of removal of the internal bracing during the final flexibility in detailing connections to permanent
phase of the construction of the cut-and-cover tunnels horizontal members than is allowed by the use of rebar
shall be investigated during the design. couplers in diaphragm walls. Careful attention must be
• Minimum cover protection for the reinforcement steel paid to waterproofing and corrosion protection of the
shall be 3 in. for the face of the wall permanently exposed structural steel members and connections.
to the earth.
• Detailed analyses shall be performed to evaluate wall
deflection at each stage of construction and the possible
ground movement and adjacent ground settlement due to
the wall deflection and its effect on adjacent existing
construction.
• The design shall include removable block-outs for
structural connections between the wall and slabs or
other permanent structural features.

the excavation of the slurry panels and placement of the steel
members and reinforcement cage. Typical vertical
construction tolerance for the excavation of the slurry panels
is one percent in the vertical direction. Typical reinforcement
steel cage placement tolerances are 1 in. horizontally (not
including the vertical panel construction tolerance) and 12 in.
vertically.
6.5.4—Secant Pile and Tangent Pile Walls C6.5.4
Secant pile and tangent pile walls shall be constructed Secant pile and tangent pile walls are constructed
using vertical drilled shafts. The drilled shafts shall be in a similar manner. Every other pile (primary piles) is
reinforced with deformed reinforcing steel bars or with a constructed first. The remaining piles (secondary piles)
structural steel core fabricated from rolled shapes or built-up are constructed next. Either slurry or steel casings are
plate members and backfilled with structural concrete. used to support the excavation when required by
Reinforcement is commonly placed in alternate secant piles ground conditions. Concrete is placed into the shaft
and every tangent pile. If required, steel sections can be utilizing tremie pipes. When used, the slurry is
placed in every secant pile taking care to avoid interference displaced by concrete placed from the bottom of the
during installation of secondary piles. Structural concrete shaft. Steel casings are extracted as the concrete is
shall be used to backfill the shafts after placement of the steel placed, keeping a minimum amount of casing within
sections. The drilled shafts constructed either adjacent to or the plastic concrete as the casing is extracted.
touching each other (tangent pile walls) or the drilled shafts Secant pile and tangent pile walls exhibit good
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shall have some overlap with each other (secant pile walls). strength in the vertical direction. They allow greater
The reinforced shafts or the shafts containing steel cores shall flexibility in detailing connections to permanent
be designed to span vertically to resist the loads transferred horizontal members (when steel cores are used) than is
by the unreinforced concrete shafts between them. allowed by the use of rebar couplers in reinforced
The following are design requirements for secant pile concrete piles. Construction tolerances can result in
and tangent pile walls: large gaps between piles in both the longitudinal and
• Reinforced concrete or steel core piles shall be designed transverse directions. Often, ground improvement is
to span vertically and to resist all temporary, required after construction of the piles to cut off
construction, and final loads. groundwater flows from between the piles. Careful
• Assumed excavation and construction sequence for the attention must be paid to waterproofing and corrosion
design of walls shall be explicitly and clearly shown on protection of the structural steel members and
the contract drawings, including all bracing assumptions. connections.
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• Effect of removal of the internal bracing during the final

phase of the construction of the cut-and-cover tunnels
shall be investigated during the design.
• Minimum cover protection for the reinforcement steel or
steel core shall be three in.
• Detailed analyses shall be performed to evaluate wall
deflection at each stage of construction and the possible
ground movement and settlement due to the wall
deflection and its effect on adjacent existing
construction.

the excavation of the secant or tangent piles and placement of
the steel members and reinforcement cage. Typical vertical
construction tolerance for the excavation of the tangent or
secant is two percent in the vertical direction. Typical
reinforcement steel cage placement tolerances are 1 in.
horizontally and 12 in. vertically. Typical steel core
placement tolerance is 6 in. vertically.
6.5.5—Precast, Prestressed Panel Walls C6.5.5
Precast, prestressed panel walls shall be designed and Precast, prestressed panel walls with appropriate
detailed similarly to conventionally reinforced concrete details for roof and invert connection in future stages
diaphragm walls. are lowered into the slurry, requiring careful control of
Precast, prestressed beams may be used for roof framing, the vertical placement. The construction of the wall
with the connection possibly formed by pockets in the walls then follows the same sequence as that described above
to support the beams. for reinforced concrete diaphragm walls. This type of
Detailing of the connection shall be consistent with the construction will provide the best quality wall finish.
structural system and design assumptions. This types of wall becomes less practical for deeper
excavations and in locations where utility crossing or
obstructions can be expected.
6.5.6—Cast-in-Place Concrete Box Structures C6.5.6
Cast-in-place concrete box structures shall be detailed Cast-in-place concrete box structures are the most
according to Section 5 of the LRFD Specifications and common system used for cut-and-cover tunnels. Cast-
additional requirements of these Specifications, with the in-place concrete can be easily adjusted to
following modifications: accommodate any geometric irregularities required by
• When the structure lies below the water table, the function.
minimum amount of temperature and shrinkage For any buried structure, it is desirable to limit
reinforcement shall be increased 100 percent for all cracking. Most damage to these structures is caused by
members of cast-in-place concrete box structures. the infiltration of groundwater through the structure
• The maximum spacing of the temperature and over time. The upfront cost of additional temperature
shrinkage reinforcement shall be 12 in. and shrinkage reinforcement is minimal compared to
the costs of retrofit leak mitigation or management
systems. Crack control can be achieved with careful
concrete mix design, wet curing, and closely
distributed temperature reinforcement. Crack widths
on flexural members are frequently limited to 0.08 in.,
a crack considered to be “self-healing.”
6.5.7—Structural Steel Frames C6.5.7
Structural steel frames shall be detailed according to Structural steel frames are used in the
Section 6 of the LRFD Specifications and additional construction of cut-and-cover tunnels when there is a
requirements of this specification. space restriction and when there is need to take
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Corrosion protection and fireproofing shall be done by advantage of the high strength-to-weight ratio of steel.
encasing the steel members in concrete or other approved Composite construction is also used to make structures
methods. more slender.
6.6—LIMIT STATES AND RESISTANCE FACTORS
6.6.1—General
Design of cut-and-cover tunnels shall satisfy the criteria

for the service limit states specified in Article 6.6.2, the
strength limit state specified in Article 6.6.3, and the extreme
event limit states specified in Article 6.6.4. The load
combinations of Table 3.4-1 shall be used to investigate the
various limit states herein.
6.6.2—Service Limit State C6.6.2
Service T-I: Cut-and-cover tunnels shall be investigated

for deflections, crack control, vibration, durability, water
tightness, and fatigue as developed during the service life of
the tunnel.
Service T-IA: Cut-and-cover tunnels shall be Buoyancy has traditionally been checked as a
investigated for the effects of buoyancy during the service life factor of safety against flotation. However, to include
of the tunnel, including but not limited to, maximum the effects of friction against foundation and vertical
groundwater elevations and changes in groundwater elevation wall elements in resisting uplift, a service limit state
caused by tides and flooding. The effect of salinity and other approach to this check is required.
inclusion in groundwater that affect the unit weight of
groundwater shall be included.
Service T-II: Cut-and-cover tunnels shall be investigated
for the effects of buoyancy that occur during construction.
Cut-and-cover tunnels shall be checked for deflection during
temporary bracing conditions when vertical wall elements are
incorporated into the final structure. Ground movement as a
result of deflections of SOE walls that are also permanent
structural walls for the structure shall be evaluated. Adjacent
structures and infrastructure that could be affected by these
ground movements shall be evaluated and protected against
potential adverse effects of the ground movement.
6.6.3—Strength Limit State

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Strength T-I: Cut-and-cover tunnels shall be investigated

for strength during normal use, under which the tunnel
remains fully serviceable without any damage.
Strength T-II: Cut-and-cover tunnels shall be
investigated for strength during construction including, but
not limited to, sequence of construction, installation and
removal of temporary bracing, backfilling, and construction
stage loading.
6.6.4—Extreme Event Limit State C6.6.4
Extreme Event T-I: Cut-and-cover tunnels shall be Under Extreme Event T-I, the acceptable level of
investigated for earthquakes to ensure life safety and damage could include partial failure of tunnel
survivability of the structure taking progressive collapse into members that result in limited leakage and could
account. Acceptable levels of damage shall be defined by the include complete loss of service.
Owner.
Extreme Event T-II: Cut-and-cover-tunnels shall be Under Extreme Event T-II, it is recommended that
investigated for extreme events other than earthquakes. Other the tunnel sustain no more than light damage and/or
extreme events such as explosion and fire shall be considered minor leaks, while experiencing no significant loss of
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on a project-specific basis and, if relevant, shall be included service during the prosecution of repairs, i.e., partial
in Extreme Event II individually but not simultaneously with performance level.
other events. The Owner may, at its discretion, and after
performing a hazard analysis, create load combinations that
have more than one of these loads applied to the structure
simultaneously. In this case, it is recommended that the load
factors shown in Table 3.4-1 be used when combining the
loads.
Extreme Event T-III: Cut-and-cover tunnels shall be
investigated for a rare event for the simultaneous combination
of loads such as flooding. This load combination shall be used
for both surface flooding that raises the groundwater elevation
and for flooding of the inside of the tunnel.
Under Extreme Event T-III, the following flooding cases
shall be investigated:
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• Sea level or surface water elevations rise and
produce increased hydrostatic pressures on the
tunnel that also reduce the resistance to buoyancy.
• Flooding of the inside of the tunnel occurs that
increases the resistance to buoyancy and reduces the
net hydrostatic pressure to zero.
6.6.5—Load Factors and Load Combinations C6.6.5
Cut-and-cover tunnels shall be designed for the load Section 3 provides guidance on the methods to be
combinations shown in Tables 3.4-1 and 3.4-2. used in the computations of the loads applicable to cut-
When developing the loads to be applied to the structure, and-cover tunnels. The sequence of construction will
each possible load combination of the loads shall be impact loading and assumptions. For example, in top-
developed. Engineering judgment may be used to eliminate down construction, permanent SOE walls used as part
the combinations that do not govern. of the final structure will receive heavier bearing loads
because the roof is placed and loaded before the base
slab is constructed. The permanent SOE walls are also
braced as the excavation progresses below the roof
slab, resulting in a different lateral soil pressure
distribution than would be found in the free-standing
walls of a cast-in-place concrete structure constructed
using bottom-up construction. The base slab of a top-
down constructed tunnel acts as a mat for supporting
vertical loads, but it is not available until towards the
end of construction of the section, eliminating its use
to resist moments from the walls or to act as bracing
for the walls.
Structures are subjected to a wide range of load
combinations during construction. These include the
variability of dead and live loads on partially
completed configurations, erection and equipment
loads, and the full range of environmental loads to
which the final structure is subjected, although with
differences attributable to return period of events
(storm, earthquake), duration (horizontal pressures due
to equipment loading), or intensity (earth pressures
changing from active to at-rest). Chapter 2 of
ASCE 37, “Design Loads on Structures during
Construction,” discusses the formulation of load
combinations and development of load factors for the
different cases in a manner that allows the Engineer to
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formulate reasonable combinations for the different

construction stages.
6.6.6—Resistance Factors
Refer to Section 4 for resistance factors for each

material used in construction of cut-and-cover tunnel
structures.
6.7—GENERAL DESIGN FEATURES
All cut-and-cover tunnels shall be designed with moment

resisting joints including ductile detailing in the potential
plastic hinge zones for Extreme Event III.
6.7.1—Ground Movement C6.7.1
Ground movement during excavation and construction Ground movements during the construction of
and its effects on adjacent structures, utilities, and other the cut-and-cover tunnels are more significant
infrastructure shall be carefully considered in all phases of compared to the other tunneling methods.
design and construction. Ground movement shall be Ground movement can be due to:
explicitly addressed in the development of contract • Excavations for utility relocations, guide wall
documents and carefully monitored in the field once construction, pre-trenching for guide walls,
construction begins. Instrumentation to monitor the and slurry panel installation.
movements of adjacent existing structures shall be in place • Deflection of the SOE walls during
during construction. Threshold values and values for total excavation for the tunnel structure.
permissible movement of the facility being monitored shall • Consolidation due to dewatering during
be established. construction and during the service life of the
Detailed analysis and monitoring shall be performed in tunnel.
advance to predict these movements accurately and to adjust
the design if necessary.
Numerical modeling shall be performed to estimate
ground movements at each stage of the construction.
Mitigation measures shall be designed to limit ground
movements to values that can be tolerated by the feature being
studied.
Existing buildings and facilities shall be evaluated for the
soil movement estimated to occur due to excavation activities
for construction of cut-and-cover tunnels. This evaluation is
not within the scope of this Specification.
6.7.2—Buoyancy C6.7.2
Cut-and-cover tunnels that are partially or completely In general, the preferred method for resisting
below the water table shall be evaluated for the effect of buoyancy is utilizing the dead weight of the structure.
buoyancy unless a pressure relief system is provided beneath In cases where this is not practical, consideration may
the invert slab. See Article 6.11 for requirements for pressure be given to the utilization of drilled shafts, driven piles,
relief systems. Buoyancy forces shall be computed using the and skin friction on RCDW and SPTC slurry panels or
density of the groundwater at the site. Adequate resistance to on tangent or secant piles. When these methods prove
flotation shall be provided at all sections for the full impractical, consideration may be given to the use of
hydrostatic uplift pressure on the structure’s foundation. The permanent tie-down anchors to assist in the resistance
following requirements shall be met: to buoyancy.
• The base slab shall be designed to resist the uplift
pressure acting at the bottom of the base slab. The
water level shall be determined from the site
investigation considering mean high water level and
long-term flood events as mandated by the Owner or
local jurisdiction. See Sections 3 and 5 for additional
information.
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• When SOE is incorporated into the permanent

structure, the base slab shall be anchored to the
excavation support walls to transfer all uplift forces.
• When other means of buoyancy resistance prove to FHWA (1999) indicates that tie-down anchors can
be impractical, permanent tie-down anchors may be be used to resist hydrostatic uplift. The Owner shall
used to assist in the resistance to the uplift due to make the determination as to the acceptability of
buoyancy. When used, the design of the anchors permanent tie-down anchors for resisting buoyancy.
shall be performed in accordance with:
− FHWA-IF-99-015 Geotechnical Engineering
Circular No.4 Ground Anchors and Anchored
Systems
− PTI DC35.1-14 Recommendations for
Prestressed Rock and Soil Anchors
6.7.2.1—Partially Completed Structure C6.7.2.1
A construction sequence, together with all temporary Contractors generally elect to work in the dry and
measures necessary to provide adequate resistance against pump out any water that makes its way into the
flotation during all stages of construction, shall be indicated excavation. Often, loss of power to the pumps results
on the contract drawings. Resistance shall consist of the dead in the flow of the water into the excavation, so that
load of the completed portion of the structure and any flotation is quickly counteracted by the weight of water
additional resistance provided by the provisions indicated in above the completed slab.
the construction sequence documents.
Friction between soil and wall elements shall be
neglected when calculating resistance during construction.
If the main structure is not symmetrical, rotational effects
due to the buoyancy shall be considered.
6.7.2.2—Complete Structure C6.7.2.2
The complete structure shall be evaluated for the

buoyancy effect considering the resistance of the dead weight
of the complete structure, plus the weight of the backfill
overlaying the cut-and-cover tunnel within the vertical plane
through the outer edge of the roof. Provisions shall be
specified in the design and/or construction sequence
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documents to prevent the possibility of the flotation due to the

possible rise in water table before all backfill is placed on the
structure.
Any component of the tunnel that can potentially be Examples of components that should not be
removed for maintenance, repair, or rehabilitation shall not be included in the calculation of the resistance to
considered when calculating the resistance of the structure to buoyancy include:
uplift. • Ceiling and roadway structures
Some provision for future construction over the in- • Traffic control devices
service tunnel shall be made, so that buoyancy need not be a • Ventilation equipment
concern for routine works that may be expected above the • Electrical equipment
finished structure. For example, the top 6 ft of backfill may • Communication equipment
be ignored in the buoyancy analysis. • Finishes
6.7.3—Loading
All components of the cut-and-cover tunnel shall be

designed for the applicable loads described in Section 3 and
as supplemented in this Article.
Cut-and-cover tunnels shall be designed for any
additional loading from existing adjacent buildings when the
horizontal distance from the building line to the nearest face
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of the tunnel is less than the depth of the tunnel below the
building foundation.
If the foundations of the adjacent buildings are supported
by underpinning and/or deep foundations that transfer loads
to a depth below the influence line of the tunnel, these
additional loads need not be applied to the tunnel.
When the loads from the adjacent structures are not equal
on both sides of the tunnel, the most critical unbalanced load
case shall be investigated. As a minimum, the following basic
non-seismic loading cases shall be investigated.
6.7.3.1—Symmetrical Loading
The following cases shall be investigated:

Case I: Maximum vertical loads including dead loads,
live loads, surcharge loads, and hydrostatic pressure with
maximum lateral pressure due to soil and rock.
Case II: Minimum vertical load (dead load only), with
maximum hydrostatic pressure and maximum lateral pressure
due to soil and rock.
Case III: Maximum vertical loads and minimum
hydrostatic pressure and lateral pressure due to soil and rock.
6.7.3.2—Asymmetrical Loading C6.7.3.2

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The following cases shall be investigated: Where SOE walls are incorporated into the
Case I: Maximum vertical loads including dead loads, permanent structure, the design of the connections
live loads, surcharge loads, and hydrostatic pressure with between walls and roof or invert slabs is governed by
lateral pressure as follows: the unbalanced lateral load combinations.
Maximum lateral pressures (at-rest) due to soil loads
applied to one side of the structure and active pressure from
soil on the opposite side.
Case II: Maximum vertical loads including dead loads,
live loads, and surcharge loads with maximum lateral
pressure (at-rest) due to soil loads applied to one side of the
structure and active pressure from soil on the opposite side.
Case III: For cases where a partial or full-depth
excavation that cannot be braced is anticipated on only one
side of the cut-and-cover structure, the cut-and-cover
structure shall be designed for zero lateral earth pressure to
the depth of the anticipated excavation on the excavated side
of the structure with at-rest earth pressure on the opposite
side.
Unbalanced earth pressures that cause sways over
0.005H should be reviewed with respect to the loading
conditions, since such cases are unlikely to represent a true
loading condition. H is taken as the height of vertical wall
from the bottom of the invert slab to top of the roof slab.
6.7.3.3—Construction Condition C6.7.3.3
Construction sequence and procedures may result in Intermediate stages of the construction may
conditions that are more severe than the general loading induce higher stresses than the end of construction
conditions mentioned in the previous sections. Stresses in the stage and govern the design of structural members.
partially completed structure shall be checked for the
appropriate critical conditions at the various stages of
construction.
The Engineer shall be responsible for developing a
construction scheme and to clearly state assumptions
regarding the scheme in the contract documents. If the
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Contractor uses different methods, the documents shall

require that the Contractor provide a complete analysis of all
construction stages.
6.7.3.4—Distribution of Loads
Loads on cut-and-cover tunnels resulting from existing

or future land use at the surface above or adjacent to the tunnel
shall be accounted for in the design and distributed according
to the following:
Vehicular loads shall be distributed according to Section
4 of the LRFD Specifications.
Train loads shall be distributed according to guidelines
provided in AREMA (2014).
6.7.3.5—Superimposed Loads
Superimposed loads are defined in Section 3 of the

LRFD Specifications and shall be calculated and applied to
cut-and-cover tunnels in load combinations as applicable.
Cut-and-cover construction is often used in urban areas
and provisions shall be made for the structures to support
urban loadings such as future building developments, parks,
or roadways. Future loadings provided for in the design shall
be clearly identified in the contract documents.
6.8—JOINTS
Joints in concrete construction shall be categorized as: A main objective in the design of joint spacing is
construction joints, which allow discrete concrete placements to try to control the locations where the concrete
in a continuous structure; contraction joints; and expansion cracks. In cut-and-cover structures, cracks are
joints. locations where water will infiltrate into the structure,
Joints shall be carefully detailed to prevent the often causing structural and systems degradation over
infiltration of water yet simultaneously accommodate the time.
movements expected over time. Provisions to control cracking include heavier
All joints shall be provided with waterstops. longitudinal (temperature and shrinkage)
Concrete mixes for cut-and-cover structures shall be reinforcement and the detailing of joints to control the
designed to limit the heat of hydration, using the same locations where cracking occurs.
provisions that are applied to mass concrete placements. Such Shrinkage during initial curing is a major cause of
provisions may include the substitution of blast furnace slag concrete cracking.
or fly ash for portland cement to reduce the heat of hydration,
control curing in the wet, and for the control and monitoring
of temperature differentials across the curing section.
6.8.2—Construction Joints C6.8.2
Construction joints shall be detailed for structural Construction joints occur between discrete
continuity, with joint surfaces intentionally roughened and concrete placements.
saturated with water or coated with bonding agent and with
reinforcement extending a lap length into the next concrete
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placement.
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6.8.3—Contraction Joints
Contraction joints shall be designed to encourage the

concrete to crack at the joint location as it shrinks during
curing or temperature changes. Contraction joints may be as
simple as a saw-cut on the exposed face or the installation of
a zip-strip.
6.8.4—Expansion Joints
Expansion joints shall be designed to accommodate

expansion of adjacent units and relative movements of
dissimilar adjoining structure configurations, such as a tunnel
entering a ventilation structure or abutting a tunnel of a
different construction.
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Provisions for expansion shall be made when a

structural element is partially underground and partially
above ground, and where the above ground element is
attached to the underground element, particular care shall be
taken in detailing to accommodate differential thermal
movement.
The following are minimum requirements for the
expansion joints:
• Reinforcement steel shall not be continuous through the
joint.
• Shear forces shall be transferred across the joint,
preferably by a key.
• All expansion joints in structures subject to hydrostatic
pressure shall contain waterstops.
6.9—STRUCTURAL ANALYSES
The provisions of Section 4 of the LRFD Specifications

shall apply as amended herein.
The analysis of cut-and-cover tunnel structures shall be
performed utilizing general structural or geotechnical
engineering software capable of modeling beam
elements/shell elements to represent the tunnel structure and
spring/plate/solid elements to model the surrounding ground.
6.9.1—Load Distribution and Sharing
Frame analyses shall be performed using rational elastic

methods which consider the effect of relative stiffness of
connected members, relative displacement, rotation of the
joints, and the effects of the axial deformation.
Consideration shall be given to the variations in elastic
properties and stress distribution of complex frameworks
resulting from different construction sequences.
Any limitation on construction operation inherent in the
design assumptions shall be noted on the project documents
and specified in the special provisions.
6.9.2—Ground–Structure Interaction
Numerical modeling shall be used to account for

ground–structure interaction. The numerical modeling may
consist of beam-spring (Winkler springs) models, finite
element modeling, or finite difference models.
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Three dimensional finite element or finite difference

analyses shall be performed where ground conditions or
structure geometry vary longitudinally and a two-dimensional
model would oversimplify the conditions.
The supporting mechanism of the ground shall be
accounted for in analyses that include asymmetrical loadings.
Ground properties for use in analyses that include soil–
structure interaction shall be determined in accordance with
Section 5.
When beam-springs models are used, stiffness of ground
springs is computed by multiplying the moduli of subgrade
reaction with the tributary area at the corresponding node.
6.9.3—Empirical Methods
Classical force and displacement analysis methods may

be used for determining force effects in cut-and-cover
structures. Limitations of the method used must be
understood by the Engineer, and the design shall account for
the limitations. It is recommended that these techniques be
used only for preliminary member sizing or as a way to
evaluate the reasonableness of the results of numerical
analysis.
6.9.4—Frame Analyses
Frame analyses shall be performed for all permanent

components of cut-and-cover tunnels.
The following loading conditions shall be considered in
the frame analyses:
• Balanced earth pressure or symmetrical load
conditions with at-rest lateral earth pressure
• Balanced earth pressure in combination with the
seismic loadings
• Unbalanced earth pressure
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6.10—WATERPROOFING C6.10
Waterproofing shall be designed to resist the anticipated Waterproofing systems are manufactured by a
hydrostatic pressures. Waterproofing systems may include: number of companies. In general, details of system
• Waterstops application are left up to the manufacturer, whose
• Gaskets responsibility to the facility owner is inherent in the
• Membrane waterproofing warranty required by the specification. Most
• Liquid applied waterproofing manufacturers will not warrant their product unless the
seaming, penetration, and termination details that they
have developed and tested are used in the installation.
There is a range of relationships between
manufacturers and installers, with some installers
explicitly licensed by the manufacturer, while others
may only send a technical representative for sufficient
time to train the Contractor work force.
Membrane Waterproofing:
Several companies manufacture membranes that
are delivered in rolls. They may be formed from
different plastics, such as PVC or EPDM, or they may
be panels of bentonite. Membranes may be detailed to
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be installed against wet concrete, a “blind side”

application. Blind side membranes may be treated to
bond or adhere to the wet concrete. These are often
applied directly to the excavation cut or shoring wall.
Membranes may also be rolled out over cured
concrete.
Liquid applied waterproofing:

A number of companies manufacture liquid
compounds that cure in place to form membranes.
These may be painted on or spray applied.
6.10.1—Treatment of Penetrations
Most cut-and-cover structures will have local

penetrations for utility entrances. Manufacturers shall provide
details to ensure the seal around the penetrations.
6.10.2—Gaskets
Gaskets shall be designed to resist the anticipated

hydrostatic pressures through compression of the gasket for
the design life of the gasket.
6.10.3—Permissible Leakage C6.10.2
Permanent walls that do not have applied waterproofing

and slurry walls, secant pile walls, and tangent pile walls used
as the SOE shall be subject to the permissible leakage criteria.
Permissible leakage criteria shall be given in the contract
specifications to determine the acceptability of the Criteria generally include a measured infiltration
construction. The tunnel drainage system shall be designed to of volume/ft2/day and a maximum flow at any single
accommodate the project leakage criteria. point. Typical criteria range from 0.0002 to 0.01
gals/ft2/day, with 0.02 gallon per minute of flow from
any single leak. The Owner shall establish the required
leakage criteria. Factors to consider when establishing
permissible leakage include the long-term
management of the incoming water, the selected
structural system and associated number of joints, and
constituent components of the groundwater including
groundwater chemistry and contaminants.
6.11—PRESSURE RELIEF SYSTEMS C6.11
Pressure relief systems installed to reduce the Pressures imposed on drained structures may be
hydrostatic pressure shall be sized and detailed to function less than those imposed on structures that are sealed
with minimal maintenance in the in-situ conditions to which and fully immersed. Drainage systems provide this
they are subjected. pressure relief. However, drainage systems must be
The effect of potential localized lowering of the maintained, because they tend to clog and allow water
groundwater table, including settlement of surrounding pressures to build behind the structure. In general, a
ground and the impact of that settlement on adjacent existing gravel bedding layer is placed under the invert slab and
infrastructure, by pressure relief systems shall be analyzed. large diameter perforated pipes at the base of the
Mitigation measures for anticipated settlement shall be structural walls, with closely spaced clean-outs, are
designed. required.
Management of the water collected shall be considered An additional concern in urban areas is the
when deciding to build a pressure relief system. capacity of municipal sewage treatment plants. Many
Long-term pumping equipment and a pressure sewerage agencies will not allow groundwater to be
monitoring system shall be provided to ensure the long-term pumped into their systems.
performance of the pressure relief system.
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Pressure relief systems constructed in tunnels in cold

climates should include measures to prevent freezing.
Groundwater that is liberated from these systems that contains
mineralization that is likely to precipitate or deposit on pipes
shall be conveyed using systems that consider the
maintenance and removal of any precipitates that form.
6.12 REFERENCES
3. AREMA. Manual for Railway Engineering. American Railway Engineering and Maintenance-of-Way
Association, Lanham, Maryland, 2014.
4. FHWA. Geotechnical Engineering Circular No. 4, Ground Anchors and Anchored Systems. Federal Highway
Administration, U.S. Department of Transportation, Office of Bridge Technology, Washington, DC, 1999.
5. Post-Tensioning Institute Committee for Prestressed Rock and Soil Anchors. PTI DC35.1-14: Recommendations
for Prestressed Rock and Soil Anchors. Post-Tensioning Institute, Farmington Hills, Michigan, 2014.
6. American Society of Civil Engineers. Design Loads on Structures During Construction. ASCE 37. American
Society of Civil Engineers, Reston, Virginia, 2002.
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SECTION 7 – MINED AND BORED TUNNEL STRUCTURES
TABLE OF CONTENTS
7.1—SCOPE ................................................................................................................................. 7-1

7.2—DEFINITIONS............................................................................................................................................. 7-1
7.3—NOTATION ................................................................................................................................................. 7-2
7.3.1—General ................................................................................................................................................. 7-2
7.3.2—Abbreviations ....................................................................................................................................... 7-2
7.4—GROUND AND MATERIAL PROPERTIES ............................................................................................. 7-3
7.4.1—Determination of Ground Properties .................................................................................................... 7-3
7.4.1.1—General ......................................................................................................................................... 7-3
7.4.1.2—Ground Classification ................................................................................................................... 7-3
7.4.1.3—Groundwater ................................................................................................................................. 7-4
7.4.1.4—In-Situ Ground Stresses ................................................................................................................ 7-4
7.4.2—Materials............................................................................................................................................... 7-5
7.4.2.1—Concrete ........................................................................................................................................ 7-5
7.4.2.2—Structural Steel ............................................................................................................................. 7-5
7.4.2.3—Steel Reinforcing ........................................................................................................................... 7-5
7.4.2.4—Prestressing Steel .......................................................................................................................... 7-6
7.4.2.5—Shotcrete ....................................................................................................................................... 7-6
7.5—CONSTRUCTION OF MINED AND BORED TUNNEL STRUCTURES ............................................... 7-6
7.5.1—General ................................................................................................................................................. 7-6
7.5.2—Construction of Mined Tunnel Structures ............................................................................................ 7-7
7.5.3—Construction of Bored Tunnel Structures ............................................................................................. 7-8
7.6—LIMIT STATE AND RESISTANCE FACTORS ....................................................................................... 7-8
7.6.1—General ................................................................................................................................................. 7-8
7.6.2—Service Limit State ............................................................................................................................... 7-9
7.6.3—Strength Limit State ............................................................................................................................. 7-9
7.6.4—Extreme Limit State ............................................................................................................................. 7-9
7.6.5—Load Factors and Load Combinations................................................................................................ 7-10
7.6.6—Resistance Factors .............................................................................................................................. 7-10
7.7—GENERAL DESIGN FEATURES ............................................................................................................ 7-10
7.7.1—General ............................................................................................................................................... 7-10
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7.7.1.1—Initial Ground Support ................................................................................................................ 7-10
7.7.1.2—Final Lining ................................................................................................................................ 7-11
7.7.1.3—Cross Passages, Sumps, and Ancillary Spaces ........................................................................... 7-11
7.7.2—Ground Movements ............................................................................................................................ 7-12
7.7.2.1—General ....................................................................................................................................... 7-12
7.7.2.2—Empirical Method ....................................................................................................................... 7-13
7.7.3—Buoyancy ........................................................................................................................................... 7-16
7.7.4—Loading .............................................................................................................................................. 7-16
7.7.4.1—Symmetrical Loading .................................................................................................................. 7-17
7.7.4.2—Asymmetrical Loading ................................................................................................................ 7-17
7.7.4.3—Construction Condition ............................................................................................................... 7-17
7.7.4.4—Distribution of Loads .................................................................................................................. 7-18
7.7.4.5—Superimposed Loads ................................................................................................................... 7-18
7.7.5—Analysis and Design ........................................................................................................................... 7-18
7.7.5.1—General ....................................................................................................................................... 7-18
7.7.5.2—Design ......................................................................................................................................... 7-18
7.7.5.3—Moment of Inertia ....................................................................................................................... 7-19
7.7.5.4—Ground/Structure Interaction ..................................................................................................... 7-19
7.8—JOINTS ...................................................................................................................................................... 7-20
7.8.1—General ............................................................................................................................................... 7-20
7.8.2—Construction Joints ............................................................................................................................. 7-20
7.8.3—Contraction Joints............................................................................................................................... 7-20
7.8.4—Expansion Joints................................................................................................................................. 7-20
7-i
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7.8.5—Segment Joints ................................................................................................................................... 7-21

7.9—WATERPROOFING ................................................................................................................................. 7-21
7.9.1—Treatment of Penetrations .................................................................................................................. 7-21
7.9.2—Gaskets ............................................................................................................................................... 7-22
7.9.3—Permissible Leakage ........................................................................................................................... 7-22
7.10—REFERENCES ........................................................................................................................................ 7-22
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SECTION 7: MINED AND BORED TUNNEL STRUCTURES 7-1
7.1—SCOPE C7.1
The provisions of this Section apply to the planning Mined tunnels are constructed utilizing excavation
design, evaluation, and rehabilitation of the permanent techniques such as drill and blast, mechanical
lining for tunnels constructed by tunnel boring machine excavation with road headers, or other mechanized
(TBM) or mining. The lining types covered by this equipment. The excavation is performed with an open
Section are as follows: face and can be performed with or without the use of a
shield. The use of a shield is dependent upon the ground
 Cast-in-place concrete (reinforced or structural conditions.
plain concrete) Bored tunnels in soil or rock are constructed
 Precast concrete segmental linings (reinforced utilizing a tunnel boring machine (TBM).
with reinforcing steel bars or steel fibers) The ground surrounding a tunnel can act as a
 Initial precast concrete segmental linings supporting mechanism, loading mechanism, or both,
(reinforced with reinforcing steel bars or steel depending on the nature of the ground, the tunnel size,
fibers or constructed from structural plain and the method and sequence of constructing the tunnel.
concrete) Thus, the rock or soil surrounding a tunnel is considered
 Shotcrete final linings (reinforced with a construction material and shall be taken into account
reinforcing steel bars, lattice girders, or steel in the design of tunnel linings.
fibers or constructed from structural plain
shotcrete)
 Pre-fabricated steel liner
Bored and mined tunnels and their components

shall be designed to sustain the most severe combination
of loads to which they may be subjected during
construction, when the construction is complete, and the
tunnel is in service.
Effects of temporary loads during the construction
of mined and bored tunnel structures shall be considered
in the design.
Refer to Section 3 for load factors and load
combinations that shall be considered during the design
of mined and bored tunnels.
Refer to Section 4 for material properties and
resistance factors that shall be considered during the
design of mined and bored tunnels.
Refer to Section 9 for the design of initial ground
support elements and ground improvement.
Refer to Section 10 for seismic considerations
during the design of mined and bored tunnels.
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7.2—DEFINITIONS
Final Lining—The permanent tunnel structure, constructed within an excavation which has been supported by initial
support elements installed concurrently with excavation.
Horizon—The cross section of a tunnel, cross passage intersected by a plane perpendicular to the centerline of the
tunnel.
Lattice Girder—A ground support element consisting of an open lattice of three or four steel bars connected by lacing
bars and encapsulated with shotcrete, which is sprayed through the open-work lattice.
Overbreak—Quantity of rock actually excavated beyond the perimeter established as the desired tunnel excavated
cross section.
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Tunnel Boring Machine (TBM)—Machine that excavates a tunnel by drilling out the heading to full size in one
operation; sometimes called a mole; the TBM is typically propelled forward by jacking off the excavation supports
emplaced behind it or by gripping the side of the excavation (AASHTO, 2010).
Sequential Excavation Method—Construction methodology in which the tunnel is mined in specified sequence to
control ground movements; also known as the New Austrian or North American Tunneling Method (NATM).
Initial Ground Support—Support required to provide stability of the tunnel opening and to maintain the inherent
strength of the ground surrounding the tunnel openings, while preventing unnecessary loosening and enhancing the
stress redistribution process. This function of support may be enhanced by installation of systematic tunnel pre-
support and local support where required by ground conditions. It typically consists of reinforced shotcrete, rock
reinforcement, pre-support, steel rib, or lattice girder sets, or combinations thereof. (AASHTO, 2010)
7.3—NOTATION
7.3.1—General
At = the area of the tunnel intersected by a vertical plane (in.2) (7.7.2.2)

Er = modulus of elasticity of the surrounding ground (ksi) (7.7.5.4)
H = depth to the springline of the tunnel (in.) (7.7.2.3)
Ie = effective moment of inertia (in.4) (7.7.5.3)
Ij = movement of inertia of the joint (in.4) (7.7.5.3)
Ig = gross moment of inertia of the lining section (in.4) (7.7.5.3)
K = settlement trough width parameter (7.7.2.2)
n = number of joints in a precast segmental concrete lining ring (7.7.5.3)
R = tunnel excavated radius (in.) (7.7.2.3)
Sh = horizontal movement of the ground toward the center of the tunnel (in.) (7.7.2.2)
Smax = maximum settlement at tunnel centerline (in.) (7.7.2.2)
Sy = settlement at a distance y from the tunnel centerline (7.7.2.2)
Ux = lateral ground subsurface settlement (in.) (7.7.2.3)
Uz = vertical ground subsurface settlement (in.) (7.7.2.3)
Uz=0 = vertical ground surface settlement (in.) (7.7.2.3)
Vl = ground loss ratio (7.7.2.2)
b = the length of the tunnel lining element being modeled (in.) (7.7.5.4)
kr = radial spring stiffness (kips per inch) (7.7.5.4)
kt = tangential spring stiffness (kips per inch) (7.7.5.4)
x = lateral distance from the tunnel center line (in.) (7.7.2.3)
y = horizontal distance from the tunnel centerline (in.) (7.7.2.2)
z = depth below the ground surface (in.) (7.7.2.3)
z0 = depth of the tunnel below ground surface at springline (in.) (7.7.2.2)
 = limit angle (degrees) (7.7.2.3)
0 = average ground loss ratio (7.7.2.3)
 = angle of shear resistance of the ground (degrees) (7.7.2.3)
 = the arc subtended by the beam element being modeled (radian) (7.7.5.4)
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ν = Poisson’s ratio of the ground (7.7.2.3) (7.7.5.4)
AREMA: American Railway Engineering and Maintenance-of-Way Association

ASTM: ASTM International (formerly known as the American Society for Testing and Materials)
EPDM: Ethylene propylene diene monomer
ESC: Excavation support class
ft2: square feet
gals: gallons
in.: inch/inches
in.2: square inches
PAS: Pneumatically applied shotcrete
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PVC: Polyvinyl chloride

SEM: Sequential excavation method
7.4—GROUND AND MATERIAL PROPERTIES
7.4.1—Determination of Ground Properties
7.4.1.1—General C7.4.1.1
Ground conditions, including geological, geotechnical, The tunnel lining and the surrounding ground act
and hydrogeological conditions, have a major impact on the together to create a stable opening for the tunnel.
planning, design, construction, and cost of a road tunnel. A Detailed information regarding the properties of the
surrounding ground is essential for correctly modeling
subsurface investigation shall be performed to obtain
information on the ground conditions to: ground/structure interaction. Design loads transferred
to the tunnel lining including ground loads,
 Define the subsurface profile groundwater, surcharge and existing infrastructure
 Determine soft ground and rock material properties loads, are determined through a thorough
and mass characteristics understanding of the subsurface conditions and
 Identify geotechnical anomalies, fault zones, and surrounding ground properties that is gained through
other hazards the execution of a well-planned subsurface
 Define hydrogeological conditions investigation program.
 Determine the presence of hazardous materials A carefully planned subsurface investigation
 Identify potential construction risks program is essential to the successful design and
construction of mined or bored tunnels. Minimum
Subsurface investigations such as boring, sampling, in- requirements for spacing of bore holes and laboratory
situ testing, geophysical investigation, and laboratory testing are presented in Section 5. Owners and funding
material testing are essential to obtain design parameters for agencies often have supplemental requirements for
the tunnel lining, and to define the best and most cost- more comprehensive programs that may also be tied to
effective route and location for mined or bored tunnels. risk management. Owner and funding agency specific
Refer to Section 5 for special geotechnical requirements in excess of those contained in these
considerations for mined and bored tunnels and specifications should be considered when planning a
requirements for subsurface investigations. subsurface investigation program.
7.4.1.2—Ground Classification C7.4.1.2
For mined and bored tunneling, ground classifications Ground classification determines the expected
vary between soft ground and hard rock. As a naturally behavior during tunneling which in turn determines the
occurring material, great variation within these two generic most appropriate tunnel construction methodology.
classifications can be expected along the tunnel alignment. Other aspects such as groundwater conditions and the
The ground classification and characteristics often surrounding surface and near surface infrastructure
determine the most feasible tunneling methodology. Further also influence the determination of applicable tunnel
information regarding ground classifications can be found in construction methodologies.
AASHTO (2010). The length of the tunnel must also be considered
The characteristics of the ground around a mined or in conjunction with ground classification in
bored tunnel influence both how much the tunnel lining can determining the economically appropriate tunneling
deflect during construction and service and how much methodology since the cost of a TBM may not be
pressure the ground will exert on the structure over time. economical for a relatively short tunnel length, even if
These properties of the ground determine the nature of the the ground conditions are ideal for the use of a TBM.
ground/structure interaction that creates the loading in the
lining.
Earth pressures shall be calculated in accordance with
Section 3.
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7.4.1.3—Groundwater C7.4.1.3
Groundwater conditions shall be determined as part of The presence of groundwater will influence the
the subsurface investigations. The effect of the hydrostatic selection of the tunnel construction methodology, the
pressure shall be considered whenever the groundwater table need for ground improvement, and the design of the
is detected within the tunnel horizon or may be reasonably tunnel lining.
expected to occur within the tunnel horizon over time. Hydrostatic pressure can create large axial loads
Groundwater levels to be used for the design shall be in the tunnel lining that can offset the moments
established in accordance with Sections 3 and 5 and as generated by applied ground and surcharge loads.
modified in this Article. Therefore, it is important to explore a range of
Long-term variations in the groundwater level shall be groundwater design values since a lower hydrostatic
considered in establishing design groundwater elevation. pressure may produce the governing load effect for the
Flood conditions with 500-year return period shall be lining design.
investigated during the design and shall be evaluated as an The presence of groundwater will also impact the
extreme load case during the design phase. design of the waterproofing system for the tunnel.
In the absence of definitive data, groundwater Pressure relief systems can be used to relieve
elevations for the design of non-extreme load combinations groundwater pressures. Pressure relief systems are
shall be taken as 5 ft above and 5 ft below observed installed between the initial and permanent ground
groundwater elevations in order to account for seasonal and support systems. See Article 6.11 for additional
tidal variations. information.
7.4.1.4—In-Situ Ground Stresses C7.4.1.4
Load effects on tunnel initial and final linings from the The state of stress in the ground surrounding a
surrounding ground shall be evaluated for the following tunnel is changed when excavation begins. An
possible sources of loads: understanding of the in-situ state of stress can be
gained through a comprehensive subsurface
 Overburden, surcharge, or vertical pressure investigation. The change in the state of stress will
 Horizontal pressure due to vertical pressure determine the load effects in the initial ground support
 Squeezing due to release of in-situ pressure and in the final tunnel lining.
Utilizing the change of the state of stress to
 Uniform rock loads
maximize the load carrying capacity of the
 Block rock loads surrounding ground is the underlying concept in tunnel
 Varying ground conditions around the design. This concept assumes that the ground and the
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perimeter of the tunnel structure act in concert to create a stable opening with
 Varying ground conditions along the tunnel the ground supporting the majority of the load
redistribution that occurs during excavation. Thin,
alignment
flexible structural members are utilized that allow the
 Seismic effects ground deformations required to mobilize the strength
of the surrounding ground. This redistribution of
The investigation of the load effects shall be based on stresses around the tunnel opening results in maximum
ground/structure interaction. usage of the load carrying capacity of the ground,
while minimizing the bending and shear in the
structural members, thereby optimizing the overall
design.
The redistribution of stresses also results in
movement of the ground. Ground movement needs to
be managed in order to mitigate impacts the movement
may have on existing facilities and structures. The
management of the ground movements is done through
the timing of the installation of the ground support and
the stiffening of the structural elements used to
maintain the stability of the opening. This can lead to
increased load on the structural elements. This
balancing of the load carrying components of the
ground versus the structural elements results in
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necessary compromises between the most efficient

structural element and the management of ground
movements.
7.4.2—Materials
7.4.2.1—Concrete C7.4.2.1
Mixes for cast-in-place concrete linings shall be Cast-in-place concrete is commonly used to
formulated to accommodate placement requirements, which construct tunnel linings for mined tunnels. The
frequently involve pumping over long distances. Set-time geometry of the lining for mined tunnels is established
and slump shall be considered during design of concrete to minimize moment load effects to the greatest extent
mixes as they pertain to the means and methods of concrete possible. Cast-in-place concrete can be formed and
placement, which will vary with the Contractor’s equipment poured to any geometric shape.
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and sequence. Often, early stripping of formwork for cast- When ground conditions are such that immediate
in-place concrete is beneficial to the construction schedule lining of the tunnel excavation is not required, for
and can provide economy during construction. When high example, tunnels constructed in competent rock, then
strength is required prior to stripping forms, consideration cast-in-place concrete can also be used to line bored
should be given to the use of high early strength concrete. tunnels. Initial support is installed as the TBM
The chemistry of the groundwater shall be considered advances, and a cast-in-place final lining is installed
when designing the concrete mix. against a waterproofing membrane. Initial support can
Air entrainment of 3 to 5 percent is recommended for be in the form of reinforcement elements such as rock
the durability of the concrete in moist and cold dowels or bolts, shotcrete (reinforced or plain), or
environments. precast concrete segments (reinforced or plain). This
Refer to Section 4 for concrete material properties. construction sequence is known as a two-pass lining
system.
Refer to AASHTO (2010) for more details.
7.4.2.2—Structural Steel C7.4.2.2
Refer to Section 4 for structural steel material Structural steel is used for prefabricated liner
properties. sections used for the final lining, as well as for ribs
used with lagging to form initial support. Steel liner
plates generally would not be used for large diameter
tunnels typically constructed for highways.
7.4.2.3—Steel Reinforcing
Normally, reinforcing steel bars shall conform to

requirements of ASTM A615 grade 60. However, some
corrosive environments may call for the use of galvanized,
epoxy-coated, or stainless steel reinforcement. If
reinforcement is to be welded or if ductility for seismic
capacity is required, ASTM A706 should be specified.
Shotcrete lining may be reinforced with welded wire
fabric, deformed steel reinforcing bars, lattice girders, or
steel fibers.
Precast concrete segmental linings may be reinforced
with deformed reinforcing steel bars, welded wire fabric,
and/or steel fibers.
Refer to Section 4 for reinforcing steel material
properties and resistance factors.
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7.4.2.4—Prestressing Steel C7.4.2.4
Prestressing steel shall be bonded and protected against Some jurisdictions prohibit the use of prestressed
corrosion, with attention to combating the effects of elements below grade because of concerns about
corrosive compounds in the surrounding soils or corrosion. However, with appropriate protections,
groundwater. Bond capacity shall be tested in accordance prestressed, precast elements can be used to streamline
with ASTM A981. Strands shall conform to ASTM A416, construction. Following are some examples of use of
and bars shall conform to ASTM A722. The Engineer shall prestressing steel in underground applications.
include relaxation requirements in the project specifications. Prestressing steel is commonly used for permanent
Refer to Section 4 for prestressing steel material rock anchors, with protection against corrosion
properties and resistance factors. provided by corrosion-inhibiting compounds (resins
and greases), sleeves, and grout.
7.4.2.5—Shotcrete C7.4.2.5
Shotcrete is frequently used as a smoothing layer When shotcrete is used in lieu of concrete in the
applied to irregular rock surfaces prior to the application of final structure, it is applied in layers with a time lag
waterproofing membranes. Shotcrete may also be used for between the applications. To ensure that the behavior
initial ground support in mined tunnels, alone, or in is equivalent to monolithic concrete, it is essential to
combination with other support elements. limit the time lag between the applications. It is
Shotcrete may be used for the final permanent tunnel recommended that a bonding agent be used between
lining and can be either be structural plain shotcrete or layers.
reinforced with reinforcing steel, welded wire fabric, lattice
girders, or steel fibers. Pneumatically applied shotcrete
(PAS) is a variant of conventional shotcrete that can be used
for the final permanent tunnel lining.
The surface of the shotcrete shall be clean and free of
any dust or dirt that might create a debonding between
individual layers.
Shotcrete shall not be considered as a barrier to the
movement of water over the long term, i.e. shotcrete shall
not be used as a waterproofing membrane.
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Refer to Section 4 for shotcrete material properties and
resistance factors.
7.5—CONSTRUCTION OF MINED AND BORED

TUNNEL STRUCTURES
Mined tunnels are constructed utilizing traditional

excavation techniques such as drill and blast or mechanical
excavation. Mined tunnels can be constructed with or
without shields, depending on the ground conditions. Mined
tunnels have excavated shapes that take advantage of the
ground’s natural load carrying capacity, and can result in
more efficient use of the excavated cross section than the
circular cross section resulting from bored tunnel
construction. Mined tunnels can accommodate a wider range
of alignment geometry, both vertical and horizontal, than
bored tunnels. When the ground is capable of supporting
itself for durations long enough to install initial support
measures, tunneling can progress without the use of a shield.
Initial ground support can take the form of ground
improvement or structural supports, and is covered in
Section 9.
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TBMs are typically utilized for longer tunnels and can TBMs are sophisticated equipment designed
be equipped with or without shields. TBM construction specifically for the ground conditions anticipated to be
results in a circular opening that may not be the most encountered along the alignment. TBMs can operate
efficient shape required for internal dimensioning. When the with or without shields, with an open or pressurized
ground is not capable of supporting itself temporarily or face, with conventional excavation equipment, rotating
when groundwater conditions are such that construction cutterheads, or any combination of the above.
without the use of a shield is not feasible, TBMs are
equipped with shields. Because of the length of the
excavating mechanism, shield, and trailing gear, TBMs are
restricted in the alignment geometry that can be constructed
along curves both horizontally and vertically.
Design of initial support systems for mined and bored
tunnels is based on information developed from the
subsurface investigation program. Actual conditions
encountered during construction will dictate the initial
support system used during construction.
7.5.2—Construction of Mined Tunnel Structures C7.5.2
Construction of mined tunnels is performed through Information regarding initial ground support
various excavation techniques that all fall under the general measures can be found in Section 9.
category of sequential excavation. Techniques utilized for Refer to AASHTO (2010) for additional
the construction of mined tunnels include: information regarding mined tunnels in various ground
conditions and the analysis of sequential excavation.
 Drill and blast in rock
 Roadheader excavation in various materials
 Conventional excavation techniques, such as
backhoes and rippers
The construction of mined tunnels is sequenced in a

manner customized to the ground conditions expected to be
encountered. The sequencing includes both the area of the
face that is excavated at one time (drift) and the length of
excavation performed prior to installation of the initial
support (round). The drift can be the entire tunnel face at one
time or it can be subdivided into multiple sections. Round
lengths will vary as a function of the time limit required to
install the initial support. This methodology is also known
as the Sequential Excavation Method (SEM).
Ground movements will occur within the excavation
and are managed by limiting the size of the drift and the
length of the round.
The excavated opening created during each drift
excavation is made stable through the use of initial ground
support. The initial ground support can consist of ground
improvement or structural elements installed prior to
excavating the drift, or can be structural elements installed
after excavation of the drift, or a combination of support
installed before and after excavation. The type and
configuration of required initial ground support is dictated
by the ground and groundwater conditions and the
requirements for limiting ground movements. The type and
configuration of the required initial support, along with time
restrictions for installation of the support, are referred to as
excavation support classes (ESC).
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Once the entire tunnel cross section is excavated, the

waterproofing system (if required) is installed and the final
lining is constructed. Additional stress redistribution will
occur over time until a state of equilibrium is reached. Each
phase of the excavation and lining construction along with
the permanent long-term condition shall be investigated to
determine the load effects in the support elements, as well as
in the surrounding ground. During construction, experienced personnel must
Ground conditions will vary within the length of a be on site to determine the ESC required as each drift
tunnel. The contract documents shall provide information of the tunnel is excavated. Records of the tunneling and
regarding the ground conditions to be expected along the installation of ESC should be kept for the entire length
tunnel length, where each ESC may be required, and the of the tunnel. Instrumentation installed and monitored
details required to construct both the initial support and the during construction provides real-time data regarding
final structural lining. the performance of the ESC. Instrumentation data
The number of ESCs should be kept to a minimum to related to ground movements is used to modify ESCs
maximize efficiency and economy of construction. as required and to ensure that project criteria regarding
The contract documents shall address permissible ground movements are not exceeded.
overbreak for rock tunnel excavation. Overbreak is an unavoidable part of rock tunnel
construction. Overbreak will change the geometry of
the tunnel opening. The geometry of the tunnel
opening is the fundamental assumption in the design.
Changes in the geometry will affect the design and
performance of the tunnel structural elements.
Increased overbreak will also result in increased
quantities for items such as excavation, initial ground
support, and structural linings.
7.5.3—Construction of Bored Tunnel Structures C7.5.3
This approach is called a one-pass lining. The design of The traditional distinction between TBMs—hard
the TBM shall be predicated upon the most difficult ground rock and soft ground—has become less distinct over
conditions expected to be encountered. the years. Properly designed TBMs are capable of
The Engineer shall identify the performance traversing varying ground conditions along a tunnel
requirements of the TBM based on the ramifications of alignment. They are capable of installing initial ground
ground movement and the ground conditions expected to be support as they proceed, which is followed by a final
encountered. The Contractor shall be responsible for the cast-in-place concrete lining. This approach is called a
design, procurement, and operation of a TBM that meets the two-pass lining. TBMs can also install a precast
performance criteria set forth by the Engineer. segmental tunnel lining designed for the initial and
final conditions.
7.6—LIMIT STATE AND RESISTANCE FACTORS
7.6.1—General
Design of mined and bored tunnels shall satisfy the

criteria for the service limit states specified in Article 7.6.2,
the strength limit state specified in Article 7.6.3, and the
extreme limit states specified in Article 7.6.4.
Tunnel structural elements shall be designed for a
service life based on consideration of the potential effects of
material deterioration, leakage, stray currents, scour, natural
and manmade extreme events, and other potentially
deleterious environmental factors on each of the material
components comprising the structure, as well as for load
effects experienced as part of the construction process.
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7.6.2—Service Limit State
Service T-I—Mined and bored tunnels shall be

investigated for deflections, crack control, vibration,
durability, water tightness, and fatigue as developed during
the service life of the tunnel.
Service T-IA—Mined and bored tunnels shall be
investigated for the effects of buoyancy during the service
life of the tunnel, including but not limited to maximum
groundwater elevations and changes in groundwater
elevation caused by tides. The effects of salinity and other
inclusion in groundwater that affect the unit weight of
groundwater shall be included.
Service T-II—Mined and bored tunnels shall be
investigated for the effects of buoyancy that occur during
construction when only part of the permanent structure is in
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place. Mined and bored tunnels shall also be checked for

loadings imposed on the lining as part of the construction
process.
Strength T-I—Mined and bored tunnels shall be

investigated for strength during normal use, under which the
tunnel, including the permanent lining and internal
components, fixtures, and attachments remain fully
serviceable without any damage.
Strength T-II—Mined and bored tunnels shall be
investigated for strength during construction including, but
not limited to, force effects of the thrust of the TBM,
handling, storage, shipping, and erection of prefabricated
tunnel linings, and stripping of cast-in-place and precast
concrete tunnel linings.
7.6.4—Extreme Limit State C7.6.4
Extreme Event T-I—Mined and bored tunnel Under Extreme Event T-I, acceptable level of
structures shall be investigated for the design earthquake to damage could include partial failure of tunnel
ensure life safety and survivability of the structure taking members that result in limited leakage and could
progressive collapse into account. include complete loss of service. The Owner shall
Extreme Event T-II—Mined and bored tunnel determine acceptable levels of damage.
structures shall be investigated for extreme events other than Under Extreme Event T-II, it is recommended that
earthquake. Other extreme events, such as explosion and the tunnel should sustain no more than light damage
fire, shall be considered on a project-specific basis and, if and/or minor leaks, while experiencing no significant
relevant, shall be included in Extreme Event II individually loss of service during the prosecution of repairs, i.e.
but not simultaneously with other events. The Owner may, partial performance level.
at its discretion and after performing a hazard analysis,
create load combinations that have more than one of these
loads applied to the structure simultaneously. In this case, it
is recommended that the load factors shown in Table 3.4-1
be used when combining the loads.
Extreme Event T-III—Mined and bored tunnel
structures shall be investigated for a rare event for the
simultaneous combination of loads such as flooding. This
load combination shall be used for both surface flooding that
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raises the groundwater elevation and for flooding of the

inside of the tunnel.
Under Extreme Event III, the following flooding cases
 Sea level or surface water elevations rise that

produce increased hydrostatic pressures on the
tunnel that also reduce the resistance to buoyancy.
 Flooding of the inside of the tunnel that increases
the resistance to buoyancy and reduces the net
hydrostatic pressure to zero.
7.6.5—Load Factors and Load Combinations C7.6.5
Mined and bored tunnel structures shall be designed for Section 3 provides guidance on the methods to be
the load combinations shown in Tables 3.4-1 and 3.4-2. used in the computations of the loads applicable to
When developing the loads to be applied to the mined and bored tunnels. The construction
structure, each possible load combination of the loads shall methodology (SEM or TBM) will influence the
be developed. loadings.
Engineering judgment can be used to eliminate the Structures are subjected to a wide range of load
combinations that will not govern. combinations during construction. These include the
initial and long-term water and ground loads,
variability of dead and live loads on partially
completed configurations, erection and equipment
loads, and the full range of environmental loads to
which the final structure is subjected, although with
differences attributable to return period of events
(storm, earthquake), duration (horizontal pressures due
to equipment loading), or intensity (earth pressures
changing from active to at-rest).
Refer to Sections 4 and 9 for resistance factors for each

material used in construction of mined and bored tunnel
structures.
7.7—GENERAL DESIGN FEATURES
7.7.1—General
7.7.1.1—Initial Ground Support C7.7.1.1
Initial ground support shall be designed for the load The load effects are generated during excavation
effects expected to be experienced by the structure during of each drift in the case of mined tunnels, or the
the initial stages of construction. The initial ground support initial/short-term load effects generated as the
also shall be designed for load effects generated by the temporary lining exits the TBM in the case of bored
construction methodology. tunnels. For mined tunnels, the load on support
When cross passages, sumps, and ancillary spaces are elements may vary significantly over the sequential
constructed after the construction of the initial ground excavation process.
support, the load effects generated by creating the openings
in the initial ground support shall be accounted for in their
design.
Section 3 provides guidance for the determination of
loads other than those generated by construction. Section 9
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provides guidance relative to the design of initial ground

support.
7.7.1.2—Final Lining
In addition to their own dead load, final linings shall be

designed for the ground and groundwater load effects
expected to be experienced by the structure during the life of
the tunnel. The final lining also shall be designed for load
effects generated by live load, the addition of structural
elements or appurtenances supported by the lining,
environmental loads, secondary loads, and loads imposed by
the construction methodology.
Final linings shall be designed assuming that initial
ground support elements have no load carrying capacity.
Two-pass linings shall be designed for long-term
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(permanent) loading condition only. Single-pass linings
shall be designed for the initial loading condition or the long-
term (permanent) loading condition, whichever governs.
When cross passages, sumps, and ancillary spaces are
constructed after the construction of the final lining, the load
effects generated by creating openings in the tunnel lining
shall be accounted for in the design of the final lining.
Section 3 provides guidance for the determination of
loads other than those generated by construction.
7.7.1.3—Cross Passages, Sumps, and Ancillary Spaces C7.7.1.3
Cross passages, sumps, and ancillary rooms are Cross passages are required by NFPA 502 when
generally mined from the completed main tunnel utilizing the tunnel length exceeds limits specified. Cross
various techniques. Cross passages, sumps, and ancillary passages are used in conjunction with side by side
rooms shall be designed for the load effects expected from tunnels.
the construction methodology, short-term and long-term Sumps are constructed at the low point in the
ground and groundwater loads, and the loading associated tunnel alignment to collect seepage, wash, and
with appurtenances and live loads expected during the life of firefighting water and spills that occur inside the
these features. tunnels. Sumps are equipped with pumps that
The Engineer shall indicate the location of required discharge the collected fluids to the tunnel piping
cross passages, sumps, and ancillary spaces on the contract system.
drawings. Ancillary spaces encompass a large range of uses,
including mechanical and electrical rooms, systems
rooms, storage, niches for equipment or ventilation
fans, and local widening of the tunnel cross section to
provide refuge space for disabled vehicles.
Cross passages, sumps, and ancillary spaces,
when required, can be constructed before or after the
final lining is constructed. They are usually
constructed after the initial ground support. The
creation of an opening in the ground support and
subsequent excavation creates a redistribution of the
stresses in the surrounding ground. Temporary
supports inside the main tunnel lining are required to
stabilize the tunnel lining by creating redistributed load
paths that allow sections of the lining to be removed
that are large enough for construction of the cross
passage, sump, or ancillary space.
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7.7.2—Ground Movements
7.7.2.1—General C7.7.2.1
Ground movement occurs primarily due to ground loss Ground movement during excavation and
during excavation and due to the change of stress in the construction, and its effects on adjacent structures,
ground caused by the excavation process. Ground movement utilities, and other infrastructure must be carefully
affects the construction process in the following areas: considered in all phases of design and construction.
Ground movement must be explicitly addressed in the
 The stability of the open excavation at the face of development of contract documents and carefully
the tunnel during construction. monitored in the field once construction begins.
 Ground movement into the tail void of TBM Instrumentation to monitor the movements of adjacent
tunnels. existing structures should be in place and actively
 Ground movement caused by the excavation of monitored prior to construction, during construction,
cross passages, sumps, and ancillary spaces. and for a period of time after construction to confirm
 Surface subsidence due to the excavation process. that the ground has stabilized. Threshold values and
 Impact of ground movement due to the excavation values for total permissible movement of the
process on existing buried utilities, buildings, and facility/structure being monitored should be
infrastructure above or adjacent to the tunnel established. The Contractor must be required to halt
alignment. work should the threshold values be exceeded and
 Surface subsidence due to lowering of the mitigation measures should be implemented to keep
groundwater level. movement within permissible values.
Existing buildings and facilities shall be evaluated
The Engineer shall evaluate the potential for ground for the ground movement estimated to occur due to
movement due to the construction methodology assumed excavation activities for construction of mined and
during design. The construction methodology assumed bored tunnels. This evaluation of existing buildings
during design shall be shown in the contract documents. The and facilities is not within the scope of this
Engineer shall identify ground improvement and initial Specification.
support required along the alignment to keep ground and The empirical, analytical, and numerical
structure movements within acceptable limits. The Engineer approaches generally involve simplifying assumptions
shall indicate the threshold (point at which remedial action regarding the ground conditions, tunnel excavation
is required to arrest movements) and acceptable limits for process, and quality of workmanship. These
ground movement and existing structure and facility simplifying assumptions include assuming that site
movement in the contract documents. soils are either pure sands or pure clays, whereas in
The Contractor shall be responsible for ensuring that the nature soils are mixtures of sands, silts, clays, and
construction methodology employed during construction is gravels. Empirical and analytical analyses may also
consistent with the design assumptions and are executed in a require assuming that the ground profile consists
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manner that results in movements within the predicted range. entirely of one type of soil, such as sand or clay, and
Should a construction methodology be used other than that so the most prevalent or dominant soil type is assumed
assumed during design and identified in the contract for the entire profile at a particular location. Numerical
documents, then the Contractors shall be responsible for analyses may involve assuming that the excavation
performing the analysis and design required to identify takes place entirely under total stress (undrained),
suitable ground improvement and initial support measures to effective stress (drained), or partially drained
ensure ground movements are within acceptable limits. conditions.
The following sections set forth requirements and Analytical and numerical analyses include
limitations of various methodologies for evaluating ground simplifying assumptions related to ground behavior,
movements during construction. Techniques for evaluating such as assuming elastic or plastic deformations,
ground movements include empirical, analytical, and ground relaxation, etc. The development of analytical
numerical methods. and numerical methods often includes comparison to
observed behavior on previous projects to assess the
ability of the methods to predict performance on future
projects. Although the methods vary in the level of
detail, they are all approximations used to model the
ground behavior.
Additional operations may include groundwater
lowering or drainage from the soil, blasting, and
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ground modifications. These operations shall be

accounted for when assessing ground movements.
7.7.2.2—Empirical Method C7.7.2.2
Settlements at the ground surface may be estimated Empirical assessments are based on observed field
utilizing the following equations derived from those behavior related to simplified ground conditions and
presented by R.J. Mair (1993). The settlement equations are assumed to be applicable to similar ground
shown below are applicable at a specific location along the conditions. The empirical method presented here, Mair
tunnel alignment. A settlement profile that is parallel to the (1993), is generally used for initial screening to
tunnel should be developed to fully understand the potential identify the need for more detailed analyses to assess
ground movements. impacts on adjacent existing features. Empirical
The maximum settlement (vertical movement) at the assessments can also be used to evaluate the
tunnel centerline is calculated as follows: reasonableness of analytical and numerical analyses.
The equations provided herein are generally used for
𝑉𝑙 𝐴𝑡 soft ground and will produce conservative results for
𝑆𝑚𝑎𝑥 = 0.4 (7.7.2.2-1)
𝐾𝑧0 tunnels in rock. These equations assume a “green
field” condition. This condition does not take into
where: account the effects of existing loads that may occur
along the tunnel alignment from buildings or other
Smax = maximum settlement at tunnel centerline (in.) infrastructure. Numerical analyses utilizing
Vl = ground loss ratio specialized software can account for these loads.
At = the area of the tunnel intersected by a vertical
plane (in.2)
K = settlement trough width parameter
z0 = depth of the tunnel below ground surface at
springline (in.)
The ground loss ratio Vl is dependent upon the means The selection of loss ratio Vl, the ground above the
and methods along with the quality of workmanship and the tunnel, is rarely based purely on cohesive or purely
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ground control exercised during construction. This ratio is granular soils. The water table elevation will also have
expressed as a percentage and can vary from 0.25 percent for an influence on the selection of this value for granular
good ground control to 1 percent or greater for poor ground soils. Engineering judgment and experience is required
control. to select an appropriate value for the loss ratio.
The settlement trough width parameter K is dependent
on the type of ground and varies from 0.5 in predominantly
cohesive soils to 0.25 in predominantly granular soils.
The settlement at a distance y from the tunnel centerline
is calculated as follows:
−𝑦 2
𝑆𝑦 = 𝑆𝑚𝑎𝑥 ∙ 𝑒𝑥𝑝 ( ) (7.7.2.2-2)
2(𝐾𝑧0 )2
where:
Sy = settlement at a distance y from the tunnel

centerline (in.)
Smax = maximum settlement at tunnel centerline (in.)
as calculated by Equation 7.7.2.2-1
y = the distance from the centerline of tunnel (in.)
K = settlement trough width parameter
springline (in.)
The horizontal movement of the ground toward the

center of the tunnel at a distance y from the tunnel centerline
is calculated as follows:
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𝑦
Sh = 𝑆 (7.7.2.2-3)
𝑧0 𝑦
where:
Sh = horizontal movement of the ground at a

distance y from the tunnel centerline (in.)
y = the distance from the centerline of tunnel (in.)
springline (in.)
Sy = settlement at a distance y from the tunnel
centerline (in.) calculated by Equation
7.7.2.2-2
Other proven empirical methods for estimating ground

movements may be used at the discretion of the Engineer.
7.7.2.3—Analytical Method C7.7.2.3
Closed form analytical solutions have been developed The equations provided herein are generally used
by Loganathan (2011) that can be used to estimate for soft ground and will produce conservative results
settlements and lateral ground movements at and below the for tunnels in rock. These equations assume a “green
surface of the ground. The equations derived by Loganathan field” condition. This condition does not take into
are as follows. account the effects of existing loads that may occur
The surface settlement at a distance x from the tunnel along the tunnel alignment from buildings or other
centerline is calculated as follows: infrastructure. Numerical analyses utilizing
specialized software can account for these loads.
4𝐻(1 − 𝜐) 1.38𝑥 2
𝑈𝑧=0 = 𝜀0 𝑅2 ∙ ∙ 𝑒𝑥𝑝 {− }
𝐻2 + 𝑥 2 (𝐻𝑐𝑜𝑡𝛽 + 𝑅)2
(7.7.2.3-1)
where:
Uz=0 = ground surface settlement

R = tunnel excavated radius
z = depth below the ground surface
 = Poisson’s ratio of the ground
H = depth to the springline of the tunnel
0 = average ground loss ratio
x = lateral distance from the tunnel center
line
 = limit angle = 4.5 +  /2
 = angle of shear resistance of the ground
The subsurface settlement at a distance x from the tunnel

centerline and a distance y below the surface is calculated as
follows:
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𝑧−𝐻 𝑧+𝐻
𝑈𝑧 = 𝜀0 𝑅2 (− + (3 − 4𝜐) 2
𝑥 2 + (𝑧 − 𝐻)2 𝑥 + (𝑧 + 𝐻)2
2𝑧[𝑥 2 − (𝑧 + 𝐻2 )]
− 2 )
[𝑥 + (𝑧 + 𝐻2 )]2
1.38𝑥 2 0.69𝑧 2
∙ 𝑒𝑥𝑝 {− [ + ]}
(𝐻𝑐𝑜𝑡𝛽 + 𝑅)2 𝐻2
(7.7.2.3-2)
where:
Uz = ground subsurface settlement

line
 = limit angle = 4.5 +  /2
The lateral ground deformation at a distance x from the

tunnel centerline and a distance y below the surface is
calculated as follows:
1 3 − 4𝜐
𝑈𝑥 = 𝜀0 𝑅2 𝑥 [ + 2
𝑥2 + (𝐻 − 𝑧) 2 𝑥 + (𝐻 + 𝑧)2
4𝑧(𝑧 + 𝐻)
− 2 ]
(𝑥 + (𝐻 + 𝑧)2 )2
1.38𝑥 2 0.69𝑧 2
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
∙ 𝑒𝑥𝑝 {− [ 2
+ ]}
(𝐻𝑐𝑜𝑡𝛽 + 𝑅) 𝐻2
(7.7.2.3-3)
where:
Ux = lateral ground subsurface settlement

line
 = limit angle = 4.5 +  /2
7.7.2.4—Numerical Method C7.7.2.4
Numerical methods involve the use of finite element or For additional information regarding the use of
finite difference software to model the response of the numerical modeling to estimate ground movements,
ground to the tunnel excavation. refer to AASHTO (2010).
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Numerical modeling techniques should be used when

other methods indicate that estimated ground movements
may exceed tolerable limits for displacement and angular
distortion established for the features surrounding the tunnel.
When utilizing numerical modeling software to estimate
ground movements, existing loads from buildings,
highways, railroads, and other infrastructure shall be
included in the model.
7.7.3—Buoyancy C7.7.3
Mined and bored tunnels that are partially or

completely below the water table shall be evaluated for the
effect of buoyancy. Buoyancy forces shall be computed
using the density of the groundwater at the site. Adequate
resistance to flotation shall be provided at all sections for the
full hydrostatic uplift pressure. When calculating the
resistance to buoyancy of the ground above the tunnel, only
the ground that is within boundaries created by vertical lines
from each springline shall be included.
The effects of groundwater shall be accounted for in
combination with ground loads to determine the combined
load effects in the tunnel lining.
Buoyancy shall be checked at every stage of
completion and only permanent features shall be included in
the buoyancy check.
Any component of the tunnel that can potentially be Examples of components that should not be
removed for maintenance, repair, or rehabilitation shall not included in the calculation of the resistance to
be considered when calculating the resistance of the buoyancy include:
structure to uplift.
 Ceiling and roadway structures
 Traffic control devices
 Ventilation equipment
 Electrical equipment
 Communication equipment
 Finishes
7.7.4—Loading
All components of mined and bored tunnels shall be

designed for the applicable loads described in Section 3 and
as supplemented in this Article.
Mined and bored tunnels shall be designed for any
additional loading from existing adjacent buildings, when
the horizontal distance from the building line to springline
of the tunnel is less than the depth of the tunnel below the
building foundation.
If the foundations of the adjacent buildings are
supported by underpinning and/or deep foundations that
transfer loads to a depth below the influence line of the
tunnel, these additional loads shall not be applied to the
tunnel.
When the loads from the adjacent structures are not
equal on both sides of the tunnel, the most critical
unbalanced load case shall be investigated.
As a minimum, the following non-seismic loading cases
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7.7.4.1—Symmetrical Loading
Case I—Maximum vertical loads including dead loads,

live loads, surcharge loads, and hydrostatic pressure with
maximum lateral pressure due to soil and rock.
Case II—Minimum vertical load (dead load only), with
maximum hydrostatic pressure and maximum lateral
pressure due to soil and rock.
Case III—Maximum vertical loads and minimum
hydrostatic pressure and lateral pressure due to soil and rock.
7.7.4.2—Asymmetrical Loading C7.7.4.2
Case I—Maximum vertical loads including dead loads, Asymmetrical loading cases should only be used
live loads, surcharge loads, and hydrostatic pressure with when conditions exist, or are likely to exist, in the
lateral pressure as follows: Maximum lateral pressures (at- future that cause this type of loading.
rest) due to soil loads, applied to one side of the structure and
active pressure from soil on the opposite side, or maximum
lateral rock load applied to one side of the structure, zero
rock load applied on the opposite side for tunnels in rock.
Case II—Maximum vertical loads including dead
loads, live loads, and surcharge loads with maximum lateral
pressure (at-rest) applied to one side of the structure and
active pressure from soil on the opposite side, or maximum
lateral rock load applied to one side of the structure, zero
rock load applied on the opposite side for tunnels in rock.
7.7.4.3—Construction Condition C7.7.4.3
Construction sequence and procedures may result in Intermediate phases of the construction may
conditions that are more severe than the general loading induce higher stresses than the end of construction
conditions mentioned in the previous sections. Mined and stage and govern the design of structural members.
bored structures shall be designed to resist the load effects
generated during construction operations.
The Engineer is responsible to develop a construction
scheme and to clearly state assumptions regarding the
scheme in the contract documents. When an alternative
sequence of construction is allowed by the contract
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documents and proposed by the Contractor, the Contractor

shall provide a complete analysis for all construction stages.
Loads generated by the construction sequence and
procedure can include:
 Stripping of forms prior to concrete attaining 28

day compressive strength.
 Loads from temporary facilities such as ventilation,
lighting, power cables, conveyor belts, etc.
 Thrusting loads from the TBM.
 Loads imposed on segmental linings due to lifting,
stacking, transporting, and erecting.
 Loads imposed by construction vehicles operating
inside the tunnel.
 Loads imposed by backfill or contact grouting.
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7.7.4.4—Distribution of Loads
Loads on mined and bored tunnels resulting from

existing or anticipated future land use at the surface above or
adjacent to the tunnels shall be accounted for in the design
and distributed according to the following:
Vehicular loads shall be distributed according to the
Train loads shall be distributed according to guidelines
provided in AREMA (2014).
7.7.4.5—Superimposed Loads
Superimposed loads are defined in the LRFD

Specifications and shall be calculated and applied to mined
and bored tunnels in load combinations as applicable.
Mined and bored construction is often used in urban
areas and provisions are made for the structures to support
urban loadings, such as future building developments, parks,
or roadways. Future loadings provided for in the design shall
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be clearly identified in the contract documents.
7.7.5—Analysis and Design
7.7.5.1—General C7.7.5.1
The determination of load effects for mined and bored

tunnel linings shall take into account ground/structure
interaction. Load effects from elements inside the tunnel
supported by the tunnel lining shall be included in the
ground/structure interaction analysis.
The determination of load effects for tunnel elements
not in contact with the ground may be analyzed without Examples of tunnel elements not in contact with
ground/structure interaction, unless such loads are the ground include roadway slabs over ventilation
influenced by ground/structure interaction of other tunnel ducts, suspended ceilings, equipment attachments, etc.
elements that are in contact with the ground.
Empirical methods may be used for preliminary design.
Final design of tunnel linings shall be performed
utilizing general structural or geotechnical engineering
software capable of modeling beam elements to represent the
tunnel lining and spring or solid elements to model the
surrounding ground.
Numerical modeling may be used for the final design of Commercially available numerical modeling
tunnel linings. software may not permit the input of factored loads.
When utilizing this software, a rational method for
incorporating the load factors into the analysis must be
developed by the Engineer.
7.7.5.2—Design
Tunnel linings shall be designed as compression

members, taking into account the combined interaction of
axial and moment load effect.
Tunnel linings shall be designed for the second order
effects due to elastic deformation.
Segmental linings shall be designed for the load effects
resulting from construction tolerances.
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7.7.5.3—Moment of Inertia C7.7.5.3
The gross moment of inertia shall be used when

analyzing cast-in-place and shotcrete tunnel linings.
When analyzing a segmental tunnel lining, the effective If approved by the owner, numerical modeling of
moment of inertia shall be used. The effective moment of the segmental tunnel lining system may be performed
inertia may be calculated as per Muir Wood (1975) as shown in lieu of using Equation 7.7.5.3-1. The numerical
below: model should account for the interaction between
adjacent rings and the effect of individual components
4 2 of the lining system such as bolts, dowels, packers,
𝐼𝑒 = 𝐼𝑗 + 𝐼𝑔 ( ) (7.7.5.3-1)
𝑛 joint configuration, annual grout, and the surrounding
ground.
where:
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
Ie = effective moment of inertia (in4)

Ij = movement of inertia of the joint (in4)
Ig = gross moment of inertia of the lining section
(in4)
n = number of joints in the lining ring
7.7.5.4—Ground/Structure Interaction C7.7.5.4
Numerical modeling shall be used to account for The equations presented in this article are taken
ground/structure interaction. The numerical modeling may from Engineering and Design, Tunnels and Shafts in
consist of beam/spring models, finite element modeling, or Rock, United States Corp of Engineers (USACE) EM
finite difference modeling. The spring constants used to 1110-2-2901, 1997. These equations are applicable to
represent the static (non-seismic) behavior of the soil and rock, because they are based on the theory of
surrounding ground in ground/structure interaction elasticity. Engineering judgement and experience
modeling shall be calculated as follows. should be used when determining spring stiffness
values for design.
The radial spring stiffness may be taken as:
𝐸𝑟 𝑏𝜃
𝑘𝑟 = (1+𝜐)
(7.7.5.4-1)
where:
kr = radial spring stiffness (kips per in.)

Er = modulus of elasticity of the surrounding
ground (kips per in.2)
b = the length of the tunnel lining element being
modeled (in.)
 = the arc subtended by the beam element being
modeled (radian)
 = Poisson’s ratio of the surrounding ground
The tangential spring stiffness may be taken as:

0.5𝑘𝑟
𝑘𝑡 = (1+𝜐)
(7.7.5.4-2)
where:
kt = tangential spring stiffness (kips per in.)

kr = radial spring stiffness calculated in Equation
7.7.5.4-1
 = Poisson’s ratio of the surrounding ground
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7.8—JOINTS
Three types of joints in concrete construction are Provisions to control cracking include heavier
commonly detailed: construction joints, which allow longitudinal (temperature and shrinkage)
discrete concrete placements in a continuous structure; reinforcement and the detailing of joints to control the
contraction joints; and expansion joints. locations where cracking occurs. Joints must be
A main objective in the design of joint spacing is to try carefully detailed to prevent the infiltration of water,
to control the locations where the concrete cracks. In mined yet simultaneously accommodate the movements
and bored tunnel structures, cracks are locations where water expected over time.
will infiltrate into the structure, often causing structural Shrinkage during initial curing is a major cause of
degradation over time. concrete cracking. Concrete mixes for mined and
All joints in cast-in-place concrete and shotcrete shall bored tunnel structures should be designed to limit the
be provided with waterstops. heat of hydration, using the same provisions that are
applied to mass concrete placements. Provisions
include the substitution of blast furnace slag or fly ash
for portland cement to reduce the heat of hydration,
careful curing in the wet, and the control and
monitoring of temperature differentials across the
curing section.
7.8.2—Construction Joints
Construction joints occur between discrete concrete

placements. They shall be detailed for structural continuity,
with joint surfaces intentionally roughened and saturated
with water or coated with bonding agent, and with
reinforcement extending a lap length into the next concrete
placement.
7.8.3—Contraction Joints
Contraction joints are designed to encourage the

concrete to crack at the joint location as it shrinks during
curing or temperature changes. Contraction joints may be as
simple as a saw-cut on the exposed face or the installation of
a zip-strip.
7.8.4—Expansion Joints
Expansion joints are designed to accommodate

expansion of adjacent units and relative movements of
dissimilar adjoining structure configurations, such as a
tunnel entering a ventilation structure or abutting a tunnel of
a different construction.
Provisions for expansion shall be made when a
structural element is partially underground and partially
above ground, and where the above ground element is
attached to the underground element, particular care shall be
taken in detailing to accommodate differential thermal
movement.
The followings are minimum requirements for the
expansion joints:
 Reinforcement steel shall not be continuous through the

joint.
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 Shear forces shall be transferred across the joint,

preferably by a key.
 All expansion joints in structures constructed of cast-in-
place concrete and shotcrete subject to hydrostatic
pressure shall contain waterstops.
7.8.5—Segment Joints
Segment joints shall be designed to resist the load

effects resulting from the loads and loads combinations
specified in Section 3.
The design of segment joints for bearing and bursting
load effects shall be designed utilizing the actual contact
surface area available, taking into account the contact area
lost to chamfers, packing, and gaskets used to seal the joints.
7.9—WATERPROOFING C7.9
Waterproofing for cast-in-place and shotcrete tunnel Waterproofing systems are manufactured by a
linings shall be designed to the anticipated hydrostatic number of companies. In general, details of system
pressures. Typical waterproofing systems include: application are left up to the manufacturer, whose
responsibility to the facility owner is inherent in the
 Waterstops warranty required by the specification. Most
 Gaskets manufacturers will not warrant their product unless the
 Membrane waterproofing seaming, penetration, and termination details that they
 Liquid applied waterproofing have developed and tested are used in the installation.
There is a range of relationships between
manufacturers and installers, with some installers
explicitly licensed by the manufacturer, while others
may only send a technical representative for sufficient
time to train the Contractor work force.
Waterstops are used at joints in cast-in-place
concrete linings.
Membrane waterproofing:
--`,,,,,,,,,,,``,``,,```-`-``,```,,,`---
Several companies manufacture membranes that
are delivered in rolls. They may be formed from
different plastics, such as PVC or EPDM, or they may
be panels of bentonite. Membranes may be detailed to
be installed against wet concrete, a “blind side”
application. Blind side membranes may be treated to
bond or adhere to the wet concrete. These are often
applied directly to the excavation cut or shoring wall.
Membranes may also be rolled out over cured
concrete.
Liquid applied waterproofing:

A number of companies manufacture liquid
compounds that cure in place to form membranes.
These may be painted on or spray applied.
7.9.1—Treatment of Penetrations
Bored and mined tunnel lining penetrations consist of

equipment niches, widening for disabled vehicles, or cross
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passages. The waterproofing of these penetrations

shall consist of membrane or liquid applied systems.
7.9.2—Gaskets
Gaskets shall be designed to resist the

anticipated hydrostatic pressures through compression of
the gasket for the design life of the gasket.
Compression of gaskets between rings is accomplished
through the thrust of the TBM. Compression of the
gasket within a ring is accomplished through
tightening of the bolts between gaskets.
7.9.3—Permissible Leakage C7.9.3
Precast segmental concrete linings that do not Criteria generally include a measured infiltration
have applied waterproofing shall be subject to the of volume/ft2/day and a maximum flow at any single
permissible leakage criteria. point. Typical criteria range from 0.0002 to 0.01
gals/ft2/day, with 0.02 gallon per minute of flow from
any single leak. The Owner shall establish the required
leakage criteria. Factors to consider when establishing
permissible leakage include the long-term
management of the incoming water, the selected
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structural system and associated number of joints, and

constituent components of the groundwater including
groundwater chemistry and contaminants.
7.10—REFERENCES
2. AREMA. Manual for Railway Engineering. American Railway Engineering and Maintenance-of-Way
Association, Lanham, MD, 2014.
3. ASCE. ASCE 37-02, Design Loads on Structures During Construction. American Society of Civil Engineers,
2002.
4. Johann Golser, The New Austrian Tunneling Method (NATM), Theoretical Background & Practical
Experiences. Presented at 2nd Shotcrete conference, Easton, PA, 1976.
5. Loganathan, Nagen, An Innovative Method for Assessing Tunneling-Induced Risks to Adjacent Structures.,
Parsons Brinckerhoff, Inc., New York, NY, January 2011. Available from http://cdn.wspgroup.com/8kzmue/an-
innovative-method-for-assessing-tunnelling.pdf.
6. Muir Wood, A M. The circular tunnel in elastic ground. Géotechnique, Vol. 25, January 1975, pp. 115–127.
7. Muir Wood, Alan. Tunnelling: Management by Design. New York, NY: Taylor & Francis Group, 2002.
8. NFPA. 502, Standard for Road Tunnels, Bridges, and Other Limited Access Highways. National Fire Protection
Association. Quincy, MA, 2014.
9. Özdemir, Levent (2006). North American Tunneling 2006. Washington, DC: Taylor & Francis Group, p. 246.
ISBN 0-415-40128-3.
10. Rabcewicz, L. V. “Patentschrift, Oesterreichisches Patent 165573 (Patent Entry, Austrian Patent 165573),” 1948.
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11. Rabcewicz, L. 1964. “The New Austrian Tunnelling Method, Part 1,” Water Power, November 1964, pp.
453–457.
12. Rabcewicz, L. 1964. “The New Austrian Tunnelling Method, Part 2,” Water Power, December 1964, pp.
511–515.
13. Rabcewicz, L. V. and Golser, J. “Principles of Dimensioning the Supporting System for the New Austrian
Tunneling Method,” Water Power, March 1973, pp. 88–93.
14. USACE. EM 1110-2-2901, Engineering and Design, Tunnels and Shafts in Rock. U.S. Army Corps of Engineers,
Washington, DC, 1997.
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SECTION 8 – IMMERSED TUNNEL STRUCTURES
TABLE OF CONTENTS
8.1—SCOPE ......................................................................................................................................................... 8-1

8.2—DEFINITIONS............................................................................................................................................. 8-1
8.3—NOTATION ................................................................................................................................................. 8-2
8.3.1—Loads and Load Designations .............................................................................................................. 8-2
8.3.2—Abbreviations ....................................................................................................................................... 8-2
8.4—DESIGN CONSIDERATIONS ................................................................................................................... 8-2
8.4.1—Determination of Ground Properties .................................................................................................... 8-2
8.4.1.1—General............................................................................................................................................ 8-2
8.4.1.2—Foundation ...................................................................................................................................... 8-3
8.4.1.3—Fill Material .................................................................................................................................... 8-4
8.4.1.4—Sideslopes ........................................................................................................................................ 8-5
8.4.2—Materials............................................................................................................................................... 8-5
8.4.3—Support Loss ........................................................................................................................................ 8-6
8.5—CONSTRUCTION....................................................................................................................................... 8-6
8.5.1—Shipping Channel Traffic ..................................................................................................................... 8-6
8.5.2—Trench Excavation ............................................................................................................................... 8-6
8.5.3—Element Length .................................................................................................................................... 8-7
8.5.4—Fabrication Facility .............................................................................................................................. 8-7
8.5.5—Transportation ...................................................................................................................................... 8-7
8.5.6—Outfitting .............................................................................................................................................. 8-8
8.5.7—Immersion ............................................................................................................................................ 8-9
8.5.8—Joining and Backfilling ........................................................................................................................ 8-9
8.6—Limit States and Resistance Factors........................................................................................................... 8-10
8.6.1—General ............................................................................................................................................... 8-10
8.6.2—Service Limit States ........................................................................................................................... 8-10
8.6.3—Strength Limit States .......................................................................................................................... 8-10
8.6.4—Extreme Limit States .......................................................................................................................... 8-10
8.6.5—Load Factors and Load Combinations................................................................................................ 8-11
8.6.6—Resistance Factors .............................................................................................................................. 8-11
8.7—GENERAL FEATURES OF DESIGN ...................................................................................................... 8-11
8.7.1—Loading .............................................................................................................................................. 8-11
8.7.1.1—Permanent Loads........................................................................................................................... 8-11
8.7.1.1.1—Settlement (SE) ....................................................................................................................... 8-12
8.7.1.2—Transient Loads ............................................................................................................................. 8-12
8.7.1.2.1—Transient Water Loads (WAp) ................................................................................................ 8-12
8.7.1.3—Construction Loads ....................................................................................................................... 8-13
8.7.1.3.1—Launching (LA) ...................................................................................................................... 8-13
8.7.1.3.2—Transportation (TR) ............................................................................................................... 8-13
8.7.1.3.3—Immersion (IN) ....................................................................................................................... 8-13
8.7.1.3.4—Joining (JO) ........................................................................................................................... 8-14
8.7.2—Joints .................................................................................................................................................. 8-14
8.7.3—Scour Protection ................................................................................................................................. 8-15
8.8—STRUCTURAL ANALYSIS..................................................................................................................... 8-15
8.9—WATERPROOFING ................................................................................................................................. 8-16
8.9.1—Waterproofing Systems ...................................................................................................................... 8-16
8.9.2—Water Infiltration ................................................................................................................................ 8-16
8.10—REFERENCES ........................................................................................................................................ 8-16
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8-i
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SECTION 8: IMMERSED TUNNEL STRUCTURES 8-1
8.1—SCOPE C8.1
This Section supplements the AASHTO LRFD Immersed tunnels are used to cross waterways and
Bridge Design Specifications (hereafter referred to as the typically include a cut-and-cover section at both ends
LRFD Specifications). The provisions of this Section of the tunnel. An immersed tunnel consists of one or
apply to the analysis and design of immersed tunnels more tunnel elements, typically 300 feet or more in
constructed of elements of steel, concrete, or a length. The elements may be fabricated on or off of the
combination thereof. tunnel alignment and designed to be floated, either with
This Section includes provisions for loads that may or without temporary buoyancy, to a prepared bed or
be encountered during the construction of immersed excavation at the bottom of the waterway being crossed.
tunnels. Provisions for permanent loads are contained in The elements may consist of reinforced or prestressed
Section 3. concrete, concrete acting compositely with structural
This Section also includes provisions for detailing steel, or a steel structure with concrete infill. The
and inspectability. elements are fabricated in dry docks, diked basins, on
Temporary works for the fabrication, launching, submersible barges, or on dry land to be launched like
transportation, immersion, and joining of elements are a ship, lowered on a ship lift, or floated when the
not included. Temporary support of excavation and fabrication basin is flooded. The ends of the elements
temporary side slopes for open trench excavation are not are sealed with temporary bulkheads. The tunnel
covered. elements are towed to their final location, floated into
position, lowered into the prepared bed and joined
together. After any additional foundation works have
been completed, the sides are backfilled and most often
some fill is placed on the roof as protection.
8.2—DEFINITIONS
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Anchor Release Band—Earthen construction intended to choke the gape of a ship’s anchor, i.e. the space between
the hook and the shank, and bring the anchor to the surface.
Element—A section of immersed tunnel between immersion joints.
Engineer—Agency, design firm, or person responsible for the design of the tunnel and/or review of design related
field submittals.
Fabrication Facility—A dry dock, diked area, or factory used to build the immersed tunnel elements.
Fully Serviceable—The state of a tunnel under which all traffic normally permitted to travel through the tunnel can
do so safely, with all tunnel systems functioning to the extent required for safe travel.
General Fill—Backfill that is placed above the horizontal axis of the element after placement.
Heeling Moment—A moment (a force x distance) about the longitudinal axis in the transverse direction which
induces roll (heel). The investigation of heeling moments is an important consideration to an element’s stability.
Immersed Tunnel—A tunnel that is built in sections (elements) in the dry and then floated to the alignment and
placed.
Immersion—Lowering the tunnel element into place in the trench.
Immersion Joints—Joints between immersed tube elements.
Inner Reinforcement Cage—The reinforcing steel layer closest to the inside of the tunnel.
Joining—Engaging the jacks and pulling the element being placed to the in-place element or existing approach
section.
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Launching—Sliding the element into the water at the fabrication site, if the site is a ship building facility with a
launch.
Locking Fill—Backfill that is placed on either side of the element after placement up to the horizontal axis.
Outfitting—Adding internal concrete to the element after float up in the vicinity of the alignment to obtain a larger
negative buoyancy than was obtained at float up.
Righting Moment—The lateral moment that can be applied to the element without causing it to capsize or heel.
Terminal Joints—Joints between immersed tube elements and approach structures.
8.3—NOTATION
8.3.1—Loads and Load Designations
The following permanent, transient, and construction loads shall be considered and supplement information
given in Section 3:
• Construction Loads
IN = immersion
JO = joining
LA = launching
TR = transportation
• Permanent Loads
SE = effect of settlement of tunnel structure
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• Transient Loads
WAp = transient water loads
ft2: square feet

gals: gallons
ITA: International Tunneling and Underground Space Association
LTA: Land Transport Authority (Singapore)
MSL: Mean sea level
MTRC: Mass Transit Rail Corporation (Singapore)
PUB: Public Utilities Board (Singapore)
8.4—DESIGN CONSIDERATIONS
8.4.1—Determination of Ground Properties
8.4.1.1—General
Subsurface investigations and determination of

ground properties for design for immersed tunnel
structures shall be as specified in Section 5.
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8.4.1.2—Foundation C8.4.1.2
A foundation capable of supporting the tunnel Immersed tunnels are usually placed within an
adequately under all design conditions shall be provided. excavated trench. Some methods of soil improvement
The foundation may be prepared either before or after may need to be carried out before the trench is
placing a tunnel element. Where improvements to the excavated to the final depth.
underlying soils are required, these improvements shall
be prepared prior to preparing the foundation or prior to
placing the element, if placed first. Soil improvement
may include some form of piles or compaction piles not
in direct contact with the underside of an element, or an
appropriate type of in-situ ground improvement.
Based upon seismicity, analyses are required to
determine the risk of liquefaction of both the underlying
soils and of the foundation materials; soil improvement
may be required to reduce the risk of liquefaction of the
underlying soils to an acceptable level. Foundation
materials shall be selected such that they do not liquefy.
See Section 10 for seismic design requirements.
Acceptable methods of foundation preparation
include:
• Screeded material onto which the tunnel element is Depending upon the level of seismicity, a screeded
placed. The material shall be capable of transferring foundation may consist of a well graded material or
the loads from the tunnel element to the underlying single-sized stone. The material is placed in the trench,
foundation materials without causing unacceptable typically through tremie tubes or by clamshell, and then
settlement or differential settlement. Settlement screeded (leveled) to the line and grade required for
analyses shall be performed in accordance with element placement using a blade or screed box to form
Section 10 of the LRFD Specifications. a continuous flat surface. An alternative and quicker
method is placement of the material by the Dutch
Scrading® method, whereby the foundation material
(usually stone) is placed using a computer controlled
tremie pipe in a zigzag pattern with a slight separation
of the rows. Scrading® is used for all widths of tunnels.
• Sand flow or grouted foundation prepared beneath the For the sand flow method, a sand–water mixture is
tunnel element while resting on temporary supports. pumped in through pipes with orifices in a pattern
Sand flow shall not be used in seismic areas where the below the tunnel. As the mixture is pumped in, it forms
sand bedding may be susceptible to liquefaction. a “pancake” that grows around the orifice in use. The
Where a grouted foundation is used, it may be pumping pressure required increases as the diameter of
underlain by gravel or stone. The grout shall be the pancake increases. The pancakes shall be arranged
formulated such that it neither penetrates the to overlap and to be sequenced such that the entire
underlying materials nor mixes with the surrounding underside is filled. Sand flow is particularly useful for
water. Sand jetting is not recommended. wide tunnel elements but has also been used for narrow
tunnels.
A foundation produced by the grouting and sand
flow methods is installed after an element is placed,
whereas the screeded foundation is prepared before
placing an element. The grouting and sand flow
methods may be constructed from inside the tunnel
element, whereas the sand jetting method requires
external equipment. Sand jetting is no longer used
because it produces a less compacted foundation and is
less controlled than can be achieved using the sand
flow method. Grouting using an underwater
thixotropic-type grout is used primarily when severe
seismic conditions would make a sand foundation
unsuitable.
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Temporary supports shall either be released or

designed to fail under the completed weight of the
tunnel and the element designed accordingly. If the
temporary supports rest on stable concrete pads, any
requirements for preloading and all subsequent
behavior of the pads shall be determined.
• Supported on discrete supports such as pile bents or
drilled shafts. Deep foundation elements shall be
designed in accordance with Section 10 of the
AASHTO Specifications.
Foundations, other than discrete supports, shall be at The thickness of the foundation affects the final
least 2 feet thick. depth of excavation of the trench and height of
When varying ground conditions occur along the associated side slopes.
tunnel alignment, or when sharp transitions from soil to
rock occur under the tunnel elements, analyses shall be
performed to estimate longitudinal and transverse
differential settlements within each tunnel element,
between adjoining tunnel elements, and at the transitions
at the ends of the immersed tunnel. These analyses shall
be performed in accordance with Section 10 of the LRFD
Specifications to determine the magnitude of potential
differential settlement. The tunnel elements shall be
designed to accommodate the calculated differential
settlement.
Settlement of the element while resting on the
foundation pads shall be monitored and corrections made
to the element elevation in event that movement takes
place.
See Section 3 for additional design requirements for
foundation settlement.
8.4.1.3—Fill Material C8.4.1.3
Fill materials (backfill) shall consist of locking fill Filling to existing bed level is sometimes required
and general fill. The graduation of the materials shall be for environmental reasons. In most cases, any
such that they cannot liquefy during a seismic event. depression is likely to silt up naturally.
Locking fill shall consist of appropriately-graded Locking fill typically extends up to about mid-
self-compacting material. Locking fill shall be placed in height of an element.
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thin lifts equally on each side of the tunnel elements such
that lateral displacement of the element during fill
placement does not occur. The extent of locking fill shall
be sufficient for the element not to be displaced during
subsequent placement of general fill and any protection
thereof.
General fill shall also be placed in lifts to ensure that
displacement of the element does not occur. The
gradation of the fill materials shall be designed such that
it cannot liquefy in a seismic event. It is common practice
to place fill over the top of a tunnel to protect against
sinking ships, falling anchors, etc. The required thickness
of this fill shall be sized by analysis and is typically at
least 5 feet, depending upon expected vessel size and
anchor weight; concrete ballast and concrete protection
over the tunnel may be used to reduce the thickness of
any needed protective fill. The composition of fill placed
over the tunnel shall be such that pressure from sunken
ships and falling anchors is cushioned to reduce the risk
of damage to the structure below, and shall be confirmed
by analysis. Areas of general fill shall not be permitted to
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contain materials such as rubble rock, masonry, or metal

without prior agreement from the designer and Owner.
Where fill materials are subject to scour or erosion, Guidance on the suitable gradation of materials
for example by waves, currents, and/or propeller wash, against scour may be obtained from The Rock Manual
the uppermost layer of fill (scour protection) shall be (CIRIA) and Propeller Induced Scour (Prosser); rock
designed to prevent scour and erosion. size may be selected using USACE Hydraulic Design
It may be appropriate to provide anchor release Criteria Sheet 712-1 Stone Stability.
bands against dragging anchors in locations where Anchor release bands have typically been located
extreme conditions can arise such that ships could drag 16 feet clear of the tunnel.
anchors that would snag on the tunnel.
Placing fill above the natural bed of the waterway
should be avoided unless proven that negative hydrologic
or environment consequences will not occur.
8.4.1.4—Sideslopes
Sideslopes for underwater excavations shall be

designed in accordance with Section 11 of the LRFD
Specifications. Cut slopes design shall consider potential
impact on ground displacements and displacement of
existing structures, utilities, and facilities within the
influence of construction. The design shall ensure that the
sides and bottom of any excavation are stable. Designs
shall take into account excavation base stability against
heave and softening in any cohesive soils during and
subsequent to construction. Designs shall take into
account the expected external surcharge loads due to
existing or proposed structures, traffic, and Contractor’s
equipment and material stockpiles.
The location of existing features and conditions shall
be verified when determining the inclination of
sideslopes of the trench excavation for placement of the
immersed tunnel elements. Existing features such as
utility lines, bridges, and other marine structures’
foundations shall be located to ensure that the sideslope
will not affect the exiting feature. Existing features such
as riprap scour protection, temporary supports that were
used during the construction of existing facilities but
were left in place and other features shall be identified,
located, and accommodated in the design.
Underwater cut slopes shall neither be steeper than 2
Horizontal to 1 Vertical in soil nor steeper than 1
Horizontal to 4 Vertical in rock in areas where utility lines
and marine structures are located within the influence of
tunnel construction, provided the provisions of Section
11 of the LRFD Specifications are met.
The Contractor shall be responsible for the design of
temporary sideslopes excavated for element placement.
The design of underwater slopes shall evaluate the
influence of the slope angle on the rate of sediment
deposition in the excavated trench and its potential
impact to the foundation preparation.
8.4.2—Materials
See Section 4 for materials.

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8.4.3—Support Loss C8.4.3
This design consideration is unique to immersed The value of 30 feet is empirical, commonly used
tunnels and can result from construction practices. and takes into account purposely low foundation levels
Support loss shall include loss of support (subsidence) around immersion joints to ensure foundation materials
uniformly below the tunnel or to only one side. For the do not get trapped in immersion joints.
immersed tunnel, a loss of support of 30 feet over the full
width of the tunnel element at any point along the length
of the element shall be considered. Uneven support shall
be considered also as follows: zero at one side of the
element transitioning to full support on the opposite side
of the element for a length of 30 feet along the
longitudinal axis of the tunnel.
8.5—CONSTRUCTION
8.5.1—Shipping Channel Traffic C8.5.1
The design of immersed tunnels shall take into The requirements for maintenance of
account the maintenance of marine traffic, and establish marine traffic may dictate the following:
the criteria for maintenance of marine traffic during • maximum element lengths
construction at the early stages of design. • location of immersion joints
• construction sequencing
• dredging of temporary channels to detour
marine traffic around the active construction
site
• time restrictions on construction activities
Areas required for marine construction operations Typically, a Notice to Mariners must be issued by
such as excavation, foundation preparation, immersion, the responsible authority well in advance of the
and filling shall be clearly marked so that shipping traffic occupation of such areas. Changes at short notice to the
is excluded from such areas. dates of occupation may not be possible.
There will be an impact on shipping movements
during dredging, placing the tunnel elements and
during fill operations, all of which require specialised
equipment. Standby vessels may be required to protect
work areas from errant vessels. Proper coordination has
made it possible to construct immersed tunnels in even
the busiest and in the narrowest of waterways.
8.5.2—Trench Excavation
Excavations shall be designed to be cut at an

appropriate slope or structurally supported, as required,
based on ground conditions and site constraints.
Structural excavation support systems shall be designed
in accordance with recognized design procedures.
The design of temporary structural support of
excavation required for trench excavation shall be the
responsibility of the Contractor.
The tunnel trench minimum widths shall be shown
on the drawings. The width shall be sufficient to ensure
working room for divers to safely work and to ensure
proper backfilling of elements.
The Contractor shall be responsible for verifying that
the bottom width of the excavation is sufficient to ensure
the safety of divers and other workers.
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Cut slopes shall meet the requirements of

Article 8.4.1.4.
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8.5.3—Element Length C8.5.3
Design of the element shall be determined based on Many elements have been between 300 and 400
the length selected. Constructability shall be considered feet long and some have been up to twice that length.
in determining element lengths. Loadings dependent on The actual length of an element may be governed by
element length shall be checked for each length used in the available size of the fabrication facility, the
the design. navigable channel along the waterway used to float the
The final selection of element lengths shall be the elements to the construction site, ability of available
responsibility of the Contractor. The Contractor shall be tug boats to handle the element, marine traffic,
responsible for performing the design and checks currents, wave height during tow, element shape,
required to ensure that the final structure is adequate for vertical profile and horizontal alignment, outfitting
both permanent loads and temporary loads imposed facility size and location, and placing barge equipment.
during construction utilizing the selected elements and The length of a tunnel element usually only affects
the Contractor’s proposed means and methods. schedule, not methodology.
8.5.4—Fabrication Facility C8.5.4
One or more potential fabrication facilities shall be The selection and choice of sites for a tunnel
identified as part of the design. Assumptions relative to element fabrication facility typically requires
the location, size, and configuration of the fabrication consideration of at least the following factors:
facility shall be included in the contract documents.
The final selection of the location and configuration • Distance from the tunnel site
of the fabrication facility shall be the responsibility of the • Availability over required period of use
Contractor. • Navigational access
• Effects on marine traffic
• Land access
• Overall suitability for construction of steel or
concrete tunnel elements
• Geotechnical conditions
• Environmental impact
• Archaeological interests
Fabrication facilities have been located both above
and below water level. Below water level, a dry dock
or temporary casting basin using removable
cofferdams might be used. In most instances, the
choice is between the use of a purpose-built basin or of
an existing dry dock. As with shipyards, dry docks are
usually committed to ship repair orders well in advance
and could be expensive to lease.
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8.5.5—Transportation C8.5.5
Stability shall be checked while a tunnel element is The distance of the facility from the tunnel
afloat, including all marine operations. Due attention alignment is preferably short, but many elements have
shall be paid to effects of variations in structural been fabricated hundreds or thousands of miles away
dimensions, including results of thermal and hydrostatic and towed across open oceans. If built on the alignment
effects. Items to consider shall include: of the approaches, towing distances are practically
eliminated.
• Sufficient freeboard for marine operations, so that Tunnel elements have been towed on submersible
tunnel elements are relatively unaffected even when barges or floating on their own. The transportation
waves run over the top. A factor of safety exceeding methods may depend on the route and distance between
1.01 is recommended to guard against sinking due to the fabrication facility and the construction site.
variations in both the tunnel dimensions and in the
densities of tunnel materials and the surrounding
water.
• Lateral stability of the element using cross-curves of
stability analysis shall have a factor of safety in excess
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of 1.4 of the area under the righting moment curve

against that under the heeling moment curve. See
Figure 8.5.5-1.
Figure 8.5.5-1—Right and Heeling Moments
The righting moment is calculated from centroids of

weight and displacement as the structure is rotated. The
heeling moment is calculated from what is causing the
heel to occur, e.g. concrete blocks placed along one edge,
wind loads on exposed structure (survey towers,
freeboard, etc.). Downflooding angle may not be relevant
if the structure is sealed.
Special measures may be required to control tunnel It is recommended that an emergency berth be
elements in areas with currents or navigation channels identified for tunnel elements, preferably within or
and when storms occur. close to the placement site.
Navigation lights and sufficient monitoring shall be If individual moorings are used, then each element
provided to maintain the elements in safe condition. would require large swing circles. The total area
Tunnel elements may be constructed in batches or in required can be reduced by using moorings at both ends
a sequence that does not permit immediate outfitting and of each element.
laying. It may be necessary to store elements temporarily
afloat for a period that could even be months. The
location shall be chosen to satisfy the following criteria:
• Adequate water depth
• Bottom suitable for anchoring
• Sheltered location
• Away from shipping channels
• Sufficient space between elements such that
they cannot collide
• Maintenance accessibility
8.5.6—Outfitting C8.5.6
Tunnel elements shall be designed to withstand force Depending upon how complete a tunnel element is
effects associated with outfitting performed after being once it is afloat, some outfitting or further construction
floated. Unequal loadings due to addition of permanent may be required before leaving the vicinity of the
or temporary ballast, structure components, or ancillary fabrication facility.
items shall be analyzed and checked.
External ballast shall not be capable of being scoured
away or falling off, e.g. concrete or blocks, or else stone
or gravel retained to prevent displacement.
Potential locations for element outfitting shall be One or more outfitting locations often in the vicinity
identified during the design process. of the final alignment are required to complete at least
Determination of the final outfitting location(s) shall the primary structure of an incomplete tunnel element,
be the responsibility of the Contractor. The Contractor perhaps add some ballast either internally or externally,
shall also be responsible for performing the analysis and to add temporary immersion equipment.
required to ensure that the outfitting process selected will
not damage the element.
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8.5.7—Immersion C8.5.7
To lower an element to its final position, either a

temporary ballasting system shall be used or the element
weight shall be such that the element will itself have
sufficient negative buoyancy. If temporary water ballast
is used, the water shall be assumed to be fresh water, not
saline.
The following checks shall be made for the The checks shown are minimum checks. The
immersion process: purpose of these checks is to ensure the stability,
including control over the tunnel element, while it is
• The total factored resisting force effect immediately lowered to its final position.
after lowering shall be calculated in accordance with
Section 3.7. The buoyancy load shall be calculated
based on the mean high tide at the tunnel location.
• The total factored resisting force effect within four
hours of lowering shall be calculated in accordance
with Section 3.7. The buoyancy load shall be
calculated based on the average high wave height at
the tunnel location. Stricter requirements may be
imposed in busy shipping channels.
• A vertical downward load of not less than 112.5 kips The value of 112.5 kips has been developed
shall be maintained on every temporary bed-level through experience with the construction of immersed
support, if used, until the element is placed on its final tunnels and is not based on research.
foundation.
• When making the above checks, the weight of
immersion equipment, temporary connections, and
temporary ballast shall not be taken into account.
• When making the above checks, the effect of adjacent
elements in place shall not be taken into account.
The Contractor shall be responsible for making the
checks required by this section. Additional checks that
may be required shall be performed by the Contractor.
Tunnel elements shall be installed at an elevation
considering an allowance for settlement, such that after
completion of the foundation works and all filling, they
will be expected to be located within the specified lateral
and vertical tolerances.
The Contractor shall be responsible for performing
the analysis required to verify that settlement after the
lowering and backfilling of an element will not have a
detrimental effect on the element.
The tunnel shall be released from any temporary
supports onto its foundation prior to placing fill over the
tunnel.
8.5.8—Joining and Backfilling C8.5.8

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Backfilling shall occur in a manner that does not cause A typical joint between elements includes:
differential loads on opposite sides of elements or
immersion joints. • Temporary watertight bulkheads (dam plates);
Force effects applied to the elements during joining • Temporary watertight access doors in the
and backfilling shall be determined and checked under bulkheads;
Service II. • Permanent joint seals or gaskets;
For design purposes, it shall be assumed that • Temporary dewatering equipment including any
backfilling will occur simultaneously on both sides of an pumps and piping;
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element with no more than a two-foot differential in • Temporary location devices (to guide and adjust the
height of backfill on the sides of the element. element horizontally and vertically into place
For design purposes, it shall be assumed that relative to the preceding element) and may include
backfilling will occur simultaneously on both sides of wedges, jacks, and shims; and
immersion joints with no more than a two-foot • Provisions for transferring shear across a joint
differential in height of backfill on opposite sides of the (horizontally and vertically).
immersion joint.
If the Contractor elects to backfill in another
sequence than stated, the Contractor shall be responsible
for performing the analysis and checks required to ensure
that the element is not damaged or displaced laterally
during the backfilling operation.
8.6—Limit States and Resistance Factors
8.6.1—General
Design of immersed tunnel elements shall satisfy the

criteria for the service limit states specified in Article
8.6.2, the strength limit state specified in Article 8.6.3,
and the extreme event limit states specified in Article
8.6.4.
Immersed tunnel elements shall be designed for a
service life based on consideration of the potential effects
of material deterioration, leakage, stray currents, scour,
natural and manmade extreme events, and other
potentially deleterious environmental factors on each of
the material components comprising the structure.
8.6.2—Service Limit States
Service T-I—Immersed tunnel elements shall be

investigated for deflections, crack control, vibration,
durability, water tightness, and fatigue as developed
during the service life of the tunnel.
Service T-II—Immersed tunnel elements shall be
investigated for the effects of external environmental
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forces and element floating stability that can arise during

construction, including but not limited to during
launching, transportation, immersion, placing, joining,
and backfilling.
8.6.3—Strength Limit States
Strength T-I—Immersed tunnel elements shall be

investigated for the conditions during normal use, under
which the tunnel remains fully serviceable without
damage.
Strength T-II—Immersed tunnel elements shall be
investigated for load effects imposed on immersed tunnel
elements during construction including, but not limited
to, launching, flotation, transportation, outfitting,
immersion, joining, and backfilling.
8.6.4—Extreme Limit States C8.6.4
Extreme Event T-I—Immersed tunnel elements

shall be investigated for earthquake to ensure life safety
and survivability of the structure taking progressive
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collapse into account. Acceptable levels of damage may

include partial failure of tunnel members that results in
limited leakage or complete loss of service. The Owner
shall determine acceptable levels of damage.
Extreme Event T-II—Immersed tunnel elements Under Extreme Event T-II, it is suggested that the
shall be investigated for the design earthquake, ship tunnel sustain no more than light damage and/or minor
sinking, or anchor impact individually, not combined. leaks, while experiencing no significant loss of service
Other extreme events such as tsunami, explosion, and fire during the prosecution of repairs, i.e. partial
shall be considered on a project-specific basis and, if performance level.
relevant, shall be included in Extreme Event II
individually but not simultaneously with other events.
Extreme Event T-III—Immersed tunnel elements
shall be investigated for a rare event for the simultaneous
combination of loads such as flooding. This load
combination shall be used for both surface flooding that
raises the ground water elevation or the level of open
water, and for flooding of the inside of the tunnel. The
following flooding cases shall be investigated under this
limit state:
• Sea level or surface water elevations rise that

produces increased hydrostatic pressures on the
tunnel and reduces the resistance to buoyancy, and
• Flooding of the inside of the tunnel that increases the
resistance to buoyancy and reduces the hydrostatic
pressure to zero.
8.6.5—Load Factors and Load Combinations
Immersed tunnel elements shall be designed for the

load combinations shown in Table 3.4-1.
See Section 4 for material resistance factors.
Resistance factors for buoyancy shall be as follows:
Immediately after immersion: 0.975

6 hours after immersion: 0.960
Permanent condition: 0.900
If the element is submerged in a public waterway, the

resistance factor for buoyancy may be increased to 0.98
for short periods after immersion only under controlled
conditions.
8.7—GENERAL FEATURES OF DESIGN
8.7.1—Loading
This article supplements Section 3 with information

unique to immersed tunnels.
8.7.1.1—Permanent Loads
The following provides design information

for permanent loads unique to immersed tunnels. Refer
also to Section 3 for permanent loads.
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8.7.1.1.1—Settlement (SE) C8.7.1.1.1
Structures shall be designed to accommodate both Settlement may occur at the fabrication facility as
short-term and long-term settlements. Where uneven well as at bed level after immersion, for example due
settlements on a foundation may occur, structures shall be to soft soils, in which case their effects are investigated
designed to accommodate the resulting stresses. The each time the pressure on the soils changes. For an
effects of placing fill on or around an element or on element on temporary supports after immersion, one
adjacent elements shall be taken into account; lateral temporary support may settle more than another.
movements can occur in soils that are non-uniform Fixing an immersion joint (removing a degree of
laterally and where the soil surface is sloping. Anticipated freedom using shear keys, for example) also changes
variations in soil properties shall be taken into account in subsequent behavior. Short-term settlements may
analyses. Ground and structure settlement due to applied occur after placing an element due to compaction of the
loads, dewatering, excavations, tunneling, pile driving, foundation layer.
and other construction activities shall be estimated in Selection of a more favorable fabrication site,
designs, using generally recognized procedures and improvement of poor soils, proper preparation of the
methods of analysis. Analyses shall be performed to foundation and planned placement of fill can reduce
estimate foundation rebound due to excavation of the settlement effects.
overburden soils and the recompression of the foundation For a typical immersed tunnel, the effective weight
soils due to placement of the tunnel and backfill material. of the structure is less than the soil it is replacing.
Settlement analyses shall consider compression of the
foundation course placed beneath the tunnel elements.
Analyses shall also be performed to estimate the
longitudinal and transverse differential settlement within
each tunnel element, differential settlement between
adjoining tunnel elements, and differential settlement at
the transitions at the ends of the immersed tunnel.
Measures shall be taken to prevent sharp transitions from
soil to rock foundations, such that the tunnel structure is
reinforced to accommodate the stresses arising or to
mitigate the effects of sharp transitions. Alternatively, the
tunnel structure shall be reinforced to accommodate the
stresses arising or shall be designed to mitigate the effects
of sharp transitions.
8.7.1.2—Transient Loads
The following provides design information for

transient loads unique to immersed tunnels. Refer also to
Section 3 for transient loads.
8.7.1.2.1—Transient Water Loads (WAp) C8.7.1.2.1
This load represents the effects of variations in water Such variations are caused by tides, storms,
level above and below MSL (mean sea level). At least tsunamis, large waves, etc.
two water levels shall be considered: For Strength I, the
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water level shall have an annual probability of being

exceeded of 0.2 or greater, and for Extreme Event limit
states, water levels with a probability of being exceeded
once during the design life. The effects of global warming
and rise or fall of the land mass shall be taken into
account. Where pore water pressure relief is not provided
from beneath an immersed tunnel, then passing ships,
seismic events, and the troughs of tsunamis and large
waves can result in pore water pressure beneath the tunnel
tending to lift the tunnel. Both maximum and minimum
hydrostatic loads shall be used for structural calculations
as appropriate to the member being designed. The design
shall take into account the fact that the specific gravity of
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water may vary according to depth, prevailing weather

conditions, and season. The effect of suspended material
shall be taken into account in determining the specific
gravity of water.
In the absence of better data, global warming may be
assumed to result in a two-foot rise in MSL.
8.7.1.3—Construction Loads
The strength and stability of tunnel elements, and all

components, shall be ensured at every stage of
construction, especially when afloat.
The determination of the magnitude of construction
loads and the analysis of immersed tunnel elements for
construction loading shall be the responsibility of the
Contractor.
8.7.1.3.1—Launching (LA) C8.7.1.3.1
Loads occurring during launching or flooding of a Where elements are ballasted down during the
dry facility shall be analyzed to ensure that no damage flooding of a dry facility, for reasons of control, it is
will occur to the element. advisable to float one end up before the other when
“launching.”
8.7.1.3.2—Transportation (TR) C8.7.1.3.2
During towing and mooring, sufficient freeboard

shall exist so that tunnel elements are relatively
unaffected even when waves run over the top. When
elements are constructed on or transported by barge, they
shall be designed for possible static and dynamic loads
including those occurring under storm conditions
according to barge location.
When a storm warning is issued, or forecast wave
heights are expected to exceed operational limits, all
marine operations shall be ceased temporarily; marine
plant and floating tunnel elements shall be sent to their
designated storm moorings or shelters. It is recommended
that an emergency berth be identified for tunnel elements,
preferably within or close to the placement site. Special
measures may be required to control tunnel elements in
areas with currents or navigation channels.
Temporary prestressing to hold segment joints Were joints to open, slamming could damage
closed during transportation shall be sufficient to ensure joints when they close and joint seals could be
that tensile stresses in joints do not occur. permanently damaged.
8.7.1.3.3—Immersion (IN) C8.7.1.3.3
Attachments on an element that are used to lower Where immersion is carried out by a jack-up or
elements during immersion shall be designed using a load other platform resting on ground, or by a shore-
factor of 2.0. Typically, four such attachments are used. mounted crane, wave action on the element may cause
The design load for the attachments shall assume that the significant loads on lowering equipment.
lowering equipment fails or breaks at any one attachment.
The design load shall also consider possible dynamic
loads cause by wind and wave action resulting in
differential motion between the element and the lay
barge, etc., from which it is suspended.
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8.7.1.3.4—Joining (JO)
Loads arising during the joining process shall be

considered during the design.
As part of the joining process, temporary equipment
may be used to assist in aligning an element to the
previously placed element (horn beams at the inboard
end, cables attached to the remote end, wedges in the
joint, etc.). To assist in obtaining an initial seal of gaskets
in the immersion joint, some form of jacks or other
pulling equipment, either attached to the elements or the
bulkheads, may be used to pull the elements together.
8.7.2—Joints
All immersed tunnel joints shall be watertight

throughout the design life, and shall accommodate
expected movements caused by differences in
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temperature, creep, settlement, earthquake motions,
method of construction, etc. Displacements in any
direction shall be limited so that the waterproof limits of
a joint are not exceeded.
Joint shear capability shall take into account the
influence of normal forces and bending moments on the
shear capacity of the section. The design shall take
account of shear forces generated where the faces of the
joints are not normal to the tunnel axis.
Joints shall be ductile, in addition to accommodating
longitudinal movements. Tension ties may be required to
limit movement so that joints do not leak or break open,
especially during a seismic event.
The axial compression of tunnel elements and
bulkheads due to depth of immersion, as well as
temperature effects, shall be taken into account in
determining joint dimensions at installation. The effects
of higher or lower internal air pressure in sealed tunnel
elements due to variations in temperature, etc., due to
compression, expansion, and immersion shall be taken
into account.
The design of primary flexible seals at tunnel joints
shall be designed to take into account:
• Maximum deviations of the supporting frames

relative to their design location
• Maximum deviation of the planes of the frames
• Relaxation of the seal
• A capacity of at least a further 0.4 in. of compression
• The minimum compression shall be 0.4 in. greater
than the compression required to maintain a seal
A secondary seal capable of carrying the full water

pressure shall be fitted across each immersion joint. For
flexible immersion joints, the seal shall be capable of
being inspected, maintained, and if necessary replaced.
The seal shall be capable of absorbing the long-term
stresses and movements of the joint. Secondary seals
shall be protected against damage from within the tunnel.
The protection shall have a fire resistance similar to
adjacent surfaces inside the tunnel. All joints within the
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tunnel shall be finished to present a smooth surface, e.g.

using cover plates.
Metal hardware in joints shall have a design life
adequate to fulfill its purpose throughout the design life
of the joint, especially nuts and bolts for primary and
secondary seals, taking into account any protection
thereto.
In the event that an initial seal is not obtained after
immersion and joining, the joint shall be designed so that
a backup method of obtaining an initial seal is available.
8.7.3—Scour Protection
Scour protection shall be placed over the tunnel

backfill in areas where wave and current scour can occur
and where scour from ship propeller wash is likely to
occur.
Calculations shall define the extent of protection
needed and the necessary grading of the material. The
material shall be durable for at least the design life of the
tunnel, or else regularly inspected and replaced on an as-
needed basis. The method of placing this material shall
ensure that larger sized stones do not penetrate the
general backfill and shall not cause damage to the
waterproofing of the tunnel (if used). The protection layer
shall not be placed by bottom dumping.
8.8—STRUCTURAL ANALYSIS C8.8
Structural analysis shall be as specified in Section 4 Classical force and displacement methods are
of the LRFD Specifications, where a number of often used in the structural analysis of concrete
permissible analysis methods are described. Members immersed tunnel elements. Other methods (as
shall not be in pure tension. Nominal cover to described in this section) may be used, but will rarely
reinforcement shall not be less than that required to meet yield results that vary significantly from those obtained
fire resistance requirements. using classical methods.
The modeling shall be based on elastic behavior of For steel immersed tunnels analyzed using the
the structure as specified in Article 4.5.2.1 of the LRFD same structural model, the efficiency of any curvature
Specifications. of the steel members will not be fully utilized. Most
Analysis and design shall take axial loads and general purpose structural analysis programs have
secondary effects into account. LRFD Specifications routines based on these principles for dimensional
Article 4.5.3.2 terms this type of analysis as “large models.
deflection theory.” It may be appropriate to use two- or three-
For two- or three-dimensional finite element dimensional finite element analyses to model the tunnel
analyses, the loads on exterior surfaces of members shall in both the transverse and longitudinal directions,
be applied taking into account load eccentricity and that especially for steel tunnels. Finite element models
member surfaces may have dimensions that differ from identify load sharing, account for secondary effects and
member centerline dimensions. identify load paths. Steel immersed tunnel elements are
complex assemblies of plates that might be curved, and
have stiffeners and diaphragms. Simplifying these
systems to the point where classical methods of
analysis can be used may undermine the efficient use
of materials that can result from complex load paths.
For serviceability analyses, reinforcement shall be Some designers design for crack widths less than
designed for crack widths less than or equal to 0.008 in. or equal to 0.006 in. notwithstanding the considerable
at 2-in. depth of cover. increase in reinforcement required.
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8.9—WATERPROOFING
8.9.1—Waterproofing Systems C8.9.1
External waterproofing for concrete tunnel elements Waterproofing, particularly if it is adhered to the
shall be considered. Notwithstanding the provision of a concrete, may reduce potential leaks and the amount of
membrane, the underlying structural concrete shall be leak repairs required, should leaks occur. Some
designed to be watertight. The materials of a segmental tunnels have omitted waterproofing.
waterproofing system shall have a proven resistance to
the specific corrosive qualities of the surrounding waters
and soils. The materials of the system shall be flexible
and strong enough to span any cracks that may develop
during the life of the structure. The waterproofing shall
preferably envelop the element where exposed to soil and
water.
For steel tunnels, the outer steel membrane may act
as a waterproofing membrane.
For steel waterproofing membranes used on concrete
or steel elements, either an appropriate corrosion
protection system shall be used to ensure that the
minimum design thickness is maintained during the life
of the facility, or an added sacrificial thickness shall be
provided. Nonstructural steel membranes shall be no less
than 1/4 in. thick and shall be watertight. Steel plates shall
be joined using continuous butt welds. All welds shall be
inspected and tested for soundness and tested for
watertightness.
Bituminous membranes shall not be used.
The waterproofing system shall preferably adhere at
every point to the surfaces to which it is applied so that,
if perforated at any one location, water cannot travel
under it to another. The areas of free water flow between
a non-adhering membrane and the underlying concrete in
case of leakage shall be limited to no more than 100 ft².
Depending upon the type of waterproofing used,
protection on the sides and top of the tunnel elements may
be required to ensure that it remains undamaged during
all operations up to final placement and during
subsequent backfilling operations.
8.9.2—Water Infiltration C8.9.2
Groundwater infiltration shall be limited to 0.002 The allowable water infiltration value is based on
gal/ft²/day. criteria obtained from the International Tunneling and
No dripping or visible leakage from a single location Underground Space Association (ITA), Singapore’s
shall be permitted. Land Transport Authority (LTA), Singapore’s Public
Utilities Board (PUB), Hong Kong’s Mass Transit Rail
Corporation (MTRC), and the German Cities
Committee, as well as criteria used by various projects
in the United States and others abroad for both highway
and transit tunnels.
8.10—REFERENCES
1. Barták, J., et al. Underground Space—The 4th Dimension of Metropolises: Proceedings of the World Tunnel
Congress 2007 and 33rd ITA-AITES Annual General Assembly. CRC Press, Boca Raton, Florida, 2007.
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2. CIRIA. The Rock Manual: The Use of Rock in Hydraulic Engineering. 2nd edition. CIRIA, London, United
Kingdom, June 2007.
3. Ingerslev, C. Designing an Immersed Tunnel. PB Network #62, Parsons Brinckerhoff, New York, New York,
Feb 2006.
4. International Federation for Structural Concrete. “Concrete Structures under Impact and Impulsive Loading.”
Information Bulletin No. 187, International Federation for Structural Concrete, August, 1988.
5. International Tunneling Association Immersed and Floating Tunnels Working Group. State-of-the-Art Report,
Second Edition. Pergamon, Oxford, United Kingdom, 1997.
6. Prosser, M.J. Propeller Induced Scour. British Ports Association, London, United Kingdom, February 1986.
7. USACE. Hydraulic Design Criteria Sheet 712-1, Stone Stability. USACE, Washington, DC.
8. International Tunneling Association (ITA) (1997). Immersed and Floating Tunnels State-of-the-Art Report,
Working Group No. 11, Tunneling and Underground Space Technology, Pergamon Press, Vol. 12, No. 2
(April).
9. Proceedings of the 33rd ITA-AITES World Tunnel Congress, Prague, Czech Republic, 2007.
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SECTION 9 – INITIAL GROUND SUPPORT ELEMENTS AND GROUND IMPROVEMENT
TABLE OF CONTENTS
9.1—SCOPE .............................................................................................................................................................. 9-1

9.2—DEFINITIONS ................................................................................................................................................. 9-1
9.3—NOTATION...................................................................................................................................................... 9-2
9.3.1—General ...................................................................................................................................................... 9-2
9.3.2—Abbreviations ............................................................................................................................................ 9-2
9.4—GENERAL........................................................................................................................................................ 9-3
9.4.1—Criteria for Initial Ground Support Design ............................................................................................... 9-3
9.4.1.1—Soft Ground and Mixed Face Conditions .......................................................................................... 9-3
9.4.1.2—Rock Conditions................................................................................................................................. 9-3
9.4.2—Initial Support Types Appropriate for Different Ground Conditions ........................................................ 9-6
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9.4.2.1—Soft Ground and Mixed Face Conditions .......................................................................................... 9-6

9.4.2.2—Rock Conditions................................................................................................................................. 9-6
9.5—INITIAL GROUND SUPPORT ELEMENTS ................................................................................................. 9-6
9.5.1—Soil and Rock Reinforcement Elements ................................................................................................... 9-7
9.5.1.1—Steel Reinforcement Elements............................................................................................................ 9-7
9.5.1.2—Glass Reinforced Plastic (GRP) Elements......................................................................................... 9-7
9.5.1.3—Friction Rock Stabilizers ................................................................................................................... 9-7
9.5.2—Lattice Girders .......................................................................................................................................... 9-8
9.5.3—Shotcrete ................................................................................................................................................... 9-8
9.5.4—Steel Ribs and Lagging ............................................................................................................................. 9-8
9.6—LIMIT STATES AND RESISTANCE FACTORS .......................................................................................... 9-9
9.6.1—General ...................................................................................................................................................... 9-9
9.6.2—Service Limit State .................................................................................................................................... 9-9
9.6.3—Strength Limit State .................................................................................................................................. 9-9
9.6.4—Extreme Limit State .................................................................................................................................. 9-9
9.6.5—Resistance Factors..................................................................................................................................... 9-9
9.7—INITIAL SUPPORT DESIGN........................................................................................................................ 9-10
9.7.1—Rock Reinforcement ............................................................................................................................... 9-10
9.7.1.1—Pattern Rock Reinforcement ............................................................................................................ 9-10
9.7.1.1.1—Selection of Element Length and Spacing ................................................................................ 9-10
9.7.1.1.2—Pattern Design ......................................................................................................................... 9-11
9.7.1.2—Spot Rock Reinforcement ................................................................................................................. 9-13
9.7.1.3—Deformation and Excavation Sequence Analysis............................................................................. 9-14
9.7.2—Shotcrete ................................................................................................................................................. 9-14
9.7.2.1—Shotcrete Membranes ...................................................................................................................... 9-14
9.7.2.2—Structural Shotcrete ......................................................................................................................... 9-14
9.7.3—Steel Ribs and Lagging ........................................................................................................................... 9-14
9.7.4—Precast Concrete Segments ..................................................................................................................... 9-14
9.7.5—Spiles....................................................................................................................................................... 9-15
9.8—GROUND IMPROVEMENT ......................................................................................................................... 9-15
9.9—PORTALS, CROSS PASSAGES, AND ANCILLARY STRUCTURES ...................................................... 9-15
9.10—REFERENCES ............................................................................................................................................. 9-16
APPENDIX 9-A—Recommendations for Software Use for Design and Performance Evaluation of Rock
Reinforcement, Shotcrete, and Direct Rock Support for Underground Openings in Rock ................................... 9-17
A9.1—Introduction.................................................................................................................................................. 9-17
A9.2—General Description of Software Packages .................................................................................................. 9-17
A9.2.1—Rigid Block Software ........................................................................................................................... 9-17
A9.2.2—Two-Dimensional Distinct Element Method (DEM) Software ............................................................ 9-17
A9.2.3—Three-Dimensional Distinct Element Method (3-D DEM) Software................................................... 9-18
A9.3—Recommendations........................................................................................................................................ 9-18
A9.3.1—Use of Rigid Block Software ............................................................................................................... 9-18
A9.3.2—Use of Two-Dimensional Distinct Element Method (DEM) Software ................................................ 9-19
A9.3.3—Use of Three-Dimensional Distinct Element Method (3-D DEM) Software ....................................... 9-20
9-i
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SECTION 9: INITIAL GROUND SUPPORT ELEMENTS AND GROUND IMPROVEMENT 9-1
9.1—SCOPE C9.1
This Section provides guidance for the selection and Contract documents typically include designation
specifications for the design of initial support elements of anticipated reaches of individual ground conditions.
for conventionally mined and tunnel boring machine- The initial ground support is designed for these specific
mined (TBM) tunnels in soft ground, mixed face, and ground conditions.
rock conditions. The specifications in this Section are
for construction that is considered temporary in that it is
not accounted for as part of the permanent load carrying
elements of the final tunnel structure. In general, the
elements covered under this section are considered
sacrificial. This Section also discusses various ground
improvement methods that may be used in support of
tunnel excavation operations.
The design of initial ground support for mined and
bored tunnels may be performed by the Engineer.
Alternately, a performance specification may be
developed by the Engineer whereby the Contractor
selects means and methods for initial support systems.
However, since actual reaches of specific ground
conditions will likely vary from what is included in the
contract documents, during construction the ground
condition is identified at the site and the appropriate
initial ground support is installed.
This Section does not address support of excavation
for open-cut construction.
9.2—DEFINITIONS
Face Bolt—Reinforcement placed to support and limit inward movement of face between rounds. Typically Glass
Reinforced Plastic (GRP) to prevent damage to drilling and cutting tools.
Friction Rock Stabilizer—A rock reinforcement element which develops load resistance from frictional contact with
the drill hole surface; functions effectively as a dowel.
Heading—The leading edge of the tunnel excavation.
One-Pass Precast Concrete Segmental Lining—Full perimeter precast concrete segmental lining with connectors and
gaskets installed concurrently with mining by TBM. This lining functions as the permanent tunnel structure as well as
the temporary support; a single-shell lining.
Pattern Rock Reinforcement—Rock reinforcement installed on a fixed longitudinal and transverse spacing and
intended to function as a unit with the ground, to mobilize the self-support of the ground through arch action or beam
building.
Permanent Support—A type of support with a service life equal to the service life of the tunnel, which can be relied
upon as part of the final tunnel structure; forms part of a “double-shell lining;” permanent support requires protection
against corrosion.
Rock/Ground Anchor—A tensioned rock reinforcement element with a much larger load capacity than a rock bolt;
often installed for permanent use, with special corrosion protection.
Rock Bolt—A tensioned rock reinforcement element.
Rock Dowel—An untensioned rock reinforcement element.
Rock Quality Designation (RQD)—A measure of rock mass integrity based on the condition of rock core samples.
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Rock Reinforcement—Steel or composite element installed in a drilled hole and anchored or bonded to develop tension
and shear resistance to ground deformations and displacements across joints or other weakness planes.
Rock Surface Protection—Material installed to prevent fallout or raveling of ground exposed in the tunnel excavation
perimeter between rock reinforcement elements. Rock surface protection may include chain link fencing, welded wire
fabric, Glass Reinforced Plastic (GRP) fabric and thin shotcrete membranes. Steel channel sections or mine straps
(thin flexible sheet steel members with pre-punched holes) are often used with rock surface protection.
Self-Drilling Anchor—A reinforcement element with a sacrificial bit for installation in drill holes that may collapse
or otherwise be blocked before conventional reinforcement elements can be installed.
Spile—A pre-reinforcement element generally installed around the perimeter of the tunnel and extending beyond the
temporary excavation face; used to increase ground stand-up time to facilitate installation of initial support.
Spot Rock Reinforcement—Rock reinforcement installed intermittently as required or directed to supplement pattern
rock reinforcement or to support isolated rock wedges.
Stand-Up Time—Amount of time that an unsupported heading or excavation face (length and span) will stand before
the ground begins to move into the excavation. Stand-up time varies from indefinite for strong, intact, self-supporting
rock to minutes in weak ground.
Steel Rib—A steel shape expanded to full perimeter contact with the rock in tunnels mined by TBM or erected tightly
against the rock with timber blocking in conventional mined excavations.
Two-Pass Precast Concrete Segmental Lining—Full perimeter precast concrete segmental lining installed
concurrently with mining by TBM. A “secondary lining” of cast-in-place concrete or shotcrete is constructed inside
the segmental lining. The two distinct systems form a “double-shell lining.”
9.3—NOTATION
9.3.1—General
A = Area of sliding surface (ft2) (9.7.1.1)

B = Load bearing capacity of bolt (dowel) (ksf) (9.7.1.1)
c = Cohesion of sliding surface (ksf) (9.7.1.1)
F = Safety factor (9.7.1.1)
ko = Horizontal stress ratio (A9.2.2)
l = Center to center spacing between ribs (ft) (9.7.3)
M = Bending moment (kip-ft); Distance between supports (ft) (9.7.3)
N = Number of bolts (dowels) (9.7.1.1)
w = Ground load with appropriate load factor applied (kip/ft) (9.7.3)
W = Weight of wedge (kip) (9.7.1.1)
 = Friction angle of sliding surface (9.7.1.1)
ACI: American Concrete Institute

DEM: Distinct Element Method
ft: Foot/feet
GBR: Geotechnical baseline report
GDM: Geotechnical design memoranda
GDR: Geotechnical data report
GRP: Glass reinforced plastic
ksf: kips per square foot
RMR: Geomechanics classification
RQD: Rock quality designation
SDA: Self drilling anchor
SEM: Sequential excavation method
SFRS: Steel fiber reinforced shotcrete
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9.4—GENERAL
9.4.1—Criteria for Initial Ground Support Design
9.4.1.1—Soft Ground and Mixed Face Conditions .
The Engineer shall prepare Geotechnical Design

Memoranda (GDM) containing information required for the
design of initial ground support. This information shall be
developed on the basis of conventional soil mechanics
theory, based on results of subsurface investigations and
field and laboratory testing contained in the Geotechnical
Data Report (GDR) prepared for the project.
The GDM may also contain recommendations for
groundwater control, any requirements for pre-
reinforcement of the tunnel perimeter or the tunnel face for
tunnels mined using the Sequential Excavation Method
(SEM), and recommendations for employment of various
ground improvement methods in support of tunnel
excavation, either by SEM or by Tunnel Boring Machine
(TBM). SEM excavation in rock may include use of
controlled blasting methods, excavation by roadheader, and
excavation by various types of mechanical rock excavation
equipment, such as impact hammers, as appropriate to
ground conditions observed in the excavations.
See Section 5 for recommended GDR content and for
guidance for GDM format and content.
9.4.1.2—Rock Conditions C9.4.1.2
The information in this article applies to various rock Information regarding recommended software
classes defined by the Engineer in the Geotechnical for the design of initial support for rock can be found
Baseline Report (GBR), which generally shall be prepared in Appendix 9-A.
in parallel with the GDM. Occasionally, special water
control measures may be required. Requirements for such
measures will be discussed in the GDM.
Generally, four rock classes shall be anticipated for The classes are differentiated on the basis of
most tunnel design projects. For special situations, a fifth joint (fracture) spacing and the degree of
class may be developed. For tunnel projects with uniform decomposition and weathering of the rock mass. The
rock conditions, no more than two rock classes may be behavior of each class in response to excavation and
required. the development of load on the initial support and the
The rock classes shall be identified by the Engineer in permanent tunnel lining are determined principally
the GBR. Each class also may be readily identified during by these factors.
tunnel excavation by direct visual observation by a trained Each rock class can be differentiated on the
geotechnical engineer or engineering geologist prior to the basis of information contained in the boring logs and
installation of support elements. the results of field and laboratory testing. This
information can be found in the project Geotechnical
Data Report (GDR).
Each of the rock classes shall be defined as follows:
Rock Class I—Fresh intact rock with a joint/fracture Rock Class I—This material generally would
spacing in excess of 6 ft. Joints/fractures are very widely exhibit a Rock Quality Designation (RQD) greater
spaced, with very widely spaced clusters of very closely to than 85. It would be classified as Rock Condition 1
closely spaced fractures. Slickensided fractures are very to 3 in Table C5.5.4-1. Standup time (time before
rare. Mineralization along joints/fractures is rare and few unsupported rock begins to fall or ravel around the
infilled joints/fractures are observed. Joint surfaces excavation perimeter) in mined tunnels is generally
descriptions can be found in Table C5.5.4-1.
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greater than 24 hours in this rock class for

excavations less than about 25 ft in width.
For tunnel excavations greater than 25 ft in
width, generally characteristic of road tunnels,
sequential excavation of multiple drifts is
recommended. Round lengths up to 12 ft are feasible
for mined excavations using controlled blasting or
roadheader excavation.
This material generally can be supported by spot
rock reinforcement or pattern rock reinforcement,
with longitudinal and transverse spacing between
rock reinforcement elements of five to six ft in both
conventionally mined tunnels and TBM-mined
tunnels.
Pattern rock reinforcement often is used in
TBM-mined tunnels in conditions where spot
reinforcement might be used in conventionally
mined tunnels. The reason is that wedges that
normally would be dislodged by vibration or gas
pressures when explosive excavation is used may
remain in place for an indeterminate period before
falling without warning along the length of the
tunnel.
Occasional use of rock surface protection
between rock reinforcement elements is
recommended to prevent fallout of small blocks or
raveling of the excavation perimeter. Rock surface
protection does not need to be installed concurrently
with installation of rock reinforcement.
Rock Class II—Typically slightly weathered rock Rock Class II—This material generally would
with a joint spacing from 2 to 6 ft. Shear/fault planes, exhibit an RQD ranging between 75 and 85. It would
joint/fracture weathering and alteration products may be be classified as Rock Condition 3 or 4 in Table
present in this rock class. Open, infilled and slickensided C5.5.4-1. Standup time in mined tunnels is generally
fractures are easily observed. Observed shear/fault planes greater than 8 hours but less than 24 hours in this
can contain clay or disintegrated rock between rock rock class for excavations less than about 25 ft in
surfaces, with a thickness of alteration products generally width.
less than six in. The rock mass contains distinct sub- For tunnel excavations greater than 25 ft in
domains of lower quality rock characterized by clusters of width, generally characteristic of highway tunnels,
very closely to closely spaced fractures and persistent sequential excavation of multiple drifts is
infilled fractures. recommended. Round lengths up to 8 to 10 ft are
feasible for mined excavations using controlled
blasting or roadheader excavation.
This material generally can be supported by
pattern rock reinforcement, with longitudinal and
transverse spacing between rock reinforcement
elements of 4 to 5 ft in both conventionally mined
tunnels and TBM-mined tunnels. Use of rock surface
protection between rock reinforcement elements is
recommended to prevent fallout of small blocks or
raveling of the excavation perimeter. Rock surface
protection may need to be installed concurrently with
installation of rock reinforcement.
Rock Class III—Typically, moderately weathered Rock Class III—This material generally would
rock with a joint/fracture spacing of less than 2 ft, or exhibit an RQD ranging between 50 and 75. It would
multiple and random joint/fracture sets with smooth or be classified as Rock Condition 4 or 5 in Table
slickensided surfaces, irrespective of joint/fracture spacing, C5.5.4-1. Standup time (time before unsupported
or multiple zones of brecciated and heavily fractured rock rock begins to fall or ravel around the excavation
with clay or disintegrated between rock surfaces or one or perimeter) in mined tunnels is generally less than 8
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more shear/fault planes with a filling thickness greater than hours in this rock class for excavations less than
6 in. about 25 ft in width, unless pre-reinforcement, such
as spiles, is installed ahead of the face.
width, generally characteristic of highway tunnels,
recommended. Round lengths no greater than 4 ft are
recommended for mined excavations using
controlled blasting or roadheader excavation.
This material generally can be supported by
pattern rock reinforcement, with longitudinal and
transverse spacing between rock reinforcement
elements of 3 to 4 ft. Use of Self Drilling Anchors
(SDA) may be recommended if there are concerns
with drill hole stability.
Use of rock surface protection between rock
reinforcement elements is recommended to prevent
fallout of small blocks or raveling of the excavation
perimeter. Rock surface protection generally may
need to be installed concurrently with installation of
rock reinforcement.
Alternatively, this material can be supported by
steel ribs using steel, timber, or concrete lagging and
by lattice girders with shotcrete. Supplemental
installation of rock reinforcement or SDAs may be
necessary if an alternative support methodology is
used.
Rock Class IV—Typically a shear zone or fault with Rock Class IV—This material generally would
multiple zones of brecciated and heavily fractured rock with exhibit an RQD ranging between 10 and 50. It would
clay or disintegrated rock between rock surfaces with be classified as Rock Condition 5 or 6 in Table
conditions varying markedly over short distances. Water C5.5.4-1 of this Specification. Stand-up time in
control can be a significant issue since water may be trapped mined tunnels is generally less than 4 hours in this
in a shear zone. Use of various ground improvement rock class for excavations less about 25 ft in width,
methods installed around the excavation perimeter and in unless pre-reinforcement such as spiles is installed
the excavation face may be necessary. ahead of the face.
width, generally characteristic of highway tunnels,
recommended. Widths of individual drifts should be
limited to no more than 10 ft. Round lengths no
greater than 4 ft are recommended for mined
excavations. Because of the nature of the material,
excavation is most efficiently performed with
conventional mechanical earth excavation
equipment or by roadheader.
This material is excavated using the SEM and
supported principally with lattice girders and
shotcrete. SDAs can be used with the lattice girders
and shotcrete. Use of pre-reinforcement such as
spiles around the tunnel perimeter and the use of
various ground improvement methods to stabilize
the face may be necessary. Use of steel ribs with steel
or timber lagging is an alternative to lattice girders
and shotcrete. Use of spiles and ground improvement
methods may be necessary with this support
alternative also. Tight timber lagging or immediate
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application of shotcrete over steel lagging generally

would be required.
9.4.2—Initial Support Types Appropriate for Different

Ground Conditions
9.4.2.1—Soft Ground and Mixed Face Conditions C9.4.2.1
For tunnels excavated by TBM, use precast concrete Historically, one-pass systems using cast iron,
segmental linings. These linings may be either a one-pass ductile iron, or fabricated steel segments have been
precast concrete segmental lining or a two-pass precast used. Two-pass systems using steel ribs with full
concrete segmental lining with a cast-in-place concrete final perimeter timber lagging as initial support and a cast-
lining. See definitions in Article 9.2. in-place concrete final lining also have been used.
For tunnels excavated by TBM, using either
one-pass or two-pass precast concrete segments, the
segments generally are designed for the worst
anticipated combined ground and water loads along
the tunnel alignment. It generally is not considered
economical to have multiple segment designs,
principally for construction logistics reasons (having
the right segment type, at the right place, at the right
time).
For tunnels excavated by SEM, use combinations of For tunnels excavated by SEM, the Engineer has
lattice girders, shotcrete, bolts, dowels, or self drilling the option of designing different cast-in-place
anchors (SDAs). See definitions in Article 9.2. concrete or shotcrete final linings for defined reaches
of tunnel. Generally, the internal geometry of the
tunnel remains constant, but lining thickness and
reinforcement bar size and spacing can be adjusted
for different loading conditions.
9.4.2.2—Rock Conditions C9.4.2.2
For tunnels excavated using conventional mining For tunnels excavated by TBM, one-pass precast
methods, including SEM, use bolts, dowels, friction rock concrete segmental linings are frequently used. Two-
stabilizers, SDAs, steel ribs, and lagging or lattice girders pass systems using precast concrete segments, steel
and shotcrete. See definitions in Article 9.2. ribs, and lagging and rock reinforcement as initial
support with a final lining of cast-in-place concrete
are still commonly used in TBM-mined tunnels in
rock.
For TBM-mined tunnels using precast concrete
segments for support, segments generally of a single
design are used over the full length of the tunnel, for
the same reasons as in soft ground and mixed face
tunnels. The most unfavorable loading conditions
will govern the design.
9.5—INITIAL GROUND SUPPORT ELEMENTS C9.5
Various ground support elements may be used on This article lists and discusses the elements most
tunneling projects. They include the following basic types: commonly used for initial support.
 Soil and rock reinforcement elements

 Lattice girders
 Shotcrete
 Steel ribs and lagging
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Representative element material properties are

contained in Section 4. Properties are current as of the date
of publication of these specifications. Always confirm
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current values of material properties for use on a specific

project.
9.5.1—Soil and Rock Reinforcement Elements
Tensioned soil and rock reinforcement elements shall

be defined as bolts. Untensioned soil and rock
reinforcement elements shall be defined as dowels. High
capacity, tensioned soil and rock reinforcement elements
shall be defined as ground anchors.
Selection of products shall be based on required
loadings developed by the Engineer. Manufacturer data
provides capacity information for individual products.
9.5.1.1—Steel Reinforcement Elements C9.5.1.1
Steel reinforcement elements shall include solid and Various types of anchorages and corrosion
hollow bars. Hollow bars used with a sacrificial drill bit protection methods are used with steel reinforcement
shall be defined as SDAs. elements. Anchorage methods include mechanical
Construction specifications shall include provisions for anchorage, resin grout anchorage, and cement grout
pull testing of a minimum percentage of installed rock anchorage. Corrosion protection methods include
reinforcement elements (both pre-production and a selected epoxy coating, galvanization, plastic sleeves, cement
number of production elements) and requirements for grout, and resin grout.
replacement of elements that fail the test. Mechanical anchorage or resin anchorage of
rock bolts is almost immediate. Fast set resin
cartridges are used to develop the anchorage. Cement
grout anchorage requires time to develop, which is a
problem in certain ground conditions.
Conversely, successful installation of rock
reinforcement elements through a full column of
resin cartridges requires careful coordination of hole
diameter, cartridge diameter, and reinforcement
element diameter and proper rotation and thrust of
the reinforcement element to rupture the resin
cartridge, mix the resin and catalyst, and achieve
effective encapsulation of the reinforcement element
by the resin.
9.5.1.2—Glass Reinforced Plastic (GRP) Elements C9.5.1.2
Glass reinforced plastic (GRP) reinforcement elements GRP elements use the same range of anchorage
shall include solid and hollow bars, similar to steel types as steel reinforcement elements. However, the
reinforcement. Hollow GRP bars may be used as SDAs. reinforcement element material is itself corrosion
resistant, so less care is necessary to achieve an
installation resistant to long-term corrosion. GRP
elements can be excavated easily by TBM or
roadheader, without damaging the excavation
equipment and often are used for temporary,
sacrificial installations.
9.5.1.3—Friction Rock Stabilizers C9.5.1.3
Two basic types of friction rock stabilizers, the Swellex These friction rock stabilizers originally were
type and the Split Set type, may be used. proprietary, but the patents have expired and
elements of both types are now available from
multiple manufacturers. The Swellex type is a
hollow steel tube that is inserted in the drill hole and
inflated under high water pressure (approximately
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30,000 psi) forcing the steel against the rock. The

Split Set type is a split steel tube of slightly larger
diameter than the drill hole that is forced into the
hole.
Friction rock stabilizers have limitations on
capacity and require greater displacement to develop
their anchor loads than grouted or mechanical
elements.
9.5.2—Lattice Girders C9.5.2
Lattice girders in various grades of steel and in GRP Lattice girders are used as reinforcement for
may be used. shotcrete. Lattice girders have minimal load carrying
capacity and are dependent upon the time-dependent
composite action of lattice girders and shotcrete.
9.5.3—Shotcrete C9.5.3
Two spraying methods may be used, dry mix and wet

mix. The shotcrete mix may be either plain shotcrete or
shotcrete reinforced with steel fibers at various dosage
levels (Steel Fiber Reinforced Shotcrete, SFRS) or
polypropylene fibers. Plain shotcrete may be reinforced
with welded wire fabric or reinforcing bars. GRP fabric and
reinforcing bars may also be used as reinforcement for
specific applications. Cement may be partially replaced
with fly ash or silica fume. Accelerators and other additives
may be included in the mix.
Certification of nozzlemen shall be required by the Quality of shotcrete is operator dependent, even
project construction specifications. The American Concrete when a robotic (remote) applicator is used. Attention
Institute (ACI) provides requirements for certification of to detail during shotcrete application is essential for
nozzlemen. a quality product.
9.5.4—Steel Ribs and Lagging C9.5.4
Steel ribs shall consist of conventional rolled shapes.

They may be used with timber or steel lagging. Steel
lagging may be steel channel sections, steel liner plate
bolted to the web of the rib, specially fabricated steel
lagging, or mats composed of steel bars or heavy steel wire.
Ribs may be installed with appurtenances such as steel tie
rods and collar braces.
When blocking, lagging, and other rock surface Blocking, lagging, and other rock surface
protection materials are installed outside the exterior flange protection materials are normally installed outside
of the rib, the rib may be included within the final lining the exterior flange of the rib for tunnels excavated in
cross-section and relied upon for support. rock by controlled blasting methods, roadheader, or
various types of mechanical excavators.
For TBM tunnels, the circular steel rib section
normally is expanded into full perimeter contact with
the tunnel excavation surface for soft ground, mixed
face, and rock tunnels.
When full or partial lagging is installed between the Timber lagging generally is installed between
flanges of the rib, the rib shall not be relied upon as part of the rib flanges in soft ground and mixed face TBM
the final lining cross-section. tunneling. Full perimeter lagging, close lagging
above springline and skeleton lagging below
springline, or skeleton lagging around the perimeter
are used in soft ground and mixed face tunneling,
depending upon soil conditions.
Steel bar or heavy steel wire lagging used in
some
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the exterior flange while the rib is expanded. Please

note that the actual function of this lagging is to
provide protection for the labor force during
application of shotcrete through and against the
lagging, and for the installation of rock
reinforcement elements though openings in the
lagging mat if additional support is required.
Close control is necessary to prevent miners
from installing timber lagging inside the bar/wire
lagging during the excavation phase if the rib is
designed to be included within the final lining cross-
section. Otherwise, timber lagging and deformed
bar/wire lagging may have to be removed prior to
placement of tunnel reinforcement and concrete.
Potentially hazardous rock falls may occur during
this lagging removal operation.
9.6—LIMIT STATES AND RESISTANCE FACTORS
9.6.1—General
Initial ground support elements shall satisfy the criteria

for the service limit states specified in Article 9.6.2, the
strength limit state specified in Article 9.6.3, and the
extreme event limit states specified in Article 9.6.4.
When steel ribs are incorporated into the final tunnel
lining, they shall also meet the requirements of Section 7.
9.6.2—Service Limit State
Service T-II—Initial ground support elements shall be

investigated for deflections to ensure that items not intended
to be part of the final tunnel structure do not encroach into
the envelope of the final tunnel lining.
Strength T-II—Initial ground support elements shall

be investigated for load effects imposed during construction
including, but not limited to, ground loads, water loads,
TBM jacking loads, and loads from temporary
appurtenances attached to the element.
9.6.4—Extreme Limit State
Refer to Section 10 for design earthquake for

construction conditions and temporary or initial works.
The following minimum resistance factors shall be

used when designing initial ground support elements except
when manufacturer’s data requires a lower resistance factor,
in which case the manufacturer’s data shall be used.
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Axial Tension:
Steel rock reinforcement elements 0.5

GRP rock reinforcement elements 0.6
Friction rock stabilizers 0.5
Shear:
Steel rock reinforcement elements 0.4

GRP rock reinforcement elements 0.4
Friction rock stabilizers shall not be used to resist shear.
9.7—INITIAL SUPPORT DESIGN
This section specifies design procedures for different

ground support elements.
9.7.1—Rock Reinforcement C9.7.1
Current practice in design of rock reinforcement

for tunnels uses conventional limit equilibrium
methods with a factor of safety for the design and
allowable working stresses for the reinforcement
elements.
In rock reinforcement design, the safety factor is
analogous to the LRFD load factor but with a single
load factor applied to total load, and the allowable
working stress divided by the ultimate strength is
analogous to the resistance factor. This article has
been developed including load factors and resistance
factors in this manner. For references cited in this
article, load factors can substituted for factors of
safety when calculating design loads utilizing
procedures contained therein.
9.7.1.1—Pattern Rock Reinforcement
9.7.1.1.1—Selection of Element Length and Spacing C9.7.1.1.1
Select element length and longitudinal and transverse Table 9.7.1.1.1-1 is based on precedent
spacing of elements using criteria in Table 9.7.1.1.1-1 or by experience.
the application of the Geomechanics Classification (RMR)
or the NGI Q-System. These systems are described in
Section 3.
Table 9.7.1.1.1-1 may be used to select rock
reinforcement element length and spacing for conceptual or
preliminary design purposes with the element length and
spacing adjusted later, on the basis of analyses done during
further design stages.
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Table 9.7.1.1.1-1—Minimum Length and Maximum spacing for Rock Reinforcement (USACE, 1980)
Parameter Empirical Rules Notes
Minimum Length Greatest of:

a. Two times the bolt spacing
b. Three times the width of the critical and
potentially unstable rock blocks*
c. For elements above the spring line:
1. Spans less than 20 ft—½ span
2. Spans from 60 ft to 100 ft—¼ span
3. Spans 20 ft to 60 ft—interpolate
between 10 ft and 15 ft lengths,
respectively
d. For elements below the springline
1. For openings less than 60 ft high—use
lengths determined in c. above
2. For openings greater than 60 ft high—1/5
the height
Maximum Spacing Least of:
a. ½ the bolt length
b. 1 ½ the width of the critical and potentially
unstable blocks*
c. 6 ft Greater spacing than 6 ft would
make attachment of surface
treatment such as chain link
fabric difficult
Minimum Spacing 3 to 4 ft
* Where the joint spacing is close and the span is relatively large, the superposition of the two bolting patterns may
be appropriate; e.g., long heavy bolts on wide centers to support the span, and shorter and thinner bolts on closer
centers to stabilize the surface against raveling due to close jointing as outlined by Reed (1970).
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9.7.1.1.2—Pattern Design
Design the rock reinforcement pattern with a minimum load factor of 1.5
using one of the following methods:
Ubiquitous Joint Method: Based on results of geotechnical investigation,
plot capable wedges on the transverse section of the tunnel, using the apparent
dip of the wedges. Draw an envelope through the wedge apices. Design rock
reinforcement for rock contained within the envelope on the basis of the
suspension effect or the reinforced rock arch concept per Bischoff, J.A. and
Smart, J.D., 1977. See Figures 9.7.1.1.2-1 and 9.7.1.1.2-2.
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Figure 9.7.1.1.2-1 Gravity Wedge Analysis to Determine Anchor Loads and Orientations (USACE, 1997)
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Figure 9.7.1.1.2-2—Reinforced Roof Arch (Bischoff and Smart, 1975)
Rigid Block Method: Based on results of geotechnical

investigation, use rigid block analytical software to identify
all possible wedges and the unsupported load factor of each
wedge. Use software to design pattern rock reinforcement to
satisfy Equation 1.3.2.1-1.
Rock Load Method: Based on results of geotechnical
investigation, evaluate the rock load using Table 3.5.2.5-1.
Design rock reinforcement on the basis of the reinforced rock
arch concept per Bischoff and Smart.
9.7.1.2—Spot Rock Reinforcement
Design rock reinforcement with a minimum load factor

of 1.5 using the following method:
(1) Estimate the wedge weight based on field
observation.
(2) Design rock reinforcement on the basis of the
suspension effect. Use a minimum of two bolts per
wedge. Spot rock reinforcement also can be designed
using rigid block analysis.
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9.7.1.3—Deformation and Excavation Sequence Analysis C9.7.1.3
Analyze ground deformation during excavation for Deformation and excavation sequence
openings supported by rock reinforcement using Distinct analysis is a critical step in the design of rock
Element Code software for analysis. Adjust rock reinforcement for tunnels to confirm that the
reinforcement element length and spacing as necessary to excavation will remain stable during all stages of
maintain deformation within acceptable limits. excavation, minimizing potential hazards to
overlying development.
Use of two-dimensional analysis generally is
sufficient. Three-dimensional analysis should be
used as necessary for low-cover situation, adverse
ground conditions, and for intersection evaluation.
9.7.2—Shotcrete
9.7.2.1—Shotcrete Membranes
Shotcrete applications with a total applied thickness of

less than 4 to 6 in. may be designed on an empirical basis.
Alternatively, membranes may be analyzed for general
shear, adhesion, flexure, and punching shear as load carrying
mechanisms.
9.7.2.2—Structural Shotcrete
Shotcrete applications with a total application thickness

greater than 6 in. shall be designed as reinforced concrete,
plain concrete, or fiber reinforced concrete using the loads
contained in the GDM, the load factors and load
combinations in Section 3, and the resistance factors in
Section 4. Reinforcement shall consist of lattice girders,
reinforcing steel, steel fiber, welded wire fabric, GRP
reinforcing bars, or GRP fabric.
Tunnel excavation in rock, soil, and mixed face by SEM
using shotcrete shall be modeled using three-dimensional
modeling software. Time-dependent strength gain of
shotcrete shall be considered in the modeling process.
9.7.3—Steel Ribs and Lagging
Steel ribs shall be designed using the load factors and

load combinations in Section 3 and the resistance factors in
Article 9.6.5.
Bending moment for the design of lagging shall be
calculated as follows:
𝑤𝑙 2
𝑀= (Eq. 9.7.3-1)
12
where:
w = the ground load with the appropriate load factor

specified in Section 3
l = the center-to-center spacing between ribs
9.7.4—Precast Concrete Segments
Precast concrete segments shall be designed in

accordance with Section 7.
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9.7.5—Spiles
The Engineer shall determine the need for spiles. Spile

type, spacing, length, and minimum embedment shall be
specified in the contract documents. Spiles shall consist of
the following types of elements:
1. Reinforcing bar or threadbar spiles, with or without

embedment in cement or resin grout.
2. SDA, installed with or without concurrent grouting
while drilling.
3. Groutable pipe spiles.
9.8—GROUND IMPROVEMENT C9.8
The Engineer shall identify locations along the tunnel Additional information on ground
alignment that will need ground improvement. The GDM improvement can be found in “Ground
will identify the required station limits of ground Improvement Methods,” FHWA-NHI-04-001,
improvement, the appropriate method(s) of ground Federal Highway Administration (FHWA) (2004)
improvement at each location and the required dimensions of Washington, D.C.
the improved ground mass. The Strategic Highway Research Program
Typical ground improvement methods include: hosts a website that provides state of the art
information on ground improvement techniques
1. Permeation grouting: cement grouting, micro-fine and other geotechnical topics. The website address
cement grouting, and chemical grouting is: www.geotechtools.org.
2. Replacement grouting: jet grouting, and deep soil
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mixing
3. Displacement grouting: compaction grouting, and
fracture grouting
4. Ground freezing
Where feasible, ground improvement shall be performed

from the ground surface above the tunnel, to reduce
interference with the excavation cycle and associated cost
increases from delays in excavation.
Ground improvement is specified based on the material
properties and ground behavior required to limit movements
of the ground due to excavation. These properties shall be
determined through numerical analyses and tolerable
movement of adjacent infrastructure and considerations of
face stability. Once the desirable properties are identified, the
ground improvement performance may be specified.
Ground improvement performance is highly dependent
on Contractor means and methods, so the ground
improvement shall be specified as a performance
requirement. If the performance requirement cannot be
satisfied, structural underpinning of the affected
infrastructure shall be required or, where face stability is an
issue, alternative means to stabilize the face shall be
specified.
9.9—PORTALS, CROSS PASSAGES, AND C9.9

ANCILLARY STRUCTURES
Initial support for portals, cross passages, and other Cross passages and other ancillary structures
ancillary structures shall be designed in accordance with the such as pump stations, electrical and mechanical
requirements of this Section. Perimeter reinforcement in the rooms, etc. are included in the tunnel project.
form of spiles or use of ground improvement methods may
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be required to support these excavations. The need for such

measures shall be identified by the Engineer, and the
required measures shall be described in a GDM.
9.10—REFERENCES
2. Bischoff, J. A. and Smart, J. D. A Method of Computing a Rock Reinforcement System Which Is Structurally
Equivalent to an Internal Support System. Design Methods in Rock Mechanics. Proc., of 16th Symposium on
Rock Mechanics, University of Minnesota, Minneapolis, September 22–24, 1975.
3. FHWA. Training Course in Geotechnical and Foundation Engineering—Rock Slopes. Federal Highway
Administration, Washington, DC, 1998.
4. FHWA. Ground Improvement Methods. FHWA-NHI-04-001. Federal Highway Administration Washington,

DC, 2004.
5. USACE. Tunnels and Shafts in Rock. EM 110-2-2901. U.S. Army Corps of Engineers, Washington, DC, May
1997.
6. USACE. Rock Reinforcement. EM 1110-1-2907U.S. Army Corps of Engineers, Washington, DC, February
1980.
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APPENDIX 9-A – RECOMMENDATIONS FOR SOFTWARE USE FOR DESIGN AND

PERFORMANCE EVALUATION OF ROCK REINFORCEMENT, SHOTCRETE, AND
DIRECT ROCK SUPPORT FOR UNDERGROUND OPENINGS IN ROCK
A9.1—INTRODUCTION
This appendix provides recommendations for the use of software for the design and performance evaluation of initial
support systems consisting of rock reinforcement, shotcrete, or direct rock support, operating alone or in combination.
These recommendations are based on experience with the use of UNWEDGE and UDEC. A comment regarding the
use of 3DEC for more complex situations is included. This appendix does not constitute the endorsement of any
particular software, nor does it imply that other software that are available or may be introduced in the future is in any
way less reliable than the software described herein.
A9.2—GENERAL DESCRIPTION OF SOFTWARE PACKAGES
A9.2.1—Rigid Block Software
Rigid Block software evaluates support requirements for three-dimensional (3-D), rigid block wedges. Wedge
geometry and size are based on the following parameters:
o Discontinuity dip angle and dip direction.

o Geometry of the underground opening, azimuth of longitudinal centerline, and grade of opening.
o Joint strength properties used in the software include:
 Friction
 Cohesion
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Wedge size may be determined exclusively by excavation geometry, dip, and dip direction, or can be scaled by using
criteria of apex height and length along the longitudinal axis.
The software also includes the capability to evaluate the effects of horizontal stress ratio, ko, and joint water pressure
on support requirements.
Rigid Block software generally can evaluate the performance of several types of rock reinforcement elements
including:
o Grouted deformed rebar or threadbar (Dywidag bar and similar)
o Cable bolts
o Swellex bolts and equivalent
o Split Set bolts and equivalent
o Expansion shell rock bolts
Rigid Block software can evaluate the performance of shotcrete based on perimeter shear.
Rigid Block software also generates required confining pressure on the wedge face exposed in the opening perimeter,
which can be used as input for the design of direct rock support (steel ribs).
Dip, dip direction, apex height, and trace length can be varied to assess support requirements based on variations in
wedge geometry.
A9.2.2—Two-Dimensional Distinct Element Method (DEM) Software
Two-dimensional (2-D) DEM software is used to model the behavior of jointed rock masses with or without initial
support. It does not analyze a specific two-dimensional wedge, as does Rigid Block software, but can model in two
dimensions variations in joint spacing, apparent dip and persistence. Thus, it is a valuable analytical tool. Two-
dimensional DEM software can also evaluate deformations of the rock mass and overlying structures, as well as stress
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distributions and stress flow around the openings. This is very helpful when the excavation is at shallow depth below
overlying streets or structures.
Inputs to DEM software include the following:
o Joint apparent dip and a range of variation for this parameter

o Joint spacing and a range of variation for this parameter
o Joint aperture and a range of variation for this parameter
o Joint persistence and a range of variation for this parameter
o Joint friction
o Joint cohesion
o Joint dilation
o Joint normal and shear stiffness
o Stiffness of rock blocks bounded by joints.
o ko
o Support element characteristics, similar to UNWEDGE, but adding deformation characteristics
Using the data on dip, dip direction, spacing, and persistence, the software develops a two-dimensional, randomly
generated model representative of possible variation in the field. It then evaluates the behavior of the support system,
the rock mass, and the foundations of overlying structures, including deformations of the rock, overlying foundations,
and support elements and stress distributions within the rock mass and the support elements.
A9.2.3—Three-Dimensional Distinct Element Method (3-D DEM) Software
Use of three-dimensional DEM software may be limited to critical structures or very complex geometries because of
its sophistication and the expertise required for developing the input geometry and subsequent analysis time. However,
with continued software and hardware development, these issues will become less important.
A9.3—RECOMMENDATIONS
A9.3.1—Use of Rigid Block Software
Rigid Block software may be used for the design of rock reinforcement. The Engineer will have to develop parameters
determining wedge size, joint strength properties, and water pressure distribution along the joint surface at various
stages of construction based on project-specific conditions.
During the initial excavation stage, only the support provided by rock reinforcement elements or direct rock support
elements should be considered.
Time of application and consequent strength gain of shotcrete during sequential excavation operations cannot be
predicted. Experience indicates that specification requirements or approved excavation and support installation
sequences, particularly shotcrete application, may be violated during construction, either occasionally or
systematically. Shotcrete should be considered only as an enhancement to short-term factors of safety.
Shotcrete can be considered for evaluation of long-term excavation stability and factors of safety as follows:
 composite action with rock reinforcement and direct rock support after excavations excavated sequentially
have been opened to their final dimensions
 water pressures on joint surfaces have been modified from the initial excavation condition as a result of
groundwater recovery due to the presence of a relatively impermeable membrane (shotcrete) around the
excavation perimeter.
Selection of the factor of safety for the initial stage, depending exclusively on the supporting capacity of rock
reinforcement and direct support, should be selected on the basis of project-specific requirements. As guidance, factors
of safety should be in the range of 1.3 to 1.5. This evaluation can be done outside the LRFD framework.
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When dip and dip direction are varied within Rigid Block software to develop families of wedges, a lower factor of
safety can be used for wedges which the Engineer feels, based on experience and rock mapping data, have a lower
probability of occurrence. However, in no case should the initial stage factor of safety be less than 1.3.
Factor of safety for long-term excavation stability, prior to placement of the final lining, should be in the range of 1.5
to 2.0. This evaluation can be done outside the LRFD framework. The factor of safety will be very dependent upon
the assumptions used for hydrostatic pressure. Hydrostatic pressures operating on joints will reduce the frictional
component of joint shear strength. This is the reason for the higher range of factor of safety. However, the higher
hydrostatic pressure is appropriate to assume when the 28-day strength of shotcrete is used.
Rigid Block software can be used to evaluate support requirements related to sequential excavation of large
underground openings. An example of this would be the design of initial support for an opening with a nominal width
of 60 ft. Top heading excavation will be accomplished using a central drift and two side slashes with a nominal width
of 20 ft each. Completion of excavation to invert will be by two or more benches.
If excavation is performed by excavating the two side slashes in sequence before excavating the center drift, wedge
size in the crown of the slashes will be determined exclusively by slash geometry, and the wedges in each slash should
be similar, although there may be differences based on dip and dip direction of the various joints. When the center
drift is excavated, a larger wedge, daylighting in one or both of the side slashes may develop. The rock reinforcement
determined in the analysis of the side slashes must be modified to reflect the end-of-excavation stage.
If the excavation is performed by excavating the center drift first, followed by excavating the two side slashes in
sequence, a large wedge spanning across the combined width of the center drift and slash may develop. The rock
reinforcement pattern may have to be modified to reflect this situation. Finally, excavation of the second slash may
result in wedges that require further modification of the rock reinforcement pattern.
The rock reinforcement pattern should be designed to support the largest wedge that develops from the analyses.
Both excavation sequences: side slashes, center drift and center drift, side slashes should be evaluated, because the
Contractor could select either approach.
A similar approach should be used in evaluating benching.
The length of the rock reinforcement elements should be checked for constructability. If the reinforcement elements
are to be installed without couplers (and couplers should be avoided for a number of reasons), there must be sufficient
room to install them, bearing in mind the length of the drill and drill boom.
Current hydraulic rock drills have a length of approximately 33–43 in. To allow for the length of the drill, the chuck
which grips the rock reinforcement element, and hydraulic hoses at the top of the drill, use a clear distance from the
drill hole collar to any interfering rock surface not less than the element length plus five ft. If the element length used
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in the Rigid Block analysis doesn’t meet this criterion, either adjust drift size, within constraints permitted by geologic
conditions, or reduce element length and spacing between elements to provide an equal factor of safety.
A9.3.2—Use of Two-Dimensional Distinct Element Method (DEM) Software
Two-dimensional DEM software should be used to evaluate the performance of initial support systems designed by
the use of Rigid Block software, using the methodology described above. A minimum of three iterations of variations
of joint patterns should be considered. A greater number of joint pattern variations may be analyzed.
Initially, the analysis for each joint pattern should be run without the presence of the initial support to observe
progressive raveling/stopping of the rock blocks without support. This is a useful aid for understanding the
mechanisms that would develop without the support and to communicate the problem to clients and owners.
For each joint pattern selected for analysis, the sequential excavation of the underground opening should then be
simulated using two-dimensional distinct element analysis, with output after the execution of each construction
sequence of:
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 Rock mass deformations and stresses,

 Stress trajectories,
 Deformations and stresses of support elements, and
 Deformations of foundations of overlying structures
The results of the analyses for each joint pattern should be reviewed by the Engineer for reasonableness.
Some of the joint patterns randomly generated by two-dimensional DEM software, which indicate instability or failure
of the support system, may have a low probability of occurrence, based on prior experience. Design based on such
unlikely joint patterns is not appropriate.
The project specifications should include provisions for regular geologic mapping of the excavations to indicate if
potentially adverse conditions may be developing. They should also include provisions for installation of additional
support to control any such adverse conditions.
A9.3.3—Use of Three-Dimensional Distinct Element Method (3-D DEM) Software
Three-dimensional DEM software can be used for analysis of the performance of initial support systems designed by
the use of Rigid Block software, when the project geotechnical engineer/underground engineer recommends that its
use is warranted.
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SECTION 10 – SEISMIC CONSIDERATIONS
TABLE OF CONTENTS
10.1—SCOPE…………………………………………………………………………………………………… 10-1
10.2—DEFINITIONS…………………………………………………………………………………………… 10-1
10.3—NOTATION………………………………………………………………………………………………10-2
10.3.1—Abbreviations………………………………………………………………………………………10-2
10.4—SEISMIC PERFORMANCE AND SCREENING REQUIREMENTS…………………………………..10-3
10.4.1—Seismic Performance Criteria and Design Earthquake Levels……………………………………..10-3
10.4.2—Structural Design Check……………………………………………………………………………10-3
10.4.3—Screening Criteria…………………………………………………………………………………..10-4
10.5—DESIGN GROUND MOTION PARAMETERS…………………………………………………………10-4
10.5.1—Design Earthquakes………………………………………………………………………………...10-4
10.5.2—Ground Motion Hazard Analysis…………………………………………………………………..10-5
10.5.2.1—Earthquake Magnitude and Distance………………………………………………………..10-5
10.5.2.2—Peak Ground Motion Parameters……………………………………………………………10-5
10.5.2.3—Attenuation of Peak Ground Motion Parameters……………………………………………10-6
10.5.2.4—Design Response Spectra………………………………………………….…………………10-6
10.5.2.5—Ground Motion Time Histories………………………………………………………………10-6
10.5.2.6—Spatially Varying Ground Motion Effects………………………………………………........10-7
10.6—SEISMIC LOADS AND LIMIT STATES………………………………………………………..……....10-7
10.6.1—Load Combinations and Load Factors……………………………………………...……………....10-7
10.6.2—Resistance Factors…………………………………………………………………………….........10-8
10.7—SEISMIC SITE CHARACTERIZATION AND DYNAMIC SOIL/ROCK PROPERTIES…………......10-8
10.7.1—General…………………………………………………………………………………………......10-8
10.7.2—Seismic Site Classes…………………………………………………………………………..…....10-8
10.7.3—Dynamic Soil/Rock Properties………………………………………………………………..…....10-8
10.8—SEISMIC DESIGN…………………………………………………………………………………..…...10-9
10.8.1—General…………………………………………………………………………………..………....10-9
10.8.2—Seismic Loading Effects………………………………………………………………….…..…....10-9
10.8.3—Method of Analysis and Assessment—Ground Shaking Effects…………………………….…..10-11
10.8.3.1—Transverse Ovaling/Racking Deformation Effects…………………………………….…..10-11
10.8.3.1.1—Simplified Method for Ovaling Response of Circular Tunnels………………...........10-12
10.8.3.1.2—Simplified Method for Racking Response of Rectangular Tunnels…………….…....10-12
10.8.3.1.3—Numerical Modeling Approach………………………………………………….…..10-13
10.8.3.2—Longitudinal Axial and Curvature Deformation Effects…………………………………...10-16
10.8.4—Method of Analysis and Assessment—Ground Failure Effects………………………………......10-18
10.8.4.1—Liquefaction and Liquefaction-Induced Ground Deformations…………………………....10-18
10.8.4.1.1—Evaluation of Liquefaction Potential………………………………………………...10-18
10.8.4.1.2—Post-Liquefaction Settlements………………………………………………………..10-19
10.8.4.1.3—Liquefaction-Induced Lateral Spreading…...………………………………………..10-19
10.8.4.2—Seismic Slope Instability and Landslides…………………………………….……………..10-19
10.8.4.3—Active Fault Crossing Displacement Effects………………………………………………..10-20
10.9—SEISMIC DESIGN OF TEMPORARY STRUCTURES………………………………………………..10-20
10.10—RETAINING STRUCTURES AND PORTALS……………………………………………………….10-20
10.11—INTERFACES WITH CROSS-PASSAGES AND OTHER STRUCTURES………………………….10-21
10.12—SEISMIC JOINTS………………………………………………………………………………………10-21
10.13—NON-STRUCTURAL COMPONENTS AND EQUIPMENT…………………………………………10-21
10.14—REFERENCES………………………………………………………………………………………….10-21
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10-i
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SECTION 10: SEISMIC CONSIDERATIONS 10-1
10.1—SCOPE C10.1
This Section supplements the seismic provisions of During earthquakes, surface structures experience
the AASHTO LRFD Bridge Design Specifications inertial loads depending on the shaking intensity of the
(hereafter referred to as the LRFD Specifications) and underlying ground and the vibratory characteristics of
the AASHTO Guide Specification for LRFD Seismic the structure itself. Underground structures, on the other
Bridge Design (hereafter referred to as the Guide hand, behave differently than above ground structures
Specifications). As such, this Section applies to the during earthquakes due to the surrounding soil/rock
seismic design, evaluation, and rehabilitation of medium.
highway tunnels. During a seismic event, underground The main factors influencing the tunnel seismic
structures deform as the ground is deformed by seismic performance can be summarized as: (1) seismic hazard,
waves. Underground structures shall be designed to (2) geologic conditions, and (3) tunnel design,
accommodate the seismic deformations imposed by the construction, and condition. Seismic hazard refers to
ground (Wang, 1993; Hashash, et. al, 2001; and ground shaking effects and ground failure. Based on
AASHTO 2010). tunnel performance during earthquakes, the damaging
A performance based evaluation shall be adopted effects of ground failure are greater than the ground
for underground structures, underground shaking, and shaking effects. Unfavorable geologic conditions
ground failure. For analysis of performance of include, but are not limited to, soft soils, shear zones,
underground shaking, a pseudo-static or dynamic transitions from soil to rock, and surrounding geologic
seismic soil-structure interaction analysis using ground units with major contrast in stiffness. These conditions
deformation approach (as opposed to the inertial force may result in stress concentrations in the lining or
approach) shall be followed as described in this section. differential displacements during earthquakes. Elements
To evaluate the ground deformations imposed by of tunnel design, construction, and condition (e.g.,
potential ground failures (e.g., liquefaction, landslide) tunnel lining and support system, junctions of tunnels
and for analysis of tunnel performance underground with other structures, degree of cracking, and
failure, provisions included herein as supplemented by deterioration of concrete/steel materials for existing
those included in the LRFD Specifications shall be used. tunnels) may influence tunnel seismic behavior as well.
Seismic analysis and design for retaining walls for
retained cut approaches to tunnels shall be performed in
accordance with provisions included herein as
supplemented by those included in the latest edition of
the LRFD Specifications.
Seismic analysis and design for non-structural
components, equipment attachments, and support and
ancillary structures (e.g., ventilation, control, and
administrative buildings) shall be designed in
accordance with local building codes.
10.2—DEFINITIONS
For other definitions not included herein, refer to the Guide Specifications and Sections 3 and 10 of the LRFD
Specifications.
Compressibility Ratio—A term defining the relative compression stiffness of the ground and a circular structure in the
ground.
Contractor—Entity responsible for the construction of the tunnel and associated construction engineering.
Design—Proportioning and detailing the components and connections of a tunnel.
Ductility—The ability of a material to sustain loads beyond the elastic range. Fiber Reinforced Concrete sustains
loads after cracking and is therefore ductile. Unreinforced concrete rapidly loses strength after the initial crack and is
therefore brittle, rather than ductile.
Embedment Depth Ratio—Ratio of soil cover thickness (from ground surface to top of the underground structure) to
height/diameter of the tunnel.
Engineer—Agency, design firm, or person responsible for the design of the tunnel and/or review of design related
field submittals.
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Flexibility Ratio—A term defining the relative ovaling stiffness of the ground and a circular structure in the ground.
For a rectangular structure, this term defines the relative racking stiffness of the ground and the rectangular structure
in the ground.
Owner—Person or agency having jurisdiction over the tunnel.
Permanent Ground Displacements—Ground displacements associated with failure of the ground as a result of seismic
events, such as displacements as a result of liquefaction, lateral spreading, and landslides.
Transient Ground Displacements—Ground displacements induced by passage of seismic waves (e.g., ovaling/racking,
and axial and curvature deformations).
10.3—NOTATION
For other definitions not included herein, refer to the Guide Specifications and Sections 3 and 10 of the LRFD
Specifications.
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C = Compressibility Ratio of Tunnel (dim.) (C10.8.3.1.1)

CP = Apparent Propagation Velocity of P-waves (ft/s) (10.5.2.6)
Cs = Apparent Propagation Velocity of S-waves (ft/s) (10.5.2.6)
E = Young’s Modulus (ksf) (10.7.3)
F, Frec = Flexibility Ratio of Tunnel (dim.) (C10.8.3.1.1)
Fy = Site factor for long period range of the acceleration spectrum (C10.5.2.2)
G = Shear Modulus (ksf) (10.7.3)
PGA = Peak Ground Acceleration (g) (10.8.3.1.1) (C10.8.4.2)
PGD = Permanent Ground Displacements (in. or ft) (10.8.2)
PGV = Peak Ground Velocity (in./s) (C10.5.2.2) (10.8.3.1.1)
QV = Loads due to Vertical Seismic Motions (kips) (10.8.3.1.2)
S1 = Horizontal spectral acceleration at one second (C10.5.2.2)
TGD = Transient Ground Displacements (in. or ft) (10.8.2)
∆s = Racking Deformation (in.) (10.8.3.1.2)
φr = Resistance factor for geomaterials (10.6.2)
v = Poisson’s ratio (dim.) (10.7.3)
CPT: cone penetrometer test

ERPI: Electric Power Research Institute
FEE: functionality evaluation earthquake
IBC: International Building Code
PGA: peak horizontal ground acceleration
PGD: permanent ground displacement
PGV: peak ground velocity
SEE : safety evaluation earthquake
SPT : standard penetration test
TGD: transient ground displacement
USGS: United States Geologic Survey
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10.4—SEISMIC PERFORMANCE AND

SCREENING REQUIREMENTS
10.4.1—Seismic Performance Criteria and Design C10.4.1

Earthquake Levels
A two-level target performance criterion shall be Most tunnels are considered as critical infrastructure
adopted for seismic design and analysis of tunnels in and relatively more difficult to repair, when compared to
consultation with the Owner. The structure shall provide regular bridges or other above-ground structures. Hence,
a high level of assurance for protection of life safety multi-level target performance criteria are adopted for
during and after a Safety Evaluation Earthquake (SEE). major tunnel projects.
The structure shall also provide a high level of assurance Refer to discussion in Article C10.5.1 for selection
of continued operation during and after a Functionality of design earthquakes corresponding to the target
Evaluation Earthquake (FEE). The associated performance levels adopted by these Specifications.
requirements for these performance levels are as follows:
SEE: Such an event has a small probability of

exceedance during the design service life of the facility.
Following the SEE, some interruption in service is
permitted. When subjected to the SEE, it is acceptable
that the structures behave in an inelastic manner. There
shall be no collapse and no catastrophic inundation with
danger to life. Any structural damage shall be controlled
and limited to the elements that are repairable. The
structure shall be designed with adequate strength and
ductility to survive loads and deformations imposed on
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the structure during the SEE, thereby preventing
structural collapse and maintaining life safety.
FEE: Such an event has a lower return period than
the SEE. There shall be minimal interruption in service
during or after the FEE. When subjected to the FEE, the
structure shall be designed to respond in an elastic
manner. There shall be no collapse, and only minimal
damage to structural elements is permitted. Such damage
shall be minor and repairable. The structure shall remain
fully operational immediately after the earthquake,
allowing a few hours for inspection.
For each target performance level described above,

design earthquake return periods shall be established to
evaluate ground motion parameters required for analyses
and seismic loads as described in Article 10.5.1. If the
Owner determines that the tunnel is not a critical
structure, single-level performance criterion may be
used. For these non-critical structures, the target
performance shall be established by the Owner.
10.4.2—Structural Design Check C10.4.2
Strain limits for the tunnel lining (e.g., concrete, In lieu of better information, the strain limits in
steel reinforcement) shall be established for each design Table C10.4.2-1 may be applied for mined/bored tunnel
earthquake level to achieve the target performance and cut-and-cover tunnel linings. When selecting strain
criteria described in Article 10.4.1. The resulting strains limits for underground structures, factors such as
from the seismic demands combined with the static concrete confinement, ease of access, and repairability at
demands shall be checked against these strain limits to critical locations (e.g., near longitudinal and radial joints
evaluate the structural integrity of the tunnel. at mined/bored tunnel lining) should be considered.
The special components within the tunnel structural
lining (such as gaskets at the segmental lining joints and
the joint itself) shall be designed to accommodate
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earthquake levels adopted for the tunnel consistent with Table C10.4.2-1—Strain Limits
the established target performance criteria. Cut-and-Cover
Mined/Bored
Design Structure
Tunnel Liner
Earthquake Linings
Concrete Steel Concrete Steel
FEE 0.002 0.002 0.003 0.002
SEE 0.0033 0.02 0.006 0.02
10.4.3—Screening Criteria C10.4.3
The level of seismic design and analysis effort For screening analysis of ground failures (e.g.,
required for each tunnel shall be established once all liquefaction and liquefaction-induced ground
information regarding all the potential seismic hazards, movements), the established procedures along the lines
structural complexities, subsurface conditions, and of Idriss and Boulanger (2008) and MCEER Technical
performance requirements are collected. Report MCEER-98-005 (Youd, 1998) may be used.
For preliminary assessment of the ground shaking
impacts or screening, the empirical procedures presented
in Article 10.8 or simplified numerical models may be
used. The underlying assumptions/limitations for these
empirical procedures are discussed in Article C10.8.
10.5—DESIGN GROUND MOTION

PARAMETERS
C10.5.1
10.5.1—Design Earthquakes
The return periods for the SEE and FEE design

earthquakes shall be selected based on the risk acceptable
to the Owner during the design life of the structure. A
minimum design life of 100 years shall be used to
evaluate the design earthquake return period unless
otherwise specified by the Owner.
When selecting design earthquakes for seismic The collapse of transportation tunnels could have
design and analysis, the target performance criteria catastrophic effects as well as profound social and
specified as part of Article 10.4.1 shall be considered. economic impacts.
For the SEE level event, infrastructure owners have
used return periods varying from 1,000 years to 2,500
years (majority 2,500 years; NCHRP Project 20-68A,
2011) or a combination of a design earthquake from a
probabilistic hazard analysis along with a deterministic
hazard (e.g., California High Speed Train Project). A
design earthquake with a 2,500-year return period
corresponds to 4 percent probability of exceedance in
100 years, approximately.
To avoid lengthy down time and to minimize costly
repairs, a more frequent seismic event is selected for FEE
level analysis. In high seismic areas (e.g., western United
States), FEE event with a 100-year return period
(corresponding to approximately 65 percent of
probability of exceedance in 100 years) is generally
defined. In areas where earthquake occurrence is much
less frequent (e.g., eastern United States) or when the
consequence of disruption to the operation of the system
is grave, an earthquake event with a return period greater
than 100 years (up to a 500-year return period or an event
corresponding to 20 percent probability of exceedance in
100 years) is selected for FEE level analysis.
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10.5.2—Ground Motion Hazard Analysis C10.5.2
Once the design earthquakes are established, the Information used for seismic source
design ground motion parameters at the project site shall characterization can often be obtained from the
be determined through ground motion hazard analysis to publications of the USGS and various state agencies. If
evaluate seismic loads (e.g., force and displacement there is significant lag time between development and
demands) using either one of the following methods: publication, the published hazard results may not
(1) Using existing hazard analysis results published incorporate recent developments on local or regional
by United States Geological Survey (USGS) or seismicity. There are also other situations where
other credible agencies; or published hazard results may be inadequate and require
(2) Project-specific and site-specific seismic hazard site-specific seismic hazard evaluation. These situations
evaluation. may include: (1) the design earthquake levels (i.e., return
period) are different than assumed in the published
Site-specific seismic hazard analysis, if used, shall results, (2) for sites located within six miles of an active
be performed per Article 3.10.2.2 of the LRFD surface or shallow fault where near-field effect is
Specifications, except for the following: considered important, and (3) the published hazard
(1) The earthquake return periods specified in results fail to incorporate major developments on local or
Article 10.5.1 of this Specification shall be regional seismicity.
used.
(2) The acceleration response spectrum from the When using existing hazard analysis results
site-specific hazard analysis shall be no less published by USGS or other credible agencies, latest
than two-thirds of the design response spectrum available version of the hazard information should be
developed using the site factors given in Article incorporated, unless there is any site-specific reason to
3.10.3.2 of the LRFD Specifications. use the previous versions.
10.5.2.1—Earthquake Magnitude and Distance C10.5.2.1
Earthquake magnitude shall be determined for the Earthquake magnitude and distance are required
design earthquakes established for design and analysis. If when deriving design spectra-matching ground motion
probabilistic seismic hazard analysis is performed, the time histories or when performing permanent ground
magnitude of the dominant earthquakes from deformation analysis (e.g., liquefaction). Dominant
disaggregation shall be used. In a number of areas in the earthquake magnitudes and distances, which contribute
U.S. the hazard can be dominated by more than one principally to the probabilistic design response spectra at
source (e.g., Seattle or Midcontinent). The use of a site, as determined from national ground motion maps,
conditional mean spectra is encouraged to develop can be obtained from disaggregation information on the
realistic hazard demand. USGS website: http://earthquake.usgs.gov/hazards/.
10.5.2.2—Peak Ground Motion Parameters C10.5.2.2
Various types of ground motion parameters The Seismic Analysis and Design of Retaining
including, but not limited to, peak horizontal ground Walls, Buried Structures, Slopes, and Embankments
acceleration (PGA) and peak ground velocity (PGV), (NCHRP Report 611, 2008) provides a discussion on
may be required for seismic analyses, depending on the estimation of PGV based on various ground motion
analysis method used. PGA shall be established based on parameters.
(1) published hazard results by USGS or other credible For preliminary evaluations, values of PGV may be
agencies; (2) attenuation relationships if deterministic evaluated using the following correlation between PGV
seismic hazard evaluation is performed; or (3) and design horizontal spectral acceleration at one second
disaggregation analysis if site-specific probabilistic (S1, in units of g) as given by Seismic Analysis and
seismic hazard evaluation is performed. PGV shall be Design of Retaining Walls, Buried Structures, Slopes,
evaluated using empirical correlations with ground and Embankments (NCHRP Report 611, 2008):
motion parameters or directly from the velocity time-
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histories established for the project. PGV (in/sec) = 55 Fv S1 (10.5.2.2-1)
where Fv is the Site Factor for long period range of the

acceleration spectrum given in Table 3.10.3.2-3 of the
Alternatively, PGV can also be evaluated based on
the site-specific seismic response analysis.
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10.5.2.3—Attenuation of Peak Ground Motion C10.5.2.3

Parameters
Ground motion parameters shall be derived at the

elevation of the tunnel. Thus, the peak ground motion
parameters shall be adjusted to reflect attenuation of
ground motion with depth according to Table 10.5.2.3-1,
unless detailed site-specific analysis is performed to
evaluate attenuation with depth.
Table 10.5.2.3-1 Ground Motion Attenuation with

Depth (modified after AASHTO, 2010)
Ratio of Ground Motion at The values given in Table 10.5.2.3-1 correspond to
Tunnel
Tunnel Depth to Motion at conservative estimates of ground motion attenuation
Depth (ft)
Ground Surface with depth (AASHTO, 2010). For depths between the
≤20 0.95–1.0 limits of each range, corresponding ground motion
attenuation ratio can be estimated by linear interpolation.
20–50 0.75–0.95
50–100 0.5–0.75
≥100 0.5
10.5.2.4—Design Response Spectra
The design response spectra shall not be used

directly in the design of tunnels, except for deriving other
ground motion parameters or developing ground motion
time histories, or for the design of permanent
nonstructural components (including architectural
components) and their attachments and the attachments
for permanent equipment (including
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mechanical/electrical systems). The design response

spectra shall be established based on the guidelines
included in Article 3.10.4.1 of the LRFD Specifications.
10.5.2.5—Ground Motion Time Histories C10.5.2.5
The developed time histories shall match the target For additional information on ground motion time
design response spectra and have characteristics that are histories, see Article C4.7.4.3.4b of the LRFD
representative of the seismic environment of the site and Specifications.
the local site conditions. Response-spectrum-compatible
time histories shall be used as developed from
representative recorded motions. Analytical techniques
used for spectrum matching shall be demonstrated to be
capable of achieving seismologically realistic time series
that are similar to the time series of the initial time
histories selected for spectrum matching.
Where recorded time histories are used, they shall be
scaled to the approximate level of the design response
spectrum in the period range of significance. Each time
history shall be modified to be response-spectrum-
compatible using the time-domain procedure. At least
three response-spectrum-compatible time histories shall
be used for each component of motion (horizontal,
longitudinal, and vertical) in representing the design
earthquakes. The design actions shall be taken as the
maximum response calculated for the three ground
motions in each principal direction. If a minimum of
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seven time histories are used for each component of

motion, the design actions may be taken as the mean
response calculated for each principal direction.
For near-field sites (D < 6 miles), the recorded
horizontal components of motion that are selected shall
represent a near-field condition and shall be transformed
into principal components before making them response-
spectrum-compatible. The major principal component
shall then be used to represent motion in the fault-normal
direction and the minor principal component shall be
used to represent motion in the fault-parallel direction.
10.5.2.6—Spatially Varying Ground Motion Effects C10.5.2.6
The effect of spatial variations of ground motions on The horizontal propagation shear wave velocity, CS,
long tunnel structures resulting from the effects of wave in general, reflects the seismic shear wave propagation
passage (i.e., different arrivals of seismic waves at through the deeper rocks rather than that of the shallower
different parts of the structure) and local soil overburden soils where the tunnel is located. In general, this velocity
shall be considered. The wave-passage effect may be value varies from about 1.25 to 2.5 miles per second;
accounted for by assuming a time lag of the ground- (O’Rourke and Liu, 1999). The pressure wave
motion time histories between any two locations along propagation velocities, CP, generally vary between 2.5
the tunnel alignment (i.e., estimated by dividing the and 5 miles per second.
distance between the two locations by the horizontal In addition to wave passage effects and local site
wave travelling velocity along the tunnel alignment). conditions, the near-field effects, incoherence effects,
The horizontal propagation shear wave velocity, CS, and cross-correlation between orthogonal components of
and the pressure wave propagation velocities, CP, shall ground motion at different locations along the tunnel
be established based on consultation with experienced alignment may also need to be considered. For additional
geologists/seismologists. In the absence of site-specific guidance on evaluation of the spatial variation of ground
data, Cs and CP may be assumed to be 1.6 miles per motions, refer to Article C4.7.4.3.4b of the LRFD
second and 3.1 miles per second, respectively Specifications, Seismic Soil-Foundation-Structure
(AASHTO, 2010). Interaction by the Caltrans Seismic Advisory Board
Adhoc Committee (CSABAC, 1999), and LRFD Seismic
Analysis and Design of Transportation Geotechnical
Features and Structural Foundations (FHWA, 2011).
10.6—SEISMIC LOADS AND LIMIT STATES
Seismic loads on underground structures shall be

evaluated using pseudo-static or dynamic soil–structure
interaction analyses using ground displacement
approach, either following simplified methods or using
numerical modeling as described in Article 10.8, except
for the retaining structures, buildings, miscellaneous
permanent structures, non-structural components and
equipment attachments. Seismic effects on the
underground structures shall be investigated for Extreme
Event I limit state per the LRFD Specifications. The
resulting seismic demands shall be combined with
demands from non-seismic loading case.
10.6.1—Load Combinations and Load Factors C10.6.1
The seismic and non-seismic loads shall be For further discussion on live load factor for
combined using the load combination and load factors Extreme Event I, please see commentary in Article
specified in Article 3.4 of this Specification for Extreme C3.4.1 of the LRFD Specifications.
Event I. The load factor for live load in Extreme Event I
shall be determined on a project-specific basis.
Where seismic loads (i.e., deformations) are
determined using ground-motion time histories as input
for evaluation of impact due to ground shaking, the
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ground motions for any one instant shall be input

simultaneously in two horizontal directions and the
vertical direction.
Values of resistance factors for the geomaterials

(i.e., soil, rock) shall be taken as r = 1.0 for seismic
evaluations. Resistance factors for the structural
materials shall be selected as per the guidance included
in previous Sections of this Specification.
10.7—SEISMIC SITE CHARACTERIZATION

AND DYNAMIC SOIL/ROCK PROPERTIES
10.7.1—General C10.7.1
Subsurface conditions (e.g., soil stratigraphy, water Soil parameters that may be required for seismic
level, dynamic soil/rock parameters) shall be evaluated design and analysis include:
for seismic design and evaluations. Subsurface
investigations, including borings and laboratory tests,  Initial dynamic shear modulus at small strains or
shall be conducted to provide pertinent and sufficient shear wave velocity,
information for seismic design and analysis of tunnels.  Shear modulus reduction and equivalent viscous
Subsurface investigations shall be carried out per the damping characteristics as a function of shear strain,
guidance in Section 5.  Cyclic shear strength of soils (peak and residual),
Subsurface exploration shall also be carried out to and
determine the potential presence of  Liquefaction resistance of soils.
geotechnical/geological seismic hazards that may affect
the performance of the tunnel under the design seismic For additional information on laboratory testing, see
event. Article C6.2.2 of the Guide Specifications.
Laboratory tests shall be performed to determine
strength and deformation characteristics of soil and rock,
as well as soil type. For tunnels in high seismicity areas,
it may be appropriate to conduct special dynamic or
cyclic tests and establish the liquefaction potential or
stiffness and material damping properties of soil at some
sites.
The groundwater level shall be determined.
Seasonal groundwater fluctuations shall also be
evaluated.
10.7.2—Seismic Site Classes
Evaluation of seismic site classes may be required if

ground motion parameters are to be developed using
design response spectrum. If required, seismic site
classes shall be evaluated per Article 3.10.3.1 of the
10.7.3—Dynamic Soil/Rock Properties C10.7.3
Soil/rock stiffness parameters (e.g., Young’s Previous studies including those from laboratory
modulus, E; shear modulus, G; Poisson’s ratio, ) under tests have shown that the shear modulus values are
dynamic loading conditions shall be defined. The values dependent on the shear strain levels. At low shear strain
corresponding to small shear strain levels (i.e., less than levels (i.e., less than 10-4 percent), the shear modulus
10-4 percent) as well as the effect of shear strain level on values can be reliably estimated from the field-measured
these parameters shall be established. The shear wave shear wave velocities, such as using the seismic cone,
propagation velocity of the subsurface soil/rock layers downhole, cross-hole, P-S logging, and SASW (spectral
shall also be determined to allow estimating transient analysis of surface waves) techniques. As the shear strain
ground shearing strains. increases, the shear modulus degradation effect becomes
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If a non-linear effective-stress modeling technique is significant. The shear strain level is also a function of the
adopted in site response analysis, soil parameters ground shaking intensity. As the ground motion intensity
required to characterize the selected non-linear increases, the shearing strain increases, resulting in
constitutive model shall be validated through reduced equivalent shear modulus.
experimental testing data or case history studies. Typical relationships between the shear modulus
In addition to dynamic soil/rock properties, other degradation and the shear strain level are given by the
parameters required for evaluation of ground failure shall Electric Power Research Institute (ERPI) report
also be defined (e.g., fines content for liquefaction Guidelines for Determining Design Basis Ground
susceptibility analysis). Motions, Volume I: Method and Guidelines for
Estimating Earthquake Ground Motion in Eastern North
America (ERPI, 1993), Darendeli (2001), and Menq
(2003).
Shear wave velocity measured in the field
corresponds to the values measured at the very small
strain level. The effective shear wave velocity and the
corresponding strain-compatible soil modulus during
earthquake shaking should be reduced for strain
compatibility before engineering design purposes.
10.8—SEISMIC DESIGN
10.8.1—General
Seismic design and analysis of the tunnel structures

shall be performed using pseudo-static or dynamic soil–
structure interaction analyses following ground
deformation approach, unless otherwise noted. The
internal forces and strains from the seismic evaluations
shall be considered incremental and shall be combined
with those from other loading conditions using the
Extreme Event I loading combination.
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10.8.2—Seismic Loading Effects C10.8.2
In addition to static loads, tunnels shall be designed Ground shaking refers to the vibration of the ground
to accommodate the effects resulting from two types of produced by seismic waves propagating through the crust
seismic loading: of the earth. During ground shaking, the underground
structures undergo three primary modes of deformation:
(1) Ground shaking (i.e., transient ground ovaling/racking, and axial and curvature deformations
displacement, TGD); and (Figure C10.8.2-1).
(2) Ground failure (i.e., permanent ground
displacement, PGD).
The combined effects of bending moment and thrust

force on the tunnel lining shall be evaluated as well as the
impact of resulting shear forces/displacements on the
structural integrity of the tunnel.
The general methodology for evaluating the effects
of TGD and PGD shall be in accordance with that
outlined in Articles 10.8.3 and 10.8.4, respectively.
(a) Ovaling Deformation of Circular Cross-section
Figure C10.8.2-1—Ovaling/Racking and

Axial/Curvature Deformations (AASHTO, 2010);
Figure continued on next page
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(b) Racking Deformation of Rectangular Cross-section
(c) Axial Deformation Along Tunnel
(d) Curvature (Bending) Deformation Along Tunnel
Figure C10.8.2-1 (continued)—Ovaling/Racking and

Axial/Curvature Deformations (AASHTO, 2010)
The ovaling/racking deformation is caused

primarily by seismic waves propagating perpendicular to
the tunnel longitudinal axis, causing deformations in the
plane of the transverse tunnel cross section. Vertically
propagating shear waves are generally considered the
most critical type of waves for this mode of deformation.
For circular tunnel sections, the resulting effects are
cycles of additional stress concentrations with alternating
compressive and tensile stresses in the tunnel lining.
Several critical modes may result (Owen and Scholl,
1981):
 Compressive dynamic stresses added to the
compressive static stresses may exceed the
compressive capacity of the lining locally.
 Tensile dynamic stresses subtracted from the
compressive static stresses reduce the lining’s
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bending moment capacity, and sometimes the

resulting stresses may be tensile.
During earthquakes, a rectangular box structure in

soil or rock will experience transverse racking
deformations (sideways motion) due to the shear
distortions of the ground, in a manner similar to the
ovaling of a circular tunnel. The racking effect on the
rectangular structure is similar to that of an unbalanced
loading condition. For rigid frame box structures, the
most critical mode of potential damage due to the racking
effect is the distress at the top and bottom joints.
The axial and curvature deformations are induced
by components of seismic waves that propagate along the
longitudinal axis and/or by spatially varying ground
motions resulting from local soil/site effects. To
accommodate the axial and curvature deformations
imposed by the surrounding ground, the lining will
develop axial and bending strains.
Ground failure broadly includes various types of
ground instability such as fault rupture, tectonic uplift
and subsidence, landslides, liquefaction (including
liquefaction-induced lateral spreading, settlement,
floatation, etc.). Each of these PGDs may be potentially
catastrophic to the tunnel although the damage may be
localized. To avoid such damage, some sort of ground
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improvement is generally required unless the design

approach is to accept displacement, localize the damage
and provide means to facilitate repairs.
10.8.3—Method of Analysis and Assessment—

Ground Shaking Effects
When subject to TGD, the tunnels shall be evaluated

for at least three primary modes of deformation that
occur during seismic shaking: ovaling/racking, and axial
and curvature deformations. The effects of soil–structure
interaction shall be taken into account in the analysis and
design.
10.8.3.1—Transverse Ovaling/Racking Deformation C10.8.3.1

Effects
The evaluation procedures for transverse The simplified analytical methods have been
ovaling/racking response of tunnel structures shall be developed based on ideal conditions and assumptions as
based on either: (1) simplified analytical methods or follows:
(2) numerical modeling approach, depending on the
degree of complexity of the soil–structure system, • The tunnel is of completely circular shape for
subsurface conditions, the seismic hazard level, and the ovaling response or rectangular shape for racking
importance of the structure. Transverse cross-sections response.
analyzed for ovaling/racking deformations shall include, • The material surrounding the tunnel is uniform and
but are not limited to, locations where: isotropic.
• the free-field relative displacements between • The tunnel is very deep, away from the surface so
the top and the bottom of the tunnel are large there is no reflection/refraction of seismic waves
(significant ovaling/racking deformation); from the ground surface.
• the tunnel is embedded partially in soil and • Only one single tunnel is considered (i.e., there is no
partially in rock, or at an interface between two interaction from other tunnels or structures in
strata with a stark contrast in stiffness; and proximity).
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All critical cross-sections along the alignment shall The actual soil-structure system encountered in the
be analyzed for ovaling/racking deformations. field for underground structures may require the use of
numerical methods. The numerical modeling approach
should be considered in cases where the simplified
methods are less applicable, more uncertain or
inconclusive, or where the site is located in a severe
seismic environment or where case history data indicate
relatively higher seismic vulnerability for similar type of
structures, or the subsurface profile consists of highly
variable soil/rock conditions.
10.8.3.1.1—Simplified Method for Ovaling Response of C10.8.3.1.1

Circular Tunnels
When the simplified method is used for evaluation Using the average maximum ground shear strain
of ovaling effects on circular tunnels, the analysis shall value (i.e., differential shear displacement between
be based on the maximum free-field shear strains in the crown and invert divided by the height of the tunnel) may
ground caused by the governing vertically propagating lead to underestimation of the structure response,
shear waves of the design earthquake event. The free especially for relatively shallow tunnels (i.e.,
field ground strains shall be estimated based on Embedment Ratio, the ratio of soil overburden to the
correlations with peak ground motion parameters (PGV, height of the tunnel, less than 2.0).
PGA) or from site-specific seismic site response To account for soil–structure interaction effects, two
analysis. relative stiffness parameters are defined in AASHTO
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The analysis shall take into account the soil– (2010). The flexibility ratio (F) represents the relative
structure interaction effect to provide safe as well as distortion stiffness between the surrounding ground and
realistic design. The interface condition (i.e., full-slip the lining and tends to govern the bending response
versus no-slip) at the interface between the exterior wall (distortion) of the lining. The compressibility ratio (C)
of the structure and the surrounding soils shall be represents the relative ring compression stiffness
conservatively assumed to attain maximum structural between the surrounding ground and the tunnel lining
response in terms of bending moments and thrust/hoop and tends to dominate the thrust/hoop forces in the lining.
forces. When F<1.0, the lining is considered stiffer than the
The simplified method for ovaling response of deep ground, and it tends to resist the ground and therefore
circular tunnels located in a relatively homogenous soil deforms less than that which occurs in the free-field. On
or rock outlined in the AASHTO Technical Manual For the other hand, when F>1, the lining is expected to
Design of Road Tunnels—Civil Elements (AASHTO, deform more than the free-field. As the flexibility ratio
2010), may be used where appropriate. continues to increase, the lining deflects more and more
For evaluation of maximum free-field shear strains than the free-field and may reach an upper limit as the
in the ground, equivalent-linear (e.g., SHAKE; Schnabel flexibility ratio becomes infinitely large. This upper limit
et al., 1972) or non-linear seismic site response analysis deflection is equal to the deformations displayed by a
programs may also be used. When a seismic site response perforated ground (i.e., an excavated conduit in the
analysis is performed, the design maximum free-field ground with no lining stiffness).
shear strain shall be based on the maximum shear strain During an earthquake, in general, slip at interface
value computed for the full vertical profile of the tunnel between the exterior wall of the structure and the
(i.e., from crown to invert). surrounding soils is a possibility only for tunnels in soft
soils, or when seismic intensity is severe. For most
tunnels, the condition at the interface is between full-slip
and no-slip. In computing the forces and deformations in
the lining, it is prudent to investigate both cases and the
more critical one should be used in design and analysis.
10.8.3.1.2—Simplified Method for Racking Response of

Rectangular Tunnels
Racking deformations shall be defined as the

differential sideways movement between the top and
bottom elevations of rectangular tunnel structures, shown
as ∆s in Figure 10.8.3.1.2-1. The resulting structural
internal forces (bending moment, thrust, and shear) or
material strains in the tunnel lining associated with the
seismic racking deformation, ∆s, shall be derived by
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imposing the differential deformation on the structure in

a simple structural frame analysis.
Figure 10.8.3.1.2-1—Soil Deformation Profile and

Racking Deformation of a Box Structure (AASHTO,
2010)
Loads due to vertical seismic motions, Qv, on

rectangular structures shall be accounted for by applying
a vertical pseudo-static loading equivalent to the product
of the vertical seismic coefficient and the combined dead
and design overburden loads used in static design. This
vertical pseudo-static loading shall be applied by
considering both up and down direction of the motions;
whichever results in a more critical load case shall
govern.
The closed-form solutions accounting for soil-
structure interaction presented in the AASHTO Technical
Manual for Design of Road Tunnels—Civil Elements
(AASHTO, 2010) may be used where appropriate.
Seismic demands due to racking deformations and
vertical seismic motions shall then be combined with
non-seismic loads using the appropriate loading
combination for Extreme Event I.
10.8.3.1.3—Numerical Modeling Approach C10.8.3.1.3
When the numerical modeling approach is required, The static response deformation spring-beam
the ovaling/racking deformations shall be evaluated method uses the structural beam and soil spring model.
based on the static response deformation spring-beam In this method, the displacement of the ground at the
method or two-dimensional finite element or finite tunnel location is first calculated and then applied to the
difference continuum method of analysis, capable of tunnel by imposing the displacement via the surrounding
capturing soil–structure interaction effects. ground springs. The calculated ground displacement
In using the continuum method of analysis, the profile is specified at the support end of the ground
following considerations shall be included in developing springs, forcing the ground springs to displace the tunnel
the model for the tunnel cross-section subjected to structure. It is to be noted that the specified ground
ovaling/racking deformation: displacement in this case is not the free-field ground
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 As a minimum, analyze the structure, displacement. Rather, it is the amplified ground

surrounding ground and seismically-induced displacement surrounding the excavated boundary of the
deflections as a two-dimensional soil–structure tunnel sectional area (i.e., ground displacement assuming
model. there is a void of the size of the tunnel excavation in the
 Include in the model, if relevant, the internal ground). The design ground deformations applied at the
decks and walls to assess their effects on stress support end of the ground springs should be derived from
concentration and tunnel deformation. free-field shear deformation profiles using the seismic
 Model the effects of the liner joints, particularly site response analysis. The stiffness of the ground springs
where the joints are not properly restrained for the static response deformation spring-beam methods
against opening and closing. can be derived from the strain-compatible dynamic
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 Accurately model the soil stratigraphy and subgrade moduli, which represent the pressure per unit
dynamic soil properties relative to the deflection. Thus, the dynamic subgrade modulus should
geotechnical profile and cross-section. be multiplied by the tributary area of the soil/rock
 Apply the free-field deformations due to the represented by an individual spring to estimate the spring
propagation of shear wave based on seismic site stiffness (i.e., force required for unit deflection).
response analyses. In general, the deformation There are three types of two-dimensional continuum
analysis can be performed using pseudo-static models that have been used in the engineering practice:
method in which displacements are statically (1) Pseudo-static Seismic Coefficient Deformation
applied to the soil–structure system. Method: The ground deformations are
 Evaluate the loads and deformations not only in generated (induced) by seismic coefficients and
the liner segments themselves but also at the distributed in the finite element/finite difference
joints. domain that is being analyzed. The seismic
coefficients can be derived from a separate one-
The use of elastic models and evaluation of stresses dimensional, free-field seismic site response
are acceptable if the structural response is within the analysis. The pseudo-static seismic coefficient
elastic range. If the response is beyond the yield state into deformation method is suitable for underground
inelastic range, a non-linear inelastic model shall be used structures buried at shallow depths. The general
and the resulting strains shall be evaluated. procedure in using this method is outlined
below:
 Perform one-dimensional free-field
seismic site response analysis (e.g., using
SHAKE, DMOD, or DEEPSOIL). From
the results of the analysis derive the
maximum ground acceleration profile
expressed as a function of depth from the
ground surface.
 Develop the two-dimensional finite
element/finite difference continuum model
incorporating the entire excavation and
soil–structure system, making sure the
lateral extent of the domain (i.e., the
horizontal distance to the side boundaries)
is sufficiently far to avoid boundary effects.
The geologic medium (e.g., soil) is
modeled as continuum solid elements and
the structure can be modeled either as
continuum solid elements or frame
elements. The side boundary conditions
should be in such a manner that all
horizontal displacements at the side
boundaries are free to move and vertical
displacements are prevented (i.e., fixed
boundary condition in the vertical direction
and free boundary condition in the
horizontal direction). These side boundary
conditions are considered adequate for a
site with reasonably leveled ground surface
subject to lateral shearing displacements
due to horizontal excitations.
 The strain-compatible shear moduli of the
soil strata computed from the one-
dimensional site response analysis should
be used in the two-dimensional continuum
model.
 The maximum ground acceleration profile
(expressed as a function of depth from the
ground surface) derived from the one-
dimensional site response analysis is
applied to the entire soil–structure system
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in the horizontal direction in a pseudo-

static manner.
 The analysis is executed with the tunnel
structure in place using the prescribed
horizontal maximum acceleration profile
and the strain-compatible shear moduli in
the soil mass. It should be noted that this
pseudo-static seismic coefficient approach
is not a dynamic analysis and therefore
does not involve displacement, velocity, or
acceleration histories. Instead, it imposes
ground shearing displacements throughout
the entire soil–structure system (i.e., the
two-dimensional continuum model) by
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applying pseudo-static horizontal shearing

stresses in the ground. The pseudo-static
horizontal shearing stresses increase with
depth and are computed by analysis as the
product of the total soil overburden
pressures (representing the soil mass) and
the horizontal seismic coefficients. The
seismic coefficients represent the peak
horizontal acceleration profile derived
from the one-dimensional free-field site
response analysis. The lateral extent of the
domain in the two-dimensional analysis
system should be sufficiently far to avoid
boundary effects. In this manner, the
displacement profiles at the two side
boundaries are expected to be very similar
to that derived from the one-dimensional
free-field site response analysis. However,
in the focus area near the tunnel
construction, the displacement distribution
will be different from that of the free field,
reflecting the effects of soil–structure
interaction (i.e., presence of the tunnel
structure) as well as the effect that portion
of the earth mass is removed for
constructing the tunnel (i.e., a void in the
ground).
(2) Pseudo-dynamic Time History Analysis: The
procedure employed in pseudo-dynamic
analysis is similar to that for the pseudo-static
seismic coefficient deformation method, except
that the derivation of the ground displacements
and the manner in which the displacements are
imposed to the two-dimension continuum
system are different. The pseudo-dynamic
analysis consists of stepping the soil–structure
system statically through displacement time-
history simulations of free-field displacements
obtained by a seismic site response analysis
performed using vertically propagating shear
waves (e.g., SHAKE, DMOD, or DEEPSOIL
analyses). Under the pseudo-dynamic loading,
the transverse section of a tunnel structure will
be subject to these induced ground distortions.
If warranted, the inelastic behavior of the tunnel
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structure can also be accounted for and

incorporated into the model.
(3) Dynamic Time History Analysis: Generally,
the inertia of a tunnel is small compared to that
of the surrounding geologic medium. Therefore,
it is reasonable to perform the tunnel
deformation analysis using pseudo-static or
pseudo-dynamic analysis in which
displacements or displacement time histories
are statically applied to the soil–structure
system. The dynamic time history analysis can
be used to further refine the analysis when
necessary, particularly when some portion(s) of
the tunnel structure can respond dynamically
under earthquake loading, i.e., in the case where
the inertial effect of the tunnel structure is
considered to be significant. In a dynamic time
history analysis, the entire soil–structure system
is subject to dynamic excitations using ground
motion time histories as input at the base of the
soil-structure system.
The ground motion time histories used for this

purpose should be developed to match the target
design response spectra and have characteristics that
are representative of the seismic environment of the
site and the site conditions, or they can be developed
from 1-D seismic site response analysis (e.g.
SHAKE, DMOD, DEEPSOIL) and taken at the
depth corresponding to the depth of the soil–
structure interaction numerical model. Special
energy absorbing boundaries should be incorporated
into the model to allow radiation of the seismic
energy rather than trapping it.
10.8.3.2—Longitudinal Axial and Curvature C10.8.3.2

Deformation Effects
When evaluating the longitudinal response of the

tunnel structures, either the simplified analytical method
or relatively more complex numerical modeling
approach shall be used depending on the degree of the
complexity of the soil–structure system, the seismic
hazard level, and the importance of the structures. The
soil–structure interaction effects shall be taken into
account.
The simplified analytical method to evaluate free-
field strains due to axial and curvature deformations
outlined in AASHTO, 2010 may be used where
appropriate.
If a very stiff tunnel is embedded in a soft soil
deposit, significant soil–structure interaction effects
exist, and the free-field deformation procedure may lead
to an overly conservative design. In this case, a
simplified beam-on-elastic-foundation procedure shall
be used to account for the soil-structure interaction
effects as outlined in AASHTO, 2010.
The numerical modeling approach for evaluation of Numerical analysis for the evaluation of longitudinal
longitudinal response shall be used for cases where response of a tunnel structure is typically performed by a
tunnels encounter abrupt changes in structural stiffness, three-dimensional pseudo-dynamic time history analysis
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or run through highly variable subsurface conditions in order to capture the two primary modes of
where the effect of spatially varying ground motions, due deformation: axial compression/extension and curvature
to local site effects, becomes significant. These deformations. Since the inertia of a tunnel is small
conditions include, but are not limited to, the following: compared to that of the surrounding geologic medium,
• When a rectangular tunnel section is connected the analysis is generally performed by using the pseudo-
to a station end wall or a rigid, massive structure dynamic approach in which free-field displacement time
such as ventilation building. histories are statically applied to soil springs connected
• At the junctions of two tunnels or at the to the model of the tunnel (to account for the soil–
tunnel/cross-passage interface. structure interaction effect). The general procedure for
• When a tunnel transverses two distinct the pseudo-dynamic time history analysis in the
geological media with sharp contrast in longitudinal direction involves the following steps:
stiffness, for example, a tunnel passing through • The free-field deformations of the ground at the
a soil/rock interface. tunnel elevation are first determined by
• When a tunnel is locally restrained from performing dynamic site-response analyses. For
movements by any means (i.e., hard spots). the longitudinal analysis, the three-dimensional
effects of ground motions as well as the local site
effect including its spatially varying effect along
the tunnel alignment should be considered. The
effect of wave travelling/phase shift should also
be included in the analysis.
• Based on results from the site response analyses,
the free-field ground displacement time histories
are developed along the tunnel axis. The free-field
displacement time histories at each point along the
tunnel axis can be defined at the mid-height and
mid-width of the tunnel, and can be further
defined in terms of three time-history
displacements representing ground motions in the
longitudinal, transverse, and vertical directions.
• A three-dimensional finite element/difference
structural model is then developed along the
tunnel axis. In this model, the tunnel is discretized
spatially along the tunnel axis, while the
surrounding soil/ground is represented by discrete
springs. If inelastic structural behavior is
expected, non-linear inelastic structural elements
should be used to represent the tunnel structure in
the model. Similar to the ground motions, the
soil/ground springs are also developed in the
longitudinal, transverse horizontal, and transverse
vertical directions. The properties of the springs
shall be consistent with those used in the site
response analysis described above. If non-linear,
the behavior of the soil/ground should be reflected
in the springs. As a minimum, the ultimate
frictional (drag) resistance (i.e., the maximum
frictional force) between the tunnel and the
surrounding soil/ground should be accounted for
in deriving the longitudinal springs to allow the
slippage mechanism, should it occur.
• The computed design displacement time-histories
described above are then applied, in a statically
stepping manner, at the support ends of the
soil/ground springs to represent the soil–tunnel
interaction. The resulting sectional forces and
displacements in the structural elements (as well
as in the tunnel joints if applicable) are the seismic
demands under the axial/curvature deformation
effect.
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10.8.4—Method of Analysis and Assessment— C10.8.4

Ground Failure Effects
Stability of the ground surrounding the tunnel In general, it is not feasible to design a tunnel
structures, including natural and backfill soils located structure to withstand large ground displacements. The
within a zone that may influence the performance of the proper design measures in dealing with the unstable
structures during and after earthquakes, shall be ground conditions may consist of: (1) ground
considered in the seismic design and analysis. This stabilization, (2) removal and replacement of the problem
assessment shall consider the potential for ground failure soils, and (3) reroute or deep burial to bypass the problem
from fault rupture, tectonic uplift/subsidence, zone.
liquefaction, seismically-induced settlement, lateral With regard to the fault displacements, the best
spreading, slope instability (landslide), and increases in strategy is to avoid any potential crossing of active faults.
lateral earth pressures. If it is not possible, then the general design philosophy is
to accept and accommodate the displacements by either
employing an oversized excavation, perhaps backfilled
with compressible or collapsible material, or using a
ductile lining to minimize the instability potential of the
lining.
If liquefiable soil deposits or unstable soil masses
that are susceptible to landsliding are identified along the
tunnel alignment, more detailed evaluations may be
required to assess whether liquefaction or landsliding
would be expected to occur during the design earthquake
and to assess the impacts on the tunnel.
10.8.4.1—Liquefaction and Liquefaction-Induced C10.8.4.1

Ground Deformations
The effects of liquefaction and liquefaction-induced In general, the effects of liquefaction will depend on
ground deformations shall be evaluated at relevant the amount of soil that liquefies and the location of the
locations along the tunnel alignment. These effects liquefied soil with respect to the tunnel. On sloping
include: (1) uplift, buoyancy, and floatation of the ground, lateral flow, spreading, and slope instability can
underground structures; (2) large lateral displacements; occur on relatively thin layers of liquefiable soils,
and (3) post-liquefaction settlement and deformations whereas the effects of thin liquefied layers at sites with
(total and differential settlements). level ground surface may be insignificant.
If liquefaction is estimated to occur adjacent to a
tunnel lining or wall, a potential consequence can be
yielding of the lining or wall due to the increased lateral
earth pressures in the liquefied zone. The pressure
exerted by a liquefied soil may be as large as the total
overburden pressure.
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10.8.4.1.1—Evaluation of Liquefaction Potential C10.8.4.1.1
An initial screening study followed by more refined The empirical liquefaction evaluation procedures
analyses and evaluation of the impact on the tunnel discussed herein are generally applicable for liquefaction
structure shall be conducted. A site-specific seismic site analysis up to the depth of about 65 to 80 ft below the
response analysis or the empirical procedures, as ground surface or mud line.
applicable, shall be used for liquefaction evaluation.
For soil layers deeper than 65 ft below ground For fine-grained soils up to the depth of 65 ft below
surface, only site-specific seismic site response analyses the ground surface or mud line, the evaluation criteria for
shall be performed to estimate earthquake-induced shear liquefaction (or for significant strength reduction
stresses. potential) may be in accordance with those discussed in
If earthquake-induced shear stresses are evaluated Youd et al. (2001) and Idriss and Boulanger (2008).
using the empirical procedures, the site-adjusted peak Appropriate laboratory shear strength testing data (e.g.,
ground acceleration (PGA) should be used (see Article tri-axial cyclic shear strength tests) can also be used to
10.5.2). supplement this evaluation.
The estimated earthquake-induced shear stresses For granular soils up to the depth of 65 ft below the
from either the empirical procedures or a seismic site ground surface or mud line, empirical procedures based
response analysis shall then be compared with the on CPT (cone penetrometer test) or SPT (standard
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liquefaction resistance calculated based on SPT/CPT penetration test) data may be used for liquefaction
data. potential evaluations (Idriss and Boulanger, 2008; Youd
The earthquake magnitude shall be determined as et al., 2001).
presented in Article 10.5.2. Care should be taken when interpreting CPT cone
For soil layers in which the initial liquefaction resistance of thin sand layers sandwiched between silt or
(triggering) is to occur based on the analyses discussed clay layers with lower penetration resistance (Youd et al.,
above, a liquefaction impact analysis based primarily on 2001, and Idriss and Boulanger, 2008).
a deformation approach shall be performed.
If the liquefaction impact analyses indicate a
potential for rendering the structures unsuitable for their
purpose owing to movement, appropriate mitigation
measures shall be incorporated.
10.8.4.1.2—Post-Liquefaction Settlements
Post-liquefaction settlements occurring as the excess

pore water pressure generated during the earthquake
gradually dissipates after the shaking ends shall be
estimated by multiplying the post-liquefaction
volumetric strain by the thickness of the liquefiable layer
based on the average cyclic shear stress induced by the
earthquake and the penetration resistance of the soil. The
post-liquefaction settlements calculated using the
procedure described above are the total post-liquefaction
settlements. The tunnels shall be designed to
accommodate not only the total settlements but also the
differential settlements. The minimum differential
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settlement to be used in the design shall be one-half of

the total settlement.
10.8.4.1.3—Liquefaction-Induced Lateral Spreading C10.8.4.1.3
If soil layers susceptible to liquefaction are Analysis of impact of liquefaction-induced lateral

identified, the potential of lateral spreading and impacts spreading is necessary if the limits of potentially
on the tunnel structure shall be evaluated. liquefiable zones encroach upon the limits of the tunnel
and if the tunnel is embedded in soil deposits that are
potentially liquefiable. If the potentially liquefiable
layers are present only above the tunnel crown level at
relatively more shallow depths, any strength loss or
permanent ground deformations (e.g. flow failure) will
not impact the integrity of the tunnel structure.
10.8.4.2—Seismic Slope Instability and Landslides C10.8.4.2
The potential for seismically induced landslides and A capacity-to-demand ratio of 1.0 for the seismic
slope instability shall be evaluated along the tunnel slope stability analysis is used as a screening step for
alignment. If quasi-static slope stability analysis is used, evaluating the need for a more rigorous seismic
the capacity-to-demand ratio shall not be less than 1.0 for displacement analysis. A capacity-to-demand ratio of 1.0
the FEE and SEE. If the computed capacity-to-demand- or greater from a seismic slope stability analysis typically
ratio from the quasi-slope stability analysis is less than indicates acceptable seismic displacements. However,
1.0, an impact study shall be performed based on further evaluation of seismic displacements and the
earthquake-induced slope movements, using the resulting impact on the tunnel structure is warranted if a
Newmark Time-History Analysis (Newmark, 1965). The capacity-to-demand ratio less than 1.0 is obtained from
impact of the potential slope movements on the affected seismic slope stability analysis.
structures shall be assessed. If the impact assessments When quasi-static seismic stability analysis is
yield unacceptable performance of the structures, performed for permanent structures, the horizontal
appropriate mitigation measures shall be incorporated. seismic coefficient should not be less than 50 percent of
the peak ground acceleration, PGA (expressed as a
percent of the gravitational acceleration constant), at the
site location of interest. The PGA should account for the
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site effect (i.e., due to the presence of overburden soil)

and should be developed as outlined in Article 10.5.2. A
detailed discussion of seismic slope stability evaluation
methods is given in Seismic Analysis and Design of
Retaining Walls, Buried Structures, Slopes, and
Embankments (NCHRP Report 611, 2008).
10.8.4.3—Active Fault Crossing Displacement Effects C10.8.4.3
The evaluation of the effects of active fault crossing A detailed discussion of evaluation of the effects of
displacements on the integrity of the tunnel includes active fault crossing displacements is given in AASHTO
characterization of the free-field displacement (i.e., Technical Manual for Design of Road Tunnels—Civil
displacement in the absence of the tunnel) where the fault Elements (AASHTO, 2010), including the analytical
crosses the tunnel and assessment of the effects of the models for assessment of the seismic demands associated
characterized displacements on the tunnel. The analysis with fault rupture. For a discussion of estimating fault
shall be performed using analytical procedures. rupture displacement demands, refer to LRFD Seismic
Analysis and Design of Transportation Geotechnical
Features and Structural Foundations (FHWA, 2011).
10.9—SEISMIC DESIGN OF TEMPORARY C10.9

STRUCTURES
Temporary structures, such as excavation support Depending on the regional seismicity, duration of
systems and the underground structures under temporary the temporary conditions, and established target
conditions, shall be designed to resist seismic loads. The performance criteria, design seismic loads equivalent to
design earthquake for the temporary structures shall be 50 to 100 percent of FEE levels have been used for the
established in consultation with the Owner considering temporary structures by various infrastructure owners.
the regional seismicity, duration of temporary
conditions, and the target performance levels for these
structures. As a minimum requirement, the tunnel
structures shall be designed to avoid collapse and any
damage shall be repairable. In any case, the design
seismic loads for the temporary structures shall not be
less than 50 percent of the FEE ground motion intensity.
In locations where adjacent buildings and their
foundations create an interaction configuration in
conjunction with temporary ground support structures
that would significantly influence the seismic response
of the adjacent buildings themselves, the combined
group of temporary ground support and building
structural configurations shall also be analyzed as a
single permanent structure.
10.10—RETAINING STRUCTURES AND C10.10

PORTALS
The seismic impact on the retaining structures and For calculation of seismic earth pressures and
portals shall be considered. In general, the seismic limitations associated with different methods of analyses,
impacts may be evaluated using seismic slope stability see Article 11.6.5 of the LRFD Specifications.
analysis (Article 10.8.4.2) or using dynamic earth For seismic analysis and design for retaining
pressures (such as using the Mononabe-Okabe method to structures and portals, a performance based design
derive the dynamic earth pressures for evaluation of approach should be adopted. Refer to Seismic Analysis
sliding and overturning potential of the portal structures, and Design of Retaining Walls, Buried Structures,
as discussed in the LRFD Specifications), depending on Slopes, and Embankments (NCHRP Report 611, 2008)
the configuration of the retaining structures and portals. for deformation based approaches applicable to seismic
design of these structures.
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10.11—INTERFACES WITH CROSS-PASSAGES C10.11

AND OTHER STRUCTURES
For interfaces located in soils and mixed-ground A local three-dimensional continuum model may be
conditions, potential stress concentrations shall be used to evaluate lining stress concentration and
evaluated and reinforcement enhancements shall be interaction of the tunnel and the cross-passages.
incorporated in design, as necessary. Alternatively,
expansion joints may be considered to accommodate
potential differential movements.
10.12—SEISMIC JOINTS C10.12
If the results of the longitudinal tunnel response Seismic joints are special flexible tunnel
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analysis indicate that seismic demands are above the connections that are capable of dissipating several inches
limits for the tunnel structure, seismic joints or other of large relative movements generated by the ground
alternatives shall be incorporated to reduce the seismic during seismic events (e.g., 12 in. of lateral movement,
demands. If seismic joints are found to be necessary, the North Point Tunnel in San Francisco; FHWA 2004) by
seismic displacement demands for the seismic joint shall allowing the adjacent sections of the tunnel to move or
be evaluated based on 3-D numerical models capable of rotate relative to each other and thereby reduce the
modeling the longitudinal response of the tunnel together seismic demands on the rest of the tunnel.
with seismic joints.
10.13—NON-STRUCTURAL COMPONENTS AND

EQUIPMENT
Permanent nonstructural components (including

architectural components), their attachments and the
attachments for permanent equipment (including
mechanical/electrical systems) supported by a structure
shall be designed in accordance with the International
Building Code (IBC). The components will be
considered to have the same Seismic Use Group
Category as that of the structure where they occur or to
which they are attached. The horizontal acceleration
response spectra determined based on the seismic site
classes shall be used for the seismic design of the
permanent nonstructural components, equipment, and
their attachments.
The inertial forces exerted by these components
shall also be considered while designing the tunnel
lining.
10.14—REFERENCES
1. AASHTO. Guide Specification for LRFD Seismic Bridge Design. 2nd ed. American Association of State
4. Anderson, D.G., Martin, G.R., Lam, I., and Wang, J.N. National Cooperative Highway Research Report 611:
Seismic Analysis and Design of Retaining Walls, Buried Structures, Slopes, and Embankments. NCHRP,
Transportation Research Board, Washington DC, 2008.
5. ASCE and Committee on Gas and Liquid Fuel Lifelines. Guidelines for the Seismic Design of Oil and Gas
Pipeline Systems. American Society of Civil Engineers, New York, NY, 1984.
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6. CSABAC. Seismic Soil-Foundation-Structure Interaction, final report. Caltrans Seismic Advisory Board Ad
Hoc Committee on Soil-Foundation-Structure Interaction (CSABAC), California Department of Transportation,
Sacramento, CA, 1999.
7. Darendeli, M.B. Development of a New Family of Normalized Modulus Reduction and Material Damping
Curves. University of Texas at Austin, Ph.D. Dissertation, 2001.
8. EPRI. Guidelines for Determining Design Basis Ground Motions, Volume I: Method and Guidelines for
Estimating Earthquake Ground Motion in Eastern North America. Electric Power Research Institute, Palo Alto,
CA, 1993.
9. FHWA. Publication No. FHWA-HRT-05-067, Seismic Retrofitting Manual for Highway Structures: Part 2—
Retaining Structures, Slopes, Tunnels, Culverts, and Roadways. U.S. Department of Transportation Federal
Highway Administration, Washington, DC, August 2004.
10. FHWA. Publication No. FHWA-NHI-11-032, GEC No. 3, LRFD Seismic Analysis and Design of
Transportation Geotechnical Features and Structural Foundations, Rev. 1, U.S. Department of Transportation
11. Hashash, Y.M.A., Hook, J.J., Schmidt, B., and I-Chiang Yao, J. “Seismic Design and Analysis of Underground
Structures,” Tunneling Underground Space Technology Vol. 16, 2001, pp. 247–293.
12. Idriss, I.M. and Boulanger, R.W. Soil Liquefaction during Earthquake, Earthquake Engineering Research
Institute, Monograph MNO 12, 2008.
13. Menq, F.Y. Dynamic Properties of Sandy and Gravelly Soils, University of Texas at Austin, Ph.D. Dissertation,
2003.
14. NCHRP 20-68A. Scan 09-05, Best Practices for Roadway Tunnel Design, Construction, Maintenance,
Inspection, and Operations. Arora and Associates, P.C., Lawrenceville, NJ, April 2011.
15. Newmark, N. “Effects of Earthquakes on Dams and Embankments,” Geotechnique. Thomas Tellford, London,
UK, Vol. 15, No. 2, 1965, pp. 139–160.
16. O’Rourke, M.J., Liu, X. Response of Buried Pipelines Subject to Earthquake Effects, MCEER Monograph
No. 3, MCEER Publications, Buffalo, NY, 1999.
17. Owen, G. N., and Scholl, R. E., FHWA/RD-80/195, Earthquake Engineering of Large Underground Structures.
18. Wang, J.-N. Monograph No. 7, Seismic Design of Tunnels—A Simple State-of-the-Art Design Approach,
Parsons Brinckerhoff, Inc., New York, NY, 1993.
19. Youd, T.L. Screening Guide for Rapid Assessment of Liquefaction Hazard at Highway Bridge Site¸ Technical
Report MCEER-98-005, MCEER Publications, Buffalo, NY, 1998.
20. Youd T.L., Idriss, I.M., Andrus, R.D., Arango, I., Castro, G., Christian, J.T., Dobry, R., Finn, W., D.L. Harder,
L.F., Jr., Hynes, M.E., Ishihara, K., Koester, J.P., Liao, S.S.C., Marcuson, W. F., III, Martin, G.R. Mitchell,
J.K., Moriwaki, Y., Power, M.S., Robertson, P.K., Seed, R.B., and Stokoe, K.H., II, “Liquefaction resistance of
soils: Summary Report from the 1996 NCEER and 1998 NCEER/NSF Workshops on Evaluation of
Liquefaction Resistance of Soils,” Journal of Geotechnical and Geoenvironmental Engineering, Vol. 127, No.
10, American Society of Civil Engineers, 2001, pp. 817–833.
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APPENDIX A
PLANNING AND ROUTE CONSIDERATIONS

TABLE OF CONTENTS
A.1—SCOPE ............................................................................................................................................................ A-1
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A.2—ABBREVIATIONS ........................................................................................................................................ A-1
A.3—ENVIRONMENTAL ...................................................................................................................................... A-1
A.3.1—General .................................................................................................................................................... A-1
A.3.2—Environmental Permits ............................................................................................................................ A-2
A.3.3—Avoidance/Minimization of Environmental Resources ........................................................................... A-2
A.3.4—Floodplains .............................................................................................................................................. A-3
A.3.5—Wetlands/Waterways ............................................................................................................................... A-4
A.3.6—Navigable Waterways .............................................................................................................................. A-5
A.3.7—Groundwater ............................................................................................................................................ A-5
A.3.8—Cultural Resources................................................................................................................................... A-6
A.3.9—Environmental Justice ............................................................................................................................. A-6
A.3.10—Section 4(f) Resources ........................................................................................................................... A-7
A.3.11—Environmental Compliance ................................................................................................................... A-7
A.3.12—Public and Agency Involvement ............................................................................................................ A-8
A.3.13—Economics ............................................................................................................................................. A-9
A.3.14—Aesthetics .............................................................................................................................................. A-9
A.4—GEOLOGIC FEATURES AND SUBSURFACE CONDITIONS ............................................................... A-10
A.4.1—Subsurface Investigation........................................................................................................................ A-10
A.4.2—Ground Conditions ................................................................................................................................ A-10
A.5—EXISTING INFRASTRUCTURE ................................................................................................................ A-11
A.6—CONSTRUCTABILITY CONSIDERATIONS ........................................................................................... A-12
A.6.1—Construction Methodology .................................................................................................................... A-13
A.6.2—Noise and Vibration ............................................................................................................................... A-14
A.6.2.1—Noise Controls ................................................................................................................................ A-14
A.6.2.2—Vibration Controls .......................................................................................................................... A-15
A.6.3—Muck Removal and Disposal ................................................................................................................. A-16
A.6.4—Staging Areas ........................................................................................................................................ A-17
A.6.5—Traffic and Public Transportation.......................................................................................................... A-18
A.6.6—Safety and Security ................................................................................................................................ A-19
A-i
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A-ii LRFD ROAD TUNNEL DESIGN AND CONSTRUCTION GUIDE SPECIFICATIONS
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APPENDIX A: PLANNING AND ROUTE CONSIDERATIONS A-1
A.1—SCOPE
This section provides guidance with regard to the

environmental aspects associated with road tunnel
planning and design.
A.2—ABBREVIATIONS
AHJ: Authority having jurisdiction

APE: Area of potential effects
EIS: Environmental Impact Statement
FEIS: Final Environmental Impact Statement
EPA: Environmental Protection Agency
FEMA: Federal Emergency Management Agency
FHWA: Federal Highway Administration
FONSI: Finding of no significant impact
MOA: Memorandum of agreement
NEPA: National Environmental Policy Act
NIOSH: National Institute for Occupational Safety and Health
PA: Programmatic agreement
PIARC: World Road Association
PST: Portable sediment tank
ROD: Record of decision
SHPO: State historic preservation office
USDOT: United States Department of Transportation
A.3—ENVIRONMENTAL
A.3.1—General CA.3.1
Tunnel construction has the most dramatic impact on Depending on the tunnel alignment, road tunnels can
the natural environment where the tunnel interfaces with in many ways lessen environmental impacts as compared
the surface. These interfaces often involve large open to surface roadways and bridges. Tunneling can help to
excavations. The impact of the large open excavations reduce traffic congestion, improve regional air quality,
required for tunnel construction must be considered reduce noise, and improve aesthetics. Tunnels also
during the environmental planning phase of the project. provide opportunities for improved economic potential
During dredging for immersed tunnels, consideration from land development opportunities at the surface. On
shall be given to investigating certain excavation methods the other hand, immersed tunnels have impacts related to
for the possibility of limiting suspended solids, such as underwater bed levels and dredging activities. Dredging
the use of sealed buckets. During the National generates bottom disturbance and creates turbidity in the
Environmental Policy Act (NEPA) phase, existing fauna water.
and flora and other ecological issues shall be investigated
to determine whether environmentally and ecologically
adverse consequences are likely for a specific project.
Also, an assessment on fish migration, spawning periods,
and mitigation measures shall be identified.
As the project advances into final design, ensure Environmental effects that are typically evaluated
compliance with the approved NEPA document, continue during NEPA/planning and into the design phase include:
to evaluate and assess environmental impacts for • ecological (such as the effects on natural
consistency with the NEPA document, continue to avoid resources and on the components, structures,
and minimize impacts as much as possible during design, and functioning of affected ecosystems),
implement environmental commitments and mitigations • water quality,
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A-2 LRFD ROAD TUNNEL DESIGN AND CONSTRUCTION GUIDE SPECIFICATIONS
during the design phase, as applicable, and obtain all • aesthetic,

environmental permits or approvals required as part of a • historic,
specific project. Any proposed substantive changes to the • cultural,
preferred alternative shall be evaluated in accordance • communities,
with 23 CFR Sections 771.129 and 771.130, and shall be • businesses,
approved by the lead federal agency before the agency • economic,
may proceed with the change.
• noise,
• dust, or
• health,
whether direct, indirect or cumulative.

Effects may also include those resulting from actions
which may have both beneficial and detrimental effects,
even if on balance the agency believes that the effect will
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be beneficial.
Numerous federal, state, and local permits and
approvals are typically required and obtained during the
design and construction phases for various aspects of
projects.
A.3.2—Environmental Permits CA.3.2
Coordination with relevant federal, state, and local Permits and approvals are typically obtained as the
regulatory and resource agencies shall continue project design and limits of disturbance are further
throughout final design and construction. All permits and refined. This includes implementing avoidance and
approvals shall continue to be identified throughout the minimization design measures and finalizing construction
design and construction phases of projects, and applied staging and access areas. Permits include approvals for all
for and obtained at appropriate times to adhere to the media including water; air; land; cultural resources;
project design and construction schedules. threatened and endangered species; waste
management/hazardous materials handling,
transportation, and disposal, among others, as applicable
to a specific project.
In addition to federal permits and approvals, state and
local agencies often require permits and approvals for
certain activities.
As such, the design team shall be familiar with all In an effort to avoid and/or minimize potential effects
previously made commitments or mitigations so that during construction of a project, environmental
appropriate measures are included as part of the project’s commitments and mitigation measures that the
design plans and construction contract. Previously construction contractors will be required to follow are
obtained permits shall also be reviewed for special permit typically identified during the NEPA phase.
conditions or mitigation requirements that are to be
considered and implemented during design.
A.3.3—Avoidance/Minimization of Environmental CA.3.3

Resources
During the design phase for any tunnel project, avoid Construction-related impacts can often be minimized
and minimize environmental impacts as the design and by appropriate design stage decisions and by
limits of disturbance are refined. Different design implementation of construction techniques and
strategies shall be considered and implemented during construction access.
design to achieve effective avoidance or minimization of
resource impacts. Typical tunnel design strategies that
shall be considered for avoidance or minimization include
horizontal/vertical alignment shifts, retaining walls, steep
slopes, and other design techniques, such as the use of
sealed clam shell dredge buckets for reducing turbidity.
Additionally, different construction techniques shall be
considered during the design phase as a means to avoid
and minimize the disturbance to environmental resources.
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Access to the project site and construction staging areas

shall also be considered.
Best management practices shall also be considered
to minimize environmental impacts. During design,
appropriate measures for controlling sediment and runoff
during construction shall be incorporated into design
plans. A variety of measures shall be considered during
final design to avoid and minimize storm water-related
water quality problems caused by earth disturbance.
Appropriate controls shall be selected for addressing
unique characteristics and problems posed by specific
sites.
Soil and erosion control best management practices
shall be in accordance with federal, state, and local
standards and specifications for soil erosion and sediment
control, as applicable to the project. The potential for
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water quality effects shall be minimized through

adherence to sediment and erosion control plans, which
include best management practices such as silt fence,
super silt fence, sediment basins, sediment traps, earth
dikes, diversion fence, stone and gabion outlet structures,
outfall protection, and other methods to capture potential
sediments from exposed soils. In addition to treatment of
sediment laden runoff resulting from surface construction
activities, filter bags, portable sediment tanks (PSTs), or
other acceptable filtration devices shall be considered
during the design phase to filter discharge pumped from
subsurface activities such as tunnel boring and cut-and-
cover construction.
Consideration during design shall be given to State and local regulations and permitting
necessary dewatering operations. Necessary dewatering requirements often dictate the method of disposal.
permits shall also be obtained at the appropriate time,
either during design or construction, and dewatering shall
be performed according to permit
specifications/requirements. Pretreatment techniques
shall be addressed, such as the need for oil/water
separation, grit chambers, and/or chemical treatments that
may be required prior to discharge. Filtration methods,
sedimentation basins, controlled pumping rates, and
protection of catch basins with filter fabric and/or hay
bales shall be addressed in the design to limit discharge of
suspended solids into storm drains or surface waters.
Contaminated material may need to be placed in confined
disposal facilities.
A.3.4—Floodplains
Flood elevations and required freeboard shall be

taken as established by the owner with regard to the
anticipated service life of the tunnel accounting for
weather events, climate change, and sea-level rise.
Construction occurring within the FEMA-designated
100-year floodplain shall comply with FEMA-approved
local floodplain construction requirements, and be in
accordance with the requirements of Executive Order
11988. If, after compliance with the requirements of
Executive Order 11988 and U.S. DOT Order 5650.2, new
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construction of structures or facilities are to be located in

a floodplain, accepted flood proofing and other flood
protection measures shall be applied.
A.3.5—Wetlands/Waterways CA.3.5
During the design phase, wetlands and waterways Waters of the U.S., including wetlands, are regulated
shall be delineated and flagged in accordance with the under Sections 401 and 404 of the Clean Water Act.
U.S. Army Corps of Engineers (USACE) Wetland Executive Order 11990 of the Federal Register (FR) (42
Delineation Manual or appropriate regional supplement. FR 26961E.O. 11990, May 1977), entitled Protection of
If these resources were previously delineated during an Wetlands, was enacted to avoid to the extent possible the
earlier phase (e.g., NEPA or planning phase), verify with long- and short-term adverse impacts associated with the
the regulatory agencies that the delineation remains valid destruction or modification of wetlands, to avoid direct or
and that all resources remain jurisdictional. The extent of indirect support of new construction in wetlands
the field delineation shall also be evaluated to confirm wherever there is a practicable alternative, and to ensure
that the wetlands/waterways delineation study area that proposed construction incorporates all possible
encompassed the entire limit of disturbance established measures to limit harm to wetlands. Many states also
during the design phase. If not, a supplemental field regulate these resources.
delineation may be required. Impacts to wetlands/waterways will vary depending on
a specific project and may include impacts at the surface,
near portals or portal approaches, or impacts may occur
from dredging operations associated with the construction
of immersed tunnels.
Installation of an immersed tunnel requires agency Immersed tunnels are often selected over bridges for
coordination and procurement of a Section 404 permit water crossings for various reasons such as shorter portal
and other related disposal site permits. approaches and shorter overall length as compared to
bridges. Tunnels can also be used to avoid the potential
hazards to navigation that can be created by bridges.
Tunnels can also often be constructed in soils that would
otherwise create challenges to a bridge structure. Despite
some of these advantages, trench excavation in any
waterway is an environmentally sensitive issue.
Immersed tunnels often have negative impacts related to
underwater bed levels and dredging activities. Dredging
generates bottom disturbance and creates turbidity in the
water, which can affect aquatic ecology, fish or aquatic
species habitat, fish migration, and spawning periods.
Once the environmental conditions have been set by
the planning and permitting process, extreme care shall
be taken to meet these permit conditions, including
incorporation of design elements and clear specifications
to the Contractor.
During design, scheduling of construction activities, Trench excavation is often complicated by
use of environmentally friendly construction techniques contaminated materials, tides, storms, and construction
and equipment, and innovative methods of dealing with restrictions in waterways due to environmental concerns.
contaminants shall be considered.
Wetland/waterway avoidance or minimization design
strategies committed to during earlier phases shall be
adhered to, and any additional design techniques for
further avoidance/minimization shall be considered and
implemented where practicable and to the greatest extent
practicable. For example, for an immersed tunnel,
dredging methods and equipment shall be designed to
limit the dispersal of fine materials in the water. Turbidity
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or silt curtains or other measures shall be used where

appropriate. Methods, materials, and mitigation measures
shall be specified to avoid or reduce the impacts of
excavation, filling, and other operations on the aquatic
environment.
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Where the discharge of fill material into waters of the

U.S., including wetlands, is unavoidable, Section 404 of
the Clean Water Act and Section 10 of the Rivers and
Harbors Act of 1899 permits shall be obtained from the
U.S. Army Corps of Engineers (USACE). Similar state
and local permits may also be required. Measures shall
also be taken to mitigate these impacts in accordance with
Section 404 and Section 10.
Mitigation measures employed to compensate for
unavoidable project effects to waters of the U.S.,
including wetlands, shall follow federal and state
regulations and guidelines, as well as other
recommendations from federal and state resource
agencies.
A.3.6—Navigable Waterways CA.3.6
Navigable waters within the project study area shall The USACE regulates structures that are located in,
be identified, and a Section 10 permit shall be obtained, if under, or over navigable waters of the U.S. under Section
applicable. 10 of the Rivers and Harbors Act of 1899.
Navigable waters of the U.S. are those “waters that are
subject to the ebb and flow of the tide and/or are presently
used, or have been used in the past, or may be susceptible
for use to transport interstate or foreign commerce” (33
C.F.R Part 329.4). Coordination with the USACE and
U.S. Coast Guard is recommended to determine the
navigability of certain waterways.
Projects requiring a Section 10 permit may range from
a simple tunnel bore crossing of a small stream considered
to be navigable to an immersed tunnel project within a
large waterway or harbor.
All impacts on navigation in all navigable waterways
shall be considered and addressed, and often require
extensive permitting.
A.3.7—Groundwater
During design, groundwater levels shall be evaluated

to determine the need and extent for dewatering
operations. When groundwater levels are higher than the
base level of the tunnel, excavations require dewatering.
Dewatering systems vary depending on soil permeability.
Precautions shall be taken on dewatering to avoid impacts
such as lowering the water table outside the excavation,
which could cause settlement of adjacent structures, loss
of soil, impact on vegetation, drying of existing water
supply wells, and potential movement of contaminated
plumes, if present. Consider the use of impermeable
excavation support walls that extend down to a firm,
reasonably impermeable stratum, which will reduce or cut
off water flow. Other design techniques may include
impervious retaining walls, such as steel interlocking
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sheeting, secant pile walls, or concrete slurry walls, for

use in deeper less pervious layers to reduce groundwater
inflow during construction and limit draw-down of the
existing groundwater table. Other dewatering techniques
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to be considered depending on a project include sumps

and pumps within the excavation to draw down the water.
Necessary dewatering permits shall be obtained, and
dewatering must be performed according to permit
specifications/requirements.
A.3.8—Cultural Resources CA.3.8
Historic and archaeological resources shall be Compliance with Section 106 of the National Historic
assessed in accordance with the regulations (36 CFR Part Preservation Act of 1966 is typically initiated during the
800) implementing Section 106 of the National Historic NEPA process; however, impacts to cultural resources
Preservation Act of 1966, and the area of potential effects must continue to be evaluated during the design phase to
(APE) for the project shall be determined by the lead ensure continued compliance. PAs or MOAs are also
federal agency in consultation with the State Historic typically executed during the NEPA planning phase;
Preservation Office (SHPO). Be aware of any however, they are typically implemented during the
Programmatic Agreements (PAs) or Memorandums of design and construction phases. Continued coordination
Agreement (MOAs) executed during planning, and with the SHPO and continued assessment is typically
adhere to the commitments at the appropriate times during required as the project advances into the design and
design and construction. construction phases.
During the design phase, cultural resources shall During the design phase, it is typical that a Phase IB
continue to be evaluated to ensure that the design archeology identification survey of limits of disturbance
complies with the original Section 106 assessment of of the subsurface alignment be conducted, along with any
effects. Additionally, if a Section 106 PA or MOA was additional Phase II archeological evaluation studies of
executed for the project, the Engineers shall review the archeological sites identified, and Phase III archeological
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PA or MOA for stipulations related to cultural resource data recovery efforts for National Register-eligible sites
processes for the completion of the project and for that cannot be avoided. The Section 106 PA or MOA
mitigation requirements in accordance with Section 106, typically outlines these work efforts.
as applicable.
The design team and lead agency shall continue
consultation during design with the SHPO, with input
from other consulting parties, for identifying additional
potential historic properties, identifying and minimizing
and/or mitigating unanticipated adverse effects, and
providing project plans and soliciting comments on
design-related issues of the built project components.
Adhere to commitments related to continued Typically, the PA or MOA will stipulate requirements
coordination with Section 106 Consulting Parties. for continued coordination efforts during design with
references to type of coordination necessary and at what
design milestones.
A.3.9—Environmental Justice CA.3.9
Federal projects shall comply with Executive Order Compliance with Executive Order 12898 is typically
12898, “Federal Actions to Address Environmental completed during the NEPA process.
Justice in Minority Populations and Low-Income
Populations,” as implemented through the U.S.
Department of Transportation Order (U.S. DOT Order)
5610.2(a) to Address Environmental Justice in Minority
Populations and Low-Income Populations.
Disproportionate impacts to Environmental Justice
populations must continue to be evaluated during the
design phase to ensure continued compliance, which may
include continued public outreach to Environmental
Justice communities. Refer to FHWA’s Guidance on
Environmental Justice and NEPA, December 16, 2011.
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A.3.10—Section 4(f) Resources CA.3.10
The proposed use of land from any significant The provisions of this article are mandated by Section
publicly-owned public park, recreation area, wildlife 4(f) of the U.S. Department of Transportation Act of
and/or waterfowl refuge, or any significant historic site 1966, 49 USC § 303(c). Refer to FHWA’s Section 4(f)
shall not be approved as part of a federally-funded or Policy Paper, July 20, 2012.
approved transportation project unless:
• It is determined that there is no feasible and
prudent avoidance alternative to the use of
land from the property, and the action
includes all possible planning to minimize
harm to the property resulting from such use
(23 CFR 774.3(a)), or
• It is determined that the use of the Section
4(f) properties, including any measures to
minimize harm (such as avoidance,
minimization, mitigation, or enhancements
measures) committed to by the applicant,
would have a de minimis impact on the
property (23 CFR 774.3(b)).
Impacts to Section 4(f) resources shall continue to be Compliance with Section 4(f) is typically completed
evaluated during the design phase to ensure the design during the NEPA process.
and impacts to Section 4(f) resources are consistent with
the final Section 4(f) Evaluation. If design changes are
proposed that affect Section 4(f) resources, additional
impact assessment, evaluation, and coordination with
agencies having jurisdiction over the Section 4(f)
resources will likely be required.
A.3.11—Environmental Compliance CA.3.11
All environmental commitments made throughout Typically, environmental management/compliance

the NEPA and permitting processes shall be met at the plans are prepared to ensure that environmental
appropriate time, either in design, construction, or post commitments are adhered to and to identify the
construction, depending on the commitment and agency coordination necessary for limiting potential impacts to
coordination. Review of project elements shall continue the environment, protected resources, and communities
through all phases of the project, as appropriate. During within and adjacent to the project area.
design, the design team shall coordinate with the
NEPA/planning team to obtain all environmental
commitments agreed to prior to the design phase.
Engineers shall request a copy of the environmental
management/compliance plan, or similar document, if
one was prepared for the project. Whether
outlined/documented in an environmental
management/compliance plan or not, the design team
shall obtain relevant environmental information related to
the design, such as:
• Environmental requirements of the project that
require compliance with federal, state, and local
regulatory permit conditions and the procedures
defined to meet them.
• Environmental commitments and mitigation
measures stipulated within the final NEPA
decision document; Section 106 PA or MOA, if
applicable; regulatory agency
permits/approvals; and any other commitment
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document, to ensure that these requirements are

identified in the Contract documents
• Responsibilities and actions required to maintain
compliance with environmental requirements
during design and construction.
• Necessary procedures for communication,
documentation, and review of environmental
compliance activities for the construction
contract.
• Protected resources within the project area and
the types of mitigation measures needed to
protect them.
• Ensure that the contract documents include
requirements for Contractors to provide all
means and methods to avoid or minimize
impacts to the environment and general public.
A.3.12—Public and Agency Involvement CA.3.12
The public shall be involved throughout the NEPA Public and agency involvement is integral to the
process. overall project efforts throughout the planning and design
phases of projects. Public involvement early during the
planning and NEPA phase allows for consideration of
public comment related to the range of alternatives, the
tunnel alignment/location, and other concerns such as
environmental impacts.
Section 1506.6 of NEPA requires the lead federal
agency to involve the public throughout the NEPA
process. The lead agency for federal highway projects is
typically FHWA. Specifically, the FHWA policy 23 CFR
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Section 771.105(c) states, “Public involvement and a
systematic interdisciplinary approach are essential parts
of the development process for proposed actions.” The
lead agency has the responsibility to ensure compliance
with NEPA and prepare the environmental document.
The lead agency is also responsible (during NEPA) for
identifying and inviting cooperating and participating
agencies. Cooperating agencies, as defined in 23 CFR
Section 771.109(3), are federal agencies that are
requested to participate during the NEPA phase because
they have jurisdiction by law or special expertise.
Cooperating agencies may also include state or local
agencies and tribal governments. There may be multiple
cooperating agencies depending on the issues associated
with the project. Participating agencies may include
federal, state, Native American tribal, and local
government entities with an interest in the project.
Effective public and agency involvement typically
assists in a meaningful and productive process that results
in minimal project delays. It is important to learn the
viewpoints and opinions of stakeholders in transportation
projects as it is the stakeholders that tend to be the users
or those affected by the construction or traffic related to
projects.
Although NEPA requires public involvement Refer to the NEPA decision document for information
throughout the NEPA process, the Engineer shall satisfy on cooperating and participating agencies, and for any
any public and agency involvement requirements or specific public and agency involvement commitments
commitments for a specific project that extend into the that require implementation during later phases of the
design phase. Engineers shall request a copy of the project, including the design phase.
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public/agency involvement plan, if one exists, to Public and agency involvement during design will
understand and support in its implementation for planned vary depending on the project, level of controversy,
activities during the design phase. If not already outlined permits required (some permits require the opportunity
prior to the design phase, the lead federal or state agency for a public hearing), lead federal or state agency
shall consider development of an appropriate and associated public/agency involvement
public/agency involvement plan during the design phase policies/guidelines, and commitments related to
to obtain needed input and most effectively respond to continued outreach efforts, among other considerations.
problem situations or agency/public concerns during For some projects, a public/agency involvement plan is
design. prepared that outlines the plan to engage the public and
agencies throughout the life of the project, from planning,
through design and construction.
A.3.13—Economics CA.3.13
During the design phase, adhere to the final NEPA During the NEPA phase, the characteristics of the
decision document. Any proposed substantive changes to existing economy within the project study corridor and
the preferred alternative shall be evaluated in accordance the likely effects associated with the project’s preferred
with 23 CFR Sections 771.129 and 771.130 and shall be alternative on the economy are considered and
approved by the lead federal agency before the agency documented. In addition to general economic impacts, the
may proceed with the change. If a reevaluation or NEPA document typically also discusses the fiscal impact
supplemental document is required, the economics shall of the project on local property taxes. An analysis of tax
also be reassessed. As the project moves into final design, revenue changes as a result of the proposed project is
construction duration and budget projections, as well as typically conducted and documented in the NEPA
right-of-way requirements, shall continue to be refined document. For example, the analysis would be based on
and evaluated. Any newly acquired private property shall the estimated right-of-way needs associated with
be transferred to transportation use and become part of the construction of the preferred alternative.
public right-of-way, thus removing the property from the
local tax base.
During the design phase, tunnel construction
materials shall be selected with due consideration of
projected future costs. During design, the effects of trends
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in labor and material cost fluctuations shall be projected

to the future tunnel construction year. The cost of future
expenditures during the projected service life of the tunnel
shall be considered. Regional factors, such as availability
of skilled labor, material, fabrication, location, shipping,
and erection constraints, shall also be considered.
During the design phase, the option for accepting
alternative contract plans may be considered and bid
competitively. If this option is selected, the alternative
plan designs shall be equally safe, serviceable, and
aesthetically pleasing.
Cost comparisons of structural alternatives shall be
based on long-range and life cycle considerations,
including inspection, maintenance, repair, and/or
replacement. Maintenance costs after initial construction
shall be considered when evaluating costs.
A.3.14—Aesthetics CA.3.14
During the design phase, adhere to the final NEPA During the NEPA phase, the proposed aesthetics at
decision document as it relates to visuals and aesthetics. portals and ventilation shafts are typically very
conceptual. NEPA requires the assessment and
consideration of aesthetics, but it is typically more related
to the tunnel portal and shaft locations and features as
opposed to specific aesthetic elements and treatments,
which are typically not known during the planning phase.
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There are typically commitments or requirements to

engage the public or other stakeholders during the design
phase to present alternative aesthetic options and
treatments and obtain public comments.
There are multiple engineering and environmental For road tunnel projects, the most visible permanent
factors that are considered and assessed in selecting the elements of tunnels are the portals and ventilation
locations of portals and ventilation shafts. Among the structures.
considerations, portals and ventilation shafts shall be
located such that they satisfy environmental and air
quality requirements, as well as the geometric
configuration of the tunnel.
As design progresses beyond the NEPA phase, Tunnel portal and ventilation shaft locations are
review commitments related to aesthetics identified in the identified during NEPA, but the details of the aesthetic
final NEPA decision document or other commitment elements are not typically known at this early phase.
documents or agreements. There are often commitments made during the early
planning phases to seek community and stakeholder input
regarding the aesthetic elements and treatments of tunnel
portals to address visual impacts.
The Engineers shall consider an aesthetically Not only is the geographic location of the portals and
pleasing portal that fits appropriately within its ventilation structures important to consider, but the
surroundings and shall implement context sensitive materials and vertical and horizontal positioning are also
design techniques, particularly in historic-eligible areas important.
or within community settings. The project may have prior
commitments to seek input from certain agencies,
stakeholders, communities, or Section 106 Consulting
Parties related to the aesthetic design of portals or
ventilation shafts.
Other design elements or mitigation measures to
consider, if required, may include the potential use of
structured screening, architectural and landscape
treatments to reduce effects to neighboring properties,
pedestrian lighting, decorative paving materials, or
incorporation of public art, among other design
considerations.
A.4—GEOLOGIC FEATURES AND SUBSURFACE

CONDITIONS
A.4.1—Subsurface Investigation CA.4.1
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An appropriate subsurface investigation including Subsurface investigations performed during the
soil borings, rock cores, laboratory testing of ground planning phase of a project should be planned to gather
samples, geophysical studies, geological mapping, survey information that generally identifies the ground
and site reconnaissance, groundwater monitoring and conditions along proposed alignments. This can assist in
environmental studies shall be conducted in accordance determining the appropriate tunneling methodology and
with Section 5 of this specification. preferred alignment locations. Subsurface information
A phased subsurface investigation shall be conducted gathered early in the process can be helpful to avoid large
to obtain the information necessary and appropriate for changes after preferred alignments are identified.
each design phase of the project that also reflects the
selected procurement delivery method.
A.4.2—Ground Conditions CA.4.2
Ground conditions for tunneling shall be defined as The ground and groundwater conditions dictate the
soft ground, rock, or mixed-face. appropriate tunneling methodology and may have an
The tunneling methodology selected for a project impact on the feasibility of the tunnel. Ground conditions
shall be suited to the anticipated range and type of ground typically transition from one type to the next, for example,
and groundwater conditions along the length of the soft ground can overlay rock. There may also be transition
tunnel. zones where soft ground transitions to rock without a
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defined boundary. It is ideal to be able to tunnel with the

full face in a single ground condition for the entire length
of the tunnel, but this is rarely the case.
A.5—EXISTING INFRASTRUCTURE CA.5
During the NEPA process, impacts to any existing

infrastructure shall be considered and assessed based on
the preliminary tunnel design. The choice for location and
profile of the tunnel shall have already been supported by
analyses of alternatives, which is typically completed
during the planning and NEPA phase of tunnel projects.
During design, review the NEPA document related to Inevitably, impacts to existing infrastructure will
anticipated impacts to existing infrastructure, as well as likely result from any tunnel project’s preferred
any design-related commitments or other mitigation alternative.
measures. As the design phase advances beyond the
NEPA phase, attention shall continue to be directed
toward providing for favorable tunnel design that
minimizes adverse impacts to other existing infrastructure
while maintaining safety. Existing infrastructure to
consider avoiding and minimizing impacts to during
design, construction, and post construction may include,
but is not limited to:
• roadway facilities and traffic,
• public transit systems (e.g., buses, light rail,
heavy rail),
• pedestrian and bicycle facilities (e.g., sidewalks,
bike lanes, trails),
• public parking,
• water and power lines,
• railroads,
• bridges,
• other tunnels and portals,
• communication systems,
• residential, commercial, and public institutional
buildings (e.g., schools, post offices), and
• utilities.
Any design-related commitments shall be included in
the design plans and specifications. For example, a
specific sidewalk design width may have been a
commitment made during the NEPA phase that would
require implementation of that specific design feature
during the design phase. Appropriate specifications shall
also be included in the contract documents for any
construction phase commitments that shall be completed
during construction. For example, there are often
commitments or mitigation measures to ensure that
neighborhood streets and sidewalks be returned to
existing conditions upon completion of construction. The
design team shall include these types of construction
specifications in the contract documents during the design
phase, even though implementation of the commitment is
not fulfilled until the construction phase.
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Be aware of and obtain any necessary permits related Some permit requirements extend beyond the
to infrastructure impacts. Even if a permit is not required, construction phase of a project. An example is the
there are typically requirements or commitments to planting of vegetation that must be monitored until the
coordinate infrastructure impacts during the design and vegetation has established itself.
construction phases. Coordination and permit
procurements shall be completed at the appropriate times
during design, construction, and post construction,
including operation and maintenance activities.
A.6—CONSTRUCTABILITY CONSIDERATIONS CA.6
The design phase of tunnel projects shall identify and Though the location and type (i.e., bore, immersed,
design based on anticipated construction methods, cut-and-cover) of tunnels are typically identified in the
activities, and sequencing that are reasonably expected to planning and NEPA phase, construction details are not
be employed and undertaken during the construction finalized during these early phases, and therefore require
phase. The NEPA document typically includes much greater attention to detail during the design phase.
commitments or mitigation measures to be considered or For the majority of their length and depending on the
implemented during the design and construction phases construction method, tunnels have no impact on the
to mitigate or minimize negative environmental effects. surface. Cut-and-cover construction would be very
During design, these commitments or mitigation disruptive at the surface during construction, while tunnel
measures that were previously agreed to shall be reviewed boring is only disruptive at the surface portal locations.
and implemented, as applicable.
The vertical profile of the tunnel shall be set with
respect to the geologic conditions and existing
underground infrastructure as well as the surface
infrastructure above the tunnel. Ground subsidence and
vibrations during construction shall be monitored and
controlled. Staging areas shall be identified and made
secure. Construction noise shall be managed and muck
removed and disposed of. During design, the design team
shall consider construction means and methods for
avoiding and minimizing impacts from construction
activities. For example, consideration of using a barge in
certain areas for the storage and transport of material,
rather than creating excessive traffic along haul routes.
Proper planning and restrictions on activities shall be
performed in order to meet local ordinances and
accommodate existing adjacent land use.
During design, construction specifications shall be The areas that are typically most affected by
developed such that construction contractors comply with construction activities generally comprise the areas
applicable environmental regulations and obtain immediately bordering the construction activity.
necessary permits for the duration of construction. However, in some cases, effects from construction
Construction of a project shall follow applicable federal, activities extend beyond the immediate area surrounding
state, and local laws for building and safety, as well as construction sites. For example, the traffic effects of
local noise ordinances, as applicable. delivering or transporting material off site include a
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bigger study area than the study area for the noise effects
of constructing a tunnel portal.
A fabrication location site shall be identified for Construction of an immersed tunnel consists of
immersed tunnels, as required. Dredging methods and excavating an open trench in the bed of a water body.
equipment shall be designed to limit the dispersal of fine Tunnel elements are fabricated off site, transported to the
materials in the water. Turbidity or silt curtains or other tunnel location, lowered into the excavated trench,
measures shall be used where appropriate. Methods, connected together, and backfilled.
materials, and mitigation measures shall be used to avoid
or reduce the impacts of excavation, filling, and other
operations on the aquatic environment. The Engineer
shall identify an acceptable and approved containment
disposal site for the muck removed from the excavated
trench for construction of an immersed tunnel.
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During design, the construction environmental Prior to construction, and often during the design
protection plan shall be reviewed and adhered to as phase, construction environmental protection plans, or a
applicable to the design phase. Specific environmental similar type of plan, are prepared. The purpose of these
requirements and controls shall be tailored to the plans is to identify means, methods, and coordination
construction contract(s) and included in contractor necessary to limit potential impacts to the environment,
specifications. protected resources, and communities within and adjacent
to a project. These reports typically identify:
• Project specific environmental requirements
required to comply with federal, state, and local
regulatory permit conditions and the procedures
defined to meet them.
• Define environmental commitments and
mitigation measures stipulated within the NEPA
document to ensure that these requirements are
identified in the contract documents.
• Define responsibilities and actions required to
maintain compliance with environmental
requirements during design and construction,
and to effectively respond to problem situations
or agency/public concerns.
• Establish necessary procedures for
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communication, documentation, and review of

environmental compliance activities for the
construction contract.
• Describe protected resources within the project
area and the types of mitigation measures needed
to protect them.
• Ensure that Contractors submit all documents
required in the contract documents as they
pertain to the Contractor’s work, and ensure that
Contractors provide all means and methods to
avoid or minimize impacts to the environment
and general public in compliance with the
construction contract documents.
A.6.1—Construction Methodology CA.6.1
A number of construction methods may be used to Additional information regarding tunnel construction
build tunnels depending on geological and environmental methodology can be found in AASHTO’s Technical
conditions, cost, schedule, alignment, tunnel size and Manual for Design and Construction of Road Tunnels—
length, and other factors. Specific construction methods Civil Elements.
and activities may be refined during design and as the
construction delivery methods are identified (Design-
build, Design-bid-build, or other delivery methods).
Typical tunneling construction methods that shall be The selected construction method will have an effect
considered and evaluated during design and depending on on the types of environmental impacts expected during
specific project circumstances (i.e., under land, under construction.
water) include cut-and-cover excavation, bored or mined The types of equipment typically used for construction
tunnels, or immersed tunnels. Depending on project site include various earth-moving machines (excavators,
conditions, construction methods shall be evaluated and graders, bulldozers, loaders, etc.), cranes, pile drivers,
determined, and may include drilling and blasting, tunnel augers, drills, compaction rollers and tampers, concrete
boring machines (TBMs), sequential excavation method, trucks, pumping equipment, generators/compressors,
or jacked tunnel methods, among others. Different various types of trucks (flat bed, dumps, trailers, etc.), and
methods may work for different construction activities— mechanical excavating equipment such as TBMs and
whether it is the actual tunnel portion or an associated roadheaders.
tunnel portal. Actual construction methods and materials will vary
depending in part on how the construction contractors
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choose to implement their work to be most cost effective

within the requirements set forth in bid, contract, and
construction documents, as well as to comply with
mitigation requirements.
A.6.2—Noise and Vibration CA.6.2
Tunnel construction and operation shall comply with During the planning, NEPA and preliminary
applicable regulations, contract specification engineering phase of major tunnel projects, a noise
requirements, and noise and vibration limits, as assessment is conducted in accordance with NEPA, 23
applicable. Noise and vibration concerns for most CFR 772, Procedures for Abatement of Highway Traffic
highway tunnel projects include impacts from Noise and Construction Noise, as amended July 13, 2010,
construction operations and from future traffic at and other relevant federal and state guidance.
approaches to the completed tunnel.
During the design phase, key noise and vibration Road tunnel vibration concerns are typically related
sources and receptors shall be considered and assessed. A to construction operations, such as drilling and blasting,
more detailed noise and vibration impact assessment may and not long-term operation effects. There are no federal
be warranted during the design phase that considers requirements directed specifically to highway traffic
appropriate control measures that demonstrate induced vibration. All studies that highway agencies have
compliance with state or local noise criteria or other done to assess the impact of traffic-induced vibrations
project-specific criteria. The design team shall work with have shown that both measured and predicted vibration
the construction management team, if one exists, to levels are less than any known criteria for structural
develop noise and vibration control strategies for damage to buildings (FHWA, Highway Traffic Noise:
integration into the design specifications. Vibration Analysis and Abatement Guidance, Appendix G,
analysis should be conducted on a case-by-case basis as December 2011).
deemed appropriate and included in the noise analysis or
in a standalone vibration analysis report.
To minimize potential noise and vibration impacts The location of noise and vibration monitoring sites
due to construction activities, the design team shall is identified and preliminary predicted long-term
consider, evaluate, and incorporate performance controls operational and short-term construction effects are
into the contract specifications. This includes assessed and documented in the NEPA document and
specifications related to equipment (e.g., noise and detailed technical reports. Mitigation measures are
vibration suppression devices or other abatement typically investigated to determine their effectiveness in
measures such as enclosures and barriers for the reducing or eliminating noise effects. The NEPA
protection of sensitive receptors). document will likely include some recommended
measures to mitigate or reduce any potential noise and
vibration effects; however, approved control measures
are considered and incorporated into the project during
final design.
The design team shall also consider the need for The Noise and Vibration Control Plan is typically
development of a Noise and Vibration Control Plan, implemented prior to construction to avoid and minimize
which is typically comprised of a Noise Monitoring Plan, noise and vibration impacts. It is not uncommon that the
a Noise Abatement Plan, a Vibration Monitoring Plan, contract specifications require the Contractor to develop
and a Vibration Abatement Plan. During the design phase, this plan.
the need for and the responsible party for preparing these
plans shall be determined, and these documents shall be
prepared prior to construction.
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A.6.2.1—Noise Controls CA.6.2.1
A Noise Monitoring Plan and a Noise Abatement The Noise Monitoring Plan typically includes:
Plan, when required, shall identify and implement • Requirements for testing equipment to
mitigation measures to control noise levels during demonstrate compliance with noise limits and
construction. procedures for reporting compliance,
• Source limits and performance standards to meet
noise level thresholds for daytime, evening, and
nighttime hours at adjacent sensitive land uses,
• Monitoring and reporting procedures, including
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types of noise measurement devices, response

procedures to be taken for any exceedance of
specified noise limit, and compliance response
and resolution procedures.
The Noise Abatement Plan shall include
consideration of noise reduction methods such as:
• Temporary noise barriers at laydown
approaches,
• Routing of trucks and placing equipment farther
from noise-sensitive receptors,
• Alternative construction methods, with special
low noise emission level equipment, and quieter
demolition or deconstruction methods,
• Concrete crushers or pavement saws for
concrete deck removal, demolitions, or similar
construction activity,
• Alternative piling techniques such as bored or
augured piling, rather than impact piling,
• Use of local power grid to reduce the use of
generators,
• Attach intake and exhaust mufflers, shields, or
shrouds to equipment,
• Line noise-deadening materials (rubber) to
inside of hoppers, conveyor transfer points, or
chutes,
• Noise barriers, screens, or enclosures to reduce
the noise from activities such as jackhammers,
spoil being loaded into trucks, or concrete trucks
mixing concrete,
• Restricting hours of operation whenever
possible,
• Fitting jackhammers, air compressors,
generators, light plant and cranes with silencers,
• Cladding crane with timber paneling, and
• Possibly locating ventilation fans, dewatering
pumps, air compressors, and generators in the
tunnel.
A.6.2.2—Vibration Controls CA.6.2.2
The Vibration Monitoring Plan and Vibration The Vibration Monitoring Plan typically includes
Abatement Plan shall identify and implement a proactive requirements or stipulations for:
approach to reduce vibration levels and the possibility of • Performing pre-construction surveys of all
community complaints during construction. buildings to identify appropriate vibration
Measurements shall be taken to establish the potential thresholds at each site, as applicable.
impact of construction activities, such as drill and blast • Monitoring construction vibration levels at all
excavation, on structures. vibration-sensitive structures within the
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influence area of the project during construction

at applicable daytime, evening, and nighttime
periods. Monitoring is typically conducted
during highly disruptive construction activities,
such as blasting, pile driving, and drilling,
particularly if situated adjacent to a sensitive
receptor.
• Process for performing vibration measurements
upon receipt of a vibration complaint, at the
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complainant’s location during activities

representative of the offending operation.
Depending on the particular project construction
methodology and sensitive structures and infrastructure,
the Vibration Abatement Plan shall, as a minimum,
include consideration of the following types of mitigation
measures:
• Construction mitigation measures for each
structure based on the preconstruction surveys.
• Use of deep saw-cuts and/or concrete cutters to
minimize the transmission of vibrations from
pavement-breaking operations to foundations of
nearby structures.
• Use of drilled or vibratory methods rather than
impact pile drivers where feasible for
installation of retaining walls and other
foundation elements.
• Re-routing of truck traffic and heavy equipment
to avoid impacts to sensitive receptors.
• Secure street decking over cut-and-cover
excavations.
• Eliminating bumps in temporary roadways and
decking.
• Scheduling work to limit night time impacts in
residential areas and limit duration of vibration
impacts.
• Heightened attention and controls when working
in historic districts and near historic structures.
It may be necessary to implement special
vibration protection measures in areas near
historic resources and particularly older fragile
buildings.
A.6.3—Muck Removal and Disposal CA.6.3
During design, consideration shall be given to the

removal and disposal of muck from the tunnel. The
contract specifications shall outline the procedures or
require that the Contractor develop a Muck Handling Plan
that outlines proper procedures in accordance with
applicable federal, state, and local regulations. Similarly,
the process and responsibility for procuring necessary
permits shall also be outlined in the contract documents.
The contract specifications or the Muck Handling The material disposal procedures will vary based
Plan shall outline the muck sampling and testing upon the results of the testing.
procedures prior to disposal and/or re-use as fill material
as well as the disposal procedures. As the design
advances, potential disposal and/or recycling facilities in
the project region shall be identified for both non-
hazardous and hazardous materials.
During construction, the Contractors shall determine In general, the machinery typically used to move
quantities to be excavated and disposed of, as well as spoils includes large cranes as well as vertical conveyors
amounts intended to be stored temporarily on-site and to enable loading into trucks and, in some cases, barges.
location of storage. Off-site storage and transport of
materials to disposal sites requires the identification of
intended transport means. During design, various options
for on-/off-site storage and transport routes to disposal
sites shall be identified. Without storage capacity for the
muck on-site, all muck brought out of the tunnel shall
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immediately be loaded onto surface trucks or rail cars for

disposal. The amount of trucks needed shall be estimated,
and a traffic analysis shall be performed to minimize
impact on other traffic in the construction area. Consider
sensitive land uses and community/stakeholder input
when identifying truck haul routes and minimizing
impacts to surrounding areas related to the storage and
transport of materials. Potential noise concerns to
surrounding communities or other sensitive noise
receptors shall be considered and addressed during
construction. Contract specifications and the Muck
Handling Plan shall address means for controlling dust
and noise, such as covering conveyors and hoppers, lining
hoppers with rubber, and enclosing trucks.
For immersed tunnel construction, identify an Tightened environmental restrictions often present
acceptable and approved containment disposal site for the challenges related to the disposal of material. Many water
muck removed from the excavated trench. Contaminated bodies such as harbors or causeways have contaminated
materials shall be disposed of in special spoil containment sediments requiring special handling.
facilities, while uncontaminated materials, if suitable, can Transport of excavated material from trenches within
be considered for backfill. Plan for early identification water bodies typically uses methods such as hydraulic
and approval of a suitable disposal facility as most dredging, which essentially pumps the material to the
existing spoil disposal facilities are too small to containment facility.
accommodate the quality and quantity of wet material
excavated for immersed tunnel construction.
While this article does not address hazardous
contaminant, during the design phase, proper
investigations and studies shall be conducted to identify
the potential for hazardous contaminants within the
construction zone. At a minimum, the contract
specifications shall outline the responsibility for
providing relevant environmental compliance documents
and managing contaminated materials.
A.6.4—Staging Areas CA.6.4
Identify and set up staging areas where construction Tunnel project construction typically requires
machinery and other equipment and materials would be disturbance on above-ground sites for the temporary
delivered, stored, and operated. Staging areas may also stockpiling of spoils (muck) from the tunnels and for
accommodate assembly, launching, and removal of construction materials, machinery, and workers to enter
TBMs, means and methods for ventilating the tunnel, and exit the areas being excavated. Depending on
storage of excavated soil and rock, electrical service available land uses within a particular project study, very
equipment or substation and maintenance, truck loading few vacant parcels are often available within close
and unloading, and rebar cage assembly, among other proximity to the proposed alignment that could be used
uses. for staging areas, particularly in urban environments.
Construction staging areas, also referred to as
“laydown areas,” are sites that are used for the storage of
materials and equipment and other construction-related
activities.
Construction staging areas shall be considered and Immersed tunnel construction requires large staging
identified during the design phase, if not earlier. Their areas for the fabrication of the tunnel elements. These
locations shall be selected based on a variety of staging areas must have water access in order to launch
considerations and factors, including but not limited to: the elements for transportation to the tunnel site.
• size,
• proximity to construction work areas,
• existing and surrounding land uses, and
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• proximity to sensitive habitats, communities,

and sensitive noise/air/dust receptors, among
others.
During design, identify staging areas of adequate size Staging areas are typically fenced and are often lit for
and proximity to the alignment to minimize construction security.
traffic through the project study corridor and to provide
adequate space and access for construction activities.
During design, these staging areas shall be identified While the Contractors may or may not choose to use
and leases and permits obtained for the proposed use and the identified sites, they are likely candidates and provide
impacts. For any staging area that is ultimately used for a reasonable scenario to assess potential environmental
construction of the project, the Contractor shall be and community effects (during the planning/NEPA and
required, as part of contract specifications, to comply with design phase) that may occur from the activities and
applicable local zoning laws and other applicable federal, operations of construction staging areas.
state, and local rules and regulations, and to obtain
necessary permits and approvals.
A.6.5—Traffic and Public Transportation CA.6.5
During design, consideration shall be given to traffic, Construction-related effects often include increased
public transportation, and pedestrian management during traffic because of street or lane closures and restricted
the construction phase for any tunnel project. This shall access to businesses or residences, as well as local area
include planning and design strategies for avoiding, transit affects from such closures and restrictions. These
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minimizing, or mitigating impacts to public roadways, disruptions may include bus stop closures, provision of
sidewalks, and bike lanes, and the maintenance of access temporary bus stops, scheduled delays, and bus route
to residences, businesses, and public services throughout detours.
the project area.
During design, consideration shall be given to the
development and implementation of a Maintenance of
Traffic Plan and Transportation Management Plan for
construction. This requirement and process may be
included in the Contract Documents to provide specific
guidance on traffic, public transportation, and pedestrian
management within the construction zones, haul routes,
and construction staging areas.
Typical mitigation measures that may be
implemented by the Contractors, but shall be considered
during design and incorporated into design plans and
contract documents, as applicable, (and based upon the
Maintenance of Traffic Plans and Transportation
Management Plans) may include:
• Holding meetings to inform the public on

proposed bus route changes prior to the initiation
of bus revenue service.
• Developing and implementing a plan to mitigate
impacts to bus stops and routes during
construction.
• Developing and implementing plans for
maintaining access and circulation with other
transit facilities.
• Giving advance public notice to motorists of the
nature, extent, and duration of lane closings and
detours.
• Placing detour signage in strategic locations, and
using appropriate warning signs.
• Encouraging construction during off-peak hours
whenever feasible.
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• Minimizing disruption of access to residences

and businesses; maintaining open at least one
entrance to a property where multiple entrances
exist.
• Coordinating with other projects in the area that
have potential to impact roadways and create
cumulative effects.
• Establishing parking policies for construction
workers that will help minimize impacts to
residences and businesses.
• Encouraging contractors, inspectors, and other
personnel to use transit, if available, and
discourage the use of private vehicles.
• Installing signage and barriers for protecting and
guiding pedestrians.
• Relocating bus stops at construction sites to
minimize the impacts on surface transit
passengers.
• Removing curbside parking where necessary at
construction zones to provide maximum road
width for traffic lanes.
• Relocating loading and unloading areas as
needed to minimize the impact on businesses in
the area.
• Maintaining or relocating pedestrian sidewalks
within construction areas.
• Providing physical separation between the
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construction zone and sidewalks. Separations

may consist of concrete barriers, wood fencing,
or protective mesh fencing.
• Placing time restrictions on certain construction
activities such as trucking of tunnel spoil,
delivery of materials, etc.
A.6.6—Safety and Security CA.6.6
During design, safety and security considerations

related to the design, construction and operation of any
tunnel project shall be considered and implemented. All
tunnel projects shall address in the design and contract
documents current safety and security systems and
procedures to protect tunnel users and workers, as well as
nearby communities.
Depending on the lead federal and/or state agencies, Safety requirements come from state and federal
the design team shall identify and adhere to system safety, authorities. The unique safety aspects of the underground
fire, and life safety and security design criteria for the environment should be taken into consideration when
governing agency(ies). determining the safety systems to be employed in a tunnel
project.
Potential impacts shall be assessed during design for
identifying whether or not adequate provisions for safe
and secure operations can be made; if the project is
expected to alter the patterns of auto, transit, or pedestrian
accidents; and what design features are included to
minimize these accidents.
During design, a Safety Plan shall be developed that
establishes mechanisms for identifying and addressing
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hazards associated with tunnel operations, maintenance,

and inspections and provides a means of ensuring that the
proposed system is implemented with thorough
evaluation of the potential effect on safety. The Safety
Plan shall provide a framework for ensuring user and
employee safety.
During construction of a tunnel, the safety of Safety during construction is the responsibility of the
construction workers shall be considered and Contractor; however, design and contract documents
implemented by the construction team. Careful must be prepared with safety as a key consideration.
consideration shall be given to the actual worksites so that
workers are protected. Workers shall be protected from
falls, moving equipment, and electrocution. Tunnels shall
be adequately stabilized to reduce the risk of instability in
the exposed ground or falling materials. Appropriate
lighting shall be required within tunnels for safety.
Sufficient oxygen shall penetrate the tunnel while
undesirable or harmful gases or byproducts are
maintained at acceptable levels and proper ventilation is
maintained. The tunnel shall be protected against
drainage/leakage of water into the tunnel. Emergency
plans shall be in place for tunnel fires, including
appropriate escape/rescue chambers. The contract
specifications shall require strict compliance with all
safety measures and local, state, and federal regulations.
Contractors shall install fencing and shielding at all The safety and security of construction workers and
construction sites to reduce hazards and vulnerability to the general public is a key element of construction
trespassing and vandalism and to protect adjacent activities. Introduction of on-site construction equipment,
walkways and streets. Contractors shall be required to including heavy industrial cranes and trucks hauling
adhere to applicable federal and state safety protocols. excavated material from access shafts on local roads, can
create potential safety hazards for pedestrians and
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motorists. Numerous construction workers operating or
working in concert with equipment at the various
construction staging area locations can create increased
opportunities for safety and security breaches. The
construction sites and related equipment can be
potentially vulnerable to safety and security violations,
particularly during times of construction equipment
shutdown and construction site closure.
Projects shall incorporate appropriate fire and life
safety requirements into all aspects of the project design
and construction. The fire and life safety issues related to
road tunnels shall consider alignments, tunnel cross
section, emergency exits, ventilation provisions,
geometric configuration, right-of-way, separation of
roadways and pedestrians, cross passages, and costs,
among other considerations.
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APPENDIX B
RECOMMENDED CONSTRUCTION SPECIFICATION SECTIONS
The following specification section headings represent work associated with tunneling and related activities. They are
primarily civil sections. Other sections that would be required for a completed project including systems, mechanical,
electrical, plumbing, architectural, ventilation, utilities, maintenance and protection of traffic, traffic control, etc. are
not included in this listing. The sections are organized according to the Construction Specifications Institute format
and numbering system, although section numbers have not been assigned. Typical specifications for civil projects (for
example, Structural Steel, Cast-in-place Concrete, Excavation, and Backfill) are readily available from other sources
and can be tailored to specific projects as needed.
 Adjacent Structures Construction Surveys

 Environmental Assessment
 Chemical Sampling and Analysis
 Hazardous Materials Assessment
 Subsurface Investigation
 Shotcrete
 Shotcrete for Initial Support
 Shotcrete Final Lining
 Pneumatically Applied Concrete (PAC) Lining
 Precast Concrete Segmental Lining
 Injection Grouting
 Mass Concrete
 Dampproofing and Waterproofing
 Sheet Waterproofing
 Flexible Membrane Waterproofing
 Geotechnical Instrumentation and Monitoring
 Off-Gassing Mitigation
 Rock Excavation in Open Excavation
 Groundwater Control
 Ground Improvement
 Underpinning
 Protection of Existing Facilities, Structures, and Utilities
 Temporary Support of Excavation
 Permanent Ground Anchors
 Slurry Walls
 Soldier Pile Tremie Concrete Walls
 Secant/Tangent Pile Walls
 Shaft Excavation and Support
 Tunnel Excavation By Drilling and Blasting
 Sequential Excavation
 Controlled Blasting
 Tunnel Excavation By Tunnel Boring Machine
 Earth Pressure Balance Tunnel Boring Machine
 Slurry Face Tunnel Boring Machine
 Mined Tunneling
 Compressed Air Working
 Tunnel Grouting
 Mined Tunnel Excavation for Cross Passages
 Removal of Tunnel Obstructions
 Muck Handling and Disposal
 Rock Reinforcement and Temporary Support
 Cast-in-Place Concrete Tunnel Lining
B-1
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B-2 LRFD ROAD TUNNEL DESIGN AND CONSTRUCTION GUIDE SPECIFICATIONS
 Precast Concrete Tunnel Lining

 Vapor Mitigation Control
 Fugitive Dust Control
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AASHTO LRFD Road Tunnel Design and Construction Guide Specifications 1st Ed.

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AASHTO LRFD Road Tunnel Design and Construction Guide Specifications 1st Ed.

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LRFD Road Tunnel Design

and Construction Guide Specifications

Publ. Code: LRFDTUN-1

© 2017 by the American Association of State

ISBN: 978-1-56051-643-9 Pub Code: LRFDTUN-1

© 2017 by the American Association of State

PRESIDENT: David Bernhardt, Maine*

VICE PRESIDENT: John Schroer, Tennessee*

SECRETARY-TREASURER: Carlos Braceras, Utah

EXECUTIVE DIRECTOR: Bud Wright, Washington, D. C.

REGION I: Leslie Richards, Pennsylvania

REGION II: Charles Kilpatrick, Virginia

REGION III: Randall S. Blankenhorn, Illinois

REGION IV: Carlos Braceras, Utah

IMMEDIATE PAST PRESIDENT: vacant

*Elected at the 2016 Annual Meeting in Boston, Massachusetts

Executive Director: Bud Wright, Washington, DC

ALABAMA, Eric J. Christie, William “Tim” MONTANA, Kent M. Barnes, David F.

© 2017 by the American Association of State

GOLDEN GATE BRIDGE, HIGHWAY

U.S. COAST GUARD, Kamal Elnahal

KOREA, Eui-Joon Lee, Sang-Soon Lee

Copyright American Association of State Highway and Transportation Officials

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© 2017 by the American Association of State

ABBREVIATED TABLE OF CONTENTS

Section 10 Seismic Considerations

© 2017 by the American Association of State

1.1—PURPOSE AND SCOPE ...................................................................................................................................1-1

© 2017 by the American Association of State

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© 2017 by the American Association of State

1.1—PURPOSE AND SCOPE C1.1

© 2017 by the American Association of State

The commentary is not intended to provide a

For definitions not shown, see the LRFD Specifications.

Bored Tunnel—A tunnel constructed utilizing a tunnel boring machine.

Design—Proportioning and detailing the components and connections of a tunnel.

Model—An idealization of a structure or structure–ground system for the purpose of analysis.

Owner—Person or agency having jurisdiction over the tunnel.

Service Life—The period of time that the tunnel is expected to be in operation.

© 2017 by the American Association of State

γI = load factor: a multiplier applied to force

φ = resistance factor: a multiplier applied to

ηi = load modifier: a factor relating to ductility,

© 2017 by the American Association of State

ηD = a factor relating to ductility as specified in

ηR = a factor relating to redundancy as specified in

ηI = a factor relating to operational classification as

Rr = factored resistance: φRn

1.3.2.2—Service Limit State C1.3.2.2

1.3.2.3—Fatigue and Fracture Limit State C1.3.2.3

1.3.2.4—Strength Limit State C1.3.2.4

1.3.2.5—Extreme Event Limit State C1.3.2.5

The structural system of a tunnel shall be The response of structural components or

© 2017 by the American Association of State

ηR ≥ 1.05 for nonredundant members

= 1.00 for conventional levels of redundancy

1.3.5—Operational Importance C1.3.5

ηI ≥ 1.00 emergency vehicles and for security, defense, or

economic purposes after the design event, and

Owner classified tunnels may use a value of η < 1.0

© 2017 by the American Association of State

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