Tunel Sturm

MASTERTHESIS
Shallowtunnelsandcaverns
inurbanareas

Submission:
FHJOANNEUMGesellschaftmbH
Fachhochschulstudiengang
BaumanagementundIngenieurbau

Submittedby

CHRISTOPHSTURM
UntereTeichstrae8
8010Graz
Austria

Supervisor
Dipl.Ing.Dr.HartmutSchuller

Graz/February14,2011
Signature
i
Abstract
Thismasterthesisisdealingwithtunneling,morepreciselywithshallowtunnelingandunderground
constructions,andtheexistingchancesandproblemsespeciallyoccurringinurbanareas.
Differentculturesstartedtobuildtunnelsinearlyyearsfordifferentpurposes.Butnearlyallhadonein
common,providinginfrastructureandincreasinglifestandard.
Tunnelscanbeusedforalotofpurposesandareavitalpartofmoderncivilization.Somepurposescouldbe
waterandwastewatertransport,transportationlikerailroads,Highways,Subwaysorscientificusagelikethe
CERNinSwitzerland.
Tunnelingbecamemoreimportantandabigtopicallovertheworldinthelasttwocenturies.
ThereforethereaderwillgetanoverviewaboutthehistoryoftunnelingatwholeandmorepreciseinEurope
aswellasinNorthAmerica.MorespecifiedthetunnelinginAustriaandthereasonforitsbigKnowHowwillbe
considered.
Shallowtunnelsbringalotofquestionswiththem.Notjustregardingmanagingthesiteandlogistics,butalso
howtoexcavatethebores,howtostabilizethesoilandwhichfoundationworksshouldbecarriedout.Dueto
thelackofspaceandthesensitivesurroundingstheseproblemsarechallengingtheengineersandsotheyare
improvingtheircommonmethodsandestablishingnewones.Thepaperwillpointoutthesemethodsandfind
outwhatisstateofthearttoday.
Whentalkingaboutshallowtunnelsinurbanareas,youalsohavetomentioncaverns.Likeshallowtunnels
thesearedevicestosolvetheabovementionedproblemsinurbanareas.Mayitconcerntheconstruction
progressandprocessortheuseasstations,theirimportanceissignificantlyincreasing.Soashortoverview
aboutcaverns,howtobuildthemandhowtousetheminadvantagewillbegiven.
Animportantpartofthepaperisabouthowearthquakesareinfluencingatunnel.Thisisaninterestingtopic
becausewhentalkingaboutundergroundconstructions,seismicdesignispracticallynotmentionedinAustria
andinmostpartsofEurope.Incontradictiontothat,itisabigdealinCaliforniaandalotofplacesinthe
UnitedStatesandNorthAmerica.Toillustratehowsuchseismicdesigncouldbeappliedtounderground
structuresthemostimportantequationswillbegiven.
Manycitiesandgovernmentsarelookingforalternativewaysreducingtrafficinhighlypopulatedareas.So
currentandfutureprojectsandplanswillbeconsideredandcompared.Differencesandsimilaritiesbetween
EuropeandtheAmericanwayoftunneling,asfarastheyareconsistinganddecisivewillbepointedout.These
differencesandsimilaritieswillconsidernewlyinventedmethodsandconstructionphilosophies.
Keywords:tunnel,urban,shallow,comparisonUSAandAustria,constructionmethods,seismicdesign

ii
Kurzfassung
DieseDiplomarbeitbefasstsichmitdenBesonderheitenimoberflchennahenTunnelbauund
UntertagekonstruktionenimurbanenGebiet.
DerTunnelbauhateinelangeTraditionundseineGeschichtegehtzurckaufdieverschiedenstenKulturen
dieserWelt.SchondamalshattensiedenZweckdieInfrastrukturzuverbessernsowiefreinenbesseren
Lebensstandardzusorgen.HeutzutagesindTunneleinnichtmehrwegzudenkenderTeilunserestglichen
Lebens.SiewerdenfrdieverschiedenstenZweckewiezumBeispielzumTransportvonSchmutzund
Frischwasser,alsEinrichtungenzurPersonenbefrderungjeglicherArt,frwissenschaftlicheEinrichtungen
oderauchzumSchutzesensiblerObjektegenutzt.
DerBauvonoberflchennaheTunneln,nochdazuindichtbesiedeltenGebieten,birgteinigeBesonderheiten
undHerausforderungeninsich.InvielenFllenmussmanmiteingeengtenPlatzverhltnissenwelchezustzlich
vonsensiblenGebudenumgebensindzurechtkommen.DieseBedingungenfordernsowohldiebeteiligten
IngenieurealsauchsttigeWeiterentwicklungensowieInnovationeninsmtlichenBereichendesTief,Grund
undTunnelbaus.DieseweiterentwickeltenMethodenundInnovationenwerdenindieserArbeit
herausgearbeitetundaufgezeigt.
SprichtmanheutzutageberTunnelinbesiedeltenGebieten,solltemanauchKavernenerwhnen.Diese
knnenebensowieTunneleinenerheblichenBeitraginderEntwicklungvonmodernenStdtenspielen,seies
alsKnotenpunktfrdenffentlichensowieprivatenVerkehr,RaumfrspezielleZweigederIndustrieoder
auchalsTeilderBaustelleneinrichtungumeinenoptimalerenBauprozesszuermglichen.
IndenletztenJahrzehntengewannderTunnelbauquerberdenGlobusimmermehranBedeutung.Neben
demgeschichtlichenberblick,vorallembersterreichunddieVereinigtenStaaten,werdenGrndefrdie
derzeitigePositionderbeidenLnderimTunnelbauerlutert.
EinweitererTeilderArbeitbeschftigtsichmitdemThemaErdbebenundderenAuswirkungenaufTunnel.Ist
diesinunserenBreitengradeneinehervernachlssigbaresThema,wirdmaninKalifornienundanderenTeilen
derVereinigtenStaatensehrintensivdamitkonfrontiert.GrundstzlicheBerechnungenwerdenangefhrtund
erlutert.
EswerdenaktuelleundzuknftigeProjektebetrachtet,umeinzelneThemenbessererluternundderen
Wichtigkeithervorzuhebenzuknnen.AuerdemwerdendadurchverschiedeneIntentionensichtbar,welche
mglicherweisevorhandeneUnterschiedederamerikanischenundeuropischenKulturimTunnelbau
aufzeigen.
Stichworte:Tunnel,urbanerRaum,oberflchennah,VergleichUSAmitsterreich,Baumethoden,
Erdbebenberechnung
iii
Declaration
Ideclarethatthispaperismyownworkandwaswrittenwithoutliteratureotherthanthesources
indicatedinthebibliography.Informationusedfromthepublishedorunpublishedworkofothershas
beenacknowledgedinthetextandhasbeenexplicitlyreferredtointhegivenlistofreferences.This
paperhasnotbeensubmittedinanyformforanotherdegreeordiplomaatanyuniversityorother
instituteoftertiaryeducation.
iv
Acknowledgments
FirstofallIamtrulyindebtedandthankfultomyfamilyandaboveallmyparentswhomademy
studiespossibleandsupportedmewhereverpossible,especiallythosetimesIwentabroad.
IamgratefultotheConstructionManagementDepartmentoftheCalifornianPolytechnicState
UniversityforaccommodatingmeandprovidingmethechancetowritethisthesisintheUnited
States,aswellasmakingmefeelingwelcomeandcomfortabletherefromthefirstsecondon.
IwouldalsoliketoshowmygratitudetomySupervisorathome,HartmutSchuller,whosupported
megoingabroad,gavememyfreedominwritingandmadethesupervisionasuncomplicatedas
possible.
Iwanttothankmyformercolleagues,MartinZmlnigandPeterHerzogforimpartingmealotduring
myinternshipandprovidingmewithinformation,ideasandsuggestionsformythesis.
FurthermoreIowemydeepestgratitudetoMikeMhlhauserandmybrotherJrgenSturmfor
helpingmeinsomanywaysandsituationsandbeingrealfriends.
LastbutnotleastIamobligedtoallthepersonswhoImetandparticipatedalongmywayandmade
me,andalsothisthesis,whatitistoday.
Tableofcontents
1 BackgroundInformation&Introduction..................................................................................1
1.1 KeyFiguresUSA&Austria......................................................................................................2
1.1.1 DemographicalData.......................................................................................................2
1.1.2 InfrastructuralData........................................................................................................4
1.1.3 UrbanTransportationNetworks....................................................................................5
1.1.4 DataAnalysis..................................................................................................................5
1.2 GeotechnicalBasics................................................................................................................7
1.2.1 Definitons.......................................................................................................................7
1.2.2 SoilClasses.....................................................................................................................9
1.3 TunnelingBasics...................................................................................................................10
1.3.1 General.........................................................................................................................10
1.3.2 TypesofTunneling.......................................................................................................11
2 HistoricalDevelopmentandInventions.................................................................................14
2.1 Timeline................................................................................................................................14
2.1.1 AncientTimes...............................................................................................................14
2.1.2 MiddleAges..................................................................................................................15
2.1.3 ResurrectionofTunneling............................................................................................15
2.1.4 IndustrialAge...............................................................................................................16
2.1.5 Nowadays.....................................................................................................................19
2.2 Outcome..............................................................................................................................20
3 (Shallow)TunnelingMethods................................................................................................22
3.1 CutandCoverTunnels.........................................................................................................22
3.1.1 BottomUp....................................................................................................................22
3.1.2 TopDown.....................................................................................................................25
3.2 ImmersedTunnels................................................................................................................26
3.3 ShieldTunnels......................................................................................................................29
3.3.1 NonMechanized..........................................................................................................29
3.3.2 Semimechanized.........................................................................................................30
3.3.3 Mechanized..................................................................................................................30
3.4 JackedTunnel.......................................................................................................................33
3.5 MinedTunnels......................................................................................................................35
vi
3.5.1 DrillandBlast...............................................................................................................35
3.5.2 Cutting..........................................................................................................................36
3.5.3 Excavating....................................................................................................................36
3.6 Excurse:NATM/SEM...........................................................................................................37
3.6.1 AdoptionoftheNATMintheUS..................................................................................38
4 ParticularTopicsofShallowandUrbanTunneling..................................................................42
4.1 ImportanceandChances......................................................................................................42
4.2 EnvironmentalIssues...........................................................................................................44
4.2.1 AirPollution..................................................................................................................44
4.2.2 NoisePollution.............................................................................................................45
4.2.3 Vibration.......................................................................................................................45
4.3 Ground.................................................................................................................................46
4.4 Measuring&Monitoring......................................................................................................47
4.4.1 GPSMonitoring............................................................................................................47
4.4.2 TotalstationMonitoring...............................................................................................48
4.4.3 Metric3DImages.........................................................................................................48
4.4.4 3Dcablemonitoring.....................................................................................................48
4.4.5 AcousticBoreholeImage..............................................................................................48
4.4.6 Radarinterferometry....................................................................................................49
4.5 Sitelogistics..........................................................................................................................50
4.6 FinancingandCosts..............................................................................................................51
4.7 SafetyManagement.............................................................................................................53
4.8 LegalandStrategicIssues.....................................................................................................54
5 ConstructionMethodsParticularlyinShallowTunnels...........................................................56
5.1 CompressedAir....................................................................................................................56
5.2 ArtificialGroundFreezing.....................................................................................................58
5.3 Grouting...............................................................................................................................61
5.4 PipeUmbrella(PipeRoofing)...............................................................................................63
5.5 PremillMethod....................................................................................................................65
5.6 SlurryWall............................................................................................................................66
5.7 URUP....................................................................................................................................67
5.8 FootingReinforcementPile..................................................................................................68
5.9 GroundImprovement..........................................................................................................69
vii
6 CavernsinUrbanAreas..........................................................................................................70
6.1 General.................................................................................................................................70
6.2 BuildingaCavern..................................................................................................................72
6.3 ChancesofCavernsinUrbanAreas......................................................................................73
6.4 Cavernsinactualprojects....................................................................................................74
6.4.1 OportoMetroStation,Portugal...................................................................................74
6.4.2 TransHudsonExpress..................................................................................................75
6.4.3 NewYorkSecondAvenueSubway...............................................................................75
6.4.4 TrondheimRailroadShuntingArea..............................................................................76
7 SeismicDesign.......................................................................................................................78
7.1 Introduction.........................................................................................................................78
7.2 EffectsofEarthquakes..........................................................................................................80
7.2.1 GroundFailure.............................................................................................................80
7.2.2 GroundShaking............................................................................................................80
7.3 BehaviorofUndergroundConstructions.............................................................................83
7.4 Codes....................................................................................................................................84
7.5 SeismicDesignProcedure....................................................................................................85
7.5.1 SeismicHazardAnalysis................................................................................................85
7.5.2 Twoleveldesign...........................................................................................................88
7.5.3 SeismicDesignIssues...................................................................................................88
7.6 Calculations..........................................................................................................................92
7.6.1 ImportantParameters..................................................................................................92
7.6.2 FreeFieldDeformation................................................................................................93
7.6.3 SoilStructureInteraction.............................................................................................96
8 Conclusion...........................................................................................................................103
9 References...........................................................................................................................105
9.1 ListofFigures.....................................................................................................................105
9.2 ListofTables.......................................................................................................................106
9.3 ListofLiterature.................................................................................................................107
9.4 ListofWebpages................................................................................................................119
BackgroundInformation&Introduction 1
1 BackgroundInformation&Introduction
Tounderstandthebackgroundandthepurposeofthisthesis,ithastobementionedthatthisthesis
waswrittenonaninterculturalbasisinvolvingAustriaandtheUnitedStates.Thesupervisionwas
undertakenprimarybytheFHJoanneumGraz,UniversityforAppliedSciencesandsecondarybythe
ConstructionManagementDepartmentoftheCaliforniaPolytechnicStateUniversitySanLuis
Obispo.
Severalpartsofthepaperarecomparing,dealingwithandreferencingtoEuropeandtheUnited
StatesaswellassometimespointingoutmoreprecisecontentrelatingtoAustriaandtheStateof
California.
TohighlighttheinterculturalpurposeofthisthesisallspecificationsaregiveninNorthAmericanas
wellasAustrian(European)standards.IndicationsareprimarilystatedinAustrianstandardsand
subsequenttheNorthAmericanonesarelistedinbrackets.
Theprofessionoftunnelingismorethanmanyotherprofessionsinternationallyverycloserelated
andconnected.Manyresearchesarecarriedoutonaninternationalbasisandpresentedat
internationalcongresseswithparticipatingmembersfromallovertheworld.Notjustasaresultof
thisfactthetransferofknowledgeisquiteencouraged.
Anywaysdifferencesarestilloccurringandwilloccurinthefuture.Thesedifferencesarerelatedto
theenvironmentalsurroundings,theelementaryrequirementsandtheethicsandphilosophiesof
differentculturesandprojects.
RegardingthedevelopmentandimportanceoftunnelsandundergroundstructuresParker1is
stating:
Tunnelsplayavitalenvironmentalrolebyconveyingcleanwatertourbanareasandby
conveyingwastewaterout.Mostmajorurbanareasdependontunnelsfortheseservices,
whichfunctionwithaminimumofmaintenance.(Fewpeopleappreciatehowwatergetsto
theirhome:outofsight,outofmind.)

Theusablespaceofaparceloflandcan,insomecases,bealmostbedoubledbyaddingfloor
spaceorbulkstoragebelowthegroundsurface.Lifecyclecostanalysismayrevealthe
undergroundalternativestobemuchmorecosteffective.

Ithasbeendemonstratedbyseveralrecenteventsthattunnelsbehaveverywellin
earthquakes.Ifurbanplannerswantanimportantlifelinetosurviveearthquakes,theyshould
gooutoftheirwaytousetunnels.
1
Parker,HarveyW.:Tunneling,UrbanizationandSustainableDevelopment:TheInfrastructureConnection.In:Tunnelling
andUndergroundSpaceTechnologyVol.11No.2(1996),pp.133134

Theundergroundistheonlysafelocationforstorageofnuclearwasteandotherhazardous
orundesirablematerials.

Intransitsystems,tunnelsprovidesafe,environmentallysound,veryfast,andunobtrusive
transportationforpeopleinallwalksoflifeinbothdevelopedanddevelopingcountries.

Undergroundspaceisbeingusedincreasinglyforindustrial,officeandevenresidential
facilities.

Undergroundspaceforbulkstorageoffood,liquids,andgashasgainedincreasing
acceptanceinvariousareasoftheworld.

Congestioninurbanareashasbeendramaticallyreducedbyuseoftheunderground.
Thisgivesagoodoverviewaboutpurposesoftunnelsandundergroundconstructionsandhowthey
caninfluenceourlifeinapositiveway.
1.1 KeyFiguresUSA&Austria
Todemonstrateandunderstandtheimportanceoftunnels,especiallyinurbanareas,aswellas
beingableprovidingproperconclusionsitisimportanttoknowsomebackgroundinformation.
1.1.1 DemographicalData
Oneattempttocomparethebasicdifferencesbetweentwoormorecountriesistocomparetheir
demographicaldata.InthefollowingparagraphsthedemographicaldataofAustriaandtheUnited
States,emphasizingCalifornia,aregiven.
Aslongasnoothersourceisstated,thestatisticaldataareprovidedbyWikipedia2.
1.1.1.1 Austria
Area:83.871km(32.383sqmi)
Inhabitants:8,356Mio
Density:99/m(257/sqmi)
Meanelevation:910m(2986ft)3
2
Wikipedia,thefreeencyclopedia:http://en.wikipedia.org/(September2009)
3
FoodandAgricultureOrganizationoftheUnitedNations:http://www.fao.org/forestry/country/18310/en/aut/
(September2010)
ThreebiggestMetropolitanareas:
Vienna:1,98Miopeople
Graz:255.000people
Linz:280.000people
1.1.1.2 UnitedStates
Area:9.826.675km(3.794.101sqmi)
Inhabitants:310,314Mio
Density:32/m(83/sqmi)
Meanelevation:762m(2500ft)4
ThreebiggestMetropolitanAreas(2000Census5):
NewYork(NorthernNewJersey,LongIsland):21.199.865people
LosAngeles(Riverside,OrangeCounty):16.373.645people
Chicago(Gary,Kenosha):9.157.540people
1.1.1.3 California
Area:423.970km(163.696sqmi)
Inhabitants:36,962Mio.
Density:90.5/km(234/sqmi)
Meanelevation:884m(2.900ft)
ThreebiggestMetropolitanareas(2000Census6):
LosAngeles(Riverside,OrangeCounty):16.373.645people
SanFrancisco(Oakland,SanJose):7.039.362people
4
Infoplease:Encyclopedia:http://www.infoplease.com/ipa/A0001792.html(September2010)
5
U.S.CensusBureauAmericanFactFinder:http://factfinder.census.gov/servlet/GCTTable?_bm=y&
geo_id=%200%201000US&_box_head_nbr=GCTPH1R&ds_name=DEC_2000_SF1_U&format=US10S(September2010)
6
U.S.CensusBureauAmericanFactFinder:http://www.census.gov/population/www/cen2000/briefs/phc
t3/tables/tab03.txt(September2010)
SanDiego:2.813.833people
1.1.2 InfrastructuralData
1.1.2.1 Austria
Highways7:2178km(1353mi)
HighwayTunnels8:142Tunnels
Totallength:331km(206mi)and130km(81mi)inplanning
Railroads9:5650km(3519mi)
RailroadTunnels10/11:280(47inconstruction)
Totallength:173km(107mi)and293km(182mi)inconstruction
1.1.2.2 USA
Highways:350.180km(217.592mi)(includingruralandurbanprincipalarterialroads)
93.480km(58.086mi)12(excludingruralandurbanprincipalarterialroads)
HighwayTunnels13:366Tunnel
Railroads14:+257.495km(+160.000mi)
RailroadTunnels:Noexactdataavailable
1.1.2.3 California
Highways15:22.502km(13.982mi)(includingruralandurbanprincipalarterialroads)
6.432km(3.997mi)(excludingruralandurbanprincipalarterialroads)
HighwayTunnels:6116Tunnel/29Tunnel17
7
AutobahnenundSchnellstraenFinanzierungsAktiengesellschaft:http://www.asfinag.at(September2010)
8
AutobahnenundSchnellstraenFinanzierungsAktiengesellschaft:http://www.asfinag.at(September2010)
9
BBHoldingAG:Geschftsbericht2009.Wien:BBHoldingAG
10
BBHoldingAG:Geschftsbericht2009
11
EisenbahnTunnelinsterreich:http://www.eisenbahntunnel.at(September2010)
12
FederalHighwayAdministration:https://international.fhwa.dot.gov/policyinformation/statistics/2008/(September2010)
13
FederalHighwayAdministration:http://www.fhwa.dot.gov/bridge/tunnel/management/summary.cfm(September2010)
14
TheAmericanRailroads:http://www.americanrails.com/railroadhistory.html(September2010)
15
FederalHighwayAdministration:https://international.fhwa.dot.gov/policyinformation/statistics/2008/(September2010)
Railroads18:9320km(5791mi)
RailroadTunnels:Noexactdataavailable
1.1.3 UrbanTransportationNetworks
MetropolitanRegionsandtheirtransportationnetwork(Aslongasnoothersourceisstated,datais
providedbyurbanrail.net19):
TotalNetwork Underground UndergroundRatio
Region
[km(mi)] [km(mi)] [%]
Austria
Vienna20 70(43,5) 35(22) 50
Total 70(43,5) 35(22) 50
Table1:MetropolitanRegionsinAustriaandtheirtransportationnetwork
TotalNetwork Underground UndergroundRatio

Region
[km(mi)] [km(mi)] [%]
USA
NewYork 337(234) 223(138,5) 66
Washington 171(106) 85(53) 50
SanFrancisco(Bay 167(104) 60(37) 36
Area)21
Chicago 137(85) 18(11) 13
LosAngeles 127(79) 32(20) 25
Boston 101(63) 28(17,5) 28
Philadelphia 89(55,5) 33(20,5) 37
Atlanta 81(50,5) 14(9) 17
Baltimore 25(15,5) 10(6) 40
Seattle 25(15,5) 7(4,5) 28
Buffalo 10,5(6,5) 9(5,5) 85
Total 1270,5(789,5) 519(322,5) 41
Table2:MetropolitanRegionsintheUSandtheirtransportationnetwork
1.1.4 DataAnalysis
WhencomparingthetwocountriesofAustriaandUSAtherearehugedifferences.Asthesizeofthe
UnitedStatesis117timesbiggerthanAustriatherearejust37timesmoreinhabitants,whichmeans
athreetimeshigherdensityinAustriathanintheUS.ThesizeofCaliforniaisfivetimesbiggerthan
thoseofAustria,whilethepopulationdensityisnearlythesame.Alsoregardingthemeanelevation,
16
FederalHighwayAdministration:http://www.fhwa.dot.gov/bridge/tunnel/management/summary.cfm(September2010)
17
FederalHighwayAdministration:https://international.fhwa.dot.gov/bridge/nbi/strtyp09.cfm(September2010)
18
TheAmericanRailroads:http://www.americanrails.com/californiarailroads.html(September2010)
19
urbanrail.net>metrosubwaylightrail:http://urbanrail.net/index.html(September2010)
20
TheViennaMetro:http://homepage.univie.ac.at/horst.prillinger/metro/english/index.html(September2010)
21
BayAreaRapidTransit:http://www.bart.gov(September2010)
CaliforniaseemsmorecomparabletoAustria.WhilethoseofAustriais910m(2986ft),thoseof
Californiais884m(2900ft)andthoseofthewholeUSis762m(2500ft).
ThiscouldleadtotheassumptionthatAustriaandCaliforniaarealsocomparableregardingthe
infrastructure,butthebigdifferencesinthegeographyofthecountriesaredetainingthat.California
hasalotofelevationsbut,comparedtoitssize,notthatmanyhighalpinemountains.Inadditionto
that,mosttimesthelandscapeprovidesenoughspacetobypasstheexistinghillsandmountainous
areas.InAustriatherefore60%ofthecountryaremountainousandonly32%arelowerthan500m
(1640ft).Duetothemanynarrowvalleysthereareoftennootheroptionthangoingthrougha
mountain.
Whentakingalookatthenumbersoftunnels,thereareatotalof142highwaytunnelsandabout
280railroadtunnelsinAustria.Regardinghighwaytunnelsthismeansa2,3higheramountthanin
CaliforniaandstillmorethanathirdthaninthewholeUnitedStates.Thisdatashouldalsotakeinto
relationthetotalamountofHighwaymiles.Includingtheprincipalarterialroads,theUSHighway
systemconsistsof350.180km(217.592mi)whichmeans160timesmorethanAustria.The
comparisonwithCaliforniashowsthatthereare10timesmorehighways.
SadlytherearenoreliabledataaboutRailwaytunnels,althoughareportissayingthatthereare
about800overwholetheUnitedStates.Othersourcesarestatingthattherearejust80proper
railroadtunnelsthroughouttheUSandabout30inCalifornia.
AstheUnitedStatesjusthaveasmallamountofhighwayandrailroadtunnelsanotherbigpartof
goingundergroundaretheurbantransportationnetworks.WhileinAustriajustViennahasametro
systemoperatingundergroundthereareaboutalmost15citiesintheUS.Thetotalamountof
kilometersofundergroundconstructionsismorethan520(323mi).Theinterestingthingabout
thesenumbersisthatitisnotpossibletogetanycluesoutofitregardingthephilosophyofbuilding
suchsystems.IftakingalooktothethreebiggestMetropolitanareasoftheUSandCalifornia,66%of
NewYorksMetroisunderground,just25%ofLosAngelessMetro,13%ofChicagosMetroand36%
ofSanFranciscosMetroarebeneaththesurface.SanDiegoasthethirdbiggestMetropolitanAreain
Californiahasnourbantransportationsystembeneaththeground.Washingtonshouldbe
mentionedhere,becauseithasabout50%ofitssystemunderground.Thisshowsabigdifference
betweenthecitiesandoverthecountry.Veryinterestingseemsthefactthatallofthesecitiesand
areasaremuchbiggerthanVienna(1,4tomorethan11times)whichhasabout50%underground
structuresandasmentionedlateroninthispaperacitywithmorethan1millioninhabitantsjustifya
undergroundtransportationsystem.
1.2 GeotechnicalBasics
Whendealingwithtunnelingandundergroundconstructionsyouareautomaticallydealingwith
groundinteractionsandthereforewithgeotechnicalandsoilmechanicalissues.Thischapterisgiving
abasicunderstandingofwhatgroundisandotherimportantinformationaboutit.
1.2.1 Definitons
Ground
Partoftheearthscrust,composedofrockand/orsoil,frequentlywithanisotropicproperties,
includingdiscontinuities,andvoidsfilledwithliquidsorgases.22
Rock
Rockmeansthatthegroundisacoherentdiscontinuum.
ItisanAggregate,consistingofmineralcomponents,developedfromnaturalprocesses,
characterizedbythetypesandamountofthemineralsandgrainstructureora
Mineralaggregate,whosepropertiespredominantlyaredeterminedbythephysical/chemical
bond.23
RockisdescribedbythefollowingcharacteristicsandparametersaccordingtoEurocode724:
Mineralogy
Petrography
Weightdensity
Porosity
Watercontent
Swelling
Uniaxialcompressivestrength
Soil
Soilmeansthatthegroundisanotcoherentcontinuum,itisconsistingofparticleorgrains.
ItisanAccumulationofanorganicsolidvarigrainedparticelswithoccasionalorganicadmixtures.
Thepropertiesarepredominatelygovernedbythegranulometriccomposition,thecompaction,and
thewatercontent.25
22
AustrianSocietyforGeomechanics:GuidelinefortheGeotechnicalDesignofUndergroundStructureswithConventional
Excavation.Salzburg:GG2010
23
Excavation.
24
sterreichischesNormungsinstitut:Eurocode7:GeotechnicaldesignPart1:Generalrules.Wien:sterreichisches
Normungsinstitut2006
SoilisdescribedbythefollowingcharacteristicsandparametersaccordingtoEurocode726:
Grainsizedistribution
Weightdensity
Porosity
Watercontent
Densityindex
Swelling
Degreeofcompaction
Rockmass
Itisthecompositionoflargeramountsofrock,including,anddescribedby,structuraldiscontinuities
likeshearzonesandjoints.Regardingjointsthefollowingcharacteristicsarecrucialandshouldbe
considered:27
Spacing
Orientation
Persistence
Aperture
Shearstrength[]
Theshearstrengthgivesthemagnitudeoftheshearstresswhichthesoilcanwithstand.Itisa
parallelortangentialstress.Insoiltheshearstrengthisbasedontheinterlockingbetweenparticles.
ParameterswhichareinfluencingtheshearstrengthaccordingtoEurocode728:
Thestresslevelimposedonthesoil
Anisotropyofstrength,especiallyinclaysoflowplasticity
Fissures,especiallyinstiffclays
Strainrateeffects
Verylargestrainswherethesemayoccurinadesignsituation
Preformedslipsurfaces
Timeeffects
Sensitivityincohesivesoil
Degreeofsaturation
25
Excavation.
26
sterreichischesNormungsinstitut:Eurocode7:GeotechnicaldesignPart1:Generalrules.
27
sterreichischesNormungsinstitut:NORMB22031UntertagebauarbeitenWerkvertragsnormTeil1:Zyklischer
Vortrieb.Wien:sterreichischesNormungsinstitut2001
28
sterreichischesNormungsinstitut:Eurocode7:GeotechnicaldesignPart1:Generalrules.
1.2.2 SoilClasses
Soilclasses29
Thetrianglebelowshowstheclassificationofsoildependingonitsproportionalpartsofthedifferent
soiltypes.

Figure1:Classificationofsoil
Thefollowingtableshowstheclassificationofsoiltypesregardingtheirparticlesizeanddifferent
NorthAmericansystemsaswell:

Table3:Classificationofsoil
USDAUnitedStatesDepartmentofAgriculture
UNIFIEDUnifiedSoilClassificationSystem(MostcommoninNorthAmerica)
AASHOAmericanAssociationofStateHighwayandTransportationOfficials
29
UnitedStatesDepartmentofAgriculture:http://soils.usda.gov/technical/handbook/images/Part618Exhibit8_hi.jpg
(September2010)
1.3 TunnelingBasics
1.3.1 General
Tunnelingisoneofthemostexcitingprofessionsinthefieldofconstructionengineeringand
constructionmanagement.Everyprojectisunique,ratherbeeveryroundlengthisunique.
Foralmostnoothertypeofconstructionthepredictionsandtheforeseeingoftheadvancementisso
difficult.
Thereisalonghistoryintunnelingandmininganditallstartedthousandsofyearsago.Engineers
andminersdevelopedandusedquiteimpressivemethodsandtechnologiesatthosetimes.
Butprogressintunnelingdidntcontinuethatway,overalotofcenturiesminersonlyexploited
resourcesbutalmostnoprogressintunnelingwasmade.
Duetotheindustrialrevolutionahugestepintechnicalimprovementswasmadeandhadledtoan
increaseofknowledgeintunneling.Themostinventionsintunnelingweremadeoverthelasttwo
centuries.
Tunnelsbecamealifelineofcitiesandsocietyandareindirectinteractionwiththeriseofthe
Metropolisesandcontrariwise.Intheyear2000already21citieshavegrowntosocalledmegacities
withapopulationofmorethan10.000.000people.30
Whentalkingaboutundergroundconstructiontherearesomespecifictermsandmeanings.Whilein
somecasestheGermanlanguageprovidesexacttermsfordifferentundergroundconstructionsorits
purposes,theEnglishtermscanbeusedforabroaderordifferentrangeofmeaning.Thesame
problemcanoccurviceversa.
Thereforetheattempttoworkoutproperandexacttranslationsforprovidingalistofwordswith
exactlythesamesignificationfailed.
AnexampleistheGermanwordTunnel,whichisnowadaysdefinedasahorizontalunderground
structureforthepurposeofrailroad,automobileorpedestriantrafficwithtwoportals.Sothisisa
quitecleardefinition.InEnglishthewordtunneljuststandsforanessentiallyhorizontal
undergroundpassagewaySothatalsoincludeswastewaterandothernonhumantrafficoritcould
alsobeanadit.
Atthispointishastobementionedthatthewordtunnelwasinheritedinthe18thcenturyfromthe
Englishlanguageandoverthedecadesmanydifferentdefinitionsemerged,tilltodaysdefinition,still
notagreeingwitheveryonesopinion,wasestablished.31
30
Parker:Tunneling,UrbanizationandSustainableDevelopment:TheInfrastructureConnection.
31
Grewe,Klaus:LichtamEndedesTunnelsPlanungundTrassierungimantikenTunnelbau.MainzamRhein:vonZabern
1998
1.3.2 TypesofTunneling
Therearenotjustmanywaysofusingatunnel,butalsomanywaystoconstructthemaswellasto
differentiatethem.Thefollowingtablegivesaquickoverview.
Tunneling
Shallow Deep
Water Land
Immersed Mined/Bored Cut&Cover
SoftGround Rock

Table4:TypesofTunnels
1.3.2.1 DividedintoSite
ShallowTunnel
Thereisnostandartizedorofficialdefinition,statingwherethelinebetweenashallowandadeep
settunnelis.
Afewthoughtsaboutshallowtunnelshaveaquitesimilaroutcome.Oneoftheseoutcomesisthata
shallowtunnelhastocarryalltheloadsfromthegroundabove.Thisiscloselyrelatedtotheidea
thatshallowtunnelsarebuiltabovebedrockandthereforecantusethegroundasastructural
element.Anotherthoughtisthataslongasatunnelisdirectlyinfluencingthesurface,andthe
objectsabovethesurfaceitisashallowtunnel.Thisbringsusbacktothestatement,thatthe
artificialstructurehastocarryalltheloadsfromabove.32/33
DeepSetTunnel
Opposedtotheshallowtunnels,deepsettunnelsdonotdirectlyinterferewiththesurface.Normally
therockstressesarejustinfluencingthesurroundingsoftheboreinaproperway.Thenearertothe
32
BritannicaTheOnlineEncyclopedia:http://www.britannica.com/(September2010)
33
Leca,Eric/New,Barry:ITA/AITESReport2006onSettlementsinducedbytunnelinginSoftGround.InTunnellingand
UndergroundSpaceTechnology22(2007),pp.119149
surfacethestressesaremeasuredthemoretheyaredecreasing.Sincethisisageneralattemptof
definingadeepsettunnel,itmaynotbecorrectineverycase.
1.3.2.2 DividedintoConstructionMethod
ImmersedTunnel
Immersedtunnelsarebuiltbeneathwaterandexistofprecasttunnelsegmentswhicharemostly
madeofreinforcedconcreteandsometimessteel.Thesesegmentsareproducedinadrydockwhich
thenareshippedorfloatedtotheirdesignatedlocation.Oncetheyarrive,everysegmentgets
immersedandplacedinanexcavatedtrench.Whenplaced,theygetconnectedandsealedtothe
alreadyimmersedsegments.Thesestepscontinuetillallsegmentsareconnectedtoawholetunnel.
Mined/BoredTunnel
Aminedtunnelisaboreoratubewhichistotallyexcavatedbeneaththesurface.Thereareoneor
moreportals,shaftsorcavernswheretheexcavationstartsfrom.Regardingtheexcavationthereare
manywaysofproceeding.Excavationcouldforexamplebedonebydigging,blastingorboring.More
abouttheconstructionmethodscanbefoundinChapter3(Shallow)TunnelingMethods.
ComparedtoImmersedandCutandCovertunnels,theboredorminedtunnelsarethetruetypesof
tunnelswhichareinneedoftheclassicalminingtechniques.
CutandCoverTunnel
CutandCovermeansinaverysimpleway,thatfirstatrenchisexcavatedfromthesurface.When
thegroundisremovedthetunneliserected.Onepossibilityisdoingthatbyplacingprecasted
elementsorbyconstructingthetunnelframeinsitu.Theinsituconstructioncanbedoneusingan
tunnelformworkorbyerectingordinaryconcretewallsandslabs.Oncethetunnelstructureis
finishedtheremainingtrenchisrefilledwithsoil,untilthewholestructureiscoveredandburied.
1.3.2.3 Dividedingroundconditions:
Differentgroundconditionsneeddifferentconstructionmethods,geologicalinvestigations,
surveillancemethodsandconstructionsequences.Thereforeoneofthemostimportantpoints
regardingtunnelingisaverygoodknowledgeabouttheground.Intermsofthegroundconditions,
therecanbetwomayordistinctionsmade.
SoftGround
Softgroundisdefinedbyitsmechanicalproperties,grainsizedistribution,density,mineral
composition,parametersofthesoilcomponents,matrixparameters,watercontentandhydraulic
properties34.
Tunnelinginsoftgroundbringsquitedifferentproblemsandrequirementsthanhardrocktunneling
withit.Inmostcasesthegroundisnotabletobestructuralpart,andexcavationroundsareneedto
keptshort.Oftenshieldsareusedtopreventthetunnelfromcollapsing.
HardRock
Rockisdefinedbymechanicalproperties(intactrockrockmass),discontinuity,characteristicsand
properties,rocktype,rockandrockmassconditionsandhydraulicproperties35.
Whentunnelinginhardrock,therockisusedasapartofthestructure.Normallyquitelesssupport
measuresneedtobecarriedoutandtheopenfaceareacanbequitelargerthaninsoftground.
34
Excavation.
35
Excavation.
14 HistoricalDevelopmentandInnovations
2 HistoricalDevelopmentandInventions
Thehistoricaldevelopmentoftunnelingdatesbackthousandsofyearstoancienttimes.Thefirst
tunnelswereusedtoconnectcavesandlateronforirrigatingthefieldswithsocalledqanates.
Althoughthedisciplinesoftunnelingandminingarecloselyrelatedsinceancienttimes,thereare
someimportantdistinctions.
Regardingtunneling,theundergroundconstructionitselfisthepurposeoftheexcavation,andthe
arisingspoilisjustabyproduct,oftenwithoutuse.Thetubeitselfneedstobestable,safeand
accessibleforthedesigneduse.
Whereasthemainpurposeofminingistorecoverminerals.Inthiscontexttheconstructionitselfis
justanecessityforthemaingoal,therecoveryofthemineralsandusedforbringingworkertothe
materialandthematerialoutofthemine.Thatmeansnormallylesssupportandsmallercross
sections.Anywaytheworkstepsneededtobecarriedouttoreachbothpurposesarequitethe
same,justinadifferentway.
2.1 Timeline
2.1.1 AncientTimes36/37
Thefirstundergroundconstructionsaredatingbackto5000BCinMaltaandhadthepurposeto
connectsomecaves.Firstminesdatebacktothe24thcenturyBCinNorfolk/GreatBritain38.Inthis
Neolithicmineflintwasexploitedandusedforweaponsandtools.
Thefirsthistoricalknownpedestriantunneldatesbacktothe22thcenturyBCandwaserectedbythe
BabyloniansbeneaththeEuphratesRiver.Itwasabout900m(3000ft)long.
Salomon,KingofIsraelstartedtobuildtunnelsforwatertransportinJerusalemabout1000BC.
About600BCNebuchadnezzarwasbuildingthefirstarchedtraffictunnel.Itslengthwasabout1km
(3280ft)andthedimensionswereabout3,6to4,7m(11,8to15,4ft).Ahistoricalinnovationofthis
tunnelwasthefirstproofeduseofironmadetools.
Alsoabout600BCtheEupalinosTunnelwasbuiltinSamos.Ithadalengthofabout1040m(3400ft)
andwasthesecond,historicallyproofed,tunnelwhichwasdugfromtwoportals.
36
Svoboda,Willibald:DiegeschichtlicheEntwicklungdesTunnelbaus.[Dissertation,Graz:1994]
37
BritannicaTheOnlineEncyclopedia(September2010)
38
West,Graham:Innovationandtheriseofthetunnelingindustry.Cambridge:CambridgeUniversityPress1988.
HistoricalDevelopmentandInnovations 15
ThePausilippoTunnelnearNapleswasconstructedin36BC.Itwas1460m(4800ft)long,7,6m(25
ft)wideand9,1m(30ft)high.Themayorinventionregardingthistunnelwastheintroductionof
propersurveyingmethods.
AtanotherRomanTunnel,theLacusFucinusbuiltin41AD,30.000workerswerediggingabout10
yearsbeforecompletingthe6km(3,5mi)longtunnel.
AquitecommonmethodtocrushthestoneatthistimewasthesocalledFireQuenching,wherethe
rockgetsheatedbyfire,andsuddenlyquenchedwithwater.Becauseofthearisingstressestherock
crushs.
TheEgypts,GreeksandRomansforcedslaves,prisoners,prisonersofwarandotheroutcaststowork
intheirminesandundergroundconstructions.Thisledtoabadreputationofminers.
ThemiddleEuropeancountriesthereforeemployedfreeman,whichweremoreskilledandalsohada
lotmorerespectinthesociety.ThisisproofedbysomehistoricaldiggingsinHallstatt,Austriawhere
since2500BCsaltwasexploited.Inthisminesalotmoreattentionwaspaidtoventilationandsafety
measures.
2.1.2 MiddleAges39
Duringthemiddleagesfromabout600to1500therewasnearlynoprogressinpropertunneling.At
thistimealmostallundergroundconstructionswereusedasmines.
AmetalminingindustrywasarisingintheareaofSouthGermany,Austria,Czech,Slovakiaand
Hungary.Thereweresometechnicaladvancesbutnomayorinnovations.Theonlychangewasthe
pictureofthejobminer.
2.1.3 ResurrectionofTunneling
Afteraperiodofinactivityintunneling,theFrenchrenewedthisprofessioninthe17thcentury.Why
Franceiseasilyexplainedbythepoliticalsituation,whichwereconsistingofmanyquarrelling
dynastiesinmostEuropeancountries.JustFrancewaspoliticallyquitestableandallowedits
engineersandscientiststodevelopandresearchwithoutrestrictionsandpoliticalbarriers.Outof
thisFrancebegantobuildandestablishaquitegoodinfrastructure.Theonlynationatthistimewho
couldcompetewiththeFranceandevenhadabetterinfrastructurewastheAustrianHungary
Empire.40
Themostimportanttunnelsconstructedandinventionsatthistimehavebeen:
39
West:Innovationandtheriseofthetunnelingindustry.
40
Svoboda:DiegeschichtlicheEntwicklungdesTunnelbaus.
1627Schemnitz(Slovakia):IntheSchemnitzorSelmecbanyaminesgunpowderwasintroduced.
AlthoughitwasalreadytestedinsomeGermanmines,Selmecbanyawasthefirstmineusingit
properlytoexploittheminerals.
1666CanalduMidi(France):TheCanalduMidihadalengthofabout157m(515ft)andissupposed
tobethefirsttunnelwithmayoruseofblastinggunpowder.Itwasalsooneofthefirsttunnelsafter
centuriesofstagnation.
1678MalpasTunnel(F):TheMalpasTunnelisalsooneofthefirsttunnelsaftertimeofstagnation.It
wasabout157m(515ft)longandatfirstbuildwithoutlining.Thecrosssectionwithmorethan8m
(26ft)wasalsoveryimpressive.
1761BridgewaterCanalTunnel(GreatBritain):TheBridgewaterCanalTunnelwaspartofacanal
systembuiltforboattrafficshippingcoalfromtheWorsleyMinetoManchester.Itwasthefirst
moderntunnelinGreatBritain.
1770TunneldeGier(F):AftertheMalpasTunnelwasbuild,ittook90yearstillanotherbigand
challengingtunnelprojectwasstarted.Itwasthe522m(1.700ft)longTunneldeGier,partofthe
railroadtrackbetweenSt.EtienneandLyon.
2.1.4 IndustrialAge
1803CanalofSt.Quentin(F):TheTunnelofTronquoyaspartoftheCanalofSt.Quentinwasabig
stepintomoderntunneling.Itwasoneofthefirsttunnelswithadiameterofabouteightmeter(26
ft)insqueezingrock.Theengineersdecidedtoexcavatethetunnelprofileinmultiplesections.Soa
separateliningineachofthesectionswaspossiblewhichreducedthestresses.Onceallliningworks
werefinishedthecoreofthetunnelwasremovedsafely.
Thistunnelwasthebeginningofanewageintunneling,becauseitwasthefirsttunnelusingproper
engineeringprinciples.
1824TunnelofPouilly(F):TheTunnelofPouillyisanotherimportanttunnelinFrancewhichwasalso
builtusingtheabovementionedCoreMethod.
1825WappingRotherhitheTunnel(GB):TheWappingRotherhitheTunnelwasthefirsttunnelusing
atunnelshield,developedbyBruce,andhissonIsambard,Brunel.Thetunnelwasbuiltunderthe
RiverThamesandbecamethefirstsubaqueoustunnel.Becauseofseveralfloodingstheworkstoped
forseveralyears.In1841,afteraconstructiontimeofnineyears,the365m(1.200ft)longtunnel
wasfinallyfinished.41
1831StapleBendTunnel(USA):TheStapleBendTunnelwaspartoftheAlleghenyPortageRailroad
SystemandthefirstrailroadtunnelintheUnitedStates.Itslengthwasabout275m(901ft)andthe
heightwasabout5,8m(19ft).42
1836/1837(Germany):ThefirstandsecondRailroadtunnelsinGermanywereconstructed.
1839Gumpoldskirchen(Austria):NearGumpoldskirchenthefirstrailroadtunnelinAustriawasbuilt
asapartoftherailwaylinebetweenViennaandTrieste.
1840WoodheadTunnel(GB):TheWoodheadTunnelwaspartoftherailroadlinebetweenSheffield
andManchester.Withitslengthofabout4.840m(3mi)itwasoneofthelongestrailroadtunnelsat
thistime.
1849SemmeringTunnel(A):Itwasabout1400m(4600ft)long.Morethan1200menwereworking
atthistunnel,whichwaspartofthefirstEuropeanmountainstandardrailway.
1855HoosacTunnel(USA)43:TheHoosacTunnelwaspartofthecanalsystembetweenBostonand
Albanyandabout7,3km(4,5mi)long.Ittookabout22yearstoconstructthe6,4m(21ft)highand
7,3m(24ft)widebore.Itwasthefirsttimedynamiteandelectricfiringexplosiveswereusedin
tunneling.Anotherbigimpactforthewholeconstructionindustrywastheinventionanduseof
powerdrillswithair,whichgavetheimpulseforthedevelopmentofthewholecompressedair
technology.
1857MountCenis(F):TheMountCenisTunnelnearFrejusintheFrenchAlpswasthefirsttunnel
forcedbyamechanicaltunnelingmachine.Ittookabout14yearstobuiltthis13,7km(8,5mi)long
tunnelanditisamilestoneintunneling.Innovationslikerailmounteddrills,hydraulicramair
compressorsandmoreadvancedboringtechnologywereintroduced,andledtomuchbetterforcing
rates.Furthermorebettermethodsofventilationandsurveyingwereused.Anothernoveltywasthe
constructionofhousesandcampsfortheminers,includinghousingfortheirfamilies,schoolsand
hospitals.
41
BritannicaTheOnlineEncyclopedia
42
Citizendium:http://en.citizendium.org/(September/October2010)
43
TheHoosacTunnel:http://www.hoosactunnel.net/(September2010)
1872St.Gotthard(Swiss):TheSt.Gotthardisa15km(9mi)longrailwaytunnelthroughtheSwiss
Alps.About3.000workersneededaboutsevenandahalfyeartofinishthetunnel.Thetunnelwas
oneofthemostimpressiveconstructionsathistimebutalsoturnedthesmallvillagesattheportals
intoworkertownswithawfullivingconditions.TheGotthardisprobablyoneofthemostfamous
tunnels.
1880HudsonTunnel(USA):TheHudsonTunnelwasthefirstattempttoforceatunnelwithjust
compressedair.Aftermayorfatalitiestheprojectwasstopped.
Secondhalfof19thcentury:LondonSubway(GB):AtthistimethecityofLondonstartedtobuildthe
firstundergroundrailwaysystemintheworld.Theamountofundergroundtubescontinuedsteadily
duringthesecondhalfofthe19thcentury.
1898SimplonTunnel(CH):Withitslengthof19,3km(12mi)theSimplonTunnelwasthelongest
mountaintunnelforover70years.LikeattheGotthardtunneltheworkingconditionswerepretty
badandalotofworkersdiedundertheharmfulconditions.
1901TauernTunnel(A):ConstructionoftheTauernRailroadTunnelwithalengthof8550m(5,3mi)
1906LoetschbergTunnel(CH):TheLoetschbergTunnelisalsolocatedintheSwissAlps.Itis14,6km
(9,1mi)longandisingloriousfamousforthedeathof26workersbecauseofaninflowofwaterand
gravelonalengthof1.500m(4.900ft).Thesurfaceabovethisareasettledabout3m(10ft).
1906DetroitTunnel:ThecentralMichiganRailwayTunnelorDetroitTunnelwasthefirstmodern
immersedtunnel.Itisabout2.560m(1,6mi)longandstillconnectstheAmericancityDetroitwith
theCanadiancityWindsorundertheDetroitRiver.
1927HollandTunnel(USA):TheHollandTunnelisconnectingthecitiesNewYorkandNewJersey
belowtheHudsonRiver.ItwasnamedafterthechiefengineerCliffordHollandandthefirst
automotivetunneleverbuilt.Foritspurposeofautomotivetrafficitwasinneedofaproper
ventilationsystemtoblowtheexhaustsoutofthetunnelandfreshairintoit.
1954OaheDam(USA):AttheOaheDaminSouthDakotathefirstuseofamechanicalrotary
excavator,namedtheMittryMole,wasconducted.
2.1.5 Nowadays
Alotofprogressintunnelingwasmadeinthesecondhalfofthe20thcentury.Todaymoreandmore
tunnelingprojectsaresuperlativesanditdoesntmatteriftheseareprojectsinurbanareasordeep
inthemountains.
Regardingurbantunnelingshouldbesaidthatinthe1980sabout63citieswereconstructingor
planninganundergroundtransportationsystem.44
19711988SeikanTunnel(Japan):TheSeikanTunnelisa53.85km(33.46mi)longconstruction
locatedinJapan.23.3km(14.5mi)ofthetunnelarebuiltupto240m(790ft)beneathsealevel.Till
2010itwasthelongesttunnelintheworld.
19801987(SecondTube19982003)PlabutschTunnel(A):ThePlabutschTunnelinthesouthern
partofAustriaisabout10km(6,2mi)longandthesecondlongesttwintubemotorwaytunnelin
Europe.
19881994ChannelTunnel(GB/F):TheChannelTunnelconnectsGreatBritainandFranceunder
theStraitofDover.Itis50.5km(31.4mi)long,whichmakesitthelongestunderwatertunnelinthe
world,andhasamaximumdepthof75m(250ft)belowseaground.About15.000workerswere
employedinpeaktimesand10fatalitieshappenedduringconstruction.
19962010GotthardBaseTunnel(CH):TheGotthardBaseTunnelisthelongesttunnelintheworld.
Withthecutthroughin2010itreachedacontinuouslengthof57km(35,4mi).Thewholesystemis
consistingof151,84km(94,3mi)ofundergroundconstructionsliketunnels,shaftsandpassages.
44
2.2 Outcome
ThetimelineshowsthattunnelingandminingwasalwaysabigdealinEuropeandtheregionofthe
Alps.InAustriathefirstminesforexploitingsaltaredatingbackto2500BC.
Whentunnelingbecamereinventedinthe17thand18thcenturyMiddleEuropewasthecenterof
knowledgeandinnovations.
LatertheUSmadesomeveryimportantinventionsandwasparticularlysuccessfulintunneling.They
madesomemayorinventionslikethecompressedairdriller,theuseofnitroglycerineintunnels,the
developmentofimmersedtunnelsandTBMs.ButitseemslikealthoughtheUSoftenmadethefirst
step,theydidntcontinuetopushtheirtechnologiesforward.Insteadothercountriesadaptedand
developedthemfurther,leavingtheUSbehind.Whennowthinkingaboutthenewestinnovationsor
technologiesregardingtunnelingfromtheUSyouhavetogobackmanyyears.Almostallof
nowadaysprogressintunnelingwasmadebyEuropeorJapan.
Onereasonfortherecentlackcouldbetheadversarialapproachbetweencontractorsand
engineers.Thisiscreatingareluctanceoftheengineersandtheydonotwanttotaketherisksof
innovations.45
Alsothepublicfundingregardingtunnelingshouldbeincreasedtoprovidemoreresearch.
WhentakingalookattheAmericaninfrastructure,itseemslikeatunnelissomethingspecial,
nothingusuallikeinEurope.Thereforealsoconstructingatunnelissomethingunusual.Italso
appearsthattheUnitedStatesareacountrywhichprefersbuildingelevatedinsteadofunderground
structures.ItisobviouswhentravellingthroughtheUnitedStatesthatbridgesaretheirwaytosolve
infrastructuralproblems.Evenmetrotransportationsystemsarebuiltashighraisedconstructions
insteadofputtingthemunderground.
InAustriatherearesomebigtunnelingprojectsinprogress.Onereasonistheattemptof
establishingatranseuropeantransportationsystem,whichhasmayorroutesthroughAustria.
ExamplesaretheBrennerBaseTunnelwithaplannedlengthof56km(35mi)withmanyrelated
undergroundconstructionsandtheKoralmTunnelintheeasternpartofAustria.Anotherreasonare
theaccidentshappenedattheendofthelastandbeginningofthenewdecade.Theseaccidentsin
theTauernTunnel,theMontBlancTunnelandtheGotthardTunnelcausedmayorfatalitiesandled
toarethinkingoftunnelsafety.SotheEuropeanUnionaswellastheAustriangovernmentstarted
pushingsafetymeasuresintunnelsforward.Manymayorroadtunnelswereturnedintotwotube
onewaytraffictunnels.
Regardingtheurbanplanningandconstruction,nowadaysmoreofthetransportationsystemsare
gettingatleastpartlytransferredintotheunderground.
45
TheconstructionphilosophyconcerningtunnelsisalsodifferentinAustria.Problemsmentioned
beforeoccurringintheUnitedStatesaremostlyeliminatedbytherelationshipbetweencontractor
andengineer.46Thisrelationshipisbasedoncooperation,controlandknowledgebetweenthe
involvedparties.
AlsointermsofresearchAustriaisabigplayer.TheTechnicalUniversitiesofGraz,Viennaand
InnbruckaswellastheUniversityofLeobenarewellknownfortheirresearchintunnelingand
mining.Thiscommitmentcontinueswiththeworkininternationalresearchgroupsandthe
participationatinternationalcongresses.Aresearchprojectconcerningtunneling,called
TUNCONSTRUCT47,cofinancedbytheEuropeanCommissionandwithatotalinvestmentof26
millionEurowasledbytheGrazUniversityofTechnology.
TheinternationalsupportofthisworkcanbeseenasacredittotheAustriantunnelingcommunity.
46
Galler,R.:NATMTheAustrianPracticeofConventionalTunnelling.In:Zlmal,Jaromr:Transportandcitytunnels
proceedingsofthe11thInternationalConferenceUndergroundConstructions,Prague2010.Prague:CzechTunnellingAss.
ITAAITES2010
47
TunConstruct:http://www.ifb.tugraz.at/tunconstruct/(October2010)
22 (Shallow)TunnelingMethods
Tunnelingasawholecanbedividedinmanysubsections.Thischaptergivesanoverviewabout
shallowtunnelingmethods,explainsthemandpointsouttheirdifferences.
Becauseofthesometimesdifficultdistinctionbetweenshallowordeeptunneling,someofthe
methodsmentionedinthischapterareequallyadoptablefordeeptunneling.Neverthelessthis
chapterwillconsiderthemethodsfromashallowtunnelingpointofview.
Undergroundconstructionsarealwaysachallenge,evenmoreiftheyareconstructedinurbanareas
wheresensitivebuildingsandinfrastructureneedtobeconsidered.
Justsmallsettlementscanbeabigproblemandespeciallyinhighlypopulatedareasendina
disaster.Soitisobviousthatadaptedandnewlyinnovatedconstructionmethodsareneeded.
3.1 CutandCoverTunnels48
TheprincipleoftheCutandCovermethodistodigthetunnelfromthesurfaceinatrenchandavoid
themorechallengingundergroundworks.
CutandCoverneedsmorespaceonthesurface,andtheremaynotbeanyobstacles.Indepthfrom
about1012m(3040ft)theCutandCovermethodisnormallymoreeconomical,butofcourse
dependingonprojectparameterslikegroundconditions,availablespace,objectivesonthesurface
andinfluencesofexistingtraffic.
Regardingthetrenchtherearetwodifferentwaysofdiggingandstabilizingit.Dependingonthe
availablespaceanopencutslopeorapermanentortemporarystructureisused.Theopencutslope
isaquitecheapmethod,butcanonlybeusedifslopesinaproperanglecanbeerected.Ifthespace
istightandsensibleobjectsaresurroundingthetrench,thetrenchneedstobesupportedby
permanentortemporarystructures.Temporarysupportcanbesheetpiles,soldierpilesorlagging
walls.Mostcommonforpermanentsupportareslurrywallsorpilewalls.Importantistoconsider
thedewateringofthetrenchandthedeflectionofthepermanentortemporarysupportwalls.
3.1.1 BottomUp
TherearetwodifferentkindsofconstructingaCutandCoverTunnel;themorecommonmethodis
calledBottomUp.Atrenchisexcavatedfromthesurfacetillthebottomoftheprospectedtunnel.
Thenafoundationslabispouredinplacewhereonlaterthetunnelframeiserected.Thisis
48
U.S.DepartmentofTransportationFederalHighwayAdministration:FHWANHI10034TechnicalManualforDesignand
ConstructionofRoadTunnelsCivilElements.WashingtonD.C.:2009
(Shallow)TunnelingMethods 23
commonlydonebytheuseofordinaryframeworkandreinforcedconcrete,althoughprecastedsteel
orconcreteelementsareusedsometimes.Assoonasthestructureisabletocarryloadsthetrenchis
refilledwithsoil.ThefollowingfigurefromtheFHWATechnicalManual49visualizesthisprocess.

Figure2:PrincipleoftheBottomUpmethod
AveryinterestingProjectusingthismethodwascarriedoutintheAustrianAlps.Thesmallvillageof
Serfaus,askiresortinTyrol,hadtodealwithtoomanycarsonthesmalldeadendmainstreet.So
theydecidedtokeepcarsoutofthevillagebyerectingthesmallestundergroundintheworld.
Becauseofthelackofspace,theexistingoldbuildingsandthesiteofthevillageitwasavery
challengingproject.In1984theconstructionofthefourstationsand1280m(4200ft)long
undergroundaircushionfuniculartransportsystembegan.Afteritsofficialinaugurationin1986it
startedbeingabigsuccess.
OnthefollowingpicturestheerectionofaBottomUptunnellocatedatthenewBrennerrailroad
trackcanbeseen.Thepictures,Figure3to5,aretakenandprovidedbytheARGEBEGH43Stans.

Figure3:UseofBottomUpattheBrennerrailroadtrack
49
U.S.DepartmentofTransportationFederalHighwayAdministration:FHWANHI10034


3.1.2 TopDown
ThesecondmethodtoconstructaCutandCovertunnelisthesocalledTopDownmethod,whichis
rathertheoppositeoftheBottomupmethod.Whenapplyingthismethodjustashallowtrenchis
excavated.Subsurfacewallsorcolumns,mostlyslurrywalls,arebuiltinadvanceandareproposed
foralateruseasloadbearingwalls.Thesewallsareconstructedtothedesigneddepthofthetunnel.
Oncethewallsarefinished,intheexcavatedshallowtrench,aconcreteslabispouredinplace.The
slabitselfiscommonlyerectedonalayerofsandandwithoutanyframework.Assoonasthe
concreteoftheslabhasreachedaproperstrengthitiscoveredwithsoiltoestablishanimmediate
useoftheareaabove.Thenextstepistheexcavationbeneaththeslab.Excavatorsarediggingtheir
waybeneaththeslabtillthedesignedheightisreached.Thenanotherslabisconcretedand,if
necessary,diggingstartsagain.Thisprocesscontinuoustillthefinaldepthoramountofstoriesofthe
structureisreached.
Iftherearecrucialobjectsorinfrastructureonthesurface,whichcannotberelocated,itispossible
topushthetopmostslabthroughtheground.Whenthisprocessisfinishedexcavationcanstart.
TopDownmeansaminimuminterruptiononthesurface.Assoonasthefirstslabisfinishednormal
conditionscanreturntothesurface,whilebeneaththeworksaregoingon.
Thefollowingfigure50showstheprincipleofthismethod.

Figure6:PrincipleoftheTopDownmethod
50
3.2 ImmersedTunnels51
Immersedtunnelsarestructuresconsistingofprecastedsegmentsplacedunderwater.The
segmentsareprecastedonafloodablebasinoradrydockandhaveasealedbulkheadoneachend.
WhilemostimmersedtunnelsinEuropeareconsistingofconcrete,theimmersedtunnelsinthe
UnitedStatesaremadeofsteel.
Regardingconcretethesegmentlengthislimitedbytheweightandthehydrationheattoabout20
m(60ft).Steelsegmentsthereforecanhavealengthupto130m(400ft).Theproblemwithsteel
segmentsisthedeformation.
Figure7to10areimagesfromtheveryinterestingOresundProject.52

Figure7:Principleofadrydock
Aftertheconstructionofonesegmentthedockorconstructionplaceisflooded.Whilesteel
segmentsarestartingtofloatearlier,concretesegmentsneedtobecompleteunderwatertofloat
andneedahigherwaterdepthontheshippingroutethansteelsegments.
Oncefloatingthesegmentsaretowedtothesitewheretheyarebeputinplace.Beforethe
segmentsarriveatrenchneedstobeexcavatedtoprovideaproperlayerforthem.Thediggingof
thetrenchisacriticalpartoftheconstruction,becauseitcanhaveabigimpactontheseaground
andfurthermorethewholeenvironment.Creatureslivingthereandfishpopulationscanbeharmed
quiteseriously.
51
52
BenC.Gerwick,Inc.ConstructionofElementsfortheOresundImmersedTunnel:
http://gerwick.com/PDF/oresund_link.pdf(November2010)

Figure8:Towingofafinishedtunnelsegment
Thenextsteparethefoundationworks.Foundationsforanimmersedtunnelcaneitherbea
continuousbeddingfoundation,consistingofa0,5to1,4m(1,6to4,5ft)thicklayerofgravel,or
morerarelyanindividualsupportfoundation,consistingofdrivenpiles.
Oncethesegmentsarriveonsitetheyareloweredbyusingballast.Theballastcanbewatertanksor
othercomponentswithextraweightandcanbeplacedontheexteriororinteriorofthesegments.
Theloweringprocessisoneofthemostcrucialparts.Considerationsabouttheweatherandits
influencestotheloweringprocessaswellastidesandothermaritimeandenvironmental
parametersareabsolutelynecessary.

Figure9:Foundationworksfortheimmersedsegment
Isthesegmentfinallyinplace,itisconnectedwiththeotherplacedsegments.Thisconnectionneeds
tobetotallywatertight.Whenthisisensured,thespacebetweenthebulkheadsofthetwosegments
isclearedofwater.
Thenthetrenchisbackfilled.Thisbackfillconsistsofthefollowingparts:53
Selectedlockingfilltosecuretheelementslaterally
Generalbackfilltothesidesandtopofthetunnelstructure,alsoprovidinganimpact
absorbing/loadspreadinglayerabovethetunnel
Arockprotectionblanketgenerallyaboveandadjacenttothetunneltoprovidescour
protection
Rockfillanchorreleasebandsatbothsidesofthetunnelaresometimesprovided
53

Figure10:Backfillingoftheimmersedsegments
Forsafetyreasonsthebackfillinghastobedonesymmetrically.Regardingseismicdesign,afree
drainingmaterialshouldbeusedforloweringtheporewaterpressureandthereforeavoiding
groundliquefaction.Alsoanadditionalarmorprotectionshouldbeinstalledtoprotectthebackfill
againstlongtimeloss.
Afterthebackfillingprocessisfinished,thetwobulkheadsbetweenthesegmentscanberemoved.
Considerationsconcerningthedesignofanimmersedtunnelshouldalsoincludetopicslikesunken
shipsorsubmarinescollidingwiththetunnel,whichmaysoundsfunny,butcancauseserious
damagetothestructure.

3.3 ShieldTunnels
Shieldtunnelingmeansforcingatunnelundertheprotectionofashieldwhichisproviding
temporarysupport.Theuseofshieldsiscommoninsoftgroundbecauseoftheabilitytocontrolthe
groundandtopreventitfromcollapsing.Shieldtunnelinghasalongtraditionandwasinventedat
thebeginningofthe19thcenturywhenBrunelstartedtorealizehisidea.Therearedifferentkindsof
usingashieldintunneling.Theboxjackingmethodforexample,whichisdescribedmoredetailedin
thenextparagraph,isstrictlyspeakingalsoakindofshieldtunneling.Mostrecognized,whentalking
abouttunnelingwithshields,arefullymechanizedshieldsoftenreferredasTBMsTunnelBoring
Machines.
Buttherearesomemorepossibilitiesofusingashieldintunneling.Thefollowingparagraphsand
graphicsaremainlyadoptedfromtheTunnelManualoftheFHWA:54
3.3.1 NonMechanized
Atnonmechanizedshieldsthetunnelisdugbymenundertheprotectionofashield.Thedifferent
kindsofnonmechanizedshieldsare:
3.3.1.1 BlindShield
Ablindshieldisusedinverysoftclaysandsiltsandalsobeneathwaterpassages.Itusesthe
instabilityoftheground,whichisremovedbyitsabilityofflowing.Theflowofsoilintothetunnelis
regulatedbyaholeintheshieldwhichcanbeadjusted.Theuseofablindshieldoftenresultsin
propersettlementsabovetheface.

Figure11:Blindshield
3.3.1.2 OpenFaceShield
Anopenfaceshieldisopenoverthewholecrosssectionoftheface.Withtheinstallationof
additionalplatesatthefacesomeextrasupportcanbeprovided.Theseplateshavenoabilityto
compensatethegroundpressure,thereforetheuseislimitedtoshortandsmalltunnelsinnon
collapsingsoils.Thesoilisremovedbymen.Thiskindofshieldisusingthesameprinciplethanthe
onethatBrunelinvented200yearsago.
54

Figure12:Openfaceshield
3.3.2 Semimechanized
Semimechanizedshieldsaremorecommonnowadays.Theshielditselfissimilartotheopenface
shield,butthesoilisremovedbyabackhoeorcutter.Thisshieldcanexistofmoretablesandcanbe
additionallyequippedwithplatestosupporttheface.Thefacecanalsobedividedintopartial
segments.Problemscanoccurinlooseorrunninggroundbutitcanbecombinedwithcompressed
airtoreducewaterinflowandimprovesoilstabilization.

Figure13:Semimechanizedshield
3.3.3 Mechanized
Mechanizedshieldsareusingtotallymechanizedcutters,normallyafullfacecutterwheeloradisk
cutter,toremovetheground.

Figure14:Mechanizedshield
Whenspeakingaboutmechanizedshields,thetermTBMTunnelBoringMachineismorecommon
althoughnoteveryTBMisusingshieldtechnology.Todaythereisabroadrangeofdifferentshield
TBMs.
FortunnelinginrockconditionsthefollowingShieldTBMsareavailable:
SingleShieldTBM
DoubleShieldTBM
Becausesoftgroundconditionsareverycommoninshallowandurbantunneling,machines
operatingundertheseconditionsareconsideredinthefollowingparagraphs.55
3.3.3.1 EarthPressureBalanceShield
EarthPressureBalanceShieldsorEPBareusedinsoftandnonstablesoils.Theloosenedsoilisused
tostabilizethetunnelfacewithouttheadditionofasecondarysupportmedium.Inaclosed
excavationchambertheloosenedsoilismixedwiththealreadyplasticizedsoilwatermixture.By
compactingthismediumwithnativeearthandwaterpressureanequilibriumisreached.This
equilibriumiskeptstablebyacontrolledremoveofthesoil,accomplishedbythespeedofthe
forcing.Thetunnelliningnormallyexistsofreinforcedconcretesegments.
Thefollowinggraphic56showstheareasofuseforEPBandSlurryShieldmachines:

Table5:ApplicabilityofSlurryandEPBShields
3.3.3.2 MixShield
AMixShieldisusedinheterogeneousandgravellyconditionsaswellasinmixedgeological
conditionswithanunstableface.Thecutterwheelisrotatinginabentonitesuspension,creatingan
equilibriumbyacompressibleaircushionwhichequalsthenativeearthpressure.Comparedtothe
EPBShieldthesupportpressureisnotdirectlycontrolledbythemedium,butbyanaircushionwhich
allowsamoreflexibleandbettercontrolofthepressure.Thisprovidesamorestablefaceandno
lossofground.Liningsegmentsarealsonormallymadeofreinforcedconcrete.
55
Herrenknecht:http://www.herrenknecht.com/(Oktober2010)
56
Herrenknecht:http://www.herrenknecht.com/(Oktober2010)
3.3.3.3 SlurryShield
Aslurryshieldisusedwhenthetunnelfaceisstable,likeincohesivesoils.Theprincipleofthe
machineisquitesimilartotheMixShield,butwithouttheuseofcompressedair.Thismeansthe
facesupportiscontrolledbytheslurryitself.
3.3.3.4 PartialFaceExcavation
Thepartialexcavationshieldcanbeusedinawidevarietyofgeologicalconditions.Thepartial
excavationofthefaceisdonebyanexcavatorinsoftgroundsorwithroadheadersinrock.

3.4 JackedTunnel
Tunneljackingisbasedontheprincipleofpipejacking.Sincethecomplexityofthismethoditisnot
usedveryoften.TilltodaythismethodwasneverusedinAustriaandalsointheUnitedStatesthe
firstmentionableapplicationofthismethodwasin2003attheBigDigprojectontheI90inBoston,
MA.
Theprincipleofjackedboxtunnelingistopushaprecastedtunnelsegmentthroughthegroundby
usingahydraulicjack.Theseboxescanexistofconcreteorsteelandeitherberoundorrectangular,
butthemostcommontypeisarectangularboxconsistingofreinforcedconcrete.
Theapplicationofthismethodislimitedbytheground,itisonlypossibleinsoftground,andthe
length.Theaimistoconstructatunnelwithoutdisruptingthesurfaceincludingcriticalobjects.The
segmentsarejackedbeneaththecriticalobjects,startingfromajackingpittoanendshaft.
GroundFreezingorGroutingcanbeusedtocontrolthegroundandlossofitandprovideadditional
stability.Appropriatedewateringmethodshavetobeconsideredaswell.
Theconstructionofajackedtunnelstartsinastartingshaft,socalledjackingpits.Assoonasthis
shaftisexcavatedandpreparedthesegmentsarecastedinit.Regardingthedesignofthese
segmentsthejackingandfrictionalresistanceloadshavetobeconsidered.Theseloadsare
dependingontheground,additionallyusedgroundimprovementmethodsandthefrictionbetween
groundandthesegments.Toreducethejackingloadsattheendofthetunnelsegment,additional
intermediatejackingstationscanbeinstalled.

Figure15:Layoutofatunneljackingsite57
57
Acrucialpartofthismethodistheconcretemix.Ithastoundertakethepartofthewatertightening
layer,becauseanadditionallayerontheoutsideofthetunnelwouldbedamagedordestroyed
duringthejackingprocess.
Theexcavationatthefaceisexecutedundertheprotectionofthetunnelbox.Toallowaproper
groundcontrolandsafetyinthetunnel,thefrontshieldshouldconsistofmultipleaccessestothe
face.Thatimpliesthatduringexcavationjustoneaccessneedtobeopened,andtherestoftheface
issecuredbytheotherclosedaccesses.Theexcavationitselfcanbedonebymostofthecommon
undergroundexcavationmethods.Oncearoundisexcavated,thetunnelisjackedforwardandthe
excavationprocessstartsagain.
Asmentionedbefore,thefrictionalresistanceisacrucialfactorregardingtunneljacking.Toreduce
thefrictionadditionalmeasureshavetobeperformed.OnepossibilityistheuseofthesocalledAnti
DragSystem,thissystemworkswithgreasedwireropeswhichareanchoredtothestartingpit,
runningattheoutsideofthetunneltothefrontshield,andthroughitbackintothetunnelwhere
theyarestored.Whenthetunnelisnowjackedforward,theropesarepulledoutoftheirstorage
lettingthetunnelboxglidingforwardonthem.

58
Figure16:Principleoftunneljacking
Whenthejackingprocessstartsithastobeensuredthatthetunnelsegmentsarepushedforwardin
therightverticalandhorizontalalignment.Maythisisnotconcerninglongersegmentsbecauseof
theirconductioninthejackingpit,butforshortsegmentsthisisaproperissue.Forvertical
alignmentasteeringmechanismsshouldbeinstalled,whileforthehorizontalalignmentfixedside
guidesshouldbeconsidered.59
58
JackedStructures:http://www.jackedstructures.com/boxjacking.html(December2010)
59
3.5 MinedTunnels
Minedtunnels,alsoknownasconventionaltunnels,arethetruetypesoftunnels.Theycanbeforced
bythefollowingthreemethods:
Blasting
Cutting
Excavating
Whichmethodischosenisdependinginfirstsightonthegroundconditionsbutalsoonfinancial
issues,environmentalissuesandsiteconditions.
3.5.1 DrillandBlast
DrillandBlastisacommonmethodofloosenthegroundinrockconditions.Althoughitisusedin
urbantunneling,becauseofthegroundcompositioninshallowandurbanconditions,often
consistingofsoftground,gravelandheterogeneousconditions,othermethodsaremorecommon.
Otherreasonsforitslimiteduseindenselypopulatedareasaretheaccompanyingeffects.Shock
wavescanbeaproblemaswellastoxicdustfromtheexplosion,noise,vibration,airpollutionand
thedangerofexplosivesingeneral.
Nevertheless,thereareconditionswhereblastingistheonlyreasonablechoice.Inthiscaseavery
sensitivehandling,averyexperiencedcrewandmaybeadditionalworksforsecuringandreducing
theabovementionedissuesmaybenecessary.
TheDrillandBlastmethodbasicallyconsistsofthefollowingsteps:
DrillingandCharging
Blasting
Ventilation
Supporting
LoadingandHauling
Whenchoosingblastingforlooseningthegroundfollowingconsiderationsandparametersare
important:60
Behaviorofseismicnoiseinaparticularregion
Maximumamplitudesandfrequencyspectraofvibrations
Typeofmovement(particlemotion)
60
Kalb,Z./Knejzlk,J.:Measurementsandseismiceffectsofvibrationscausedbyurbantunneling.In:Bartk,Jii:
UndergroundSpacethe4thDimensionofMetropolises.Volume1.London:Taylor&FrancisGroup2007,pp.481485
Validityofmeasuredvaluesforsurroundings
Thekeywordconcerningthismethodisnowadaysgentleblasting.Duetotheuseofnonelectrical
chargersandanintelligentarrayoftheexplosivesaswellasgooddesignedroundlengthsthe
negativeimpactsofblastingtothesurroundingscanbeminimizedandwellperformedblasting
picturescanbeensured.
3.5.2 Cutting
Whencuttingatunnelaroadheaderorarotarycutterisusedtoloosentheground.Themachines
arecomparabletotheonesusedforfullymechanizedpartialfaceexcavation,withthedifference
thatthemachinesarenormallysmallerandnotstationery,butselfoperatingonacrawler.
CuttingmachinesaremuchcheaperandmoreflexiblethanTBMs,butthereforeslowerandtheiruse
isalsolimitedbythestrengthoftheground.Althoughcuttingisaveryindulgentwaytoloosenthe
ground.
3.5.3 Excavating
Ifthesoilisverysofttheuseofspecialtunnelexcavatorscanbeconsidered.Excavatingisalsolike
cuttinganindulgentwayoflooseningtheground.
Forcingatunnelwithexcavatorsisadirectascentoftheearlymethodsofdiggingatunnel.During
theearlytimesoftunnelingtheworkwascarriedoutbymen,withoutanymechanizedhelp,
nowadaystheexcavationprocedureexistsofhightechexcavatorsespeciallybuiltforthetoughuse
inundergroundconditions.Theusedshovelsarealsoespeciallydesignedandadaptedtothe
undergrounduseandthegroundconditions.

3.6 Excurse:NATM/SEM61
TheNewAustrianTunnelingMethodorinAmericamoreoftencalledtheSequentialExcavation
Methodwasinventedinthemiddleofthe20thcenturybydifferentAustrianengineers,leadby
Rabcevicz.
TheprincipleoftheNATMisthatgroundisnolongerjustaload,butalsoapartoftheloadbearing
structure.TheNATMisamethodofconventionaltunneling,whereexcavationisdonebyblasting,
cuttingorexcavating.Adaptedtothegroundconditionsandthetimedependentdevelopmentof
groundreactionsaftertheexcavationsupportmeasuresareundertaken.Theappliedsupportis
evaluatedandadjustedforeveryroundandconsistsofshotcrete,mostlyreinforced,andifnecessary
additionalsteelarches,anchors,latticegirders,facebolts,spilesetc.
Theshotcreteallowsacontrolleddeformationofthesupport,whichisneededtoactivatetheground
asaloadbearingstructure.AcrucialpartoftheNATMisthecontinuousmeasurementofthe
deformationsandthereevaluationofthegroundbehavior.
Alsodependingonthegroundconditionsanexcavationcrosssectionischosen.Possiblecross
sectionscanbeafullfaceexcavation,atopheading,benchandinvertexcavationorasidedrift
galleriesexcavation.
WhenusingtheNATMinurbanenvironmentsoftgroundconditionsareusual,whichmeansarigid
shotcreteliningwithshortadvancingroundsandmaybearapidinvertclosureisnecessary.Also
additionalworkslikedewateringandinstallationofapresupportingsystemareusuallynecessary.
Theinnerliningwhichisconcretedlateronismostlyreinforcedandinmanycasesithasto
undertakewatertighteningtasks.Thereforethedesignoftheconcretealsohastoconsiderthe
hydrostaticpressure.Thethicknessandreinforcementisdependingontotheoverburdenandhow
manyforcescanbetranslocatedintotheground.Thebiggestdifferencebetweensoftgroundand
rocktunnelingis,duetothegroundbehavior,thedangerofsettlements,sowhenusingtheNATM
noattemptismadetoreducetunnelliningloadsbyallowingcontrolledgroundmovements62.
AccordingtotheOEGGthebelowlistedstepsareneededtobeconsideredandexecutedinthe
planningandconstructionphaseofaNATMtunneltoensureasuccessfulapplication:63
Phase1Design
Step1DeterminationofGroundTypes
Step2DeterminationofGroundBehavior
61
Galler:NATMTheAustrianPracticeofConventionalTunnelling.
62
Galler:NATMTheAustrianPracticeofConventionalTunnelling.
63
Excavation.
Step3SelectionofaConstructionConcept
Step4AssessmentofSystemBehaviorintheExcavationAreas
Step5DeterminationofExcavationandSupportandEvaluationoftheSystemBehaviorin
theSupportedAreas
Step6GeotechnicalReportExcavationandSupportRequirements
Step7DeterminationofExcavationandSupportClasses
Phase2Construction
Step1IdentificationoftheEncounteredGroundTypeandPredictionofGroundConditions
Step2AssessmentoftheSystemBehaviorintheExcavationArea
Step3DeterminationofExcavationandSupport
Step4VerificationofSystemBehaviorintheSupportedArea
3.6.1 AdoptionoftheNATMintheUS64
IntheUnitedStatesjustafewtunnelingprojectshavebeenrealizedusingtheNewAustrian
TunnelingMethod.OneimportantpartoftheNATMistheemploymentofgoodtrainedpersonnel,
fromtheworkersuptotheengineer.Thisiscrucialtoensureafastreactionwhengroundischanging
becauseinfurtherconsequencethisisaffectingtheconstructionprogressandtheproductivity.
Anotherimportantpartisthesystemofgroundclassification.WhileintheUnitedStatestheground
classificationfromTerzaghiismostlyused,theEuropeansorespeciallytheAustriansareusinga
muchmoredifferentiatingsystem.
MaybethebiggestprobleminadaptingtheNATMintheUSisthecontractualsystem.InAustriafor
examplethegroundriskisariskoftheowner,soifunpredictedchangesinthegeologyoccur,the
ownerhastopayfortheaccumulatingcosts.ThiscontradictstheusualAmericancontractualsystem.
Regardingtheclassificationandpricingofthesupportmeasures,thereisalsoabigdifference.In
Austriaeverysupportmeasurehasadefinedpriceandthecontractorgivesabidconsistingofthis
priceandthegroundclassificationoftheowner.Thedifferentsupportmeasuresarestrictlyand
exactlydivided,whichcausesalargenumberofthem.Ifnowanunpredictedchangeinground
conditionsoccurthecontractorandtheownerrespectivelyanengineeroftheownerare
reevaluatingthegroundandthetunnelfaceandaredecidingifandwhichappropriatemeasuresare
neededtobecarriedout.Ifmoresupportisnecessarytheownerpaysforeveryadditionallyinstalled
itembasedontheunitpriceinthebid.CommonpracticeintheUSisthepricingofjustafewbasic
supportcategories.
64
Marcher,Thomas:NATMStrategiesInTheU.S.InitialSupportDesignForTheCaldecott4thBore.In:ITAAITESWorld
TunnelCongress2009:SafeTunnellingForTheCityandForTheEnvironment:Hungary:HungarianTunnellingAssociation
2009
TheconstructioncontractsintheUnitedStatesareaimingtoprovideaclearlyscopedcontractwhich
iscontrarytotheflexibilityoftheNATM.DuetothesedifferencesadirectadoptionoftheNATMis
notveryappropriate.
WhenadoptingtheNATMtotheAmericanwayoftunneling,somesimplificationsandchangesneed
tobedone.OneattemptisamoredetailedinsituinvestigationthaninAustria.Thisshouldenhance
theaccuracyofthegroundpredictionsandthereforeprovideamoredetailedgeologicalmapping
andinfurtherconsequenceaninadvancemorepreciseassessmentofsupportmeasures.These
actionsshouldleadtoadetaileddescriptionandreductionofsupportcategoriesandmostimportant
fewerchangesduringconstruction.
ThesupportmeasurescorrelatingtothegroundbehaviorshouldalsobeadaptedtothetypicalUS
groundclassificationsystem.Belowyoucanseethegroundclassificationincludingsupportmeasures
givenbytheFHWAandincontrasttothatthedeterminationofgroundtypesaccordingtotheOEGG,
whichisthebasisfortheirdeterminationofthesupportmeasures.
TypicaldeterminationofGroundTypesintheUSregardingtotheFHWATunnelManual:65
65

Table6:ElementsofCommonlyUsedSoftGroundExcavationandSupportClassesinSoftGround
DeterminationofgroundtypesinAustriaaccordingtotheOEGGGuideline66:
SoilClassification
Definitionofgrainsizeclasses
Propertiesofplasticity
Constituentsoforganicorigin
Parametersofthecomposite
Specificweight,unitweight,density
Porosity,structuretexture
Ratioofcomponentstomatrix,kindandarrangementofthecomponentframework
Properties(andpotentialdirectiondependence)ofstrengthanddeformability
Parameterofcomponents
Mineralogicalcompositionofthemainconstituents,grainshape
Stateofcomponents(e.g.weathering,alteration)
Mineralogicalcompositionofthemainconstituents,grainshape
66
Excavation.
Stateofcomponents(e.g.weathering,atteration)
Parametersofmatrix
Mineralogicalcomposition,contentsofclaymineralsandorganicmaterial,cementation
Permeability
42 ParticularTopicsofShallowandUrbanTunneling
4.1 ImportanceandChances
AccordingtoWest67astudywassayingthatcitieswithapopulationofmorethan1millionpeople
arejustifyingtheconstructionofundergroundinfrastructuresystems.Thisnumberisquite
interestingandshowsthefactsofChapter1Backgroundinformation&Introductioninadifferent
light,becauseevenmuchlargercitiesormetropolitanareasarestillnotrelyingonaproper
undergroundtransportationsystem.Populationanddensityhoweverissteadilyincreasinginthose
areasthroughouttheworld,whichmakesproperinfrastructureevenmoreimportant.
Whendiscussingthefurtherdevelopmentofacityoftenthequestionofbuildingundergroundoron
surfacearises.Thequestioniftunnelsareworththeirhigherinitialcostsarisesandtoooften
politiciansrejectundergroundstructuresbecausetheyarenotabletodefendthemuchhigherinitial
costsofthem.
Butwhentalkingaboutcostsofanurbanundergroundprojectnotjusttheinitialcostshavetobe
consideredandpublicized.Likealreadycommonpracticeforofficebuildings,thewholelifecycle
costsshouldbeconsidered.Rejectingthisistoooftenareasonforjudginganunderground
constructionastooexpensiveandthereforecausesabadreputationofthem.
MoredifficultthancalculatingLifeCycleCostsaretheassessmentofsocialimpactsandsavingsasa
resultofastructure.TheOECDOrganizationforEconomicCoOperationandDevelopmentstatedin
areportin199568thatOECDCountrieshavetopaythefollowingpercentagesoftheirGross
DomesticProductfor:
Roadcongestion:2%GDP
Roadaccidents:1,52%GDP
Noisepollution:0,3%GDP
Airpollution:0,4%GDP
NonlocalCO2pollution:110%GDP
Theconclusionofthisdataisobvious;reducingtrafficproblemsinurbanareasissavingthe
government,andthereforethetaxpayeraconsiderableamountofmoney.Roadcongestionscanbe
reducedbyundergroundstructuresverywell.Alsoroadaccidentscanbereducedbypromotingan
67
68
Godard,J.P./LequeuxT.:Frenchmetros:ConstructioncostsVS.transportsocialcosts.In:Negro,Arsenio:Tunnelsand
metropolisesproceedingsoftheWorldTunnelCongress98.Volume1.Rotterdam:Balkema1998,pp.313
ParticularTopicsofShallowandUrbanTunneling 43
urbanmetrosystem.Samecanbesaidfornoiseandairpollution.Alsoaroadtunnelcanreduce
thoseproblems.Whilethereductionofnoiseisaneasytask,alsopollutedairfromatunnelcanbe
cleanedbymodernventilationsystemsandthenbeingtransferredintotheatmosphereataproper
placewhereitisnotinfluencingpeopleandtheirhealth.
Whentalkingaboutundergroundstructuresinurbanareas,mosttimeswearespeakingabout
shallowstructures,neverthelessthedeepesturbanmetroline,locatedinPyongyang,NorthKorea
hasadepthofabout110meter(361feet).Anywayduetotherarityofsuchstructuresthischapter
respectivelythewholethesisisfocusingonshallowstructures.
Anundergroundstructurecanhaveagreatpositiveimpacttoacity.Someoftheseadvantagesare
listedbeneath:69
Environmentaladvantages:avoidingvisualandacousticpollution,slightimpacton
ecosystems:manyenvironmentalimpactstudiesprovethatundergroundinterventionsdonot
effectthebiospherewhichismuchmoreeffectedbytheworksonsurface;
Formaladvantages:theundergroundspacehasnotcertainreferencessoitcanbeconsidered
completelyfreeofexternalrestraints,planningundergroundmeansbeingconditionedonly
byinternalperspectives.
Functionaladvantages:maintenanceofaconstanttemperatureduetothenatural
nonconductivity,whichmeansasignificantenergysaving
Riskadvantages:moresafetytowardstheoutdoors,morecontrolondangerous,inflammable
andpollutingproducts;
Economicadvantages:nourbanisticrestrains,possibleuseofvolumeslinkedwiththework
construction,possibilitytolocateinthecitycentrefacilitiesthatusuallyarecitedinthe
suburbanquartersforlackofspaceelsewhere.
Undergroundconstructionsshouldbeanenrichmentforacityandthereforeonlyassume
functionalitieswhicharedisturbingthesurface.Thereisnosenseingoingbeneaththesurfacewhen
theprospecteduseofthestructurehasanegativeimpacttosocioeconomicissues.

69
Gisotil,G./Mauri,M.:TheRoleOfUndergroundSpaceInSustainableCityPlanningAndInRationalResource
Management.TheCaseOfCavitySystemInRome:RiskAndResources.In:Teuscher,Peter:ProgressinTunnellingafter
2000proceedingsoftheAITESITA2001WorldTunnelCongress.Volume1.Bologna:Patroned.2001,pp.319325
4.2 EnvironmentalIssues
Anundergroundstructurecanhaveabigpositiveenvironmentalimpact,butitcanalsoturnintothe
wrongdirectionifworkiscarriedoutbythewrongpeopleorwithalackofexpertise.
Inearlystagesofanundergroundprojectthefollowingpointsshouldbeconsidered:70
Air,waterandsoilpollution
Noise
Vibration
Groundsubsidence
Offensiveodors
Obstructionofsunlightandventilation
Effectsonplantsandanimals
Topographyandsoilquality
Historicalsitesandculturalobjects
Visualenvironment
Theconsiderationhastoregardtheconstructionstageaswellastheoperationstage.
Duringtheconstructionstagetheissuesof
Airpollution
Noisepollution
Vibrations
areofspecialimportancebecausetheyareeffectingthesurroundingsofasiteinaseriousway.Ifno
considerationistaken,notjusthealthproblemscanoccur,butalsothecomplianceoftheinhabitants
toundergroundprojectswilldecrease
Importantforallofthesekindsofpollutionistohaveknowledgeaboutlimitationsbylocallawor
standardsandtoabideupperlimitssetinaccordancewiththepublic.Continuousmeasurementsto
ensureanadherenceoflimitsandaproperactionplaniflimitsareexceededareessential.
4.2.1 AirPollution
Airpollutioncanoccurbyexhaustsofheavymachines,butmorecommonormoreharmfuland
disruptiveisdustcreatedbysitetraffic,blastingorotherdestructionmethodsandproduction
facilitiesonsite.
70
Gisotil/Mauri:TheRoleOfUndergroundSpaceInSustainableCityPlanningAndInRationalResourceManagement.
Dustpollutioncanbedisruptiveinmanyways.Itcanlimitthesight,makeithardertobreath,settle
downoncarsandotherobjectsanditcansmellbadaswell.Maytheseeffectsarenotharmful,but
theyaredecreasingpubliccomplianceandcanturnatechnicalandeconomicalsuccessfulproject
intoafailedonebecauseofrejectionbythepeople.
4.2.2 NoisePollution
Noisepollutioncanbecausedbythesamesourcesmentionedabove,heavymachines,sitetraffic,
blastingorotherdestructionmethodsandproductionfacilitiesonsite.Asnoiseisnotthatbigissue
duringdaytimebecauseofexistingroadtrafficandothernoisepollution,generallysaidbecauseofa
basicallyhighernoiselevel,itisabigissueduringthenighttime.Mosttunnelsitesareoperating
24/7,sospecialmeasureshavetobeimplementedthattheneighborhoodisnotdisturbedduring
nighttime,weekendsorholidays.
4.2.3 Vibration
Vibrationinurbantunnelingcanoccurbyworkingmachinesormorecommonbyblasting.Vibrations
areaveryimportantfactor,becausetheycandamageobjectsandbuildingsaswellasannoying
people.Vibrationsarebasicallytheeffectscreatedbyshockwavesandhaveprincipallythesame
behaviorlikeseismicwavesarisingfromearthquakes.

4.3 Ground
Groundisalwaysanissueinundergroundconstructions,evenmoreinurbanareas.Themost
commontopicsregardinggroundarestabilityissuesinsidethetunnel,especiallybeforesupporting,
andsettlementsonthesurface.
Mostlyinurbanareasandshallowconditionsthegroundexistsofsoftsoil.Ifadditionallyhighwater
tablesareoccurring,furtherproblemscanoccur.
BeneathsomecommonsoilsoccurringinurbantunnelingandtheirbehavioraccordingtotheFHWA
TunnelManual71arelisted:
Designation Degreeof TunnelBehavior
Compactness AboveWaterTable BelowWaterTable
VeryFineClean Loose,N<10 CohesiveRunning Flowing
Sand Dense,N>30 FastRaveling Flowing
FineSandWith Loose,N<10 RapidRaveling Flowing
ClayBinder Dense,N>30 FirmorSlowlyRaveling SlowlyRaveling
SandorSandy Loose,N<10 RapidRaveling RapidlyRavelingorFlowing
GravelwithClay Dense,N>30 Firm FirmorSlowRaveling
Binder
SandyGraveland Runningground. Flowingconditions
MediumtoCoarse Uniform(Cu<3)andloose combinedwithextremely
Sand (N<10)materialswith heavydischargeofwater.
roundgrainsrunmuch
morefreelythanwell
graded(Cu>6)anddense
(N>30)oneswithangular
grains.
Table7:Commonsoilsinurbantunnelingandtheirbehavior
71
4.4 Measuring&Monitoring
Measuringandmonitoringisoneofthemostimportantissuesinurbanandshallowtunneling.The
firstissueistoforcethetunnelintherightdirection,horizontallyaswellasvertically.Whenforcinga
tunnelfromtwosidesthisisevenmoreimportanttoensureacorrectbreakthroughwithout
considerabledivergences.Anyways,evenifthetunnelisforcedfromonesidedivergencescancreate
bigproblemsindenselypopulatedareas.
Thenextissueregardingmeasuringandmonitoringaremovementsofthegroundaroundthe
excavatedtube.Ithastobeensuredthattheground,evenwithalreadyappliedsupport,isnot
movingtoomuchsothatthedesignedcrosssectiongetsaffectedornarrowed.Whenusingthe
NATMthisisamainpointandmonitoringgetsevenmoreimportant,becauseoftheaimtoallow
controlledmovementsuntilacertainpointandthenstopit.Thisisachievedbytheuseofmoreor
lessflexiblesupportmaterialsandanintelligentadjustmentofthesupportsystem.Notonlythe
crosssectionbutalsothetunnelfacehastobemonitored.Thereasonsthereforearetheissueof
stabilityandsafetyandthepredictionoftheupcomingground.
Thethirdbigissuearesettlementsandmovementsonthesurface.Thisisaverycommontopicin
shallowtunnelingandcanhavebigimpacts.Especiallyinsoftgroundconditionsachangeofstresses
beneaththesurfacecanleadtosettlementsonthesurface.Thisdirectlyaffectsbuildingsandobjects
inthesurroundingarea.Evenverysmallsettlementscaneffectsensibleinfrastructurelikerailroads
ormachineriesanddisturbtheirproperuse,whilelargersettlementscanleadtoatotalcollapseof
buildings.
Inthefollowingparagraphsaselectionofmeasuringandmonitoringmethodsisgiven.Thisselection
reflectssomeinterestingandnotalwaystypicalmethods,likeclassicmeasuringwiththeodolites.
Thischapterisnotreflectingthecompletenessofmeasuringmethods.
4.4.1 GPSMonitoring72
GPSrealtimemeasurementisusedtomonitorsinglesensitivebuildingsorobjects.AGPSstation,
whichisautomaticallygatheringdata,isinstalledoneverybuildingtobesurveyed.Thefrequency
howoftenthepositionismeasuredcanbesetmanuallyanddowntoonesecond.Afrequencyof180
secondshasproofedasacommononetoreceivereliabledata.ThedatafromeachGPSstationis
senttoacentralprocessorwhichprocessesthedatainrealtimeandsendsittopredefineddevices.
Thismethodisusedforsingleobjectswhichneedtobemonitoredoveralongperiodoftimeanda
highaccuracy.
72
Benecke,N./AlthausP./KalzU.:AdvancedonlinemonitoringforurbanTunnellingprojects.In:Bartk,Jii:Underground
Spacethe4thDimensionofMetropolises.Volume2.London:Taylor&FrancisGroup2007,pp.837840
4.4.2 TotalstationMonitoring73
WhileGPSmonitoringusesonedeviceforeachmeasuringpoint,totalstationmonitoringisbasedon
theuseofjustonemeasuringstation,whichcanadditionallybemonitoredbyGPS.Thetotalstation
ismeasuringautomaticallyandradiocontrolledpredefinedmeasuringpoints.Thesepointsare
measuringprismsattachedtoeachobjectwhichneedstobemonitored.Thetotalstationevaluates
thedataandsendsittoadefineddevice.Thismethodisusedforalargenumberofmeasuring
points.
4.4.3 Metric3DImages74
ThemethodofMetric3DImagesisbasedoncombiningandevaluatingpicturestakenwithdigital
cameras.Itjustneedstwopicturestakenfromthetunnelfaceorthetunnelshapeandareference
poletocreateathreedimensionalpictureoftheintendedarea.Thepicturesareevaluatedand
assessedwithaspecialsoftwareusingtheprincipleofstereophotogrammetry.Asaresultthe
processedpictureallowsmetricmeasurements,duetotheexistenceofthousandsmeasuringpoints.
Otherdatawhichcanbegatheredfromthesepicturesarerockmassconditions,orientationsand
derivedproperties.
Thismethodallowsameasurementofthefaceorshape,beforesupportmeasuresareinstalled,
becauseitisnotnecessarytobeinthemeasuredarea.Besidesthat,thepicturecanbetakeninto
theobjectordinatesystemwithjustafewadditionalworks.
4.4.4 3Dcablemonitoring75
3Dcablemonitoringisanattempttoavoiddamagesonthesurfacebyrealtimesettlement
monitoring.Aboreholeishorizontallydrilledaboveandinthedirectionofthetunnel.Afterfinishing
drilling,themonitoringcableisputintotheborehole.Itismadeofopticalfiberandisusingthe
Brillountechnologywhichensures,duetothesettlementinducedchangeofthecurvatureofthe
cable,adetectionofsettlements.Thecablecanregisterverysmallsettlementsandprocessesthe
datainrealtime.
4.4.5 AcousticBoreholeImage76
Thismethodisusedtodeterminethegroundconditionsaroundaborehole.Theprincipleisto
measurewavessentfromanacousticsignalandevaluatethem.Thereforeanultrasoundsignalis
73
Benecke/Althaus/Kalz:AdvancedonlinemonitoringforurbanTunnellingprojects.
74
3GSoftware&Measurement:http://3gsm.at/dt/home_dt.asp?ID=2(October2010)
75
Tunconstruct:GoingUnderground.Web:www.tunconstruct.org/tcstatic/tunconstruct_going_undergound.pdf
(November2010)
76
TaskGeoscienceTheBoreholeImageandDipmeterExperts:http://www.taskgeoscience.com/(November2010)
sentbyarotatingprobe.Whentheprobeisloweredintotheborehole,itmeasuresthereturning
timeandamplitudeofthesentsignal.Outofthisdataimagesarecreatedwhichareshowingthe
groundconditionsoftheboreholessurrounding.
4.4.6 Radarinterferometry77
Radarinterferometryusesthephysicaleffectofinterferenceandphasedifference.Wavesaresent
fromairplanesorsatellitesequippedwithradiointerferometrysystems.Thesurfaceisreflecting
thesewavesandtheyarereturningwithdifferentphases.Outofthedifferencesinthephasesdata
aboutthesurfacecanbecollected.Becauseofthelowabsorptionofelectromagneticwavesby
cloudsandotheratmosphericdisturbancesthisisaveryusefulandpracticalmethodforthe
monitoringofsurfacemovementsacrossalargearea.
Othermeasuringandmonitoringworkscouldbesatelliteimageanalysis,convergencemeters,
inclinometers,extensometersorordinarymeasuringbolts.

77
Benecke/Althaus/Kalz:AdvancedonlinemonitoringforurbanTunnellingprojects.
4.5 Sitelogistics
Sitelogisticandworkpreparationdemandsmuchmoredeliberationsinurbansurroundingsthanon
othersites,anditisgettingevenmorecomplexiftheconstructiontakesplaceunderground.
Undergroundworkshavetobecarriedoutbeneathexistingstructureswhichmeanslessspaceand
moredifficultaccessforstorageandfreighttraffic.
Accesspathsandaccesspointshavetobechosenwisely,andprimaryaswellassecondaryand
sometimestertiaryaccessrouteshavetobeassessed.Theserouteshavetotakeintoconsideration
size,weight,heightandturnsoftransportationvehiclesaswellasrushhours,congestionstimes,no
traffictimesforcommercialtrucksandothertrafficrelatedparameters.
Alreadyexistingundergroundconstructionsandobjects,especiallywiresandpipesforelectricity,
gas,freshwater,wastewaterandcommunicationlinesaswellaspipelines,needtobedetermined
becausetheyarenotjustinfluencingtheplanningandconstructionprocess,butalsothesite
logistics.
Aproperplanforthestorageofmaterialsisinevitable.Ifspaceisreallytightontimedeliveriescould
besolution,althoughtheycanhavemajorimpacttotheconstructionprocesswhendelayed.Asfar
aspossibleshafts,cavernsandalreadyfinishedpartsofanundergroundconstructioncanbeusedas
temporarystorages.
Alsobypassesforcarsandpedestriansforparticularconstructionstagesanddeliverieshavetobe
workedoutinaccordancewithpeaktimes.

4.6 FinancingandCosts
Financingandcostsareabigdealineveryconstructionproject.Likeissuedin4.1Importanceand
Chances,undergroundconstructionscanhaveabigimpactinreducinginfrastructuralandpublic
costs.
Theinfrastructuralcostsarerelatedtomanyfactorswhichcouldbedividedintothreemainpoints:78
Factorsrelatedtothetransportsystemproper:linecapacity,characteristicsofrollingstock
andequipment,spacingofstations,etc.
Factorsrelatedtothephysicalenvironment:specificfeaturesofthesite(topography,
climate),characteristicsoftheurbanfabric,groundandsubsoiloccupation,geologicaland
hydrogeologicalcharacteristicsofthesoil
Factorsrelatedtoprevailingeconomiccircumstancesandsocioeconomicenvironment
Likealreadymentionedinanearlierchapter,initialcostsforundergroundstructuresarenormally
higherthanthoseforonsurfaceorelevatedones.Thekeywordsregardingjustifyingthehigherinitial
costsareLifeCycleCostsorLCCandcostbenefits.
ForaprojectinDowntownSeattleastudy79isstatingthatinitialcostsforreplacingaviaductbya
tunnelinsteadofanewoneisabout$1billionmore.Butthetunnelproducesa$450millionincrease
inpropertyvalues,a$2billioninadditionalpropertydevelopmentandanextraof$325milliona
yearbecauseoftourismforthecity.
AnotherprojectwithhigherinitialcostsbutconsideringLCC,showsthatthosehighercostscanbe
easilyturnedintoarentableprojectduetonoticeablesavingsatthemaintenancecosts.This
particularproject,theNewfoundlandandLabradorFixedLinkproject80,pointsoutmaintenance
costsof$CA16.9million/yearforthedesignedbridgeandbetween$CA6.8and$CA7.6millionfor
theproposedtunnel.
Thesenumbersseemsreasonable,becauseatunnelisnotexposedtoweatherconditionsand
climatecanbecontrolledbyintelligentventilationsystemswhichmeanslessexposuretothe
structure.Maintenanceworkslikeclearingthebridgeofsnowarealsonotasourceofmatterinthe
tunnel.
78
Godard/Lequeux:Frenchmetros:ConstructioncostsVS.transportsocialcosts.
79
Reilly,John/Parker,Harvey:Benefitsandlifecyclecostsofundergroundprojects.In:Bartk,Jii:UndergroundSpace
the4thDimensionofMetropolises.Volume1.London:Taylor&FrancisGroup2007,pp.679684
80
Reilly/Parker:Benefitsandlifecyclecostsofundergroundprojects.
Overallalotofissuesarerelatingtothetotalcostofaninfrastructureproject.Thesecanbe
summarizedandarewelladdressedinthesamepaperthantheexamplesabove:81
Costbenefitanalysisshouldincludecapital,operatingandmaintenancecosts,roadusertime
savings,publictransportusertimesavings,traveltimevariability,pedestriantimesavings,
vehicleoperatingcostsavings,accidentreduction,etc.
Thebenefitsaccruedtoundergroundprojectsshouldincludethetimevalueoftheuseofthe
surfaceoverthetunnel(avaluecanbeassignedevenifitisapark),rightofwayadvantages,
increasedpropertyvaluesandemploymentinthegeneralvicinity,andoverallenergysavings
thatmightresultfromshortertraveltimes,flattergrades,etc.
Likementionedbefore,theinfluencebynaturalhazardsandinfluenceslikesnow,storms,
earthquakesetc.havetobeconsidered.
Whentalkingaboutfinancingandcostestimationalsothechroniclecostoverruninurban
undergroundprojectshastobementioned.Biginfrastructuralprojectsbeneaththesurfacehavea
chronicleoverrunofcostswhichismostlyconnectedtotheexpertiseandpoliciesoftheowner,
wrongriskmitigation,poormanagementandthereliabilityofthedatausedforthecostestimation.
Sotoensurearealisticcostestimationtheseproblemshavetobeeliminated.
Adeeperlookintoriskmitigationgivesaninterestingviewofestablishedprojectmanagement
practice82.Systematicriskmanagementisnotquiteadvancedinundergroundprojectsbutitisnota
newissue.Firstthoughtsaboutitweremadeinthe1970s,buttheacceptancetooktillnowadays.So
acceptanceisoneproblem.Whiletechnicalriskswerereducedbyriskmanagement,mosttimesno
overallsystematicriskmanagementwascarriedoutandtheriskplanwasnotadoptedtodifferent
constructionstagesandchangingparameters.
Atleastacostestimationwasorisasinglenumber,whichisbasedononepossibleresult.Insteada
seriousrangeofcostandtimeshouldbegiven.
Followingprojectsshouldbementionedbecauseoftheirgoodandforwardlookingconsiderations
regardinginitialcosts,operationalcosts,benefitsandriskmitigation:83
GroenHartTunnel,Netherlands(Selectionbasedonpreservingpreciousfarmland)
DusseldorfWaterfrontHighwayTunnel(Selectionbasedontakingcarsoffthewaterfrontto
improveestheticsandpublicaccessanduseofthewaterfront:SeeReilly&Parker,2007)
81
Reilly/Parker:Benefitsandlifecyclecostsofundergroundprojects.
82
Parker,HarveyW.:LifeCycleCostConsiderationsUsingRiskManagementTechniques.In:ITAAITESWorldTunnel
Congress2009:SafeTunnellingForTheCityandForTheEnvironment:Hungary:HungarianTunnellingAssociation2009
83
Parker:LifeCycleCostConsiderationsUsingRiskManagementTechniques.
GoteborgWaterfrontHighwayTunnel(Selectionbasedontakingcarsoffthewaterfrontto
improveestheticsandpublicaccessanduseofthewaterfront)
OsloWaterfrontHighwayTunnel(Newtunneleliminatedbarrierbetweencityandfjord,
allowedurbandevelopmentandimprovedtransportation)
4.7 SafetyManagement
Ineverytunnelorratherateveryconstructionsiteapropersafetymanagementneedstobe
installed.Becauseofmorecriticalissuesinshallowandurbantunnelingitisevenmoreimportant,
andagoodqualityabsolutelynecessary.
Thereshouldbeasafetymanagementplanforthewholeprojectaswellasforspecific(ground)
conditions,becauseuncertaintiesingeologicalconditionscanoccureveniftheinvestigationwas
doneinanexcellentway.
TheSafetyManagementshouldconsider:84
BasicelementsandstructureoftheSafetyManagementPlan
Partiesinvolvedandtheirresponsibilities
Determination/Definitionoftheexpectedbehavior;definitionofwarningandalarm
levels/criteria
Monitoringprogram;layoutandfrequencyofmonitoringinaccordancewithexpected
behaviorandboundaryconditions
Informationandcommunicationflow
Actionplan;organization,andmitigationmeasuresincaseobservedbehaviordeviatesfrom
theexpected
Managementofacrisis
Aproperassessmentofhazardsisimportanttosettherightmonitoringcriterionsand
responsibilitiesaswellaswarninglevelsandatargetaimedinformationflow.
Regardinginformationflow,itshouldbementionedthatinformationneedtobeattherighttimeat
therightperson,andincaseofanemergencytheinformationflowmustbeclearlydefined,sothat
nodeteriorationiscaused.
84
Schubert,W.:Geotechnicalsafetymanagementonsite.In:Bartk,Jii:UndergroundSpacethe4thDimensionof
Metropolises.Volume2.London:Taylor&FrancisGroup2007,pp.16031608
4.8 LegalandStrategicIssues
Therearemanylegalaspectsregardingtunnelinginurbanareas.Thisparagraphisnotgivingan
insightofactualstandards,lawsorrestrictionsbuttriestopointoutsomeproblemswhichoccuror
canoccurinfutureurbantunneling.
AsmentionedearlierinthischapterconsiderationofLifeCycleCostscansavealotofmoneyanditis
stronglyrecommendedtointegratethistopicmuchmoreinfutureprojects.Butifwewantto
convincepeoplethattheyhavetoconsiderLCC,alegalproblememerges.Almostallprojectswhich
arefundedbypublicmoneyarefavoringthecheapestbid.But,asalsomentionedearlier,
undergroundconstructionshavehigherinitialcosts.Solawshavetobechangedinawaythatnot
justtheinitialcostsarecrucialinthebidprocessbutalsotheLCC.
Whenpushingforwardundergroundconstructionsanotherproblemoccurs:Whoownsthe
subsurface?!
LandahlwasaddressingthisprobleminhispaperPlanningandmappingofundergroundspacean
overview85.Thefollowingparagraphsaresummarizingtheoutcomesofthispaper.
Therearefourattemptsofclarifyingwhoownstheunderground:
Theownerownsthegroundfromthesurfacetothecenteroftheearth
Theownerownsthegroundasfarasreasonableinterestexists
Theownerownsthegrounduntilalimiteddepth(upto6m)
Privatelandownershipdoesntexist
Buteveniftheownershipisclarified,thatdoesntautomaticallygivearighttousetheunderground.
Sotherearetwoattemptsofestablishingalegalframeworktousetheunderground.Oneattemptis
themoreorlesssimpleestablishmentofeasements.Theseeasementsneedtobeworkedoutby
appropriatedepartmentsandrightsmustbeobtained.Thesecondattemptistoestablisha3Dreal
estatewithacleardefinitionofresponsibilitiesfortheownerofthesurfaceandtheownerofthe
underground.
Relatedtothelegalissuesarethestrategicissues,alsoaddressedbyLandahl86.Properunderground
developmentneedsanintelligentstrategicplanning.Nowadaystherearejustafewtunnels,which
arenotinterruptingeachother,butifyouregulatetheundergrounduseandopenittothepublic,
85
Landahl,G.:PlanningAndMappingOfUndergroundSpaceAnOverview.In:Teuscher,Peter:ProgressinTunnellingafter
86
Landahl:PlanningAndMappingOfUndergroundSpace.
furtherdevelopmentcouldresultinanovercrowdedundergroundandthereforealossofvaluable
space.Thesubsurfaceplanningtodayiscarriedoutinaninsufficientwaybymostcountriesand
therearenostrategicobjectives.
Governmentsneedtoworkoutstrategicundergroundplansandcreateanundergroundmapping,so
thatundergroundcorridorsandspacesmaybeturningimportantinthefuturearereservedandnot
destroyedbyimpetuousstructuresnowadays.Themostimportantthingistorememberthatproper
usableundergroundspaceisnotinfiniteandthereforemustbemanagedcarefullyand
professionally.Thisrequiresguidelinesfortheuseofundergroundspaceandgovernmentsshould
considerelaboratingthemsoon.
56 ConstructionMethodsParticularlyinShallowTunnels
Theconstructionandsupportingmethodsofashallowtunnelcanbequitedifferenttodeepones.
Thereasonthereforeisthatitispossibletodomayorworksfromabovethesurface,andnotjust
beneathit.
Themethodshowtobuildashallowtunnelinurbanareasaredefinedbytheground.Morespecified
byitsthephysicalandgeomechaniccharacteristicsandtheexistinggroundwater.Thedecisive
characteristicsofthegroundweredefinedbytheAustrianSocietyforGeomechanicsasfollowed:87
Inrock:mechanicalproperties(intactrockrockmass),discontinuity,characteristicsand
properties,rocktype,rockandrockmassconditions,hydraulicproperties
Insoil:mechanicalproperties,grainsizedistribution,density,mineralcomposition,
parametersofthesoilcomponents,matrixparameters,watercontentandhydraulic
properties
Additionallygroundwaterisacrucialfactor.Theinflowofwaterintoatubecanresultinmayor
damagesandfatalities.Thereforeitisveryimportanttothinkaboutwhichamountofinflowing
waterisacceptable,howtodealwiththerestofthewaterandhowisthistreatmenteffectingthe
surroundingsandthewholegroundwatersystem.Insomecasesitisbettertousetheexistingwater
forstabilizingpurposesinothercasesanearlytotallysealedtunnelisneeded.
5.1 CompressedAir
Ifatunnelisbuiltbeneathwater,forexamplebeneathrivers,thesea,alakeorjustingroundwitha
waterlevelveryclosetothesurface,onepossibilitytohandlethewateristoforcethetunnelunder
compressedair.Theoriginofthismethoddatesbacktotheearly19thcentury.
Theprincipleofthismethodissimple.Theairpressureinthetubeneedstobeashighasthewater
pressureonthebottomofthetube.Thisisaccomplishedbycompressorswhicharecompressingthe
airandpumpingitintothetunnel.Toapplythismethodsuccessfullythetubeneedstobesealed
quitewell.Theentrancetothetunnelisjustpossiblethroughapressurizedcabin.Toreducetheloss
ofcompressedairthecrosssectionorthefaceofthetunnelneedtobeassmallaspossibleand
oftenrequiresasequentialexcavationandapromptsealingwithshotcrete.
87
Excavation.
ConstructionMethodsParticularlyinShallowTunnels 57

Figure17:Correlationbetweenairandwaterpressure
Becausetheworkershavetoexcavatetheborenotinatmosphericalpressurebutinhigherpressure,
thephysicalstressishigherthanundernormalconditions.Workersalsohavetobecheckedbya
medicbeforebeingdeployedtothetunnel.
Incompressedairthedangeroffiresisveryhigh.Thereforeallmachinerymustbepoweredby
electricity.Thismeansanenormouseffortregardingacquiringandmaintainingthismachines.
Thepressureinthetubeneedstobeadjustedtotheparticulargroundconditionsofeachround.This
canleadtoanadditionallossofairwhichdirectlymeanshighercostsduetothehighexpensesfor
compressedair.

5.2 ArtificialGroundFreezing
Groundfreezingmeansthatacertainareaoftheground,mostlyaroundanunderground
construction,getsfrozenbyartificiallyloweringthetemperatureofthegrounduntiltheporewater
isfrozen.
Thismethodcanbeusedinalmosteverysoil,onlytheamountofwaterinthegroundanditsflowis
crucial.Themostcommonareasofapplicationareconstructionsbeneathariver,becausemostlythe
riverbeddrainsenoughwaterintothesoil,orinsiteswherethegroundwaterlevelishigherthanthe
depthoftheconstruction.Mostimportantisthatthesoilanditswaterevolveastablecontinuumin
frozenconditions.
Therearetwotechniquesoffreezingtheground.Thefirstoneisfreezingthegroundwithliquid
nitrogenandthesecondoneisusingabrine(asaltsolution).Liquidnitrogenismoreexpensive,but
faster,whilefreezingwithbrineischeaperbuttakesmoretime.Crucialparametersforchoosingthe
rightmethodarethetime,howlongneedsthegroundtobefrozenandhowmuchtimedoIhavein
advancetofreezetheground,andalsotheflowofthegroundwater.Generallyitcanbesaid,that
fasterfreezingmeanslessdeformityofthefrostbody.
Bothmethodsneedanintelligentrefrigeratingsystem,containingofpipeswherethecoolantcan
circulateandarefrigerator.Thegradeoftheicingandtheaffectedareacanbecontrolledbythe
assemblingofthepipes,thekindofcoolantandtherefrigeratoritself.
Theresultoutofthefreezingprocessshouldbeamaterialwhichcanbeusedasatemporary
structureandwhichistotallywatertight.
Duringthewholefreezingprocessitisimportanttohavesensorswhicharecontinuouslymonitoring
thetemperatureandsurveyingtheprocess.Ifpossibleinsitutestsshouldalsobecarriedout.
Tosecureaconsistentfreezingofthegroundthedrillingofthepipesystemisquiteimportant.The
drillingaccuracyneedstobeveryhigh,whichisgettingmoredifficultwiththeincreasingdepthof
theborehole.Thedrillingisdirectlyrelatedtothedistancebetweenthefreezingpipes,whichare
decisiveforthecalculatedfrostbody
Asmentionedbeforeacrucialfactoristhewaterflow.Thevelocityshouldgenerallynotexceeda
speedofmorethan2m/d.
Thetwographicsbelow88showsthecorrelationbetweenthevelocityofthegroundwaterandthe
developmentofthefrostbody.Duetotheconstantflowofgroundwater,thefrostbodiesare
gettingdeformedandarenotbuildingastablecontinuum.
88
Ziegler,Martinetal.:OptimizationOfArtificalGroundFreezingApplicationsForTunnellingSubjectToWaterSeepage.In:
ITAAITESWorldTunnelCongress2009:SafeTunnellingForTheCityandForTheEnvironment:Hungary:Hungarian
TunnellingAssociation2009

Figure18:Effectofgroundwaterflowtofrostbodies
AfictionalsamplecrosscutinvestigatedbyZiegler89outlinesthecorrelationofgroundwaterflow
velocitytofreezingtime.Theassumedexampleisacrosscutwithaninnerdiameterof5,5m,a
necessaryfrostbodyof1,5mthicknessand18pipesarrangedcontinuouslyaroundtheprofile.
Whileaproperfrostbodyisachievedafter20daysinnonflowinggroundwater,thetimerisesupto
50daysinwaterwithaflowvelocityof0,75m/d.Iftheflowvelocityisdoubledto1,5m/dthefrost
bodyneedsatimeof234daystoreachitsassumedthickness.

Figure19:Dependencyoffreezingtimetoflowvelocity
89
Ziegler:OptimizationOfArtificalGroundFreezingApplicationsForTunnellingSubjectToWaterSeepage.
Whenusinggroundfreezingthefollowingconsiderationshavetobemade.
Thecharacteristicsofthegroundwaterandinfurtherconsequencethetimetemperaturebehavior
is,likealreadymentioned,acrucialpoint.
Italsoneedstobeconsideredthatwhenusingabrine,italreadytakesafewmonthsforjust
reachingitsreadyforusetemperatureof35C.
Anotherpointisthelengthoftheboreholes,whichareaffectingthepreciseness.Generallycouldbe
saidthataslongertheboreholeisasmoredeviationoccurs.
Whilethemethoditselfhasnoimpacttotheenvironmentbecauseitiscompletelyreversible,some
problemscanoccurinthethawingphaseduetoheavesandsettlementscausedbythechangeofthe
volumeofthesoil.

5.3 Grouting
Whentalkingaboutgroutinginundergroundconstruction,itismeanttoimprovethegroundby
injectingcementorsimilarmaterials,calledgrout,intoit.Therearedifferentmethodsofhowto
injectthegrout.
CompactionGrouting:Thismethodincreasesthedensityofthesoilbycontrolledground
displacementwithgrout.
PermeationGrouting:Thisinjectionmethodusesaverylowviscositygroutandfillsthe
spacesbetweenthegroundparticles.
JetGroutingorHighPressureGrouting:JetGroutingmeanstoinjectasuspensionandmixit
withtheground.Themostcommonuseistocreategroutedcolumnsorbodiesinthesoil.
ClaquageorFractureGrouting:Atthismethodthesoilisintentionallyfracturedbyahigh
pressureinjection,whichleadstoareinforcementoftheground.
Groutingwasatfirstdesignedforgroundimprovements.Asthetechniquewasgettingmore
developeditwasalsousedforunderpinningfoundations,buildingsandotherobjectsandforsealing
constructionpitsindenseareas.Overthelastfewyearsengineersestablishedthismethodalsoin
tunnelconstructions,forsealingthetunnelortoreducesettlements.Nowadaysthewholetunnel
crosssectioncanbeprebuiltwithjetgroutedcolumns.

Figure20:Modelofatunnelliningconsistingofjetgroutedcolumns
Thepictureabove,takenbytheARGEBEGH43Stans,showsthecomputedmodelofjetgrouted
columnserectedfortheBrennerrailroadtunnelContractH4inTyrol/Austria.
Thetunnelliningwaserectedaccordingtothemodelanddividedintocompartmentsforabetter
constructionprocess.Afterthecompartmentswerefinished,thesoilbetweenthecolumnswas
removed.Inadditioncompressedairwasusedtopreventaninflowofwater.
Thisisanothergoodexamplefortheinteractionofthedifferentconstructionmethodsinacomplex
undergroundstructure.TheGroutingmethodwaschosenbecauseofaveryhighgroundwatertable
andthenecessityofunderpinningverysensitiveconstructionslikeahighwayandahighspeed
railroadtrack.Thetotalsettlementswithamaximumofonetotwomillimetersshowedthebig
successofthismethodandproofeditforfurtherapplications.
Thecrucialpartwhenusinggroutingmethodsistherightchoiceofthesuspension,dependingon
grainsizedistributionandenvironmentalconstraints.
Ifthemethodisapplicableatall,dependsonthepermeabilityparametersoftheground:90
k=106orless:ungroutable
k=105tok=106:groutablewithdifficultybygroutsunder5cPviscosityandungroutablefor
higherviscosities
k=103tok=105:groutablebylowviscositygroutsbutwithdifficultywhenkismorethan10
cP
k=101tok=103:groutablewithallcommonlyusedchemicalgrouts
k=101ormore:usesuspendedsolidsgroutorchemicalgroutwithasolidsfiller.
Remarks:kisgivenincm/sandcP(centipoise)standsforthedynamicviscosityandequals1/1000
Ns/m.
90
Koronakis,N./Kontothanassis,P./Katsaris,D.:Designofwaterisolationgroutingforreducinghighwaterinflowsin
urbanshallowtunnels.In:Erdem/Solak:UndergroundSpaceUse:AnalysisofthePastandLessonsfortheFuture.Volume
1.London:Taylor&FrancisGroup2005,pp.271276
5.4 PipeUmbrella(PipeRoofing)91
Apipeumbrellaisaconstructionmethodtopresupportanundergroundstructureinsoil.Whenthe
soilitselfdoesnothavetheconsistencetobestable,additionalworkstosecureasafedrifthaveto
becarriedout.
ThebasicideaofapipeumbrellaoralsocalledPipeRoofing,UmbrellaArchMethodorSteelPipe
Canopy,istoinstallsteelpipesfromthetopoftheactualtunnelfacetothefront.Thesteelpipes,
sometimesalsopipesconsistingoffiberglass,usuallyrangefromadiameterof60to200mm(2,4to
15,8in)andathicknessof4to8mm(0,16to0,32in).Thelengthofthepipesisvaryingfromabout6
to15m(20to50ft).Theoverlapofthepipesisdependingontheobjectiveswhichwantedtobe
achieved.Istheumbrellajustforincreasingthestability,theexcavationcanproceedaslongasthe
faceisstable.Isthisnolongerthecaseanotherpipeumbrellaneedstobeinstalled.
Ifthepiperoofisusedforreducingsettlements,theoverlapneedstobelongerandacrucial
parameteristheeffectivenessofthepiperooffoundationwhichemergeswitheveryconstructed
compartmentofthepiperoof.Assoonastheeffectivenessofthisfoundationdecreasesanew
compartmentneedstobeinstalled.

92
Figure21:Modelandprincipleofapipeumbrella
Thestandardinclinationoftheboresis4to6andtherearetwomethodsofinstallingthepipes.The
firstiscalledthepredrillingsystemwhereinafirststeptheboreisdrilled.Afterthat,thedrilleris
pulledoutoftheboreandthepipeispushedintoit.
Thesecondmethodiscalledcaseddrillingsystem.Therebytheboreisdrilledusingthepipebehind
thedrillingpitasakindofshield.Thisprovidesanimmediatesupportundpreventstheholefrom
beingbackfilled.
Inbothmethodsthelaststepistopressconcreteintothepipes.
91
Ge,J.K.:Newtunnelconstructiontechniqueofpiperoofmethodinsaturatedsoftsoil.In:Erdem/Solak:Underground
SpaceUse:AnalysisofthePastandLessonsfortheFuture.Volume1.London:Taylor&FrancisGroup2005,pp.365369
92
RodioGeotechnikAG:http://www.rodio.ch/site/index.php?site=20&submenu=4(February2010)

93
Figure22:Installationofapipeumbrella

94
Figure23:Excavationbeneathapipeumbrella
93
Purrer:http://www.purrer.cc/web/detail.php?ID=33(February2010)
94
MartiHoldingAG:http://www.martiag.ch/go/Newsarchiv%3B1%3B211(February2010)
5.5 PremillMethod
ThePremilltechnology95isanalternativemethodtogrouting,nailing,soilfreezingetc.topre
supportthegroundaheadofthetunnelface.ThePremillmethodwasfirstusedinFranceinthe
1970sandfurtherdevelopedinItalyinthe1980s.Innowadaysneedforproperunderground
constructionmethods,thismethodisoncemorerediscovered.
ThemainelementofthePremillmethodisamillingsaw,mountedonasteeltrolley.Thesawcanbe
equippedwithdifferentkindsofteeth,soitcanbeadjustedtodifferenttypesofground.
Theideaofthismethodistocreateaconcreteshellaroundthetube,beforeexcavatingit.Therefore
thelaserguidedsawstartsatthesidewallsandcontinuestotheheadofthetunnel.Thisprocessis
dividedindifferentstagesandaftereachcuttingstage,theproducedcavityisrefilledwithspecial,
fasthardening,concrete.
NowadaysPremillshellsareabletocutthreetofivemeter(16,5ft)deep,andeachcutisoverlapping
thepriorone.Thisleadstoabarrelvaultcreatedbytheconcreteshellandthereforemoresupport
forthetunnel.
AbigadvantageofthePremillmethodisthespacesavingequipment,whichmakesitpossibleto
performfurtherworksatandneartheface.

96
Figure24:Premillmachinewithmillingsaw
95
Manasser,V./Mongilardi,E.:ThePremillMethodForTunnelExcavation.In:Teuscher,Peter:Progressintunnellingafter
96
Lunardi,Pietro:Designandconstructionoftunnels:analysisofcontrolleddeformationinrocksandsoils.Springer2008
5.6 SlurryWall
Basicallyaslurrywallcanhavetwopurposes.Thefirstistosealaconstructionpitinanareawitha
highwatertable.Thesecondpurposeistoerectloadbearingwallsinadvanceforoncoming
undergroundconstructions.
Theprincipleisinbothcasesthesame,justtheprocedureisvaryingabit.
Aslurrywallwithsealingpurposesisnotintendedtocarryloads,itconsistsofbentonite.Bentoniteis
amaterialconsistingofimpureclayandmostpartsofmontmorillonite.
Atfirstatrenchisexcavatedbyaspecialslurrywallexcavator.Thereforeaguidewalliserectedin
theground.Itservesasaguidancefortheexcavatorsothatitkeepstherightdirection.While
excavatingthewalltrenchaslurry,bentonite,ispumpedintothetrenchtostabilizethesurrounding
groundandpreventitfromcollapsing.Oncetheactualsegmentofthewalliscompletedthecutteris
removedfromthetrench.Whennotactivatedbentonitehasthecharacteristicsofagel,whichis
reactingwithwatertoawatertightwall.
Ifthewallisintendedtocarryloadsandapartofthefuturestructure,additionallystepsare
necessary.
Afterthecutterisremoved,areinforcedsteelcageisputintothetrench.Afterwardsconcreteis
pumpedintothebottomofthetrench.Atthesametimethebentonite,whichisfloatingonthe
muchheavierconcreteisremovedfromthetrench.Thisprocesscontinuestillthewholebentoniteis
replacedbyconcrete.

97
Figure25:PrincipleoftheerectionofaSlurryWall
97
MassachusettsGeneralHospital:http://www2.massgeneral.org/pubaffairs/Issues2008/071108slurry.htm(November
2010)
5.7 URUP
Thefollowingparagraphsandimagesarebasedandreferringtoapaperwrittenin2009byKeizo98.
URUPstandsforUltraRapidUnderPassandisanewmethodforconstructingatunnelbeneath
sensitiveorcrucialobjectsinurbanareas.Comparedtoconventionalmethodsitisfasterandcauses
lessnoiseandairpollutionaswellasreducesvibrationsanddecreasestheusedspace.
Itisakindofshieldtunneling,andbasicallyaTBMstartsfromgroundlevel,digsbeneaththe
obstacleandreturnsbacktothesurface.

Figure26:PrincipleoftheURUP
ThisisachievedbyaspecialandfurtherdevelopedTunnelBoringMachine.Thismachineisusing
specialsidecuttersandamatrixshieldassembledinarectangularshape.Thesidecuttersactlike
preinstalledwallsandhavethepurposetopreventthegroundfromloosening.Thematrixshield
itselfconsistsoftwolevels,anupperlevelandalowerlevel.Theupperlevelisoverhangingthelower
level.Asaresultofthistheupperhalfofthefacegetsexcavatedfirst,whichreducesthestressesin
thegroundandthereforeproducesfewersettlements.

Figure27:ModeloftheURUP
98
Miki,Keizoetal.:DevelopmentOfConstructionMethodForARoadUnderpassAtIntersection.In:ITAAITESWorld
TunnelCongress2009:SafeTunnellingForTheCityandForTheEnvironment:Hungary:HungarianTunnellingAssociation
2009
Becausethemachineisstartingfromthesurfacenoworks,forexampletheerectionofastarting
shaft,areneededinadvance.Whenfinished,themachinestopsalsoonthesurface,whichmakesit
easiertoreassembleit.
Furthermorethereisnointerruptionofthegroundwater,duetothedesignofthemachineandthe
neededoverburdenisestimatedwithjustonehalfoftheexcavationheight.
Asaresultofnotjusttheselistedpoints,theestimatedconstructionperiodofa500m(1640ft)long
twolaneunderpasstakes,accordingtotheURUPTeam,aboutonethirdcomparedtoconventional
methods.
5.8 FootingReinforcementPile
Thefollowingparagraphsandimagearereferringtoapaperwrittenin2009byCui99.
Averycommonproblemwhenconstructingsurfaceneartunnelswithshallowoverburdensare
settlementsonthesurfaceaswellastheaccompaniedsettlementsonthecrownandthefootofthe
tunnel.
Thisiswheretheapproachofthefootingreinforcementpileassesses.Theideaistostopthe
settlementsonthesurfacebypreventingsettlementsofthetunnel,byusingreinforcedpiles.The
pilescanbeinstalledhorizontallyorverticallyandarelocatedinthelowerpartofthecrosssection.
Althoughtheattemptisquitenew,analysesshow,thatespeciallyinthebottomsection,foot
reinforcementpilescanbeausefulmethodtopreventsettlements.Interestingisthefactthatata
certainpoint,thelengthofthepileisjustinfluencingthesettlementsinthefootarea,butnotatthe
crownandsurface.

Figure28:PrincipleoftheFootingReinforcemnetPiles
99
Cui,Yingetal:ControlOfSurfaceSettlementArisingFromThePhenomenonOfAccompaniedSettlementUsingFooting
ReinforcementPile.In:ITAAITESWorldTunnelCongress2009:SafeTunnellingForTheCityandForTheEnvironment:
Hungary:HungarianTunnellingAssociation2009
5.9 GroundImprovement
Improvingthegroundmeanstoimproveitsphysicalproperties.Thecrucialpropertiesare
compression,consolidation,shearstrengthandthepermeabilityoftheground.Toachievean
improvementoftheground,therearedifferenttechniques.
Themostcommononesare:
SoilMixing
SoilReplacement
VerticalDrains
(Dynamic)Compaction&Consolidation
Soilmixingcanbeeitherusedforimprovingthegroundsurfaceordeeperlayers.Inbothcasesthe
groundimprovingmaterials,mostlychalkorcement,aremixedinsituintotheexistingground
withoutremovinganypartofit.Eveniftheprincipleisalwaysthesametherearesomedifferent
methods,adaptedtothedifferentrequirements,ofhowtomixthesoil.
Soilreplacementisaquitesimplemethodandalreadyexplainedbythenameitself.Atfirstthe
unusablesoilisremovedandfurtherdeposited.Afterwardsnewmaterial,withtheneeded
properties,isbroughtinplace.Thismethodisjustusefulinshallowdepthsandrelativelysmallareas.
Verticaldrainshavetheaimtorelievethegroundfromporewateranditspressure.Thisisachieved
byinstallingdifferentkindsofverticalpathwaysintheground,whichareprovidingthewatera
shorterwaytoflowoutofthesoil.Examplesaretheuseofgravelcolumnsorprefabricated
geosynthetics.Tospeedthisprocessup,extraloadscanbeputonthesoiltoprovideextrapressure.
VerticalDrainsarealsoverysuccessfulpreventingsoilliquefactioncausedbyearthquakes.
Compactionandconsolidationofsoilarealsopossibilitiestoimprovethegroundsproperties.When
talkingaboutcompaction,thedynamiccompressionofthegroundismeant.Thiscanbeachieved
witha(street)roller,compactingplatesorsomethingsimilar.Consolidationthereforemeansastatic
compressionoftheground,mostlywithextraloads,providedbysoil,raisedontheground.Also
possible,butnotverycommon,isthesocalledvacuumconsolidation,whereanairtightmembraneis
usedtocoverthegroundandfilledwithvacuumtoprovideextraloads.
Bothmethods,compactionandconsolidation,areperformedtillthegroundreachesanacceptable
strengthandareremovedafterwards.
70 CavernsinUrbanAreas
6.1 General
Cavernsareundergroundstructureswhicharerelativelywideandhighbutnotquitelong.Theyare
naturallyoriginatedbywaterwashingoutstone,glaciersandlavatubeserodingthegroundbeneath
thesurfaceorotherundergrounderosions.Forthischaptercavernswhichareartificiallybuiltare
examined.These,bymenbuiltcaverns,aregainingmoreandmoreimportanceinnowadays
undergrounddevelopment.
Fordifferentreasons,whichhavebeenalreadymentioneddetailedinearlierchapters,underground
constructionsarebecomingmoreimportant.Theassociatedadvanceofconstructiontechnologyled
toareductionoflimitationsinundergroundconstructions.
Duetothisadvancementitisnotjustpossiblebuildingtunnelsforroadandpublictrafficunder
morechallengingconditions,butalsobigcavernsformultipurposeuseeveninshallowdepths
withoutinterruptingthesurface.Thispointiscrucialbecausebigundergroundconstructionsinthe
pasthavebeenrealizedbyshaftsorcutandcovermethods,whichwerealwaysdependentonthe
existinggridofacity.Nowadaysitispossibletobuildthesestructureswithoutinterruptingthe
surfaceandthereforeindependentfromgridsindenseareas.
Thedifficultiesandchallengesinconstructingacavernarequitethesamethanintunneling.These
issuesarestatedinapaperofPistone,whoissayingthat:100
Urbanundergroundcavernsofsignificantvolumeareanengineeringchallengeastheyhaveto
bedugavoidingexcessivesurfacesettlementslikelytocausedamagetoburiedservicesand
existingstructures.Theseareworksthatcarryahighlevelofriskandhavetobedesignedand
constructedunderaverytightcontrol.Thedesigner'smainconcernsareseveralandcomplex:
Difficultytocarryoutextensivesiteinvestigation
Consequentuncertaintiesofthegeologicalandgeotechnicalmodel
Serviceabilitylimitofsurfacestructures;settlementsanddeformationsthatcanbe
supportedbythestructureswithoutmajordamages
Loweringofthephreaticlevelandconsequencesontheenvironmentandonnearby
buildingfoundations
Levelsofnoiseandvibrationsthattheneighbourhoodcantolerateduringthe
construction
100
Pistone,RalSarra:UndergroundCavernsInUrbanEnvironments.In:ITAAITESWorldTunnelCongress2009:Safe
TunnellingForTheCityandForTheEnvironment:Hungary:HungarianTunnellingAssociation2009
CavernsinUrbanAreas 71
Constructivephasingthatcouldensureanappropriateperformanceoftheprimary
support
Realtimeintensemonitoring
Becauseproblemsandchallengesarequitefamiliarintunneling,thesameappliestothe
constructionmethods.Mayordifferencesareappearingduringthedesignprocessandregardingthe
constructionprocessandsequence.

Figure29:Zoningoftheexcavationofacavern
Figure29101showsanexampleofanexcavationprocessforacaverninhardrockconditions,
excavatedfromthetoptothebottom.
101
ETHZrich:http://www.tunnel.ethz.ch/events/hs07_amberg(October2010)
6.2 BuildingaCavern
Therearedifferentpracticesofbuildingacavern,dependingontheground,thesizeandtheform.
Anordinaryexcavationisdividedintoseveralhorizontalandverticalsequencestominimizethe
disturbanceoftheground.
Theexcavationprocessofacaverncanstartfromdifferentaccesspaths.Analreadyexistingtunnel
canbeoneofthose.Ifatunnelisinexistencethecaverncanbeerectedbywideningandenlarging
theproposedareaofthetunnel.Anotherpossibilityistodigapilottunnelandstarttheexcavation
fromtheendofit.Commoninurbanareasistheuseofpilottunnelscombinedwithshafts.The
shaftscanbesunkenatasitewheretheyarenotdisturbingthesurfacetoomuch.Thenpilottunnels
areforcedtillthesiteofthecavernandexcavationstartsfromthetunnelsend.Theshaftsare
neededtoreachaproperdepth,ifworkinginundulatingconditions,pilottunnelscanalsobestarted
fromahillsideandforcedhorizontallytilltheproposedsiteofthecavernisreached.
Whenforcingcavernsfromapilottunnelonepossibilityistoexcavatethemfromthetopdownto
thebottom.Thatmeansthatfirsttheheadingisexcavatedandthenthecavernisforcedinvertical
steps,whicharefurtherdividedinhorizontalsteps,tothebottom.Ifthecavernisofsmallersizeit
canalsobedugfromthebottomtothetop.
Importantisthattheexcavationisdonewithoutdisturbingthegroundtoomuch.Thishastobe
ensuredbecausemosttimesthegroundisnotabletoabsorballadditionalloadsemergingby
artificialerectedholes.
Consideringtheconstructionofacavern,thecommonmethodistoforceitwiththeconventional
method.Themainreasonthereforeistheobservationalapproach,buttheadoptionofthismethod
inurbanareasandsoftgroundhastoconsiderthattherearedifferentproblemsoccurringthanin
thosecavernscommonlybuiltinhardrockconditions.Averystiffliningorprimarystructure,
consistingofreinforcedshotcreteandothersupportelements,hastobeusedtocontroltheground
andreducesettlementsaswellasincreasefacestability.
TBMscanbealsoadaptedandusedtoexcavateacavern.

6.3 ChancesofCavernsinUrbanAreas
Cavernscanbeveryusefulstructuresinurbanareas,althoughtheconstructionisquitechallenging.
Whilesomeyearsagocavernswerejusterectedinuninhabitedareasandusedasstoragefacilities
forliquidgas,oil,nuclearwaste,wastedisposal,foraccommodatingpowerhouses,generatorsand
turbinesinalpineregionsorasprotectedandsecuredspacesforsensible(military)infrastructure,
nowadaystheyaremoreandmoreusedforpublicfacilitiesinpopulatedareas.Theyaccommodate
infrastructure,publicfacilitiesandareusedasstations.Thereasonswhytheyarebecomingmore
interestinginurbanareasarethedevelopmentofconstructionmethodsandmonitoring
instruments,whichmakesiteasierandsafertobuildthem.
Cavernshavetheadvantagethattheydonothavetoadhereongrids,buildingsandobjectsonthe
surface.Accessshaftscanbebuiltawayfromthemaincavernandbeagatewaytoit.
Ifanundergroundmetroisconstructedcavernscanbeusedasstationsbeneathalmostanyexisting
structure.Thisbringsalsochancesforcavernsintheconstructionphasewithit.Duringconstruction
cavernscanbeadaptedasutilityfacilities,materialstorages,temporarymuckstoragesandmuch
more.Sotheycanbeacrucialpartofthesitelogisticsandreducethecostsofaprojectbecauseofa
decreaseinoccupiedspace.
Inthefuturecavernscanbeevenmoreimportantwhenimplementingthemintoanintelligentcity
planninganddevelopmentprocess.Astheyarealreadyusedforinfrastructurelikemetrostations,
cavernscouldforexamplealsobeusedfornightclubsreducingthenoiseimpactinurbanareas
significantly,forparkinglotscombinedwithaccesstunnelstoreducetrafficonsurfaceandfor
industrialfacilities,whicharedisturbingthesurfaceandontheothersidearedisturbedbythe
conditionsatthesurfacelikeweather.

6.4 Cavernsinactualprojects
6.4.1 OportoMetroStation,Portugal102
AttheOportoLightRailSysteminPortugaltwostations,theBolhaostationandtheCombatentes
stationwerebuiltascaverns.
TheBolhaostationexistsofamaincavernwhichisabout70m(230ft)longandanothertransversal
crossingcavern.TheyarelocatedundertheBolhaoMarketandaculturalheritagechapelwhich
demandedaspecialcontrolofsettlements.TheCombatentesstationconsistsoftwoperpendicular
caverns.
Thedesignwasbasedonawellperformedgroundinvestigation,whileusingtheobservational
methodduringconstruction.Theconstructionsequenceswerecalculatedbynumericiterations,to
choosethemostappropriateone.
Constructionstartedinthealreadyexisting,byTBMforced,maintunnels.Themaincavernswere
constructedbywideningandenlargingthetunnelintheneededarea.Theothercavernswereforced
fromtransversalpilottunnels.Allcavernshavebeendividedintoseveralhorizontalandvertical
sequences.
Thegraphbelowshowsthedesignmethodologyflowchartofthestations:

Figure30:Designmethodologyflowchartforastation
102
Pistone:UndergroundCavernsInUrbanEnvironments.
6.4.2 TransHudsonExpress103
TheTransHudsonExpressisexpectedtobecompletedin2015andlinksNewJerseyandNewYork
withanadditionalrailsystem.Onepartofthisprojectisasixtrackstationcavernsituatedinoneof
themostdenseandpopulatedareasintheworld,underthe34thstreetinManhattan,NewYork.The
additionaltrackswilltransportabout86.000peopleeachwayduringthemorningpeaktimesand
shallsatisfytheridershipincreaseofabout70percenttill2025.
Thestationwillexistoftwocavernswithawidthofabout20m(65ft),aheightofabout23m(75ft)
andamezzaninelevel,installedinbothcaverns,about35m(115ft)belowsurface.Thegroundin
thisareaexistsofgraniticsill,serpentiniteandschist.Thegroundnearthesurfaceconsistsof
differentsediments,whicharenotinfectingtheprojectbecausethecrownofthecavernissituated
17m(55ft)belowrocksurface.
Thegraphicbelowshowsthelocationofthe34thstreetcaverns:

th
Figure31:Layoutofthe34 streetstation
6.4.3 NewYorkSecondAvenueSubway104
AnotherproposedprojectinNewYorkistheconstructionoftheSecondAvenueSubwayLine.Itis
locatedintheeasternpartofManhattanandwillhavealengthof14km(8,7mi)andserving16
stations.Sixstationsandfivecrossoverswillbebuiltascaverns,allinshallowdepthandsomewith
103
Munfah,Nasri/Silber,ArthurD.:TheTransHudsonExpress(THE)Tunnel.In:Bartk,Jii:UndergroundSpacethe4th
DimensionofMetropolises.Volume1.London:Taylor&FrancisGroup2007,pp.131136
104
Rossler,K./Stone,C.:NewYorkSecondAvenueSubwayInitialsupportdesignofshallowrockcaverns.In:Bartk,Jii:
UndergroundSpacethe4thDimensionofMetropolises.Volume1.London:Taylor&FrancisGroup2007,pp.685691
largespans.Thesoiloverburdenwillbearoundsixtomaximum12m(2039ft).Theclearspanof
thecavernswillbeupto30m(98ft).Thisprojectisactuallyinitspreliminaryengineeringphase.

Figure32:LocationoftheSecondAvenueLine
6.4.4 TrondheimRailroadShuntingArea105
Althoughthisprojectisnotdirectlysituatedinadensepopulatedareaandcarriedoutinhardrock
conditionsitisveryinterestingandshowsthepossiblefuturedevelopmentofcitiesandtheir
industrialfacilitiesandundergroundconstructions.
ThecityofTrondheimwasinneedofanewrailroadshuntingarea.Whilesearchingforaproper
locationthefollowingissuesplayedacrucialrole:
Itisnoisy
Itisaestheticallyadverse
Itisanaroundtheclockoperation
Itisspacedemanding
Duringthatsearch,theideaofbuildingtheshuntingareaundergroundarose.Thequestionwhyto
goundergroundissummarizedinthefollowingpoints:
Itallowsvaluablesurfacespacetobeutilizedanddevelopedforotherpurposes,ortobe
reinstatedtoitsoriginaluse
Itimprovesthephysicalenvironmentandlimitsawarenessofanddisturbancetothepublic.
Iteasesflexibilityforfutureexpansion.
Itreducestheneedofconstructionactivityatthesurfaceandprovidesasurplusonthemass
balance
105
Grov,E.:RailRoadShuntingAreaInRocksCaverns.AnAlternativeUtilisingTheUnderground.In:Teuscher,Peter:
Progressintunnellingafter2000proceedingsoftheAITESITA2001WorldTunnelCongress.Volume3.Bologna:Patron
ed.2001,pp.167175
Ithasaconstantclimatearoundtheyearthatensuresreliableandregularoperation
Itpreservestheenvironment
Soanalreadyexistingtunneloftherailroadringconnectionwasselectedtobeanadequatesite.It
wasdecidedtobuilttheshuntingareaina42m(138ft)wideand700m(2300ft)longcavernwitha
crosssectionofabout400m(4300sf).Themaximumheightwasabout13m(43ft)andthe
proposedconstructiontimewasabout120weeks.
Someadvantagesofbeingunderground,likenoexpositiontoweather,haveabigimpacttothework
itself.Forexampleslippinghazardsfortheworkerscausedbyrainoricearepracticallynotexistent.
Anotherpointisthepublicsafety.Ifhazardousmaterialsaretreatedandanaccidenthappens,the
falloutstothepublicareminimized.Theenclosedareaallowsabettercontrolofthesematerialsand
whenthestructureisproperlydesignedtheenvironmentshouldnotbeaffected.
Fortheworkerssafety,severalmeasuresareundertaken.Examplesarevarioustypesoffirefighting
equipment,opticaldetectorsforsmokeandfire,anemergencyalarmcontrolsystem,safety
containerswhichareresistanttofire,redundantpowersupplytoallowanuninterruptibleoperation
andaventilationsystemwhichhasamaximumairflowof100.000m(3.531.000cf)perhourwhich
shallallowworkerstoescapeinfreshairduringafire.
Thisprojectshowstheintelligentdevelopmentoftheundergroundanditspositiveimpacttothe
people,theenvironmentandthereforetheeconomy.Theprobleminsuchaprojectistosellthese
advantagesandthatasafeoperationisensuredtothepublic.Safetyissuesregardingerecting
undergroundconstructionsarewellcontrollednowadays,andthisisalsoappreciatedbythepublic
operationalsafetythereforestillhastoproofitself.
78 SeismicDesign
7 SeismicDesign
7.1 Introduction
Whenevertalkingaboutstructuresandbuildings,seismichazardshavetobeconsidered,even
thoughtheseismicpotentialandhazardsarevaryingalot,dependingonthedeterminedlocation.
WhileforstructuresinAustriaseismicloadsarenotdecisive,andforundergroundconstructions
almostnegligibletheyareabigdealinCaliforniaandotherpartsoftheUnitedStates.Thereasons
thereforearesimplythetectonicplatesandtheirmovements.
Thischapterwillnotgofurtherintodetailsofplatetectonicsandtheincurrenceofearthquakes,but
willpointoutsomehazardstostructures,especiallyundergroundstructures,theirconsequences,
howdesigncouldaffectseismiceffectstostructuresandhowtocalculateabasicseismicdesign.Also
anideaaboutcodesintheUnitedStatesandtheirapplianceisgiven.
Themapbelow106showsthehazardofseismiceventsallovertheworld,basedontheprobabilityof
earthquakesandtheirexpectablepeakgroundvelocity.Redandbrownareasarethemost
endangeredones,whilegreenandwhiteareasarehavingalowhazard.

Figure33:Globalseismichazardmap
Tounderstandthehazardofanearthquakesomeparametersneedtobementioned.These
parametersare:
106
GeologicMaps:http://geology.about.com/library/bl/maps/n_map_GSHAP1500.htm(December2010)
SeismicDesign 79
MEarthquakeMagnitudeMeasureoftheenergyreleasedbyanearthquake
PGAPeakGroundAccelerationMaximumaccelerationwhichisexperiencedbyaground
particleduringanearthquakeandindexforintensityofstronggroundmotionatasite
PGVPeakGroundVelocityMaximumvelocityandimportantfortunnelstocharacterize
thedamagepotentialofgroundmotions
PGDPeakGroundDisplacementMaximumdisplacements

Themap107beneathshowstheearthquakehazardsinCalifornia.

Figure34:EarthquakeshakingpotentialforCalifornia
107
CaliforniaSeismicSafetyComission:http://www.seismic.ca.gov/pub/shaking_18x23.pdf(November2010)
80 SeismicDesign
7.2 EffectsofEarthquakes
Ifanearthquakeoccurs,therearedifferentimpactsontheenvironmentandstructures.Thetwo
mayoraffectsconcerningundergroundconstructionsaregroundfailureandgroundshaking.Both
areresponsibleformayordamages,butgroundfailurehas,accordingtoperformancerecords,even
moredamagingeffectsonundergroundstructures.
Isanundergroundstructureerectedinstableground,thestructureisnotmovingindependently,
whichmeansthatthebehaviorofthestructureisbasicallydependingonthegrounddeformations
andnotonthegroundacceleration.
7.2.1 GroundFailure
Groundfailuremeansthatthegroundbecomesunstablewhichcanresultin:108
Grounddisplacement
Faultrupturesthroughatunnel:Activefaultscrossingatunnelcanresultinshearing
displacementsthroughitandcauseseriousdamage.
Landsliding:Theproblemoflandslidingismorecommonattunnelportalsandshallowparts
ofatunnel.Itcanalsocauselargeshearingdisplacements.
Groundliquefaction:Groundliquefactionisabigissueofgroundfailure.Thisaffects
undergroundstructuressituatedbelowthegroundwatertablewhenadditionallysoilisloose
tomediumdenseandcohesionless.Inaseismiceventthegroundliquefiesbecauseofthe
porewaterpressureandthestructurecanstartfloatingorsinking.Groundliquefactionalso
leadstoanincreaseofthelateralearthpressure.
Mostofthesefailurescanbecontrolledbyanappropriatetunneldesign.
7.2.2 GroundShaking
Groundshakingmeansmovementofthegroundinitiatedbyshockwaves,normallyasaresultofan
earthquake.Therearetwomayortypesofwavescausedbyaseismicevent,thosetravellingbeneath
thesurfaceandthosetravellingonthesurface.
Whentravellingbeneaththesurface,morepreciseattheinnerlayersoftheearth,thewavesare
calledbodywaves.ThesewavescanbefurtherdividedintoPrimaryWaves(PWaves)andSecondary
Waves(SWaves).PWavesaremovinginlongitudinaldirectionandarehavingahigherspeedthan
108
SeismicDesign 81
SWaves,sotheyareperceivedfirst.SWavesthereforearemovingperpendiculartothepropagation
direction.
Ifwavesaretravellingonsurfacetheyarecalledsurfacewavesandcanbefurtherdividedinto
RayleighWavesandLoveWaves.
Allofthemaredeformingthegroundbuthavingdifferenteffectsonundergroundstructures.
Groundshakingisaffectingundergroundstructuresinthreedifferentways:
Ovaling/Racking
Axialdeformation
Curvaturedeformation
7.2.2.1 Ovaling/Racking
Ovaling/Rackingisthedeformationofatunnelcausedbyseismicwavesmovingperpendicularto
thelongitudinaltunnelaxis.Thedeformationsarecausedintheplaneofthecrosssectionofthe
tunnel.Verticallypropagatingshearwavesareconsideredtobemostcritical.
Whileatacirculartunneltheeffectsarecalledovaling,atrectangulartunnelstheyarecalledracking.

Figure35:OvalingandRackingofatunnel
7.2.2.2 AxialDeformation
Whenseismicwavesarepropagatingparalleltothetunnelaxis,theyarecausingaxialdeformations.
Thesedeformationsareconsequencesoftensionsandcompressionsinthetunnelliningindirection
ofthetunnelaxis,causedbyfrictionalforcesbetweenthegroundandthestructure.Generally
SWavesarethepredominantones.
82 SeismicDesign

Figure36:TensionandCompressionduetoseismicwaves
7.2.2.3 CurvatureDeformation
Curvatureorbendingdeformationsarecausedbyseismicwavespropagatingperpendiculartothe
longitudinaltunnelaxisandarecausedbythegroundresistancenormaltothetunnellining.

Figure37:Curvaturedeformationsduetoseismicwaves

SeismicDesign 83
7.3 BehaviorofUndergroundConstructions
Undergroundconstructionsmustwithstanddifferentinfluencesfromearthquakes,althoughhistory
proofedthatundergroundstructuresarelesslikelysubjectstodamages.Oneexplanationtherefore
istheinteractionwiththesurroundingground,butthishasonlyasignificanteffectinrock
conditions.Anotherexplanationisthedepthofthestructure.Withanincreasingdepth,the
amplitudeoftheseismicgroundmotionisdecreasing.Thetablebelowshowstheratioofthe
decreasinggroundmotiondependingonthedepthofthestructure.109
TunnelDepth(m) RatioOfGroundMotionAtTunnelDepthTo
MotionAtGroundSurface
6 1,0
6 15 0,9
1530 0,8
30 0,7
Table8:Ratioofthegroundmotiondependingonthetunneldepth
Importantfortheperformanceofanundergroundstructurearethesoilconditions,theconstruction
itselfandmostimportanttheinteractionbetweenbothofthem.
TheseismicperformanceofundergroundstructureswasinvestigatedbyHashashandsummarizedas
followed:110
Undergroundstructuressufferappreciablylessdamagethansurfacestructures.
Reporteddamagedecreaseswithincreasingoverburdendepth.Deeptunnelsseemtobe
saferandlessvulnerabletoearthquakeshakingthanareshallowtunnels.
Undergroundfacilitiesconstructedinsoilscanbeexpectedtosuffermoredamagecompared
toopeningsconstructedincompetentrock.
Linedandgroutedtunnelsaresaferthanunlinedtunnelsinrock.Shakingdamagecanbe
reducedbystabilizingthegroundaroundthetunnelandbyimprovingthecontactbetween
theliningandthesurroundinggroundthroughgrouting.
Tunnelsaremorestableunderasymmetricload,whichimprovesgroundlininginteraction.
Improvingthetunnelliningbyplacingthickerandstiffersectionswithoutstabilizing
surroundingpoorgroundmayresultinexcessseismicforcesinthelining.Backfillingwith
noncyclicallymobilematerialandrockstabilizingmeasuresmayimprovethesafetyand
stabilityofshallowtunnels.
109
110
Hashash,YoussefM.A.etal.:Seismicdesignandanalysisofundergroundstructures.In:TunnellingandUnderground
SpaceTechnology16(2001),pp.247293
84 SeismicDesign
Damagemayberelatedtopeakgroundaccelerationandvelocitybasedonthemagnitude
andepicentraldistanceoftheaffectedearthquake.
Durationofstrongmotionshakingduringearthquakesisofutmostimportancebecauseit
maycausefatiguefailureandtherefore,largedeformations.
Highfrequencymotionsmayexplainthelocalspallingofrockorconcretealongplanesof
weakness.Thesefrequencies,whichrapidlyattenuatewithdistance,maybeexpectedmainly
atsmalldistancesfromthecausativefault.
Groundmotionmaybeamplifieduponincidencewithatunnelifwavelengthsarebetween
oneandfourtimesthetunneldiameter.
Damageatandneartunnelportalsmaybesignificantduetoslopeinstability.
7.4 Codes
BuildingcodesintheUnitedStatesarequitedifferenttothoseinAustriaandtheEuropeanUnion.
Forbuildingstherearethreedifferentcodesregulatingtheconstruction.ThesearetheNational
buildingCode,theStandardBuildingCodeandtheUniformBuildingCode.
Thecrucialthingaboutthesecodesisthatthelocalgovernmentscandecideiftheyareadopting
thesecodesornot,thereforesomestatesdonotrequirecodesandotherstatesdorequirethem.
Butevenifastateisapplyingacode,localgovernmentscanadopttheirownonesandtherefore
overrulestateregulations.Thisleadstoanabsenceofpropercodesinmanyseismicvulnerable
areas.
Regardingthecomplianceofseismiccodesitwasfiguredoutthatjustonepercentofthetotal
purchaseofahomeoronetotwopercentofthetotalcostsofanewcommercialorindustrial
buildingareneededtobuilditinaccordancewithseismiccodes.111
ForbuildingstheNEHRPRecommendedSeismicProvisions112areagoodsource,buttheyarenot
dealingwithundergroundconstructions.
ForundergroundconstructionsChapter13oftheFHWATechnicalManualforDesignand
ConstructionofRoadTunnels113publishedbytheFederalHighwayAdministrationisgivinggood
practice,althoughitisnostandardorregulation.
111
Alesch,Danieletal.:PromotingSeismicSafety:GuidanceforAdvocatesTheABCsofSeismicBuildingCodesWeb:
http://mceer.buffalo.edu/publications/Tricenter/04sp02/103abcs.pdf(November2010)
112
BuildingSeismicSafetyCouncil:NEHRPRecommendedSeismicProvisionsforNewBuildingsandOtherStructures.
WashingtonD.C.:BuildingSeismicSafetyCouncil2009
SeismicDesign 85
7.5 SeismicDesignProcedure
Seismicdesignmeanstodesignanundergroundstructureinawaythatitresistsearthquakesina
safeway.Thatdoesnotalwaysmeanthatithastowithstandanearthquakewithminororwithout
damages.Themostimportantthingisthatitisnotcollapsingorhurtinganypeoplebyfallingpartsor
thelike.
Theseismicdesignprocessisdescribedasfollowed:114
Definitionoftheseismicenvironmentanddevelopmentoftheseismicparametersforanalysis
Evaluationofgroundresponsetoshaking,whichincludesgroundfailureandground
deformations
Assessmentofstructurebehaviorduetoseismicshakingincludinga)developmentofseismic
designloadingcriteria,b)undergroundstructureresponsetogrounddeformations,andc)
specialseismicdesignissues

Table9:Undergroundstructureseismicanalysisanddesignprocedure
7.5.1 SeismicHazardAnalysis115
7.5.1.1 DeterministicSeismicHazardAnalysis(DSHA)
Deterministicseismichazardanalysisisthedevelopmentofaparticularseismicscenario,which
meansaparticularsizeofanearthquakeataparticularsite,todetermineandsummarizeallhazards
resultingbygroundmotion.
Theidentificationofthesehazardsisdividedintofoursteps.
113
114
Hashash:Seismicdesignandanalysisofundergroundstructures.
115
86 SeismicDesign
Identificationandcharacterizationofallearthquakesourcescapableofproducingsignificant
groundmotionatthesite,includingdefinitionofthegeometryandearthquakepotentialof
each
Selectionofasourcetositedistanceparameterforeachsource,typicallytheshortest
epicentral/hypocentraldistanceorthedistancetotheclosestrupturedportionofthefault
Selectionofacontrollingearthquake(i.e.thatwhichproducesthestrongestshakinglevelat
thesite),generallyexpressedintermsofagroundmotionparameteratthesite.
Formaldefinitionoftheseismichazardatthesiteintermsofthepeakacceleration,velocity
anddisplacement,responsespectrumordinates,andgroundmotiontimehistoryofthe
maximumcredibleearthquake.Designfaultdisplacementsshouldalsobedefined,if
applicable
TheDSHAprovidesaworstcasescenarioatoneparticularsitebutgivesnoinformationabout
likelihoodorfrequencyofoccurrenceofanearthquake.Theseinformationcanbegatheredbya
probabilisticanalysis.
7.5.1.2 ProbabilisticSeismicHazardAnalysis(PSHA)
Aprobabilisticseismichazardanalysisidentifiesandquantifiesuncertaintiesinthesize,locationand
recurrencerateofanearthquake.Thegoalistoprovideamorecompletedescriptionofseismic
hazardsatacertainsite.
TheidentificationprocessisliketheDSHAalsodividedintofoursteps:
Identificationandcharacterizationofearthquakesources,includingtheprobability
distributionofpotentialrupturelocationswithinthesourcezone.Thesedistributionsarethen
combinedwiththesourcegeometrytoobtaintheprobabilitydistributionofsourcetosite
distances
Characterizationoftheseismicityortemporaldistributionofearthquakerecurrence
Determinationofthegroundmotionproducedatthesitebyanysizeearthquakeoccurringat
anysourcezoneusingattenuationrelationships
Combinationoftheseuncertaintiestoobtaintheprobabilitythatagivengroundmotion
parameterwillbeexceededduringagiventimeperiod
ThePSHArevealsuncertaintiesinsourcetositedistance,magnitude,rateofrecurrenceand
variationofgroundmotioncharacteristics.
SeismicDesign 87
7.5.1.3 GroundMotionparameters
ThedifferencesbetweenPGA,PGVandPGDwerealreadyexplainedin7.1Introduction.Regarding
theirapplicationcanbesaidthatthePGAismoreusefultodesignstructuresonsurfaceandthePGV
andPGDarebetterfordescribingdamagesonundergroundstructures.WhilevaluesforPGAare
availableatseveralhazardmaps,therearelittleinformationaboutvaluesforPGVandPGD.Soratios
ofPGVandPGDrelatedtothePGAwereestablished.
Thefollowingtwotablesareshowingtheratiosofpeakgroundvelocitytopeakgroundacceleration
atsurfaceinrockandsoilandratiosofpeakgrounddisplacementtopeakgroundaccelerationat
surfaceinrockandsoil:116

Table10:Ratiosofpeakgroundvelocitytopeakgroundacceleration

Table11:Ratiosofpeakgrounddisplacementtopeakgroundacceleration
116
88 SeismicDesign
Whenastructureislongish,liketunnels,thespatialincoherenceofgroundmotionshouldalsobe
considered,whichmeansthatdifferentpartsofthestructureareencounteringdifferentground
motions.Alsotheeffectsofthetravellingwaveshouldbetakenintoaccount.Thefourmayorfactors
causingspatialincoherenceare.117
Wavepassageeffects
Extendedsourceeffects
Raypatheffectscausedbyinhomogeneitiesalongthetravelpath
Localsoileffects
7.5.2 Twoleveldesign118
Wheneverdesigningandcalculatingearthquakeloadsforastructurethereisahighdegreeof
uncertainty,whichisinthenatureofearthquakesanditsshockwaves.Whilestructuresonsurface
aredesignedtoinertialloadforcesandresonanteffects,undergroundstructuresaredesigned
consideringgroundinteractionsandthedisplacementanddeformationaspectsoftheground.
Nowadaysitisusualtoapplyatwoleveldesign.Thatmeansthatthestructureiscalculatedtoso
calledOperatingDesignEarthquakes(ODE)andaMaximumDesignEarthquakes(MDE).
TheODEisdesignedtowithstandearthquakeswithlowermagnitudes,butamorelikelyappearance
duringthestructureslifetime.Thestructuremustwithstandthoseseismicloadsinamannerthat
theoperationcancontinue.
TheMDEisfocusingonanearthquakewithahighmagnitude,butthereforewithanunlikely
appearance.Thefocusofthisdesignistomaintainpublicsafety,whichmeansthatthestructure
shallnotcollapse,butoperationdoesnothavetocontinue.AnywaystheMDEshouldconsiderthe
importanceofastructure,andifitislikelythataparticularstructureisthebestoronlychoicefor
maintainingoperationafteranearthquake,itshouldbedesignedforoperationaswell.
7.5.3 SeismicDesignIssues119
Whenconsideringtheseismicdesignofundergroundconstructionstherearesometopicswhich
needspecialattention.Thischaptergivesanoverviewaboutthesetopicsandgivesideashowtodeal
withthem.
Undergroundconstructionscanhaveabruptchangesinstructuralstiffness.Reasonsthereforecanbe
connectionsbetweentunneltubesandstations,conjunctionsoftunnels,localrestraintsfromhard
117
118
Wang,JawNan:SeismicDesignPhilosophyforTunnelStructures.Web:
www.pbworld.com/library/fellowship/wang/chp2.pdf(October2010)
119
SeismicDesign 89
spotsandvaryinggeologicalconditions.Thedifferingstiffnesscanleadtodifferentmovementsof
thestructureandsubsequentlytostressconcentrationsinit.Theseproblemscanbeeliminatedby
theinstallationanduseofflexiblejoints.Suchjointsneedtobedesignedaccordingtotheprojected
differentialmovementsinlongitudinalandtransversaldirection,relativerotationandalsothe
dynamicearthandwaterloads.Alsoportalsandventilationstructuresshouldbeisolatedfromthe
mainstructurebytheuseofflexiblejoints.
Insoiltorockzonesitisadvisabletomakeanoverexcavationandbackfillitwithsoil.Thisshould
preventhardpointsatthetransition.IsthetunnelconstructedwithaTBMandanoverexcavation
notpossible,aflexibleliningshouldbeinstalled.
Whencalculatingovalingorrackingofatunnel,see7.6.2.2Ovalingdeformations(circulartunnel),it
isassumedthatthetunnelisconsistingofacontinuouscrosssection.Ifthetunnelcrosssectionis
madeofsegmentsconnectedwithjointconnections,aslikelywhenusingTBMs,thesejointsmust
accommodatetheexpectedgrounddeformations.Dependingontheelasticorinelasticbehaviorof
thejoint,groundlininginteractionsmustbeconsidered.
Regardingtheliningcanbesaidthatanincreaseofthethicknessormorereinforcementisnot
alwaysleadingtoabetterseismicperformance.Thereasonforthatisbecauseastifferliningis
attractingmoreforces,somoreeffectivemaybetheuseofductilematerialsandcircumferential
joints.
Moreimportantthanthestiffnessisthesoilstructureinteractionwhichallowstheliningtotransfer
theforcesintothegroundandleadstoareductionofloadsinthetunnellining.Despitethatthe
frameofthestructureneedsapropermomentresistance.CutandCovertunnelshaveahigherrisk
ofcollapsingbecauseoftheabsenceofmomentresistanceandthedynamicloadsofthesoilbackfill.
Ifdesigningatunnelwitharelativelythinlining,theeffectofbucklinghastobetakeninto
considerationaswell.
Curvaturecausedbygroundshakingcanbecontrolledbyreducingthedistortionandthestrainswith
theinstallationoftransversejoints.
Theelasticdistortionorrackingdistortioncanbecalculatedwiththerotationcapacityofthemost
rigidexteriorcornerjoint.Thiselasticrotationcapacitymustbelargerthanthepredictedshearing
distortion.Ifthisisnotthecase,plasticdistortiononthelessrigidjointmemberhastobecalculated.
Iftheendrotationexceedstheexpectedrotationfurtherplasticyieldingdesignneedstobecarried
out.
90 SeismicDesign
Exteriorwallsneedareinforcementontheinsidefacewhichisextendedintothebottomandtop
slabstopreventseismicracking.
Ifstructuralcomponentsarehavingnocontactwiththegroundbutareincontinuousconnection
withotherouterstructuralelementstheymaysufferplasticrotation.Topreventthis,ductile
sectionsorhingesshouldbeinstalledinbetween.Thedynamicforcesofinteriorcolumns,walls,
beamsandslabshavetobecalculatednormaltotheirlongitudinalaxis.
Wheninstallingcompressionstruts,attentionshouldbepaidtotheendconnectionsandiftheyare
ininteractionwithcontinuouspartsofthestructure,theirpresenceshallnotinterferewiththe
overalldesignassumptions.
Mostundergroundstructuresarehavingappurtenantstructures.Ifgroundshearingdistortiondoes
notexceedtheelasticcapacityoftheframeallattachmentscanbetreatedasrigidlyattached.When
shearingdistortionisexceedingtheelasticcapacityoftheframe,themainattachmentsshouldbe
looselylinkedwithadeformableoreasyrepairablejoint.
Generallytheplacingofjointsshouldconsiderinfirstsightthatthestructureisnotcollapsingdueto
plasticdeformationsoftheframe.Ifdeformablejointsareused,theyhavetomaintaintheirwater
tightness,whichcanbeachievedbyincludedrubbergasketsorbentonitereservoirs.
Whenconsideringgroundfailuresonepointisgrounddeformation.Becauseitisnotquitepossible
tobuildundergroundstructureswhichareresistinglargeandpermanentgrounddeformations,the
onlyeffectivemethodsaregroundimprovements,draining,soilreinforcements,groutingandother
soilfoundationworks.If,forcertainreasons,thesemeasurescannotbeundertaken,arelocationof
thetunnelalignmentshouldbeconsidered.
Anothergroundfailureissueisflotation,whichiscausedbygroundliquefaction.Iftheground
liquefiesthestructurecaneithersinkorfloat.Whenthestructurefloatsthedangeroffurther
upliftingbecauseofliquefiedsoilcontinuouslymovingbeneaththetunnelisimminent.Thiseffect
canbepreventedbyconstructingcutoffwalls,whichcanexistamongothersofpilewalls,grouted
columnsordrainedstonecolumns.Theirexistenceleadstoareducedriseofabundantporewater
pressureatthebottomofthestructureaswellasthegroundbeneath.
SeismicDesign 91
Whendealingwithaninstableslopetheonlywaytohandleitistostabilizetheground.Evenifthe
movementsaresmall,theundergroundstructurewillmostlikelynotwithstandtheseloads.
Undergroundconstructionscrossingfaultsisanotherbigdesignissue.Thegenerallyestablished
philosophyistoallowdisplacementsandadaptthedesignofthestructureinawaythatoccurring
damagesintheliningcanberepairedorliningpartsreplacedeasily.
Theestimationofthesedeformationscanbecarriedoutbydifferentmethods.Oneofthemis
gatheringdatafromadatabasewhichiscollectingworldwidesourceparametersofearthquakesand
developingempiricalrelationships.AnothermethodisbasedonthePSHA,elucidatedin7.5.1.2
Probabilisticseismichazardanalysis(PSHA),adjustedwithadisplacementattenuationfunctionas
thirdstep.
Whencrossingfaultzones,anotherpossibilityistoenlargethetunnelcrosssectioninthisarea.The
wideningofthecrosssectionisdirectlyrelatedtoadecreaseinpostearthquakecurvatures.
Theenlargedcrosssectioncanalsobeimplyinganinnertunnel,combinedwithabackfillinbetween.
Thisleadstoaminimizationofthelateralloads.Whenthestructureisjustcrossingsmallfaults,
jointscanbeinstalledtoallowtunneldeformations.ThiswillresultinafutureSShapeofthetunnel,
withtheperformancedependingonthepresentsoil.

92 SeismicDesign
7.6 Calculations
Whencalculatinganearthquake,therearetwopossibleapproaches.Thefirstisthefreefield
deformationmethodandthesecondisthesoilstructureinteractionmethod.
Thefreefielddeformationmethodconsidersthegroundstrainscausedbyearthquakes,ignoringthe
structure.Sotheinteractionbetweengroundandstructureisnotconsidered.Theresultscanbe
overorunderestimated,butaregoodenoughforafirstestimation.
Thesoilstructureinteractionmethodthereforeconsidersthatanundergroundstructureispresent
andinteractingwiththeground.
7.6.1 ImportantParameters
Asmentionedearlierinthischapter,theseismicperformanceofatunnelisverycloselyrelatedto
thegroundconditionsatsiteandtheinteractionbetweengroundandtunnellining.Therearetwo
importantfactorswhicharepartofthegroundlininginteractionandaredescribingtherelative
stiffnessbetweenthem.Thesefactorsarethecompressibilityandflexibilityratios.120
CompressibilityRatio
[1]
FlexibilityRatio
[2]
,
Where:
Elasticmodulusofthelining
Elasticmodulusofthesurroundingground
Poissonsratioofthesurroundingground
Nominalradiusofthetunnellining
Poissonsratioofthetunnellining
, Momentofinertiaoftheliningalongthetunnelaxis
Thicknessofthelining
TheflexibilityratioFissuggestedtobethemoreimportantfactorregardingresistingdistortion.IfF
isgreaterthanabout20,whichmeansthegroundis20timesstifferthanthetunnellining,the
120
SeismicDesign 93
groundlininginteractionscanbeignored.Thenthefeefielddeformationmethodisusedtocalculate
anearthquake.
Ifatunnelisbuiltinverysoftsoil,andFissmallerthan20,thegroundtunnelinteractionshavetobe
considered,whichmeansregardingthecalculationthatthesoilstructureinteractionmethodis
required.
7.6.2 FreeFieldDeformation
Asmentionedabove,iftheinteractionbetweengroundandtunnelisignored,thecalculationsare
calledfreefielddeformations.
Whencalculatingtheimpactsofanearthquake,twoeffectsneedtobeconsidered,thelongitudinal
andcurvaturestrainsaswellastheovalingdeformations.
7.6.2.1 LongitudinalandCurvatureStrains121
Whenatunnelissufferingaxialandcurvaturedeformationsimposedbythesurroundingground,the
tunnelliningwillabsorbtheseloadsbyaxialandbendingstrains.Theaxialandcurvaturestrainscan
becombinedanddifferdependingonthekindofwavehittingthetunnel.Thefollowingequations
arebasedontheclosedformelasticsolution,whichconnotesthatthetunnelisassumedasan
elasticbeamandtheseismicwavesareassumedasplanewaveswiththesameamplitudeatthe
wholelengthofthetunnel,justwithanothertimeofarrival.
PWaves
cos sin cos [3]
SWaves
sin cos cos [4]
RayleighWaves(compressionalcomponent)
cos sin cos [5]
Where:
Radiusofcirculartunnelorhalfheightofarectangulartunnel
121
94 SeismicDesign
PeakparticleaccelerationassociatedwithPwave
PeakparticleaccelerationassociatedwithSwave
PeakparticleaccelerationassociatedwithRayleighwave
Angleofincidenceofwavewithrespecttotunnelaxis
PeakparticlevelocityassociatedwithPwave
ApparentvelocityofPwavepropagation
PeakparticlevelocityassociatedwithSwave
ApparentvelocityofSwavepropagation
PeakparticlevelocityassociatedwithRayleighwave
ApparentvelocityofRayleighwavepropagation
InrockconditionsSWavesaregenerallytheoneswhicharecausingthemoststrains,whilein
shallowtunnelsandsoildepositsRayleighWavesaretendingtobethedecisiveones.Anincreaseof
thetunnelradiusiscausinghigherbendingstrainsandcurvaturedeformations,butanywaythese
loadsarestillrelativelysmallcomparedtotheaxialstrains.
7.6.2.2 OvalingDeformations(CircularTunnel)
Thepredominantstrains,whencalculatingovalingdeformationeffectsonacirculartunnel,arethe
onescausedbyverticallypropagatingshearwaves.AccordingtoHashashthemaximumshear
strains,dependingonthetypeofwaves,are:122
MaximumshearstrainforPWaves( 45)
[6]
MaximumshearstrainforSWaves( 0)
[7]
MaximumshearstrainforRayleighWaves(compressionalcomponent)( 45)
[8]
MaximumshearstrainforRayleighWaves(shearcomponent)( 0)
[9]
122
SeismicDesign 95
AdditionallytheFHWAisstatinganotherequationwhichwasespeciallydevelopedforshallow
tunnels.Themaximumshearstrainistheregivenby:123
[10]
Where:
Effectivestraincompatibleshearmodulusofgroundsurroundingtunnel
Maximumearthquakeinducedshearstress,and
[10.1]
Where:
Depthdependentstressreductionfactor

1.00.00233z <10m(30ft)
1.1740.00814z 10m(30ft)<z<23m(75ft)
0.7440.00244z 23m(75ft)<z<30m(100
0.5 z>30m(100ft)
Table12:Stressreductionfactorinrelationtothedepthofthetunnel
Totalverticalsoiloverburdenpressureatinvertelevationoftunnel,and
[10.1.2]

Where:
Totalsoilunitweight
Soilcoverthicknessmeasuredfromgroundsurfacetotunnelcrown
Diameterofcirculartunnelorheightofrectangularstructure
Oncethemaximumshearstrainsarecalculated,witheithermethod,thetypeofgrounddistortion
needstobedetermined.Thegroundcanbeassumedaseithernonperforatedorperforated.
Innonperforatedgroundthediametricdistortioniscalculatedassumingthatthegroundis
consistingofcontinuoussoil.Thisisplausibleifthestiffnessoftheliningisequaltothoseofthe
ground.
123
96 SeismicDesign

Figure38:Schematicrepresentationofnonperforatedandperforatedground
Inperforatedgroundthereforethediametricdistortioniscalculatedassumingthatthereisanopen
cavityintheground.Theexistenceofacavityisleadingtoamuchhigherdistortionthaninnon
perforatedground,butisplausibleifthelininghasasmallerstiffnesscomparedtotheground.
Maximumdiametricstraininnonperforatedground
[11]
Where:
DiameteroftheTunnel
Maximumdiametricstraininperforatedground
2 1 [12]
Remark:Figure34,35,36and37aswellasTable9,10and11areadoptedfromHashashandhis
paperSeismicdesignandanalysisofundergroundstructures. 124
7.6.3 SoilStructureInteraction
Thesoilstructureinteractionconsiderstheinteractionbetweenthetunnelliningandthe
surroundingground.Thismethodisusedifaverystifftunnelisbuiltinsoftsoil.
7.6.3.1 LongitudinalandCurvatureStrains
Thesoilstructureinteractioncalculationofthelongitudinalandcurvaturestrainsisbasedonthe
beamonelasticfoundationapproach.Itassumesaquasistaticmodelwhichignoresdynamic
interactioneffects.
124
SeismicDesign 97
Themaximumstructuralstrains(axialandbendingstrain,shearforce)areaccordingtoHashash:125
Maximumaxialstrain(causedbya45incidentshearwave)
[13]
Where:
Crosssectionalareaofthetunnellining
Elasticmodulusofthetunnellining
Wavelengthofanestimatedidealsinusoidalshearwave,and
[13.1]
Where:
Predominantnaturalperiodofashearwaveinthesoildeposit,thenaturalperiodof
thesiteitselfortheperiodatwhichmaximumdisplacementsoccur,and
[13.1.1]
Where:
Thicknessofsoildeposit
Thegrounddisplacementresponseamplitude ,isbasedonsitespecificconditions.Itconsidersthe
spatialvariationsofgroundmotionsalongahorizontalalignmentandgenerallyincreaseswith
increasingwavelength.126
Forfreefieldaxialstrains
[13.2]
Forfreefieldbendingstrains
cos [13.3]
Thelongitudinalspringcoefficientofthemedium, ,isafunctionoftheincidentwavelengthand
includestheratioofpressurebetweenthetunnelandthemediumandthereduceddisplacementof
themediumwhenthetunnelispresent127.Becauseoftheassumedsinusoidalwave,thisspringhas
125
126
127
98 SeismicDesign
toconsiderthenegativeandpositivealternation.Whenapplyingtoshallowtunnelsthesoilspring
resistancevaluesarelimitedbythedepthofcoverandlateralpassivesoilresistance.128
[13.4]
Where:
Shearmodulusofthemedium
Themaximumfrictionalforcebetweenthetunnelliningandtheground limitstheaxialstrain
inthelining.
[13.5]
Where:
Ultimatefrictionforcebetweentunnelandsurroundingsoil
Maximumbendingstrain(causedbya0incidentshearwave)
[14]
Where:
Momentofinertiaofthetunnelsection
= transversespringcoefficientofthemedium
Totalstrainasacombinationofaxialstrainsandbendingstrainsforaconservativeestimation
[15]
Themaximumshearforceonthetunnelcrosssectioncanbeexpressedasafunctionofthe
maximumbendingstrain
[16]
Becauseofthecyclicloadingsofearthquakes,positiveandnegativeextremeshavetobeconsidered.
Thesoilgroundinteractionisonlyneededforstructuresinsoftground,whilefortunnelsinstiffer
groundthefreefielddeformationapproachissufficient.
128
SeismicDesign 99
7.6.3.2 OvalingDeformations(CircularTunnel)
Thefollowingequationsfordiametricstrain,maximumbendingmomentandmaximumthrustare
functionsofthecompressibilityandflexibilityratiosgivenin[1]and[2].
Whencalculatingovalingdeformationsofacirculartunnel,itneedstobedifferentiatedbetween
fullslipandnoslipconditions.Furthermoretherearetwoattempts,basicallyfromWangand
Penzien,adaptedbyHashash,ofhowtocalculatethem.
Calculationofthemaximumthrustcausedbyovalingofacirculartunnelinfullslipconditionsand
withouttangentialshearforceaccordingtoWangadaptedfromHashash:129
[17]
Where:
Fullslipliningresponsecoefficient,and
[17.1]
Maximumbendingmomentinfullslipconditions
[18]
Diametricstrain
[19]
Whencalculatingthemaximumliningthrustofacirculartunnelinnoslipconditionsthemaximum
thrustcausedbysimpleshearneedsanadjustedliningresponsecoefficient.Thisisbecausefullslip
calculationscanresultinsignificantunderestimationsofthemaximumthrust:130
Maximumthrustinnoslipconditions
[20]
Where:
Noslipliningresponsecoefficient,and
1 [20.1]
129
130
100 SeismicDesign
Whileslipattheinterfaceisonlypossiblefortunnelsinsoftsoilsorcasesofsevereseismicloading
intensity131,atmosttunnelstheslipattheinterfaceisbetweenfullslipandnoslip,thereforeboth
casesneedtobeexamined.
As and arefunctionsoftheflexibilityratioandthePoissonsratio,followingconclusionscanbe
made:132
WhenPoissonsratio<0,5seismicallyinducedthrustsincreasewithdecreasing
compressibilityandflexibility
WhenPoissonsratio0,5seismicallyinducedthrustsareindependentofcompressibility
becausethesoilisconsideredasincompressible
WhenF<1thetunnelliningwilldeformlessthanthefreefield
WhenF1thetunnelliningwilldeformmorethanthefreefield
Likementionedbefore,thereisasecondattemptbyPenzien,alsoadaptedfromHashash.Forfull
slipconditionsthefollowingequationsareavailable:133/134
Atfirstaliningsoilrackingratio isgiventoestimatethediametricdeformationofthetunnel
[21]
Diametricstrain
[22]
Where:
Liningsoilrackingratioundernormalloading,and
[22.1]
Where:
[22.1.1]
131
132
133
134
Hashash,YoussefM.A./Park,Duhee/I.ChiangYao,John:Ovalingdeformationsofcirculartunnelsunderseismic
loading,anupdateonseismicdesignandanalysisofundergroundstructures.In:TunnellingandUndergroundSpace
Technology20(2005),pp.435441
SeismicDesign 101
Where:
Shearmodulusoftheground
Poissonsratioofthelining
Maximumthrust
[23]
Maximummoment
[24]
Maximumshear
[25]
Regardingnoslipconditionsequation[21]andthefollowingonesarevalid:
[26]
Where:
Liningsoilrackingratio,and
[26.1]
Where:
[26.1.1]
Moment
[27]
Shear
[28]
102 SeismicDesign
Hashash135comparedtheresultsofthecalculationmethodsbyWangandPenzien,withthe
conclusion,thattheresultsinfullslipconditionsarealmostthesame,butthatinnoslipconditions
thethrustcomputedbythemethodofPenzienisseveraltimeslower.
Inafurtherpaper,Hashashinvestigated136thisdisparity,usingthreecaseswithdifferentground
characteristics.HecalculatedeachcasebasedonWangandalsoonPenzienandadditionallycarried
outanumericalanalysis.
TheoutcomewasthattheapproachbyWangismuchclosertothedatagatheredfromthenumerical
analysis.WhereastheapproachbyPenzienprovidedfartoolowresultsregardingthrustinnoslip
conditions.
ForthisreasonthecalculationofthrustinnoslipconditionsaccordingtoPenzienarenotincludedin
thischapter.
135
136
Hashash/Park/I.ChiangYao:Ovalingdeformationsofcirculartunnelsunderseismicloading,anupdateonseismic
designandanalysisofundergroundstructures.
Conclusion 103
8 Conclusion
Thefollowingparagraphsarebrieflysummarizingtheoutcomesofthisthesis.Moredetailed
outcomescanbefoundintheindividualchapters.
ItisobviouswhenhavingastatisticalorrealviewontheinfrastructureoftheUnitedStatesthat
tunnelsdonothavethatsignificancelikehereinAustriaorEurope.Sometimestheyevenseemlike
anattraction.
IntheUnitedStatestheymostlypreferbridgesoraccepthighgradesinsteadofgoingunderground.
Areasonthereforeisthatthecountryhasmuchmorespaceandwideness,soanalignmentarounda
hillisnoproblemandalsopeopleareusedtoanddonotcareaboutdrivinglongerdistances.Thisis
infurtherconsequenceleadingtoanuneconomicandpollutiveincreaseofgasusageintheseareas.
Justindenselypopulatedurbanareaswithagoodpublictransportationsystem,tunnelsaremore
common.SothesituationnowadaysstandsincontrasttothepotentialoftunnelswhichAmerican
engineersrecognizedinthe70s.
InAustriamaybethenarrowvalleysandlackofspaceareresponsibleforthebigamountoftunnels,
butanyways,itseemstheoverallattemptistogothefastestanddirectway,andthereisalong
historyoftunneling.AlsothedifferentcontractualsystemsintheUnitedStatesandAustriaare
playingabigrole.TheonesintheUSareanythingelsebutidealforconstructingatunnel,because
thecontractorcarriesalltherisksandtheyarewrittenmorelikedisclaimers.137
Butithastobementionedthat,despitethepointsabove,theUSarebeginningtomakeprogressin
tunneling.TheBostonBigDig138forexamplewasaprojectaccordingtotheAmericanwaywithmany
superlatives.Itincludedtheerectionoftwonewbridgesandthreetunnelsaccommodatinganeight
totenlaneHighwayreplacingthemaininfrastructureintheheartofBoston.Thethreetunnelsare
altogether10,6km(6,6mi)longandareexistingofimmersed,cutandcoverandtunneljacking
segments.
Tunnelscanbedividedindifferentways,liketheirconstruction,theirsiteetcetera.Regarding
constructionmanymethodshavebeendeveloped.Theymaybequitedifferent,buthaveincommon
tomaketunnelingeasier,saferandareprovidingasteadyincreaseinknowledgeandtechnology.An
137
Parker:LifeCycleCostConsiderationsUsingRiskManagementTechniques.
138
TheMassachusettsDepartmentofTransportationHighwayDivision:http://www.massdot.state.ma.us/Highway/
(December2010)
104 Conclusion
interestingfactregardingconstructionmethodsis,thatintheUSabouthalfofthetunnelsneeded
tobestabilized,butnotbecauseofthelowstrengthoftherock,butbecauseofpoorblasting139.
Shallowtunnelsarebringingsomemoreproblemswiththemthandeepones.Areasonthereforeis
thattheyaremostlybuiltinhighlypopulatedareas.Incontrasttothistherearealsoalotofchances.
Topicslikepollutionandcollapsingcannowadaysbeeliminatedtoahighdegree.Soifthe
constructioncompaniestaketheirjobserious,negativeimpactscanbereducedtoaminimum.This
isimportantsothatpositiveimpacts,likesafetyandreductionofcostsarethedominantones.
Regardingtheeliminationofrisksandincidentsduringtheconstructionandoperation,adapted
accompanyingconstructionmethodsareplayingabigrole.Therearespecialaccompanyingmethods
forshallowtunnels,forexamplegroundfreezingorgrouting.Itisessentialforatunnelengineernot
justbeingconfidentwiththeclassicaltunnelingtechniques,butalsobeinginventiveandcomfortable
inadaptingtherightaccompanyingtechniques.
Similartotunnelsaretheconstructionprocessesandmethodsofcaverns.Theycanhaveavery
positiveimpactinthedevelopmentofanurbaninfrastructurebytheirdiverseuse.Projects,likein
NewYorktheTransHudsonProjectandinEuropetheTrondheimRailroadShuntingArea,are
proofingthis.
TheseismicdesignofundergroundstructuresisveryimportantinareaslikeCalifornia,buteven
there,therearenoclearlydefinedcodeswhichareneededtobesatisfied.Insteadresearchesor
papersaregivingagoodpractice,andarepointingoutwhatisimportanttoconsider.
Anearthquakecanhaveseveraleffectstoanundergroundstructure,likeovalingorracking,axial
deformationandcurvaturedeformation.Theeffectsareinfluencedbythedepthofthetunnelas
wellastheusedmaterialsandthemethodofconstruction.Besidestheinfluenceswhichcanbe
controlledbyhumans,therearesomewhicharedominatedbynature.Oneofthesearethe
propagatingseismicwaves.Theyaredifferentiatinginthekindofthewaveitself,thelayerstheyare
travellingin,theirvelocitiesandtheirwayofpropagating.
Mosteffectsofearthquakescanbequiteeasilyandcheaphandledbyproperseismicdesign,ifonly
thecrucialpointsareknown.
Forcalculatingseismicloads,thepaperswrittenbyHashashareaverygoodsource.Forthisreason
theyareusedasabasisfortheseismiccalculationsinthisthesis.
139
BritannicaTheOnlineEncyclopedia(December2010)
References 105
9 References
9.1 ListofFigures
Figure1:Classificationofsoil.................................................................................................................9
Figure2:PrincipleoftheBottomUpmethod......................................................................................23
Figure3:UseofBottomUpattheBrennerrailroadtrack...................................................................23
Figure6:PrincipleoftheTopDownmethod.......................................................................................25
Figure7:Principleofadrydock...........................................................................................................26
Figure8:Towingofafinishedtunnelsegment....................................................................................27
Figure9:Foundationworksfortheimmersedsegment......................................................................27
Figure10:Backfillingoftheimmersedsegments................................................................................28
Figure11:Blindshield..........................................................................................................................29
Figure12:Openfaceshield..................................................................................................................30
Figure13:Semimechanizedshield......................................................................................................30
Figure14:Mechanizedshield..............................................................................................................30
Figure15:Layoutofatunneljackingsite.............................................................................................33
Figure16:Principleoftunneljacking...................................................................................................34
Figure17:Correlationbetweenairandwaterpressure.....................................................................57
Figure18:Effectofgroundwaterflowtofrostbodies.........................................................................59
Figure19:Dependencyoffreezingtimetoflowvelocity.....................................................................59
Figure20:Modelofatunnelliningconsistingofjetgroutedcolumns................................................61
Figure21:Modelandprincipleofapipeumbrella..............................................................................63
Figure22:Installationofapipeumbrella............................................................................................64
Figure23:Excavationbeneathapipeumbrella...................................................................................64
Figure24:Premillmachinewithmillingsaw........................................................................................65
Figure25:PrincipleoftheerectionofaSlurryWall............................................................................66
Figure26:PrincipleoftheURUP..........................................................................................................67
Figure27:ModeloftheURUP.............................................................................................................67
Figure28:PrincipleoftheFootingReinforcemnetPiles......................................................................68
Figure29:Zoningoftheexcavationofacavern..................................................................................71
Figure30:Designmethodologyflowchartforastation......................................................................74
Figure31:Layoutofthe34thstreetstation..........................................................................................75
Figure32:LocationoftheSecondAvenueLine...................................................................................76
Figure33:Globalseismichazardmap..................................................................................................78
Figure34:EarthquakeshakingpotentialforCalifornia........................................................................79
Figure35:OvalingandRackingofatunnel..........................................................................................81
Figure36:TensionandCompressionduetoseismicwaves................................................................82
Figure37:Curvaturedeformationsduetoseismicwaves...................................................................82
Figure38:Schematicrepresentationofnonperforatedandperforatedground................................96
106 References
9.2 ListofTables
Table1:MetropolitanRegionsinAustriaandtheirtransportationnetwork.........................................5
Table2:MetropolitanRegionsintheUSandtheirtransportationnetwork.........................................5
Table3:Classificationofsoil..................................................................................................................9
Table4:TypesofTunnels.....................................................................................................................11
Table5:ApplicabilityofSlurryandEPBShields..................................................................................31
Table6:ElementsofCommonlyUsedSoftGroundExcavationandSupportClassesinSoftGround..40
Table7:Commonsoilsinurbantunnelingandtheirbehavior............................................................46
Table8:Ratioofthegroundmotiondependingonthetunneldepth.................................................83
Table9:Undergroundstructureseismicanalysisanddesignprocedure.............................................85
Table10:Ratiosofpeakgroundvelocitytopeakgroundacceleration...............................................87
Table11:Ratiosofpeakgrounddisplacementtopeakgroundacceleration......................................87
Table12:Stressreductionfactorinrelationtothedepthofthetunnel.............................................95
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MASTERTHESIS

TotalNetwork Underground UndergroundRatio

Immersed Mined/Bored Cut&Cover

cos sin cos [3]

sin cos cos [4]

cos sin cos [5]

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