Second Edition

Transportation Tunnels

S. Ponnuswamy
Former Additional General Manager
Southern Railway, Chennai
and Guest Faculty, IIT Madras

D. Johnson Victor
Former Professor of Civil Engineering
Indian Institute of Technology, Madras
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 Foreword

With the ever increasing need to strengthen the transport infrastructure in

terms of expressway, metro railway, and long distance high-speed railway
networks, tunnelling has assumed a special importance over the past four
decades. The construction of the 50 km long Eurotunnel across the English
Channel has given a further impetus to the planners to conceive more and
more challenging tunnelling schemes all over the world in order to improve
the transport infrastructure. Planning, design and construction of
transportation tunnels are specialised disciplines of the Engineering Science.
Tunnelling has also gained a special significance in India in the recent past
due to the immediate need to strengthen the metropolitan transport systems
in the country. Successful implementation of large scale tunnelling in the
Konkan Railway Project has further added to the confidence of engineers.
The opening up of infrastructure projects to private investments coupled with
adoption of the BOT concept for execution of such projects will further give
a tremendous boost to "Tunnelling" in this subcontinent.
To my knowledge presently there is no exhaustive book on "Tunnelling"
with reference to conditions obtaining in India. This book will, therefore,
fulfil the much needed requirement of students and professionals in the field
of tunnelling. The book has effectively covered important aspects of
planning, design and construction of tunnels. Geological aspects including
the details of soil and site investigations required to be carried out before
undertaking tunnelling works have been lucidly brought out. Surveying and
setting out which are very important aspects in execution of tunnelling works
iv

and secondary supporting system has been explained in sufficient details.

Text in most of the chapters is supplemented by illustrative sketches and
worked-out examples which will be of immense help to the students and
designers. Apart from covering the conventional tunnelling methods in hard
and soft rock formations, special attention has been given to the subject of
Metro Tunnels by including a separate chapter on this topic. This will be of
great help to the planners and engineers of Metro-Rail systems.
In spite of the difficult nature of the subject matter, the authors have
succeeded in presenting the topic lucidly and at the same time maintaining
a proper sequence. Due to this the book has become easily understandable.
At the end of the book the authors have given a list of references, which will
be of immense use to serious students of this discipline. This book will
become an important reference book in the libraries of tunnelling engineers
and will also be used as a much needed text book on the subject of tunnelling
in the Engineering College.

E. Sreedharan
28th March 1995 Chairman
Konkan Railway Corporation Ltd.
New Bombay
 Preface to Second
Edition
Almost twenty years have passed since the First Edition was done. In this
period, considerable changes have taken place in tunnelling technology,
especially in terms of mechanization of work, introduction of road transport
vehicles with better turning circle and loading capabilities for mucking and
ventilation. Indian Railways have been and are implementing a large number
of tunnels, especially in the Jammu-Kashmir area and the North- east. These
works have been very challenging, since they pass through mixed and more
of soft grounds. Along with Drill-Blast methodology mostly adopted in
earlier tunnels they have been using NATM in a large scale. Designs are
being refined using observational data during construction, calling for
instrumentation on a larger scale.
With a number of cities going in for metro rail, large lengths of Subway
construction have been and are being implemented. Major part of tunnelling
for subways are being done with Tunnel Boring Machines, accompanied with
soil stabilization with grouting, and monitoring using instrumentation.
Such developments have increased the demand for personnel with know-
how on tunnelling. Even serving maintenance engineers have to be equipped
with better knowledge on tunnel inspection and maintenance. Consequently,
more technical institutions are offering courses on tunnelling. Hence it was
felt desirable to bring out a new edition of the book, and the authors started
planning and did preliminary work and started putting together material for
this second edition. During the process, unfortunately, Dr. Johnson Victor
vi

passed away and the other author has continued the work in line with the
original plans. With the publisher enthusiastically welcoming the idea, the
revision work was followed up, to make the main author's wish a reality.
Two additional chapters on 'Instrumentation in Tunnels' and "Inspection
and Maintenance of Tunnels' have been added to make it broad based. Some
case studies from recent works have been added for the benefit of younger
practicing engineers.
As in the case of the earlier edition, most of the additional information
has been compiled from available literature, journals and internet; and also
from personnel working in the field. A lot of details have been compiled
from the literature sourced from CMRL, KRCL and IPWE(I) and IRICEN,
USBRL, NF Railway and other web sites and ICJ and other journals, which
is gratefully acknowledged. Help has been forthcoming from a number of
authors' erstwhile colleagues and a number of experts in the field. Dr. G.
Narayanan, who has had considerable hands-on experience on railway
tunnels reviewed a major part of the book and gave a number of suggestions
for addition and modifications. Mr. S. Suryanarayanan who had worked on
a number of tunnels in the DBK project reviewed the case studies and also
the chapter on Instrumentation. Mr. S. Subramanian, another railway expert,
has reviewed the chapter on Maintenance, and enriched this with additional
information on mobile inspection platforms. M/s R. Ramanathan, L. Prakash,
S.D. Limaye, V. Somasundaram, V.K. Singh, Dr. Esther Malini and a
number of serving engineers have helped with information on subway
tunnels and tunnelling problems. The help received from all of them is
gratefully acknowledged. Heartfelt thanks are due to Mr. S. Dinesh for help
in preparation of a number of figures added and Ms. Sri Vidhya for providing
secretarial help.
Thanking the publisher for the excellent work done in bringing out this
edition in a short time, this edition is gratefully dedicated to the memory of
the co-author, Dr. Johnson Victor.

March, 2016 S. Ponnuswamy

 Preface to First Edition
Tunnelling has assumed increased importance in recent years because of the
need to expand the transportation infrastructure in the country to cope with
the anticipated magnitude of the economic activities. Major development
projects such as the Konkan Railway project, rapid transit schemes in
metropolitan cities, expressways connecting major cities, and plans for
strengthening National Highways call for numerous tunnelling works of
varied magnitude, requirements and complexity. At the present time, there
is a lack of suitable text books to train civil engineers in the art and science
of tunnelling, with emphasis on conditions obtaining in India. The authors
have attempted to fill this need. It is hoped that the curriculum for Civil
Engineering courses would be updated to include adequate coverage of
tunnel engineering.
This book has been based on the observations at construction sites and
the study of published and unpublished literature on the subject by the
authors over many years, and especially on their experience in teaching a
graduate course on Transportation Structures at the Indian Institute of
Technology, Madras. The book is primarily addressed to final year
undergraduate and graduate students in Civil Engineering, and is expected
to serve as reference material to the practicing engineer. A specialised book
of such coverage and complexity has to necessarily benefit from inferences
from the relevant IS codes and available published literature and many
unpublished quoting the reference. The authors record their gratitude to the
authors of the above sources. Readers requiring additional information on
particular topic are encouraged to study the concerned source material.
viii

The authors are deeply indebted to Mr. E. Sreedharan, Chairman,

Konkan Railway Corporation Limited for kindly writing the Foreword to this
book. Mr. Sreedharan's contribution to the field of tunnel engineering in
India has been a source of inspiration to may an Indian engineer.
The authors would appreciate suggestions from the readers for the
improvement of the text. Sincere thanks are due the publishers for their
effective cooperation.

Madras S. PONNUSWAMY
June 1995 D. JOHNSON VICTOR
 Contents
Foreword iii
Preface to Second Edition v
Preface to First Edition vii

1. Introduction 1
1.1 General 1
1.2 Classification 2
1.3 Traffic/ Vehicular Tunnels 2
1.3.1 Major Transportation Tunnels. 2
1.3.2 Subway Tunnels 4
1.3.3 Highway Tunnels 4
1.3.4 Navigation Tunnels 5
1.4 Conveyance Tunnels 6
1.5 Railway Tunnels 6
1.6 Scope of this Book 7
1.7 Definitions 7
1.8 References 9

2. Route Selection and Preliminary Investigations 11

2.1 Route Selection 11
2.1.1 Economic Consideration 11
2.1.2 Topographic Consideration 13
2.1.3 Other Considerations 15
x

2.2 Geometrical Parameters 15

2.2.1 Horizontal Alignment 15
2.2.2 Gradients 16
2.3 Parameters for Highway Tunnels 17
2.4 Investigations 17
2.4.1 Types of Investigations 17
2.4.2 Alignment Survey 19
2.5 Geological Investigations 20
2.5.1 General 20
2.5.2 Aim of Geological Investigations 21
2.5.3 Sequence of Geological Investigations 21
2.5.4 Shafts and Drifts 30
2.5.5 Pre-Construction Investigations 30
2.5.6 Present Approach for Large projects 31
2.5.7 Types of Rocks 34
2.6 Hydrological Investigations 35
2.7 Gases and Rock Temperatures 35
2.8 Rock Temperature 38
2.9 References 39

3. Tunnel Requirements 40
3.1 General 40
3.2 Operational Requirements 40
3.2.1 Profile 40
3.2.2 Ruling Gradient 41
3.2.3 Curvature 41
3.2.4 Ventilation and Lighting 42
3.2.5 Clearances 42
3.2.6 Aerodynamic Problems in tunnels 42
3.3 Structural Requirements 45
3.3.1 Supporting Structure 45
3.3.2 Portals 46
3.3.3 Invert Types 47
3.4 Construction and Maintenance 49
3.5 Canal/Navigation Tunnels 50
3.6 Additional Requirements in Water Conveyance Tunnels 52
3.6.1 Hydro-electric Power Plant Tunnels 52
3.6.2 Water Supply Tunnels 52
3.6.3 Utility Tunnels 53
3.7 References 54
 xi

4. Design of Tunnels 55
4.1 General 55
4.2 Alignment 55
4.3 Gradient 56
4.3.1 Railway Tunnels-Minimum/ Maximum Requirement 56
4.3.2 Examples 57
4.4 Curvature 58
4.5 Determination of Cross-section 60
4.5.2 Tunnel Clearance 60
4.6 Geometric Shape of Tunnel 62
4.6.1 Choices Available 62
4.6.2 Factors Affecting Choice 62
4.6.3 Selection of Shape 67
4.6.4 Influence of Tunnel Lining on a Cross-section 67
4.7 Rock Pressure2 68
4.7.1 Types of Rock Pressure 68
4.7.2 Theories Regarding Rock Pressure 70
4.8 Design of Tunnel Lining 76
4.9 Design Practice of Railway Tunnels 77
4.9.1 Loads and Forces to be provided for 77
4.9.2 Choice and Design of Structure 78
4.10 Modeling Approach to Design 80
4.8 References 83

Annexure 4.1 84
Typical Example of Design of a Box Section Tunnel 84
A.1 General 84
A.2 Notations Used 85
A.3 Loading 85
A.4 Combination of Loads 87
A.5 Analysis by Stiffness Matrix Method 91

Annexure 4.2 98
Design of Steel Support for a Horse Shoe Shape Tunnel 98
Data Available 98

Annexure 4.3 103

Design Example of a Circular Tunnel 103
Forces 103
Equations Applied 104
Analysis 105
xii

5. Survey and Setting Out 108

5.1 General 108
5.2 Setting Out on Surface 109
5.2.1 General 109
5.2.2 Progressive Ranging 109
5.2.3 Reciprocal Ranging 110
5.2.4 Traverse Method 111
5.2.5 Triangulation 111
5.2.6 Procedure for Angle Measurement 112
5.2.7 Required Degree of Accuracy in Triangulation 113
5.3 Use of Electronic Distance Measurements 114
5.4 Levelling 115
5.4.1 Instrument Accuracy and Precautions in Levelling 115
5.4.2 Benchmarks 116
5.5 Setting out Inside of Tunnels 116
5.5.1 Straight Alignment 116
5.6 Transfer of Alignment Below G.l. at Intermediate Station 117
5.6.1 Tunnels Driven from Portals 117
5.6.2 Coplaning Method 120
5.6.3 The Weisbach Method 121
5.7 Setting out Curves 121
5.7.1 Circular Curve 121
5.7.2 Transition Curves 122
5.8 Setting out Line Through Compressed Airlock 123
5.9 References 125

6. Tunnelling Operations 126

6.1 General 126
6.2 Preliminary Work 126
6.3 Tunnelling Methodologies 127
6.3.1 Alternative Tunnelling Methods 127
6.3.2 Traditional Methods 129
6.4 Tunnelling In Rock 130
6.4.1 Drill and Blast Method 130
6.4.2 Codes Applicable for Major Operations 131
6.5 Tunnel Supports 131
6.5.1 Purpose of Tunnel Support 131
6.5.2 Types of Steel Supports 132
6.5.3 Tolerances 135
 xiii

6.6 Tunnelling in Soft Rock and Soils 136

6.6.1 Methods used in Different Countries 136
6.6.2 Sequential Excavation Method (SEM) 139
6.6.3 New Austrian Tunnelling Method (NATM) 140
6.7 Excavation and Advancing Face 141
6.7.2 Forepoling Method 142
6.7.3 Tunnelling with Liner Plates 144
6.7.4 Needle Beam Method 144
6.7.5 Flying Arch Method 146
6.8 Soft-ground Tunnelling 146
6.8.2 Shield Tunnelling 146
6.8.3 Tunnelling by Freezing 147
6.8.4 Tunnelling with Chemical Grouting 147
6.8.5 Slung Wall Construction 149
6.8.6 Cut-and-Cover Tunnels 149
6.9 Shield Tunnelling 150
6.9.1 Where used 150
6.9.2 Shield 150
6.9.3 Accessories 151
6.9.4 Work Cycle 154
6.9.5 Special Precautions 155
6.9.6 Tunnelling by Bentonite Slurry Shield 157
6.10 Case Studies 157
6.10.1 Challenges in Soft Ground Tunnelling on
Konkan Railway Line 157
6.10.2 Honavar Tunnel 159
6.10.3 Alternative Strategies for Soft Ground Tunnelling 160
6.11 References 162

Annexure 6.1 164

Tunnel Boring Machine 164
General 164
Types of TBM 165
Working of TBM 165
xiv

Annexure 6.2 168

Case Study : Example of a Railway Tunnel With Service Road
done using New Austrian Method 168

7. Drilling, Blasting and Mucking 178

7.1 General 178
7.2 The Round 179
7.3 Drilling 179
7.3.1 Drilling Pattern 179
7.3.2 Classification of Drill Holes 180
7.3.3 Depth of Holes 181
7.3.4 Diameter of Hole 183
7.4 Explosives 183
7.5 Drilling Operations 186
7.5.1 Drilling by Wet Method 186
7.5.2 Types of Drills 186
7.6 Safety 189
7.7 Rock Mass Characteristics and Alternate Strategies 193
7.7.1 Norwegian Method of Tunnelling 194
7.7.2 Rock Mass Classification Determination 194
7.7.3 Rock Mass Index and Tunnel Support 195
7.7.4 Suggested Support System for different Rocks 196
7.7.5 Squeezing and Swelling Soils 200
7.8 Mucking Procedure 203
7.8.1 General 203
7.8.2 Use of Rail Trucks 204
7.8.3 Loading 204
7.8.4 Cycle Time 205
7.8.5 Haulage 206
7.8.6 Mucking by Pumping 209
7.9 Tunnelling Machinery 209
7.9.1 Drilling Operation 209
7.9.2 Mucking Operation by Road vehicles. 213
7.9.3 Ancillary Equipments and Arrangements 214
7.10 Recent Developments in Drilling and Blasting 216
7.11 Problems in Tunnelling 219
7.12 References 221
Annexure 7.1 223
Q Tables for Use with Histogram Logs (Source Nick Barton) 223
 xv

Annexure 7.2 229

Case Study-Tunnelling Through Varying Rock Conditions 229
A 7.2.1 Typical Case- Hills in Himalayan Region 229
A 7.2.2 Construction Problems 232

8. Metro Tunnels 239

8.1 Introduction 239
8.2 Route Selection and Construction Methodology 240
8.2.1 Alignment 240
8.2.2 Utilities 240
8.2.3 Construction Methodology and Costs 241
8.3 Alignment and Track Design 242
8.4 Vertical Profile 243
8.5 Cover/Over Burden 243
8.6 Investigations 244
8.6.1 Geotechnical 244
8.6.2 Utilities 244
8.6.3 Road Traffic and Diversions 245
8.6.4 Building Survey 245
8.6.5 Construction 246
8.7 Cut-and-cover Construction 246
8.7.1 Method- Description and Types 246
8.8.2 H-Piles and Lagging or Sheet Piling 250
8.8.3 Diaphragm Walls 252
8.7.4 Bored Piles 253
8.7.5 Ground Movement Caused due to Excavation 256
8.8 Construction Joints and Waterproofing 258
8.9 Shield Tunnelling and use of Tunnel Boring Machines 259
8.10 Design of Structure 259
8.11 Subaqueous Tunnels 260
8.12 Case Study-Practical Problems in Bored Subways
through Soft Soil 263
8.12.1 Choice of Methodology 263
8.12.2 Profile 265
8.12.3 Major Problems 265
8.12.4 Station Tunnel 267
8.12.5 Instrumentation 268
8.13 References 270
xvi

9. Lining 271
9.1 General Requirements 271
9.1.1 Purpose and Types of Lining 271
9.1.2 General Requirements of Lining 273
9.1.3 Linings to suit Different Rock/ Soils 273
9.2 Timing Placement of Lining 274
9.3 Sequence of Lining Operation 276
9.4 Formwork 276
9.4.1 Types of Formwork 276
9.4.2 Non-telescopic Formwork 277
9.4.3 Telescopic Formwork 277
9.5 Concreting 279
9.6 Compaction 283
9.7 Curing 283
9.8 Segmental Lining 283
9.9 References 286

10. Ventilation, Lighting and Drainage 287

10.1 Ventilation 287
10.2 Vehicle Emissions 289
10.2.1 Exhaust Emissions 289
10.2.2 Carbon Monoxide 290
10.2.3 Carbon Dioxide 290
10.2.4 Oxides of Nitrogen 290
10.2.5 Sulphur Dioxide 291
10.2.6 Hydrocarbons 291
10.2.7 Aldehydes 292
10.2.8 Particulates 292
10.3 Vehicle Emission Rates 292
10.4 Methods of Ventilation 293
10.4.1 Types of Ventilation 293
10.4.2 Longitudinal Ventilation 293
10.4.3 Semi-Transverse Ventilation 294
10.4.4 Full-Transverse Ventilation 294
10.4.5 Design of Ventilation System 297
10.5 Case Studies 299
10.5.1 General 299
10.5.2 Holland Tunnel 299
10.5.3 Kolkata Metro Tunnel 301
10.5.4 Konkan Railway Tunnels 303
 xvii

10.6 Lighting 304

10.7 Drainage 308
10.8 Niches and Refuges 309
10.9 References 309

11. Instrumentation in Tunnelling 310

11.1 Necessity for Instrumentation 310
11.1.2 Stages of Instrumentation 310
11.2 Ground Movement Studies 311
11.2.1 Extensometers 311
11.2.2 Inclinometers 315
11.2.3 Heave Gauge 315
11.2.4 Convergence Gauges and Roof Anchors 316
11.3 Measurement and Monitoring Impact on Buildings/ Structures 318
11.3.2 Measurement of Deformation 318
11.4 Structural Monitoring 320
11.4.2 Measurement of Loads and Stresses 320
11.4.3 Pore Pressure Measurements 323
11.5 Location of Measuring Instruments 323
11.6 References 326

12. Inspection and Maintenance of Tunnels 327

12.1 General 327
12.1.1 Basic Difference with Other Structures 327
12.2 Types of Inspection 329
12.3 Inspection Coverage and Documentation 331
12.3.2 Inspection Coverage 331
12.3.3 Defect Grading and Condition Rating 334
12.4 Maintenance, Repairs and Rehabilitation 335
12.5 Practice Elsewhere 338
12.6 Recent Developments 339
12.6.1 Geophysical Techniques 339
12.6.2 Mobile Inspection System 340
12.7 References 342

Abbreviations 343

Bibliography 345

Index 349

About the Authors 355

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 C H A P T E R

1
Introduction

1.1 GENERAL
Tunnels are artificial passages built underground to facilitate transportation
or conveyance of people, materials, water, sewage, other fluids and gas in
pipes, electric power etc., across obstructions like hills, rivers and other
obstructions like buildings, industrial structures and other communication
lines like major roads and rail tracks. An alternative definition of tunnels
refers to underground structures which apart from serving the above noted
purposes are built using special underground excavation methods without
disturbing the surface. Even underground garages and power houses are
treated as tunnels.
Tunnels have been built from time immemorial for various purposes,
such as defence, assault/ escape and normal traffic across fortifications and
water bodies. The earliest known tunnel was constructed about 4000 years
ago by Queen Semiramis in ancient Babylon under the Euphrates River to
connect her palace and the temple of love1. The tunnel was 1 km long and
was of section 3.6 m × 4.5 m. It was constructed using the "cut-and cover"
method with brickwork in bituminous mortar and vaulted roof. In Indian
history, references are available to tunnels connecting forts and points of
escape and private passages for the royalty from the palaces to river fronts
and temples. (One such has been reported to have existed near River
Godavari at Rajahmundry).
Current-day vehicular tunnels may be built for highways or railways and
may be unidirectional or dual-directional. Often tunnels reduce distances. For
2

example, the Banihal (Jawahar Road) tunnel joining the Kashmir valley with
the rest of the country has reduced the road distance by 18 km, besides
facilitating year-round communication. The world's second largest tunnel is
the under Sea, Channel Tunnel linking Great Britain and France by rail.
Considered an engineering marvel of the twentieth century, the tunnel is 50.5
km long and lies 50 m below the seabed for most of its length.

1.2 CLASSIFICATION
Tunnels can be broadly divided into two categories: (a) transportation tunnels
and (b) conveyance tunnels. Some define (a) as traffic tunnels and define
transportation tunnels to include tunnels used for conveyance of water to
Hydro electric Power plants, water supply tunnels, sewage tunnels and
tunnels used in industrial plants for conveyance of materials like those
housing conveyors etc..
Transportation tunnels can be further classified as: (a) railway tunnels,
(b) highway tunnels, (c) pedestrian tunnels, (d) navigation tunnels and (e)
subway tunnels.
Conveyance tunnels serve to convey liquids and may include: (i)
hydroelectric power station tunnels, (ii) water supply tunnels, (iii) tunnels for
the intake and conduit of public utilities, (v) sewer tunnels and (v) tunnels
in industrial plants, such as conveyor-belt tunnels.
We can also include under (i) above tunnels which have been driven for
purposes of diversion of water during construction of dams. The earliest
example of this use in India is the Periyar tunnel, which has been used as
a permanent means for diverting water from the western slopes of the
Western Ghats to the East. A recent major example of such conveyance
tunnel is that used for temporary diversion in connection with the Bhakra
dam construction.

1.3 TRAFFIC/ VEHICULAR TUNNELS

1.3.1 Major Transportation Tunnels.
Railway and highway tunnels are similar in nature and normally refer to
surface-to-surface route tunnels, i.e., those provided for the purpose of
crossing hills and mountains as distinct from subway tunnels (also known as
tubes) used for underground railway in cities. Typical examples of a few
remarkable railway and highway tunnels2 are given in Table 1.1.
 3

Table 1.1 Selected Railway and Highway Tunnels

Sl No. Name Country Year Length, km

1. Seikan Japan 1988 54.1
2. Channel UK-France 1993 50.5
3. Simplon I & II Switzerland-Italy 1906 & 1922 19.8
4. Kanmom Japan 1974 18.6
5. Apennine Italy 1934 18.5
6. St. Gotthard Switzerland 1882 15.0
7. Lotschberg Switzerland 1913 14.5
8. Cascade USA 1929 12.6
9. Moffat USA 1928 10.0
10. Pir Panjal India 2013 10.9
11. Karbude India 1995 6.5
Highway Tunnels
12. St. Gotthard Switzerland 1980 16.2
13. Arlberg Austria 1978 14.0
14. Frejus France - Italy 1979 12.8
15. Mont Blanc France - Italy 1965 11.7
16. Enassan Japan 1977 8.4
17. Transbay USA 1973 5.8
18. Kanmon Japan 1958 3.4
19. Mersey UK 1934 3.2
20. Holland USA 1927 2.6
21. Jammu-Srinagar India 1961 2.6
(Banihal)

Tunnels are warranted in the context of transportation for the following

purposes:
(a) to avoid a long circuitous route around a mountain or spur;
(b) to avoid slips of slides of open cuts in soft strata;
(c) to avoid steep gradients in hilly terrain;
(d) to avoid crossing precipitous ridges or high peaks or zones likely to
be under snow for a major part of the year;
(e) to avoid acquisition of valuable property or to avoid interfering or
damaging a heritage structure.
However, tunnels are attendant with some disadvantages, such as:
(a) high initial cost;
(b) long construction period;
(c) specialised work, needing special equipment and highly skilled
labour.
4

From the point of view of economics, a tunnel is preferred when depth

of cutting through hard solid exceeds 18 to 20 meters.
Amongst transportation tunnels, railway tunnels are more numerous.
Most have been constructed under water also, e.g., tunnel of New Tokaido
line connecting two islands across the sea channel and the Channel Tunnel
connecting France and England.
Subaqueous tunnels require fairly heavy approach gradient, take longer
to construct and involve more personal risk to the workers. Maintenance
costs are also higher, especially in seismic zones.

1.3.2 Subway Tunnels

Urban underground railways are mostly in the form of tunnels, otherwise
known as tubes (after the shape used in boring). The earliest constructed was
that provided for the London Tube, the first section of which was
commissioned in 1863. The special requirement of underground and
subaqueous railway tunnels, which distinguish them from the other railway
tunnels, are:
(a) Increased safety requirements due to high density and high speed of
traffic and likely disastrous consequences of any derailment/
accident;
(b) Careful water sealing;
(c) High standard of cleanliness
(d) Ventilation with or without air conditioning, with duplicate power
supply facilities;
(e) Full length needs to be provided good illumination and
communication facilities for help in inspection/maintenance
operations and for emergency evacuation of commuters.
(f) Availability of fire emergency facilities over full length and
adherence to National Fire Hazard regulations.

1.3.3 Highway Tunnels

These are similar to railway tunnels except that due to the steeper permissible
ruling gradient they may be shorter and require fewer spiral alignments. In
cross-section they are now comparatively less in height and wider.
The additional factors to be considered in design and construction of
highway tunnels are:
(i) Size: They have to be wider to accommodate the number of lanes of
roadway to be carried. Hence, their width-height ratio is more than
that of railway tunnels.
 5

(ii) Shape: In view of the greater width required and also the need to
carry additional services, a circular shape more often fits in better,
with services carried through ducts provided in the lower half of
circle.
(iii) Geometry: The curvature has to take into account the higher speeds
of vehicles (which cannot be externally controlled) and also the need
for a good view of each other by opposing traffic lane users.
(iv) Ventilation: Artificial ventilation (by induced draft through ducts)
becomes a 'must' in view of harmful fumes and gases emitted by cars,
buses and trucks.
(v) Lighting: Artificial lighting also is necessary for proper viewing
inside by various types of users.
(vi) Drainage: Since the road surface and pavements have to be kept dry
and non-slippery, no dripping from roof or sides can be allowed.
Lining has to be waterproof and effective side drains to lead out
seepage and other water become necessary.
(vii) Lining: Even where structurally not needed, lining is necessary for
purposes of aesthetics, better lighting (reflection) and to control
seepage. Properly cambered road surface, footpath and drains have
to be provided at the invert level also.

1.3.4 Navigation Tunnels

Water transport is a form used by the man since the early days using rivers
and streams for the purpose. Canals had been primarily built for purpose of
irrigation and as early as 16th century, they have been used for inland
transportation, one of the earliest examples being a canal built parallel to
River Exe in Devon (UK) for the purpose in 1564. Industrial development
gave a boost to this form of transport, before the advent of railways in the
eighteenth century. Taking them across mountains through tunnels was a
natural corollary and Navigation tunnels came into being. Rapid
development of canals for inland transport and tunnels where required grew
rapidly. For quite some time, they competed with the railways also. Rapid
growth of railways and roads, with advent of motorised vehicles capable of
providing quicker transport and door to door service, edged canal form of
transport from reckoning.
Navigation tunnels are similar to highway tunnels. They have to be
comparatively wider to allow for maneuvering of boats and provide
sufficient space between boats plying in opposite directions. The waterway
has to be provided with raised walkways on either side for movement of
6

people. The waterway portion has to be impervious to prevent loss of water.

They will have gentle or no gradient to suit the flow of water.

1.4 CONVEYANCE TUNNELS

The conveyance tunnels cover those provided for water supply, sewerage and
those provided for housing pipe lines for fluids or conveyor belts, as in case
of mines, power houses etc.. They also include tunnels provided in industrial
plants for local conveyance of materials and products in any of the forms
mentioned above. This classification includes also tunnels provided for
diversion of water permanently for feeding power houses or transferring
from one valley to another for irrigation and other purposes.

1.5 RAILWAY TUNNELS

The earliest railway tunnels to be built for steam powered Railways seem to
be the ones built in Derbyshire in United Kingdom in 1830, most of them
being short ones. The longest one to be built then was the 'Wymington'tunnel,
1690 m long built in 1859. The most notable early railway tunnels known
world over are the Simplon Tunnels I and II in Switzerland connecting Italy
with Germany, the first one built in 1906 and the second one in 1922. They
are single line tunnels. They have been supplemented recently by the World's
longest rail tunnel (as in 2016) known as Gotthard Base Tunnel, comprising
two parallel circular (8.83 m - 9.50 m dia.) sections. The work on them is
reported to be just complete, and they are under trial. They are likely to be
commissioned in June 2016. It is 57 km long running parallel to each other
with interconnections at intervals. Two multi-purpose stations in between
have been (each in a single encompassing tunnel). They are designed for
operation of passenger trains which can be run at 250 kmph and freight trains
hauling 3500 t each. They are expected to save over an hour in running time
of high speed trains for passengers. Longest under water rail tunnel as on
date if the 53.8 km long Seikan Tunnel in Japan connecting Honshu and
Hokkaido islands. Of this length, 23.5 km is under sea bed, considered
deepest in the world. The other notable under sea tunnel is the 50.5 km long
Channel Tunnel (Chunnel) connecting France and United Kingdom,
designed for high speed train operation also. It has the longest under-sea
length of 37.9 km. Though talked of since 1802, its construction was started
in 1988 and completed in 1994. It consists of two circular sections of 7.6 m
dia each, with a smaller 3.0 m dia service tunnel running parallel in between,
with multiple purpose of providing ventilation and emergency services etc..
It also served as a pilot tunnel to know the kind of soil to be bored through,
 7

in advance, helping the drilling of main tunnels. It is a joint venture project

involving private finance, loans and equity, a BOOT project covered by a 60
year concession. The longest tunnel in USA is the replacement Cascade
Tunnel in Washington State. The first one built on this section in 1900 was
a single line one 4.23 km long. In replacement, this 12.54 km long single
track was built in 1929.
For more details on this topic, see Chapter 6.

1.6 SCOPE OF THIS BOOK

This book briefly covers the theoretical aspects of preliminary studies and
basic requirements, geological investigations, design requirements and
practical aspects of location and setting out, various operations including
boring/blasting, mucking, lining, drainage and ventilation of tunnels in
general and transportation tunnels in particular.

1.7 DEFINITIONS
In discussions of the various operations involved in tunnelling, one comes
across a number of technical terms. Some of these terms are defined below
for ready reference5,6.
Adit: A tunnel or open cut driven from the surface to the main tunnel
for providing access or addition to the number of working faces of the
main tunnel.
Benching: Operation of excavation in the lower portion of the tunnel
section after the top heading has been driven.
Blocking: Filling gap between the excavated rock surface and the ribs to
transfer the (external and) rock load to the ribs.
Bracing: Structural frame connection provided between ribs/posts to pre-
vent the latter from buckling or shifting (alternatively, this purpose may
be served by lags fixed to the frame).
Cover: Cover on a tunnel in any direction is the distance from the tunnel
profile to the outermost ground surface in that direction. If the thickness
of the overburden is large, (more than three times the diameter of the
tunnel) its equivalent, as determined in terms of the density of rock may
also be treated as cover.
Cut hole: Group of holes fired first in a round of blasting to provide
additional free faces for the succeeding shots. (Definition applies only
to drilling patterns.)
8

Detonator: A catalyst used for activating a high explosive charge.

Catalyst itself is activated by a safety fuse or by electricity.
Drift: A horizontal tunnel (mini-tunnel of a small section and length)
driven as a part of stage working or for exploratory purpose from an
underground face or from the surface for exploration purposes.
Drilling pattern: A layout arrangement showing location, direction and
depth of the holes drilled into the face of a tunnel.
Easer (holes): A ring of holes drilled around cut holes and fired soon
after cut holes.
Explosive: Any mixture of chemical compounds which is capable of
producing an explosion by its own energy. (It can be black powder,
dynamite, nitroglycerine compounds, and any fulminate or explosive
substance having explosive power equal to or greater than black
powder.)
Heading: Generally applies to the face of the tunnel where actual
tunnelling operations are in progress. If it is prefixed by the word 'top'
or 'bottom', it denotes that part of section of the tunnel excavated first/
in advance.
Jumbo: A mobile platform with a number of decks used at the heading
of large tunnels generally for drilling holes. It is also used for scaling,
erection of roof supports like rock anchors, and for primary lining by
guniting, shotcreting etc.
Laggings: Structural elements (planks, steel sheets, precast RC slabs)
spanning between the main supporting ribs used for supporting sides or
overburden.
Mucking: Includes all operations covering grabbing, loading and
removal of blasted stones/material after blasting.
Overbreak: That portion of the profile which is excavated beyond the
prescribed boundary line of the intended profile.
Payline or B-line: Refers to an assumed 'profile line' set beyond the
desired profile line or A-line. It denotes the mean line upto which
payment for excavation and concrete lining is to be made, whether the
actual (accepted) excavation falls inside or outside it.
Primer cartridge: The explosive cartridge into which the detonator is
inserted.
Profile line or A-line: Line of profile as per approved design, taking into
consideration minimum clearances over moving dimensions and suiting
the desired geometrical shape.
 9

Rib, rib and post, or rib post and invert strut: Various components of
the support system
Rock load: Height of mass of rock which exerts pressure on the support
(and lining). This is computed taking into consideration nature of rock
and size/ shape of tunnel.
Scaling: Operation of removal of all loose rocks and bits from the basted
surface after blasting is completed.
Tunnel support: Structure erected inside the tunnel to support the strata
above and around the excavated cavity, till the (permanent support)
lining is placed. They include: (a) supports which are left in place and/
or embedded permanently or (b) temporary supports which are erected
during excavation and removed before or during erection of either the
permanent lining or providing permanent supports.
Wall plates: Longitudinal members provided generally at springing level
to serve as sills for ribs above and transmit the load from the ribs through
blocks or posts to the base.
Soft strata: Strata requiring supports to be installed within a very short
period of excavation, but which at the same time cannot be easily
excavated by hand tools. They include soft rocks (usually sedimentary
or metamorphic) which are joined and faulted.
Soils: Disintegrated rocks or other loose strata requiring support
immediately after and/or during underground excavation and which can
be excavated by hand tools.
Stemming: Inert material like clay used for packing the shot hole over
the last explosive charge upto its outer end.
Stoping: Overhead excavation operation, by drilling from below on a
tunnel face (reversing work by excavating bench before doing top
heading).
Trimmer (hole): Holes drilled on the periphery of an excavation and fired
for achieving the intended final outline of excavation.

1.8 REFERENCES

1. Szechy, Karlowi, The Art of Tunnelling, Academia Kinda, Budapest,

Hungary, 1970
2. Fauchtinger, M.E.; Hockbrucke oder Tunnel, Strausse und Autobahn, 1956
3. Ministry of Railways, 'Important Tunnels in India', Research, Design and
Standards Organisation, Lucknow.
10

4. Agarwal, M.M. and Miglani, K.K. (2014) 'Global Experience of Design,

Construction and Maintenance with Special Reference to Indian Railways',
National Technical Seminar, on Management of P.Way Works through need
based Outsourcing and Design, Construction and Maintenance of Railway
Tunnels. Jaipur, Institution Permanent way Engineers (India), New Delhi
5. IS: 5878,- 1970. Construction of Tunnels, Part I, Bureau of Indian Standards.
6. Pequignot, C.A., 1963, 'Tunnels and Tunnelling', Hutchinson Scientific and
Technical, London, 555 P.
 C H A P T E R

2
Route Selection
and Preliminary
Investigations
2.1 ROUTE SELECTION

2.1.1 Economic Consideration

Decision-making on any transportation project has to follow a detailed
Techno -economic analysis. This is particularly significant in respect of
tunnels and bridges which are the most expensive parts of civil engineering
structures on a roadway or railway project. A length of road/track through
a tunnel may cost up to even 10 times the cost of the road/track on plain land
and 4 to 6 times that of the same in a cutting open to sky in hilly areas. Hence
tunnels can be justified only by the compensating savings in terms of
distance, time of travel and operating cost for the volume of traffic to be
handled. Saving in length of road/ line will have a direct effect on the savings
in length of haul and indirectly on operating costs in order to offset high
construction costs.
The comparative costs of transportation tunnels may be computed as
below1:
The construction cost Ct of the line involving a tunnel and the
construction cost Co of the alternative without a tunnel are given in equations
(2.1) and (2.2):
12

Ct = Lt . Ct + La . Co (2.1)
Co = Lo . Co (2.2)
Where Lt, La and Lo are length of the tunnel, length of line open to sky on
the approaches leading to and from the tunnel and length of alternative line
without tunnel respectively in metres: Ct and Co are the total capital costs per
unit length (linear metre or km) of tunnel and open line respectively.
Let Ot, be the total annual operating cost (including cost of maintenance
of tunnel/open cut) for all vehicles using the tunnel route and Oo the
corresponding total costs of operation of vehicles on the alternative without
a tunnel. Then the excess capital invested in the tunnel (using simple
arithmetic and no interest charges) will be paid back in t years as given in
equation (2.3)
Ct . C 0
t (2.3)
Ot . O0
The construction of tunnel will be justified when t is less than the commonly
accepted amortization period. Under Indian conditions, the amortization
period may be taken as 25 to 30 years with interest charges also taken into
consideration.
Comparison may be effected not only based on the period of refund, but
also on the basis of minimum annual costs Umin of construction (capacity
demand) and of operation (Pequignot, 1963). The basic relationship for the
same can be written in the following form:
Umin = g . B + U, (2.4)
where g is the standard efficiency or capacity demand coefficient; B the first
investment cost and U the annual operation cost.
Similarly, the limit of depth of cutting at the entrance section for short
tunnels through mountain spurs can be calculated from the formula:
Kb = Fb (Kt + Ksz) + M + tfb = Ka + A + tfa (2.5)
where Kb is cost of expropriation/metre length; Kf unit cost of excavation;
Ksz unit cost of transporting earth; M cost of supplementary structures in the
cut (e.g., lining sides of cutting, drainage etc.); fb annual maintenance cost
of cutting per metre; Ka eventual expropriation cost of tunnel site per metre;
A construction cost of the tunnel per linear metre; fa annual maintenance cost
of tunnel per linear metre; t standard time of refund; Fb = kh + Sh2/2; S the
slope; k the bottom width of cutting and h the limiting depth thus obtained.
Table 2.1 would give an idea of the initial construction costs of a few tunnels
in different countries and over a period.
 13

On railways (as on any traffic tunnel) the overall economy of a project

in construction and operation of the tunnel is dependent on making the best
use of the ground configuration. This is especially significant in hilly terrain.

2.1.2 Topographic Consideration

The geology of the area also affects route selection to a major extent apart
from the topography. In hill tunnels normally, as a rule of thumb, changeover
to tunnel is made when cutting depth exceeds 20-25 m for normal cutting
slope of 1.5 to 1. In soil requiring flatter slopes, even lesser overburden will
justify tunnelling. In rock, practical tunnelling work problems mostly govern
the balance of advantages and choice of critical depth.
Topography of the area has a bearing on the choice of the ruling gradient
and consequently the length of the line or road. On the other hand, the
operational requirement for route governs the adoption of minimum gradient
and curvature standards. The original Alpine tunnels were deep and long
because such choice offered immediate operational savings. On the other
hand, on the Canadian Pacific Railway (Vermont Project) across the Rocky
Mountains, very sharp gradients and sharp curves were adopted because
traffic volume initially would not be sufficient to effect large saving by
adopting flatter gradient. (Pequignot, 1963)2.
In addition, the alignment should be such that it has ease of construction
with minimum geotechnical obstructions. Some major geotechnical
considerations to be kept in mind are:
(i) Avoid passing through main boundary thrusts (MBG)
(ii) Should not be parallel to 'main boundary faults' and thrusts
(iii) Avoid passing through shear zones or parallel to the strike of rock
formation
Hence at this stage itself, some preliminary geotechnical study should be
done with the help of a geologist with good knowledge of the area.
It should be kept in mind that the starting and end points of tunnel where
portals have to be located, avoid steep slopes and not prone to landslides etc.
On the Kicking Horse pass, the original line was with 1 in 25 ruling
gradient. It was later reduced to 1 in 45 looping the line two spiral tunnels
driven into the mountainside when traffic became high enough to justify the
cost. This added 6.4 km to the length of the line.
Iranian railways built prior to 1938 have a number of 'figures of eight'
with spiral tunnels and gradient up to 2.8%. (The ‘figure of eight’ type
alignment was also adopted on the Darjeeling Himalayan Railway in India
near Ghoom.) On the Tehran-Tabrin line (700 km of single-line railway, the
 Table 2.1 Costs of Selected Old Highway and Railway Tunnels

14
Location & Length, Shape Diameter or Lining Rock material Cost/m at time
period of km width/height, of construction,
construction m US$
Railway Tunnels
Mont-Cenis 12.70 Horseshoe 8.00/7.30 Brick & ashlar Volcanic rock 910
1857-72 masonry
Simplon I, 1985-1906 19.80 Horseshoe 4.90/5.40 Ashlar masonry Mixed rock 800
Simplon II, 1914-1915 19.80 Horseshoe 4.90/5.40 Ashlar masonry Mixed rock 400
Great Apennine 18.60 Horseshoe 8.70 Ashlar masonry Marl, limestone 1,200
1923-24
Moffat, 1924-1927 9.90 Horseshoe 7.40/4.80 Concrete Limestone 1,550
Karbude, 1995 6.51 Segmental 4.92/6.24 Concrete Basalt 10,000
Highway Tunnels
Pennsylvania turnpike 10.60 Semi-circle 6.90/4.30 RC Marl, slate 1.165
1939-40 vault sandstone
Holland N.Y., 5.08 Circle 6.00/3.95 Cast iron Silt mixed with 9.500
1920-27 rock debris
Mersy 3.18 Circle 19.00/5.70 Cast iron Fissured 11,100
1925-34 rock debris
Lincoln N.Y., 4.68 Circle 6.45/4.00 Cast iron Silt mixed with 10,000
1934-35 rock debris
Memorial turnpike 0.54 Semi-circle 7.20/4.30 RC Sandstone and 6,200
1954 vault slate
Baltimore, 2 × 3.77 Double 6.60/4.20 Steel sheet Silt, sand and 6,650
1954-57 circle RC lining day
 15

radius of curvature had to go down to 250 m. This line has been proposed
to be rebuilt for high speed as a double line with a radius of 5000m and
gradient of 1.0% except in hill areas where it would be 1.4%.

2.1.3 Other Considerations

Tunnels should be avoided in undermined regions, i.e., in mining districts,
because of the unpredictable nature of settlements and forces to which the
tunnels may be subjected. Apart from this, in choice of alignment, additional
considerations are hydrological factors and construction requirements.
Questions of accessibility and ventilation during construction and availability
of local facilities for isolated work have to be considered.

2.2 GEOMETRICAL PARAMETERS

2.2.1 Horizontal Alignment

In providing the surface-to-surface tunnels, it is preferable to have straight
alignment for the maximum length possible. The reasons for this are need
for shortening tunnel length, economy in operation, better visibility and
simplification in construction and surveying operations, including setting out.
It also affords better ventilation. It is always preferable, however, to have
straight alignments on both approaches since they must connect the railway
or road alignments coming over the slope of the hill, which cannot be
expected to always be straight. If curves are unavoidable, the radius of
curvature should be restricted. The Russian practice is to restrict the curve
radius to 250 m on main line railways and to 200 m on branch lines.
The recommended practice in India is to normally restrict the minimum
radius to 450 m for main line BG railways and to 225 m on MG lines even
though there are 6° (R = 290m) BG tunnels and 10° (R = 175 m) MG tunnels
in some sections. On roads also, in order to afford better visibility to drivers,
sharper curves should be avoided. For major highways, radius less than 300
m is avoided. On navigation and waterway tunnels, the flow conditions and
losses in pressure head permissible will dictate the minimum radius. Location
of points of entry and exit are governed by site conditions. Subaqueous
tunnels are generally built normal to flow in waterways and should be as
straight as possible. In underwater tunnels the approach roads may be parallel
to the waterway but curves would have to be provided over the approach
cuttings. In these cases sharp curves are unavoidable.
16

2.2.2 Gradients
1. Rail and other Resistances
As far as traction is concerned, the ruling gradient permissible in tunnels
would be appreciably flatter than in open air, owing to reduced adhesion and
increased air resistance on moving vehicles in tunnels. For example, the
adhesion coefficient f on a hillside exposed to the sun for steam traction
varies from 0.17 to 0.18. It may drop to as low as 0.15 to 0.16 in deeper cuts
or in moist atmosphere at altitudes of around 1000 m. The atmosphere in the
tunnels is usually saturated with moisture due to ground water infiltration.
This moisture precipitates on the rails or on the road pavements, causing a
significant reduction in the adhesion coefficient between wheels and rails or
road surface. The reduced f for rail was found in experiments to be 0.11 to
0.12 for steam traction.
Some measurements taken for air resistance in the deep cuttings and
inside the "Simplon tunnel', (which consists of 2 single-track tunnels spaced
at 12 m apart) and provided with artificial ventilation, are as indicated below:

Train velocity, V (km/h) 50 60 70

Air resistance, open cutting (N/kN) 3.2 4.1 5.0
Air resistance in tunnel in
Direction of draught (N/kN) 5.0 6.4 8.0
Air resistance in tunnel against
the draught (N/kN) 7.5 9.5 12.0
Adapted from Reference 2.

Figure 2.1 gives the results of experiments made on air resistance in

underground tunnels in London3 (Turner, 1959). The air resistance is more
in a tunnel than in the open area. It increases with the speed of the train and
with reduction in the free space between the vehicle and the tunnel section.
On the other hand the resistance due to curvature in tunnels is the same as
on the surface line. Hence while fixing the ruling gradient for tunnels, all the
factors mentioned above should be taken into consideration.
2. Drainage Requirements
Inside mountain tunnel, at ends gradient of at least 0.8% for the first 250 m
falling outward at either end should be provided to ensure rapid drainage and
to minimize the adjacent height of formation. The minimum recommended
gradient for drainage inside the tunnel in other portions is 0.2%. In long
tunnels, arrangements should be made to collect the water in sumps at
suitable intervals and pumping out.
 17

3. Operational Requirements
The main factors, apart from the above considerations, in fixing ruling
gradient are the hauling power of the locomotives used on the line, density
of traffic which would determine average load on train; speed proposed and
line capacity requirements.
In early days, ruling gradients as steep as 4% had been adopted but
present trend is to go in for 1.33 % to 1%. This subject is dealt with in more
details in Section 3.1

2.3 PARAMETERS FOR HIGHWAY TUNNELS

The desirable maximum gradient is 3% and gradients exceeding 4% should
be avoided. In very difficult conditions a 5% gradient may be acceptable but
a gradient exceeding this should be exceptional. Such exceptions are 6% in
Glyde tunnel and 5%in Tyne tunnel. The sharpest radius provided is 128 m.
Gradients should not exceed 6%. If such limits are likely to be exceeded, it
would be better to provide approach loops to ease the conditions.
Suitable vertical curves taking into consideration speeds and visibility
lengths for drivers on roads have to be provided.
The roof of the tunnel should not obstruct the driver's line of vision for
minimum lengths required for corresponding speeds. Alignment facing
directly into the sun at the point of emergence into the open should be
avoided as the glare will affect driver vision. This applies equally to railway
tunnels.

2.4 INVESTIGATIONS

2.4.1 Types of Investigations

Investigations for tunnels comprise the following aspects:
Route location
Topographic Survey or Alignment Survey
Geological Investigations
Hydrological Investigations
Seismic Studies.
Environmental and Social impact studies and Mitigation measures
Traffic requirement and profile studies
Assess construction requirements, facilities available
Potential modes of failures
Risk Analysis
18

Source: Adapted from Turner, 19593

Figure 2.1 Measurements of Air Resistance in London Subway.
 19

All these have to be done with care and accuracy from the very start.
It should be noted that overall costs of these investigations, are small
compared to the cost tunnelling. Even an hour's delay, for example, in
correcting alignments or other interference by a survey team or engineer for
correction or other difficulties during construction of heading would cost
heavily due to idling of men and equipment.
e.g., Unit bid price of tunnel Rs 100,000 per metre
Average advance per day 12 m
12 – 100, 000
Cost per hour Rs. 150, 000
8
Average cost of heading to be one-third cost of tunnel.
Loss per hour delay = Rs 50,000.

2.4.2 Alignment Survey

The engineer has to carry out the following surveys well before
commencement of work:
(a) Preliminary location survey
(b) Primary control survey on line
(c) Fixing control/check points.
Any checking inside the tunnel during construction should be planned
for the weekends when no tunnelling work is performed. The recommended
accuracy requirements in the survey for a rail line are:
Triangulation : Closing error not to exceed 1:50,000
Vertical control : Establishment of benchmark to the requirements of
second order class I
Primary traverse : Angular measurement to the nearest second of arc.
Stationing length measurement nearest 0.3 mm.
Benchmark levels nearest 0.3 mm.
Additional vehicle clearance should be provided in designing the tunnel
profile to allow for error arising due to the following during construction:
(a) Inconsistency of primary surface survey.
(b) Errors encountered during transfer of line from surface to heading.
(These two can cause error of up to 1 mm for every 50 m of heading).
(c) Inability to keep the tunnelling equipment of indicated alignment
during construction. (While some correction is possible in this
respect in rock tunnelling, resetting lining in soft-ground tunnelling
is out of the question.)
20

On BART (Bay Area Rapid Transit) tunnels, an error of up to 1:40,000

in alignment fixing was allowed. Singapore Metro specified a requirement
of achieving 1: 100, 000 accuracy at break through.

2.5 GEOLOGICAL INVESTIGATIONS

2.5.1 General
The geological investigation is the most important phase of preliminary work
in tunnel location and design. A good geological investigation helps in
anticipating the type of soil that will have to be gone through and planning
construction methodology. This study will primarily determine the method
of working the tunnel. It will also give an idea of the type and requirement
of construction equipment and availability of materials in terms of quantity.
It is necessary also for providing basic data for designing the lining wherever
required. A geological survey combined with a hydrological one will indicate
the possibilities of seepage or inrush of water channels and enable taking
adequate precautions to avoid flooding hazards, slips etc. The rock pressure
encountered is controlled by the geological structure of the rocks. Some idea
of this is required for designing the lining and also the temporary supporting
structures. Some rock structures have the potential for stress relief failure
('popping' rock) and may cause bending stresses on supports. It is therefore
necessary to have some idea of the deformational and strength properties of
each material likely to be encountered, the direction and intensity of the in-
situ stress and its relation to rock strength properties. The presence and
influence of faults, shear zones and seismic activity potential also need to be
ascertained.
The rock or soil through which a tunnel is excavated forms the main
construction material for the tunnel designer and builder. Difficult ground
conditions per se do not cause difficult construction problems, provided they
have been properly identified and taken into consideration in the design. It
is the unanticipated problems that cause redesign and consequent delays
causing cost overruns. General experience is that tunnels for which sub-strata
conditions have been thoroughly investigated are completed on schedule and
without much cost overruns. The knowledge obtained during investigations
should be complete and correct. In fact, when nothing is known, one is better
prepared with a safer design and methodology than when incomplete or
inaccurate information is available, giving false confidence and wrong
preparedness.
Exploration should be planned to proceed from ‘general’ to ‘specific’.
It should be understood that the amount of detail required by the designer
 21

and construction engineer should determine the extent of exploration and the
‘funds’ available. Exploration coverage should not be reduced below the
minimum required for arriving at conclusive and reliable data. It would be
advantageous to have a well conceived and controlled boring programme. It
will be preferable to have less number of deeper well planned bores than as
it would yield more useful data than sketchy data collected from larger
number of ill planned or shallower or badly carried out bores. Location,
direction and depth of bores, drifts, and /or exploration shafts should be
planned.
Geological exploration should be extended to:-
(i)Investigation of top cover,
(ii)Determination of extent and quality of sub-surface rock, and
(iii)Surface drainage conditions,
(iv) Position, type and volume of water and gases contained by the
subsurface rocks;
(v) Determination of the physical properties and resistance
characteristics to driving of the rocks encountered.

2.5.2 Aim of Geological Investigations

In short, the purpose of geological investigations is (Szechy, 1970)1:
(a) Determinations of the physical characteristics of the soil and rock
through which the tunnel will pass and support;
(b) Ascertaining age and origin of rock;
(c) Determination of mechanical and strength characteristics of the rock/
soil so as to obtain design parameters;
(d) Defining the stability nature of soil for providing the engineer with
possible conditions that would be encountered during construction;
(e) Collection of data regarding (i) subsoil water conditions, (ii) presence
of gases and (iii) rock temperatures; These would affect conditions
of work as well safety measures to be taken during construction and
stability thereafter and maintenance planning.
(f) Help in deciding on methods of construction and equipment required
and planning the operations;
(g) Minimizing likely uncertainties for the designer and construction
agencies.

2.5.3 Sequence of Geological Investigations

Geological investigations perforce must follow a logical sequence, each stage
improving upon the accuracy of the former but being more and more
22

complete by itself. Finally, the results have to be studied together and

decisions taken. The various steps in geological investigations are:
Stage of work Details
(i) Preliminary study and – Study of literature and records
interpretation by geologists – Aerial photographic study
– Surface reconnaissance
(ii) Detailed geo-technical – Borings and test exploration pits
(design stage) accompanied by
(a) Recording bore log
(b) in-situ testing
(c) Laboratory testing, Driving
drifts/shafts to supplement borings
(if necessary), accompanied by a,
b, c above Full-scale testing,
wherever necessary.
(iii) Construction stage – Driving pilot tunnel accompanied
by
a) Sample collection and testing
b) Strain measurements and
convergence measurements for
study of rock movements and
relief stresses and use of pressure
cells and extensometers
The investigations can be divided into three stages as listed above:
(a) At Feasibility study stage, various available reports and literature
giving an idea of the morphology, petrography, stratigraphy and
hydrology of the area have to be studied and local geologist
consulted. This should be followed by field reconnaissance. A trained
observer can draw conclusions even by identifying the vegetative
plant types. Geophysical explorations by way of electric-resistivity or
seismic methods can also be helpful in knowing the rock-soil
boundary and delineating fault and shear zones, ore bodies,
geological structures etc.
(b) The next stage of study is the geotechnical (subsurface)
investigations, done simultaneously with the planning and design,
but prior to construction. These studies update and augment the
information previously gathered, in particular on the physical
strength and chemical properties of the rock to be penetrated.
Determination of gas occurrence, sub soil water level and rise in rock
 23

temperature in respect of both locations and extent are done at this

stage.
(c) The third stage involves detailed geological investigations done
during construction. This means running a pilot heading in advance
of the working face to explore actual rock conditions, increase in
moisture, interruption by springs etc.
Details of coverage in different stages are discussed below.
(i) Preliminary Studies
The 'Preliminary Studies' will cover study of the geological history of the
region, structure and age of the crust and various component soils and rocks.
The rock (and soil configuration) as originally formed; do not take a
permanent set all at once; cooling of the earth's solid crust and accompanying
contraction keep the deposited rock layers in continual motion. Various
layers of rock are subject to compressive forces which cause deformation,
creasing, ruffling and distortion, resulting in folding. Atmospheric action
causes weathering of the rock, erosion, sedimentation etc. Typical structures
of a rock formation are indicated in Figure 2.2. The main fold formation will
generally be as indicated in Figure 2.32 .
Faults developed over a period or due to subsequent distortion/
disturbances may cause sudden changes in the structure of the rock in a
particular section. These result in (and sometimes are affected by) tectonic
forces in the building up of various geological formations. In some zones
these folds are prone to disturbances and have to be avoided as far as possible
for tunnel location. Such zones also aggravate conditions which aid seepage
and inrush of water wherever inclined folds occur. Construction of reinforced
box sections may be necessary in such locations, involving additional
expenses. There is possibility of encountering greater 'hazards' during
construction.
Those geological formations in which the earth's crust is broken under
the action of tectonic forces into large separate blocks pose the least threat
to tunnelling. Such blocks slide over each other along the bedding planes
without greatly fracturing the adjacent masses. A formation of this type
generally affects a short section of the tunnel only and the difficulties can
be overcome with relative ease. Some of the joints may be filled with dry
deposits or may be open and may convey water. Faults of this kind are not
regarded as dangerous even when considerable movement occurs along the
surfaces. Furthermore, such formations are rare and the main fault is usually
accompanied by a number of minor sub-faults, similar to the sets of sliding
surfaces. Conditions can be regarded as favourable wherever the main fault
face is not extensively fractured by the sub-faults. However, the surface of
24

Source: Pequinot, 1963

Figure 2.2 Typical Rock Formation.

Source: Pequinot, 19632

Figure 2.3 Typical Folds and Faults.

dislocation per se usually becomes more or less shaly due to the secondary
movement of adjacent rock masses. Information on these matters can be
obtained by a study of the available literature pertaining to the area and /or
discussions with the local geologist. A general report can alternatively be
obtained from the geological survey personnel/experts regarding the general
structure of the rock and soil formation, its age etc. This should be followed
by a site inspection of the tunnel region in the company of geological experts.
 25

This inspection will cover observations of surface formations, tracing of past

landslides, nature of vegetation, presence of springs, shape of blocks of rocks
or presence of isolated boulders. All information that can help in
reconstructing the geological history of the region and assessing the
geological nature should be collected, with particular attention paid to the
pattern of earth movements. Such movements are usually indicated by the
surface unevenness in the pattern of ridges, hills and valleys.
If adequate data is not available, including aerial photographs (mosaics)
of the area, an aerial survey may have to be conducted. Aerial photographs
are useful in geomorphic analysis as they give good insight into the
engineering properties of rock. For this purpose a skillful evaluation of rock
response to the natural environment is called for. Various techniques used
in aerial reconnaissance include vertical, oblique, colour and infrared
photography as well as side view radar. Infrared and remote sensing
techniques are also available. Infrared photography is one of the methods
used in aerial reconnaissance using remote-sensing devices. Film sensitive to
radiation in the infrared wave-length is used. This technique helps in
recognising features that exhibit marked differences in heat radiation
characteristics.
The National Aerial Remote Sensing Agency at Hyderabad has done
remote sensing studies of various areas in India and also has facilities for
doing aerial reconnaissance. It should be noted that detailed interpretation of
aerial photographs requires the services of a specialist geologist. Satellite
imageries for the location also can be used. Such photos/ imageries can be
used otherwise by a designer also with some experience, for interpretation
of topography, drainage pattern, land use, location of potential construction
materials and their sources and lines of communication etc.
(ii) Site Investigations (Geological)
These include geophysical (seismic and dynamic) and electrical resistivity
soil investigations done during Feasibility stage. In the first method seismic
refraction and reflection surveys are conducted. This is based on the principle
that velocity of an elastic wave passing through a material is a function of
the material, structure, composition and in-situ stress condition. The
velocities vary (increase) with density, compaction and water content of
materials since seismic waves follow the same principles of propagation,
refraction and reflection that light waves do. The results obtained are more
reliable above the subsoil water level. They can be used for: (i) identification
of general type of material (soil, type of rock); (ii) location of anomalous
conditions, e.g. weathered zones, shear zones and buried valleys; (iii)
26

location and depth of hard rock and (iv) locating boreholes for detailed
exploration.
In the second method electrical resistance of various soil layers is
measured. Changes in potential across known distances between electrodes
when a current is applied between them are used for evaluation of material
types. Wet clays and silts and some metal ores are good conductors. Dry
sands, gravels and crystalline rock without metal ore are poor conductors.
Mineralised (pure) water is a better conductor than saline water. Thus some
general idea of the nature of the soil, presence of water etc. can also be
obtained from electric resistivity tests. As mentioned earlier, these
measurements help in drawing conclusions concerning variation in the type
of rock layers as well as water layers contained between. These
investigations can be carried out by specialists in the field in a relatively short
time and the general geological pattern reconstructed.
Valuable information on the nature of subsoil can be obtained when
resistivity surveys are done in conjunction with a seismic study. Typical
characteristics of some subsoil materials in response to such surveys are
given in Table 2.2.
Results obtained from such studies will help in deciding on location of
tunnel. Detailed studies are called for at final location, design and
construction stages, as detailed below.
(iii) Detailed Exploration
These site investigations done at design stage (more particularly in
mountainous areas of recent origin and rock formations subject to various
disturbances such as faults) require exploratory borings, followed by driving
exploratory shafts and drifts. The latter choice depends on the type of strata
and importance of the structure. Boring should be of the wash-boring
(percussion boring) type or rotary percussion boring or rotary-drilling type
in which samples can be collected at various depths and proper soil layer
identification done. However, in less important and ordinary soils, dry or
wash borings may be done when limited to about 100 m. Other normal or
mixed soils necessitate rotary-percussion boring.
The core drilling method enables cores of rock to be extracted at various
depths/layers for study but reliable cores can be extracted only from solid
rocks. In some countries special television cameras have been developed
(Grundig-Fernauge) for inspecting the orientation and original condition of
the rock layers inside boreholes.
Boreholes should be located on the sides of the proposed tunnel
alignment, staggered alternatively on either side. Bores, if drilled deep along
the alignment, can leave holes above, which may result in grout material, if
 27

any grouting is used, escaping through during tunnel boring. In case casing
pipe is used in holes passing through the tunnel area, there is also a
possibility of some length getting stuck in rock and be left behind. Such pipes
will cause hindrance to tunneling, leading damage to machinery, hazards etc.
The areas requiring detailed exploration by way of boreholes along the
alignments are: (i) portals, (ii) topographic depressions above the tunnel,
(iii) water-bearing zones, (iv) shear zones and (v) rocks with a tendency for
deep weathering.

Table 2.2 Typical Characteristics of Subsoil Materials

Subsoil Material Electrical Seismic Velocity

Resistivity (Wave propagation)
Dry gravel High Low
Dense rock High High
Pure water High Medium
Saline water Very low Medium
Dry compact boulder and cobbles Very high Moderate
Saturated boulder and cobbles Moderate Moderate

Borehole spacing of 300-500 m is sufficient for the preparation of

preliminary designs. But for detailed design and before taking up the work,
boreholes should preferably be at 50 to 100 m intervals. In geologically
disturbed regions a dense network of boreholes is required. This is
particularly necessary for designing underground railway tunnels in areas
where a great deal of variation in tunnelling conditions may be anticipated.
The boreholes should preferably be located at a lateral distance of 110-150 m
off the contemplated tunnel axis (staggered on either side). The holes should
be backfilled or even concreted after taking samples and any other study.
This precaution is necessary to prevent water seepage from the upper water-
bearing layers through these borehole's into the tunnel and also to prevent
ingress or escape through the boreholes of compressed air if the compressed-
air method is likely to be used for driving the tunnel.
Boreholes in rocks are generally limited to 100 to 150 m depths, with
a few deeper ones upto 300 m normally. In exceptional cases deeper
boreholes are made, e.g., at the Great Apennine tunnel between Bologna and
Florence seven boreholes of 390 m depth were made. Recently, Indian
Railways did investigation for their longest tunnel across Pir Panjal Range
in Kashmir by drilling a few holes 640 m deep. In general, the principle is
to sink the borehole 20 to 50 m deeper than the contemplated tunnel bottom
level. Apart from depths and general spacing, the direction of bores also is
important. Some of these may have to be located at an angle so as to obtain
28

data of all rock types, which may not be possible if all of them are driven
vertically, since rock bedding planes will mostly be at an angle. Boreholes
near portal locations will normally be vertical. See Figure 2.4. During drilling
operations the engineer and the designer should inspect the site thoroughly
to offer proper guidance to the field staff in this regard.
Any hard rock boring programme should be directed towards obtaining
information on the following:
(i) Defining the geologic stratigraphy and structure through which the
tunnel has to pass.
(ii) Determination of physical properties of rock materials.
(iii) Study of fracture patterns (horizontal, vertical, inclined, confined
etc.)
(iv) Measurement of depth of subsoil water level and porosity of rocks/
soils.
(v) Evaluation of blasting/excavation requirements.
(vi) Evaluation of support and lining requirements.
A study of the following rock properties is necessary during geological
investigations (Bickel and Kuesel, 1982)4.
(i) Orientation of rock stratification (whether horizontal, sheet-like,
moderately inclined, steeply sloping, reversed or overfold).
(ii) Thickness of individual layers, regularity of sequence of rock layers,
or changes in mountain types.
(iii) Mineralogical composition (detrimental components).
(iv) Crystal structure of rocks (uniformly grained or porphyric).
(v) Bonds between the individual grains (strong, weak, direct and
indirect).
(vi) Hardness and workability of rocks.
(vii) Structural form of rocks (massive, stratified, shaly)
(viii) Deformations suffered during the orogenic process (cleavages,
crushed zones, faults) or other effects (weathering, mylonitisation,
kaoinisation)
(ix) Probable bearing and tensile strength of the mountain (not rock) at
various tunnel sections.
(x) Stability of the mountain, character and magnitude of probable rock
pressure.
(xi) Bulk densities and dead weights of component rocks.
(xii) Durability of various rock types encountered.
In some bores means will have to be provided for inserting downhole
testing and logging equipment.
 29

Source: Bickel and Kuesel, 1982

Figure 2.4 Layout of Bore holes4.

(iv) Tests to be conducted during Exploration

In ordinary soil, in-situ measurements have to be made in the boreholes at
intervals for pore-water pressure, flow of subsoil water and state of
compaction (vane shear) test. In rock, the in-situ measurements are made for
pore-water pressure, flow rate of subsoil water, joint and fissure pattern, and
in-situ stresses in the rock.
The samples collected at different levels (especially in the tunnel zone
and for some depth above and below) are subjected to the following
laboratory tests:
Soil: Particle size grading
Mineral composition
Density
30

Porosity
Moisture content (from undisturbed sample)
Shear strength (from undisturbed sample)
Angle of internal friction (in granular soil)
Plasticity (in clays, silts and mixed soils)
Rock: Lithology
Density
Porosity
Water content
Strength: Crushing, Tensile, Shear
Any identifiable plane of weakness
Abrasiveness
Rock quality distinction (RQD)
(RQD is the percentage of core borings recovered in lengths not less than
100 mm.)

2.5.4 Shafts and Drifts

A detailed/final tunnel design and execution plan has to be based on accurate
information about the physical, structural and chemical properties of the rock
layers to be penetrated and on the hydraulic, gas and temperature conditions
prevailing in them. For this purpose, at construction stage, especially in long
tunnels, exploration shafts may have to be sunk, which are generally done
in the vertical direction and as an exception in an inclined direction, these
are also sunk slightly away from the tunnel alignment but in such a way that
they permit subsequent use for constructional or even later for operational
purposes. The exploratory shafts are the best form of geological
investigations as they permit direct inspection of the bedding and dip
conditions as well as the thickness of the layers. The main drawback of this
type of exploration is the cost. There is also some danger in using only the
information obtained from the shafts. Since the tendency is to locate them
far apart in view of the expense involved, such shafts cannot adequately
indicate the changes in rock structure, quality etc. over the intermediate
section. Over-looking these changes, particularly where the soil conditions,
stratification and hydraulic conditions are not uniform, could lead to
unpleasant surprises during construction.

2.5.5 Pre-Construction Investigations

As part of preconstruction investigation, the geological nature can also be
determined by running horizontal pilot headings between the individual
 31

shafts. This, however, forms part of the future tunnel itself and hence this
method should not be resorted to unless a particular section appears to be
especially dangerous or a great deal of uncertainty exists. The usual practice
is to drive these headings immediately prior to construction and generally to
advance them always a few hundred metres ahead of the working face.
Without doubt, exploratory headings are the most accurate means for
determining the geological conditions and for supplying the most reliable
data for correct design and proper estimation of construction requirements,
equipment, time involved etc. Rock pressure measurements can be made
more accurately through the drifts and whenever the lining and support
structures for the full bore are to be designed, these measurements can be
taken into consideration in advance.

2.5.6 Present Approach for Large projects

Geophysical Studies5
In tunnelling projects, the geophysical studies have to be aimed at collection
of information on Rock types, shallow faulting, shear zones, saturated
pockets, and fracture systems and also the physical characteristics of the
rock/ soil. They all cannot be obtained by borings only since the alignments
may run very deep and boring itself is time consuming and cost prohibitive.
With the advancement in the technology and survey methodologies,
geophysical studies are now possible for developing a continuous profile of
a terrain in respect of all the above, except the actual physical characteristics
of the soil to be tunnelled through. Hence, present day investigations
combine both geophysical survey and a few borings. They are supplemented
by probe holes drilled through the excavation face during tunnelling
operation. The geophysical studies include 2D high resolution seismic
methods (conventional reflection and tomography processing) and electrical
resistivity imaging5.
‘Seismic reflection, refraction, and refraction tomography surveys utilise
seismic waves (compressional and/or shear) to map sub-surface' structure
and layering. For example, they cover fault mapping, voids, bed thickness,
depth and stratigraphic continuity, bed rock mapping and continuous velocity
studies. Recent developments in seismic instrumentation and survey
techniques in land and marine surveys and data processing have helped in
application of seismic reflection and refraction surveys for 'near surface
investigations’.
Other geophysical methods like resistivity profiling are used as
complementary to seismic profiling. During processing, data from both are
32

integrated to arrive at very detailed 2D site models. From these, it is possible

to generate Geological plan, Geological LS and Geologic cross sections at
required locations. Such integration is necessary since there are limitations
in any specific geophysical study. For example, seismic velocities of hard
limestone vary from 5,000 m/sec to 6,160 m/sec, while the velocity range
in hard granite is about 4.000 m/sec to 6,100 m/sec. On the other hand,
resistiviry value of granite varies from 25 to 58 W while that of limestone
is 45 W. Thus a combination of seismic survey and Resistivity imaging can
help in better prediction of type of rock.
Seismic refraction survey methods can be grouped under Conventional
and Advanced seismic refraction tomography. The former which can detect
P and/or S waves can be used to find depth to bed rock, overburden
thickness, and to define shallow soils and rock stratigraphy. The refraction
velocity can be used to ‘estimate earth Rippability’. Combination of P and
S wave data is used for identifying the ‘velocity shear zones.’ Processing of
the basic refraction data is done using any one of, or a combination of, Delay-
Time, Reciprocal; and 'Generalised Reciprocal method’.
Advanced Seismic Refraction Tomography processing technique is used
when such survey is conducted over complicated geological structures or
whenever ‘a higher degree of P and/or S wave vertical and horizontal
velocity delineation is called for. Refraction tomography (P wave) can
delineate stratigraphy and identify fracture zones in the rock. It can provide
‘velocity profile for Rippability study’.
Wave velocity information obtained in Seismic Tomographic survey
help to determine variations in elastic properties, both horizontal and vertical.
Where required, 2D and 3 D seismic reflection imaging surveys can be used
for obtaining high definition lineation of rock stratigraphy, location of
shallow faults, isolated sand lenses and cavity formation, aquifer zones and
other shallow earth structures. These are similar to seismic refraction studies
in respect of use of instruments but they measure the reflection of P and/or
S acoustic waves from 'subsurface boundary interfaces and geologic
features'. In general the seismic reflection techniques are used for geologic
depth ranging from an average 30m to 900 m below ground surface.
Project Approach: Any geophysical survey for a tunnel project would
be sequenced as follows:
(a) Study of Remote sensing imageries and Topographical maps of the
area- to fine tune the exploration programme.
(b) Geological mapping- of the area to provide preliminary information
on rock formation, strikes and dips, fractures and joints and
likelihood of their below ground continuation,
 33

(c) Calibration survey- doing Seismic refraction survey and Resistivity

imaging at a location for which boring/ drilling data is available for
correlation between local geological factors and seismic velocities
and resistivity values. This calibration will be used for fine tuning the
design of the Survey.
(d) Actual geophysical survey,
(e) Data processing- using state–of-art Paradigm: (e.g., Software used on
UBSRL project study were: GeoCT Software I and II developed by
Geotomo for Tomography and 2D Earthlmager Resistivity Inversion
Program.
(f) Interpretation and presentation of results for Engineering Purposes-
Presentation to cover : subsurface stratigraphy; presence of faults,
joints, fissures, pockets of saturated zones and air filled cavities.
Survey Design: Important parameters critical to the design of a high-
resolution 2D survey are: (a) vertical resolution and horizontal spatial
sampling and (b) maximum signal frequency:

Seismic Profiling
Vertical resolution is a function of interval of p- velocity. For example, a
nominal average p-wave velocity of 2000 m/s frequency required for
delineation of a formation with minimum thickness of 15 m is 100 Hz. Hence
a broad band width of 10 to 20 Hz is required for optimum vertical
resolution. The energy source has to be capable of producing a broad band
seismic signal. In addition high spatial sampling is required. Seismic line
geometry should have adequate far-offset source-receiver range and 'CDP
fold'. For example, a Source/ receiver geometry of 96 channel seismic lines
to derive an accurate earth model and earth image (48 active, 48 roll-along).
(The total active seismic line length should be at least equivalent to
maximum depth of investigation). Geophone (single 10 or 14 Hz vertical
with 50% damping characteristics) spacing should not be more than 15m.
They may be used in cluster. Shot spacing can be either 15 m or 30 m for
yielding 24 and 12 fold CDP data respectively. In order to record and process
the data in field, a field rugged PC with seismograph control software and
suitable processing software (GeoCT Field Seismic Tomography software
and QA/QC analysis software).
The seismic energy used would be light explosives in form of small
charge (Gel-Pack) of 500 grains loaded in a shot hole drilled 3 to 4 m deep.
Man portable drills are used for drilling shot holes. Number of shot positions
depends on terrain and whether 12 or 24 fold CDP data is required. Suitable
34

safety precautions and health procedures for use of explosives will have to
be observed. Shot control will have to be exercised by a portable I/O ShotPro
Blaster Unit with UHF/VHF radio transmission control. The data processing
would be such that they produce vertical and horizontal velocity gradient
cross sections, which can be used for determining the soil/rock structure and
make it possible to identify anomalous fracture and fault zones.
The quality of these images are not good in Thrust belts where they are
affected by (a) physical propagation effects of the wave field and (b)
insufficient modeling capability of recorded data. In case of Complex
structure and geological characterization (in rugged terrain with complex
geologic formation), a more sophisticated seismic tomography processing'
may be performed. The data analysis for same will have to be designed to
arrive at more accurate earth model and earth image.

Electrical resistivity profiling

This is done in areas subjected to slope stability problems. This profiling can
delineate the soil-rock interface structure and stratigraphy. They are more
relevant near portal areas where shallow soil-rock interfaces along sloping
zones would be present. Equipment generally used can be a survey line with
upto 84 electrodes employed. Typical array electrode is with spacing of 5m
and one 84 electrode resistivity line can cover a length of 415 m. Maximum
depth of investigation of such a line is 100 m (about 25% of line length).
For processing the data a 2D Earth Imager Resistivity Inversion software in
a field rugged PC used at site. The output would be on a x,y,z file for use
with 'geographic and geologic mapping software.

2.5.7 Types of Rocks

Different types of rocks met with can be grouped as under:
(i) Hard and solid rocks which may be regarded as an integral mass.
(ii) Fissured rocks subjected to considerable deformation and
compaction at first loading, but which display a more or less elastic
behaviour when loaded repeatedly.
(iii) Soft rocks, whose internal structure is destroyed beyond a certain
limit of load, and which afterwards suffer a residual deformation of
increasing magnitude under each successive loading cycle.
Typical load-deformation curves for the different types are given in
Figure 2.5.
 35

Figure 2.5 Typical Load Deformation Diagrams under Repeated Loading in

Different Types of Rocks1

2.6 HYDROLOGICAL INVESTIGATIONS

A hydrological survey is carried out simultaneously with geotechnical
exploration. The appearance of water in tunnels depends primarily on the
character and distribution of water-conveying passages and subsoil water
level (Szechy, 1970)1. A typical case met with in rock tunnelling is indicated
in Figure 2.6. Groundwater and water of interrelated aquifers where the faces
of the rock are saturated with the water mass extending over the entire
thickness of the layer or over the major part of the layer would be the most
dangerous during tunnelling. Locating tunnels in such layers should be
avoided. Where unavoidable, special tunnelling methods and techniques have
to be adopted for driving the tunnel through such layer.
They can be such as shield driving and dewatering by compressed air.
The possibility of locating the tunnel above the groundwater table by
relocating the alignment of the tunnel should also be considered. The
possible tunnel levels, relative to water levels, and relative advantages and
disadvantages are indicated in Figure 2.7 (Szechy, 1970)1.

2.7 GASES AND ROCK TEMPERATURES

Another important element of the preliminary exploration is the estimation
and study of gas bursts, gas exfiltrations and rock temperatures. Gas and
36

Figure 2.6 Curtain like Water Infiltration from a Joint1

Source: Szechy, 1970

Figure 2.7 Possible Tunnel Elevations Relative to Water-levels.

temperature are very significant for the safety and health of workmen though
their influence on the technical feasibility of location of the tunnel is less
pronounced. Thus they call only for necessary precautions to be taken and
help in selection of the tunnel working and transportation equipment.
 37

Gases met with usually are carbon dioxide (CO2), carbon monoxide
(CO), methane (CH4), hydrogen sulphide (H2S), sulphur dioxide (SO2),
hydrogen (H2) and nitrous gases, besides water vapour. Carbon dioxide is
generally encountered in the proximity of coal layers. The detrimental effect
of this arises from the lack of oxygen where CO2 is present and suitable
ventilation and supply of oxygen through this region is required. The other
effect of CO2 is its aggressive nature on the concrete of the lining and
corrosive action, dangerous to steel structures.
Carbon monoxide is more toxic than carbon dioxide. It also usually
occurs in the vicinity of coalfields. This gas is poisonous to workers,
resulting in agitated heart pounding, headache and dizziness above 25%
limit. It will cause loss of consciousness at 50% and above. 75% saturation
is fatal.
Methane gas occurring in the vicinity of coal and oil fields may also be
the result of decay of organic substances. This gas is dangerous since it is
likely to cause explosion as it is inflammable even at as low a percentage
as 2%. Safety precautions have to be taken such as:
(i) use of battery-powered electric lamps;
(ii) installation of gas indicator lamps in all drifts;
(iii) use of remote controlled electric detonators;
(iv) constant supervision of all working activities by gas experts;
(v) use of compressed-air locomotives for transportation of debris and
construction material;
(vi) installation of high-pressure water main for fire extinguishers;
(vii) air-extracting ventilation at all points of accumulation (especially at
the roof) and provision of ample artificial ventilation in general; and
(viii) strict prohibition of smoking and use of open flame lamps in the
entire tunnel.
Hydrogen sulphide is the product of disintegration of organic substances
and is generally accompanied by water inrush. It is dangerous because of its
toxic effects rather than as a fire hazard. In a concentration of 0.05%, it
causes sickness. At 0.1% it causes unconsciousness and at higher levels is
lethal. Sulphur dioxide occurs in volcanic regions and is detrimental to
concrete linings. Hydrogen is dangerous due to its inflammability. It is
generally found in salt deposits and in their vicinity. Nitrous gases are the
by-products of explosion fumes and are even more dangerous and
detrimental to health than carbon monoxide. The lethal concentrations of
various gases are indicated in Table 2.3.
38

Table 2.3 Lethal Concentration of Gas in Tunnel (in percentage)

Time (min) CO2 or CO H2S SO2 NO or NO
Aspiration 10-20 0.05 0.05 0.01 0.01
Short exposure 20-25 0.10 0.20 0.05 0.03

2.8 ROCK TEMPERATURE

Temperatures in deeper rocks are much higher than on the surface. When
tunnelling is taken through such zones, men have to withstand very high
temperatures. Generally, below a depth of 20-25 m in rocks, the crust is
barely affected by external influences and hence a consistent increase in rock
temperature occurs with depth. The rate of increase is not uniform since the
geothermal step or geothermal gradient depends on several factors
topography of the terrain, stratification and dip of the rock layers etc. As
observed

Source: Szechy, 1970.

Figure 2.8 Geological Profile and Temperature Variation in St. Gotthard Tunnel.

in the major Alpine tunnels, this varies from 27 to 144 m per °C (Andreas,
1953). The temperature likely to be encountered in the interior of the
mountain is governed by the following factors:
 39

(i) Position of the geo-isotherms under mountain ranges (geothermal

step).
(ii) Soil temperature on the surface over the tunnel.
(iii) Thermal conductivity of the rock and hydrological conditions.
(iv) Elevation of the tunnel.
Temperatures as high as 63.7°C have been met with in Apennine tunnels.
The geological profile on the temperature of the St. Gotthard tunnel is given
in Figure 2.8 (Szechy, 1970) as an example.

2.9 REFERENCES
1. Szechy, Karlowi, (1970) The Art of Tunnelling, Akedimiai Kinda, Budapest,
Hungary, 1970
2. Pequignot, C.A., 1963, 'Tunnels and Tunnelling', Hutchinson Scientific and
Technical, London, 555 P.
3. Turner, J., 1959, 'Newest Trends in the Design of Underground Railways',
Journal of Institution of Civil Engineers. Vos, Charles J., (1993),
4. Bickel, John O., and Kuesel, TAR., (Eds.) 1982, `Tunnel Engineering Hand-
book', Van Nostrand Reinhold Company, New York, 670 P.
5. Chowdhury, P.K., (2009), ‘Geophysical Methods Suggested for Udhampur-
Baramulla Rail link project’ .ppt Technical Presentation.
 C H A P T E R

3
Tunnel Requirements
3.1 GENERAL
The requirements of tunnels to be provided differ with the purpose for which
the tunnel is being provided. The Traffic tunnels are provided for the purpose
of transportation of goods and people and their requirements can be broadly
classified as operational, structural, Constructional and maintenance. The
conveyance tunnels are provided for conveying materials, water or sewage.
The ones for conveying materials are generally limited to industries or the
smaller areas and their requirements pertain mainly to the structural,
constructional and maintenance aspects. Ones used for conveyance of water,
sewage etc., have in addition to be taken care of in respect of surface finish,
water tightness, velocity of flow through them etc., in addition to structural,
construction and maintenance concerns.

3.2 OPERATIONAL REQUIREMENTS

These requirements cover such aspects as profile, gradient, curvature, ability
to withstand pressures caused by moving vehicles in a confined space,
ventilation, lighting, drainage and communication and fire fighting facilities
in the case of accidents.

3.2.1 Profile
The cross-sectional profile of the tunnel has to allow movement of the largest
vehicle it is designed for and provide for some additional safety margin. The
 41

opposing streams of traffic have to be separated. This is done either by

providing a median in a two-way highway tunnel or providing one separate
tunnel for each direction.
For railways, even if separate tunnels are not available, the wheel
guidance available and the additional guard rails installed between rails
provide the necessary safety. The safety and lateral (sway and lurch)
movement clearances over moving vehicle profiles or gauge is specified for
straight alignment. On curves, the clearances are increased to provide for
extra projections caused due to movement of vehicle over curves and by
superelevations. An encompassing profile (internal dimensions) allows for
these minimum horizontal clearances and also providing for space for other
facilities, such as ventilation, ducts, lights and cable ducts/lines for highways,
or for signals, traction gear and cable ducts/lines in the case of railway
tunnels. These will be after allowing for lining to be provided where
required.
The shape of the tunnel itself is dependent on purpose (traffic
requirements in case of vehicular tunnels), location, type of soil, overburden
depth and to a large extent on the method of construction to be followed.

3.2.2 Ruling Gradient

The maximum or ruling gradient to be used is decided based on the type of
traffic. In a railway, the ruling gradient specified for the section of the line
of which the tunnel forms part has to be decided taking into account the extra
resistances on track through tunnels mentioned in Para 2.4.1. Steeper
gradients enable shortening lengths of and thus less costly ghat/hill lines but
put a severe constraint on train loads, resulting in reduced section capacity
and speeds, which would lead to higher energy consumption. Maintenance
costs also go up with steeper gradients. Based on long-term operational
advantages and economies many planners now prefer flatter gradients of 1%
or even 0.67% for busy freight traffic lines and lines on which medium high
speed trains are likely to be run in future, e.g. Konkan Railway line in India.
On highway tunnels also the ruling gradient is dependent on type and
volume of traffic to be catered for. Generally, the limiting grades at entry and
exit ends are in the range of 2.5 to 3.0% while flatter gradients are adopted
in the mid-section. A minimum gradient is also specified for tunnels in order
to ensure proper drainage. Chapter 5 details this aspect.

3.2.3 Curvature
Curvature in railway tunnels depends on speeds to be permitted on the
section and the gauge of the line. The wider the gauge, larger the radius of
42

the limiting curvature specified. At approaches to signals, curves are limited,

taking into consideration safe sighting and braking distances. Spacing of
tracks inside tunnels is to be such that the induced wind pressure on the
bodies of coaches of crossing trains will not cause windows to shatter nor
cause discomfort to passengers travelling with windows opened.

3.2.4 Ventilation and Lighting

Ventilation needs for railway and highway tunnels differ very much. In short
tunnels the force of a moving train provides necessary ventilation by pushing
out foul air left by the previous train and drawing in fresh air from the rear.
Special ventilation arrangements are required in metro tunnels, for providing
comfort to passengers and bringing down the temperature. In highway
tunnels, due to the presence inside tunnel of large amounts of CO2 and
unburnt CO as well as smoke from diesel engine vehicles, continuous forced
ventilation is called for.
Highway tunnels need to be illuminated well enough for clear view of
the road for the drivers. The arrangements are thus more elaborate and
complicated. Main line railway tunnels need minimal lighting for use by the
maintenance crew and for use in emergencies while the lighting requirement
for metro tunnels is much larger. The subject is dealt with in detail in
Chapter 10.

3.2.5 Clearances
The additional dynamic vehicle clearances required in railway tunnels to
allow for curves and superelevations are indicated in Figure 3.1. Figure 3.1
(a) conceptually indicates how the different parts of vehicle project out due
to curvature and effect of cant provided in the track. Figures (b) and (c)
indicate the quantum of such shift for a Standard Gauge (1435mm gauge)
vehicle.

3.2.6 Aerodynamic Problems in tunnels2,3

Aerodynamic problems in railway tunnels arise due to piston action of the
train through a narrow tube. This pressure induces fluctuations in pressure
inside the tunnel and on periphery of coaches. Due to narrow space
availability between the train and tunnel surface, the reactive air that passes
by the periphery of the coaches is at high velocity, causing shearing force
along the sides of train and tunnel surface. One would feel its effect by way
of rattling of doors and pressure felt, especially in ears if windows are open.
On a double line single tube tunnels, the effect will be felt more pronounced
 43

Source Morton, 1982

Figure 3.1 Additional Dynamic Vehicle Clearances for Railways1.
44

when another train passes in the opposite direction. At higher speeds, the
aerodynamic effects will be more pronounced. The velocity of air passing by
the train increases in proportion to square of velocity of the train and hence
the effects of such pressure fluctuations become more pronounced in high
speed rail tunnels. Japanese were the first to notice the adverse effects, in
form of peeling of paint in the train, discomfort felt by passengers and
damages caused to tunnel lining.
In case of high speed trains, as it enters the tunnel, there is an abrupt
change on the practically stationary air in tunnel, which sets up some abrupt
changes2. Air ahead is compressed and is pushed through the tunnel at a
speed close to sound. This 'column of air' is reflected back at the far end
portal as 'a pulse of rarefaction' which causes a sudden reduction in reduction
in pressure as it reaches back the train. A mechanism of pulses is set up and
stream of air passes through the space in the periphery of train to the rear
where a suction effect is created. The difference in pressure between front
and rear of the train causes a braking effect on the train and also a frictional
drag on same. These effects are more pronounced in longer tunnels. The
pressure pulses, if too great, cause discomfort to passengers in their ears. The
effects of such pulses are interrupted at any opening on sides of tunnels and
at shafts, reducing their adverse effects. Larger spaces by adopting higher
clearances around the train also reduce the adverse effects. Rapid changes in
the pressures within the tunnel have to be avoided. A limit of 0.5 kN/ sqm.
is set for frequently repeated pulses, such as the ones occurring in a tunnel
with a number of shafts and cross passages. USDOT Handbook recommends
a limit of 0.41kN/ sqm and upper limit for same. Upper limit for any change
in pressure is set at 3 kN/ sqm.
The pressure waves (and consequently problems) occur when3:
• trains enter or exit them
• trains pass sectional variations, if any
• trains pass any openings to cross passage to adjacent tunnels; pass
shafts; pass other openings like intermediate adits
The pressure behaviour is as follows2. In a 3 km long single track tunnel
without intermediate openings, when a 350 m long train runs at 200 kmph,
it will take 54 secs. for any point of the train to pass through the tunnel. In
first 7secs, a pressure of 4 kN/sqm occurs, dropping down slightly as tail
enters. After further 7 secs, it drops down steeply to (–) 1kN/sqm, when wave
of 'rarefaction' enters the tunnel at far end. After this it fluctuates through a
'diminishing range'. This drop of 5kN/sqm is not acceptable and provision
of intermediate shafts or cross passage to adjacent tunnel is needed. (High
speed lines will have to be double lines and hence an adjacent single track
tunnel is a reality.) Alternatively, speed will have to be restricted to 150
 45

kmph or provision of larger section, as has been done by German Railways

(75 sqm as against Japanese practice of 64 sqm). Provision of flaring at
portals (trumpet shapes) will help reduce pressure wave amplitude at
entrance. But, if the exit portal is flared, there can be discomfort to
passengers. Each of these remedial methods has advantage and disadvantage
and a judicious choice has to be made, considering density of traffic and
costs.
In a double track tunnel, the adverse effect at entry is reduced at entry
points due to larger area availability. Problem arises when two trains pass
each other. Then the aerodynamic effect causes discomfort to passengers,
peeling of skin (paint) and rattling of doors. When a freight train with empty
containers passed a high speed passenger train, there was a tendency for
empty containers to lift off the wagons, if not held down by other means.
It is desirable to go in for twin single tubes with interconnection at intervals,
rather than a larger section with double line, from passenger comfort and
safety points of view, specially in case of high speed lines and subways.

3.3 STRUCTURAL REQUIREMENTS

3.3.1 Supporting Structure

The temporary support structure inside a tunnel has to first support the
surrounding soil from caving in and to facilitate easy installation of lining
(permanent structure). Preferably, it should be capable of being incorporated
as part of the permanent structure. During construction, when compressed air
is used for drilling ahead, such support should be airtight and should
withstand induced pressure. In service, it has to withstand the vertical load
from soil above, and the side thrust from the most saturated condition of soil
around.
Lining or permanent structure has to transfer all the superimposed load,
the self-weight of the structure itself and the vehicle loads, including impact
to the base soil below, without causing any relative settlement along the line.
It should be capable of resisting the weathering action over time and
chemical action due to fumes and gases emitted by passing vehicles. In
subway/metro tunnels it should be leak proof so that ingress of moisture into
the tunnel is eliminated or minimal. In the case of tunnels in open country
also, the body should be watertight but where there is heavy seepage or
where a tunnel cuts through a spring which can build up pressure around if
not let free, provision should be made to let such water into the side drain
of the tunnel at appropriate places and the tunnel suitably graded towards
adits for quick clearance. In seismic areas tunnel structure is designed to
46

withstand seismic forces also in combination with other loads. The different
combinations of loads for which a subway tunnel structure is to be designed
are given in an example at Annexure 4.1 and in Para 8.10. Similar principles
apply to highway tunnels also.

3.3.2 Portals
Tunnel portals are the entry points to the tunnels at either end. Except in case
of subways and those used in urban areas for roads, the surface of the ground
at the entry points will be having a natural slope. The Adits/ approaches will
be in a cutting. From economic and stability considerations, their depths are
restricted to about 20 to 25 metre. The portal is a solid structure (face wall)
in form of a retaining wall across the tracks depending on depth of cutting.
The slope of ground above is protected by a headwall support over the tunnel,
as shown in Figure 3.22. It should be such that it can properly retain any
sliding mass of soil from above. It is necessary to investigate structure of the
rock and soil conditions above the tunnel at this length. Normally conditions
met with at these locations will be presence of weathered, fractured and loose
layers of rock/ soil where the tunnel pierces through. The type of soils and
rocks underlying such layer should be examined to see how the separating
sliding planes are sloping/ and if they are towards the cutting, such sliding
planes will provide no resistance for the soil above to slide down, when
lubricated by percolating water (in rain) etc, The protecting Head wall should
extend upto the surface of the soil at the slope it would assume in worst
conditions. The adits should not be located in the sliding layer and cutting
depth also restricted to 20 to 25 m. The coping of the portal should reach
a few decimeters above the natural slope at which the fractured/ loose layer
will assume. The coping should be adequately designed to resist the pressure
exerted by the sliding soil (in wet condition). The portal face wall itself has
to be designed to resist the earth pressure building behind. There has been
a case or two where the tunnel failed at entry due to such pressure before
the required structure could be completed.

Figure 3.2 A Typical Location of Portal and Forces acting on same.

 47

The portals should be located, as far as possible, in firm ground. They

are like end abutments of a bridge and have to be designed to resist the
pressure developed by the soil behind. If, for any unavoidable circumstances,
it has to be located in soft ground, in order to restrict the pressure developed
by the ground behind, the overburden over the tunnel at entry should be
restricted and / or it should be supported in front with wing walls/return walls
extending into the approach cutting (Figure 3.3). Alternatively, the tunnel
body itself is extended into cutting till it reaches beyond the toe of the ground
slope on the approach formation.

Figure 3.3 Portal with Wing walls in soft ground- Pir Panjal Tunnel North Portal.

3.3.3 Invert Types

Invert of a tunnel refers to the base of the tunnel, over which the utility (road,
rail track, canal etc..) are laid. There are two ways of providing same viz.,
directly laying over the exposed base or to provide a structural slab spanning
the face walls and creating space below for ventilation, drainage and other
utilities. First method is used mostly for railway lines and the second method
for highway tunnels.
In the first method also, there are two types. One is to just provide kerbs
and drains alongside the side walls and lay the track on ballast between them
directly on exposed grade. This is possible in case of tunnels through hard
rock and was the traditional practice. In case, the grade is on disintegrated
rock or soil, a concrete base is provided at grade first over which track is
laid. This practice is now being given up in favour of provision of ballastless
track, by laying a lightly reinforced slab and providing track over a plinth
or embedding PSC sleepers in concrete. Except in hard rocks, where the base
of the side walls and supports are keyed into rock and provided a base, struts
spanning tunnel supports or a RCC base slab has to be provided below or
as part of base for resisting horizontal thrust. Figure 3.4 shows the different
types.
48

Figure 3.4 Different Types of Invert in Vehicular Tunnels

 49

3.4 CONSTRUCTION AND MAINTENANCE

Type of soil, end use and construction methodology govern the choice of
shape of tunnel. Thus construction methodology plays an important role. In
open country and in hard rock, generally an elliptical shape or a segmental
arch over a rectangular section is adopted. In soft rocks and medium cohesive
soils also, such a shape is adopted so that the top portion is excavated and
supported by arched ribs first and the lower portion extended by benching.
In non-cohesive mixed soils or sandy/mixed strata, generally the shield
tunnelling method is used. This calls for a circular profile. In subway tunnels
for which the cut-and-cover method is used, mostly rectangular sections are
adopted. If in cohesive soils, shield tunnelling or boring using moles is
adopted (with or without compressed air) and a circular profile has to be
adopted. The dimensions of tunnel have to be the minimum necessary for
traffic requirements and at the same time large enough for use of mucking
machines, trollies / trains or trucks for clearing away the tunnelled soil. In
long tunnels shafts are provided at intervals to clear the muck. They are
spaced at intervals of about 1 km to 2 km and at sharp bends.
The minimum maintenance requirement is good drainage. As already
mentioned, a suitable grade in the line of the tunnel should be provided and
in long tunnels, if possible, sumps are provided, cross-drains are drilled
through and/ or suitable pumping arrangements are made. The minimum
ventilation requirement will call for some shafts at intervals in long tunnels,
generally over 2 km long. Inspection squads and maintenance men in railway
tunnels will need some shelters in form of niches in which to take refuge
when trains pass, and for this trolley refuges have to be cut into alternate
sides at about 90-m intervals. For example, on the Pir Panjal tunnel built
recently in Kashmir a 3 m wide paved pathway has been provided for the
full 10.9 km length of tunnel for maintenance and emergency evacuation
vehicles to be taken in.
Subway tunnels do not provide for such facilities as maintenance is to
be done when there is no traffic. The track, these days, is made ballastless,
thus serving as a paved way for emergency evacuation of passengers. Such
provision minimizes maintenance requirements also. Subway tunnels have to
provide for increased safety requirements, as they deal with large passenger
traffic. Stations also being in same level experiencing large movement of
people in opposing directions, this becomes more important. They need good
ventilation and lighting arrangements. They also call for a high degree of
cleanliness. Such tunnels are, in most cases, partially or fully below sub-soil
water level and in granular or clayey strata. The lining or shell has to be
completely waterproof, to combat consequent seepage.
50

In highway tunnels footpaths serve the purpose. On Konkan Railway

some of these refuges in a long tunnel cut in rock had been used for reversing
and passing mucking trucks coming from opposite directions, thus increasing
speed of mucking operations during construction. During emergencies the
staff in the case of railways or users in the case of highway tunnels must have
access to some communication facilities with staff at portals or in
neighbouring stations. Hence telephone plug points have to be provided at
intervals. In long highway tunnels emergency equipment in the form of fire
tenders and towing cranes is maintained at either end of the tunnel. Fire
fighting water pipe lines can be run over the length of tunnel with fire
hydrant points at intervals also in long tunnels in remote areas and in subway
tunnels.

3.5 CANAL/NAVIGATION TUNNELS2

Navigation canals connecting natural streams or on their own formed the
backbone of large traffic in seventeenth and eighteenth centuries. Where they
had to cross from one valley to another in hilly terrain, taking them through
tunnels became necessary. The earliest known navigation tunnel is the
Maples tunnel opened in 1679. Canal tunnel construction had practically
stopped after nineteenth century. Last perhaps is the one connecting to
smooth water strip along coast near Marseilles and mouth of Rhone, in Golfe
de Fos, an inland lagoon. Work on this 7.2 km tunnel crossing was started
around 1905 and completed in 1927, work having been interrupted by the
First World War. This is believed to be the largest canal tunnel, about 22m
wide at springing and 15.4 m from invert to crown , The depth of water in
canal itself is about 3m and it has two toe paths 2m wide each on the sides.
See Figure 3.5. Large vessels including those with bow of beam of 8m and
1200 ton displacement capacity could use this tunnel safely.
They are similar to Highway tunnels, but with a level gradient. Their
width has to be large enough to provide for maneuvering of the boats, though
most of them have been built for unidirectional movement of boats. For
example, the smallest section of such tunnel in UK is 3063 yard long Butterly
tunnel 4'-10" wide and 8'-10" high and the largest 3036 yard long Netherton
tunnel 15'9" wide and 27' high roof. They are mostly inverted U shaped with
vaulted elliptical circular roof.
Alternatively, poling or shafting was used in manual haulage. If canal
floor was lined with only clay puddle, the alternative forms of haulage by
rope from ends or use of railings was resorted to. With the advent of diesel
engines diesel powered tugs have been to haul a ling of boats. Steam
 51

powered tugs also had been used in some, but they resulted in the soot
covering the roof and sides, which had to be periodically cleaned.
Walkways were provided for use by men or horses for toeing the boat.
Paddling and rowing is not permitted in such tunnels for want of adequate
width for rowing. Where space cannot accommodate such walkways, some
form of railing or chain links have been fixed on short brackets for men to
hold and move boats. Some form of control system between the portals has
been provided to regulate the movement. In some wider canals, bi-directional
traffic could be provided for smaller boats. Height has to be adequate to
provide for vertical projections from the craft like chimneys and use of ores,
as necessary. An additional and important requirement is that the floor and
sides of the canal have to be watertight. Earlier ones were lined suitably with
clay and puddle. Such tunnels cannot be provided in porous grounds.
Channel section in tunnels in rocky soils are lined with concrete and well
finished. In case of large width compared to height of the tunnels calls for
adoption of vaulted structures. They are not safe to be provided in terrain
subject to tectonic movement.

Adapted from Szechy 1970

Figure 3.5 A Typical Large Navigation Tunnel2

Curved alignments are avoided for better sighting and easy maneuvering
of boats. Driving the tunnels is done by heading and benching or by driving
through a number of drifts and widening, depending on type of soil. Long
ones are done by sinking a number of shafts at intervals and opening out a
52

number of faces, Some of these shafts are lined and retained for natural
ventilation. Canals in long tunnels are generally divided into a number of
sections with provision for inserting temporary shutters so as to isolate a
section at a time for maintenance purpose, by pumping out the water for
cleaning and any repairs. Long tunnels should be provided adequate lighting
for the boatmen to toe and maneuver boats safely.

3.6 ADDITIONAL REQUIREMENTS IN WATER

CONVEYANCE TUNNELS

3.6.1 Hydro-electric Power Plant Tunnels2,3

Water has to be conveyed to power plants located down the hill in the valley
from storage reservoirs at higher levels. This can be done directly to the
turbines in the power house through Pressure tunnels drilled through the hill
or by pressure conduits or pipes laid on the sloping surface of the hill. In the
latter case also, tunneling is done through any intervening ridge from
reservoir outlet to the top of the conduit. In latter case, the tunnel is known
as Discharge tunnel. The pressure tunnel will be subjected to comparatively
higher outward pressure than the resistance that can be offered by the
surrounding rock and overburden. Hence they have to be designed as a
pressure pipe and the lining has to be suitably reinforced. A circular section
is preferable for same, which will be easier to drill also. A horse shoe type
also can be used, but adequately reinforced. Such pressure tunnels can be
provided only through solid rock and are not suitable for rocks with fissures
and cracks. They have to be highly water proof also. On the other hand,
Discharge tunnels are designed and constructed like a railway tunnel and a
horse shoe shape with inverted base is preferred. They also have to be made
water proof. Figure 3.6 shows a typical layout of such tunnels serving a
Hydro-power plant.

3.6.2 Water Supply Tunnels

Water supply tunnels are provided for conveying water from storage
reservoirs or streams to the treatment plants or ground storage at distribution
centres across an undulating country. They are similar to the Discharge
tunnels mentioned above. In most cases, they will be at shallow depths and
can be built by cut and cover method, in which case they can be designed
like subway tunnels. In many cases in past, they have been built with RCC
base, brick side walls and arch roofs with water proof lining inside.
 53

Figure 3.6 Typical Water Conveyance and Pressure tunnels for a Power plant

3.6.3 Utility Tunnels

It is desirable to carry utilities like liquid / gas pipe lines and cables
underground housing them in larger conduits in from of circular or
rectangular tunnels. Two typical examples are shown in Figure 3.7.
Conveyor belt systems in power houses and large industries may also be
housed in rectangular tunnels similar to the cable utility tunnel shown in the
figure. The minimum internal dimension of any such tunnel should be 2.5
m for facility of maintenance and inspection personnel to move in them
freely.

Adapted from Szechy, 1970

Figure 3.7 Typical Utility Tunnels2
54

3.7 REFERENCES

1. Morton, D.J.,(1982) "Subway Construction' in Ed. Bickel, John.O. and

Kuesel, T.A.R., 'Tunnel Engineering Handbook', Van Nostrand Reinhold
Company New York, (1982), pp 417-444
2. Szechy, Karlowi, (1970), The Art of Tunnelling, Akedimiai Kinda,
Budapest, Hungary, 1970, pp 117-120
3. Narayanan, G., (2009), 'Aerodynamic Problems in Tunnels in High Speed
Lines', Proceedings of International Seminar on High Speed Corridors and
Higher speeds on Existing Network, Mumbai, Institution of Permanent way
Engineers (India), New Delhi , 2009, pp3.1- 3.7.
4. Agarwal, M.M. and Miglani, K.K. 'Global Experience of Design,
Construction and Maintenance with Special Reference to Indian Railways',
National Technical Seminar, on Management of P.Way Works through need
based Outsourcing and Design, Construction and Maintenance of Railway
Tunnels, Institution of Permanent way Engineers (India) pp 315-356
5. Pequinot, C.A., (1963) "Tunnels and Tunnelling'- Hutchinson, Scientific and
Technical, London
 C H A P T E R

4
Design of Tunnels
4.1 GENERAL
A tunnel design has to cover the following elements: (a) geometry of
alignment, (b) tunnel profile or cross-section, (c) design of supports and
lining and (d) design of transition (applicable to water conveyance tunnels).
Geometry of alignment includes the following: (i) elevation or level, (ii)
gradient and (iii) curvature.
Though many of the design factors are common to all tunnels, there are
some special requirements for traffic tunnels.

4.2 ALIGNMENT
In surface tunnels which pass through hilly regions, alignment is mainly
governed by the topography. Other general considerations which affect
choice of alignment are the characteristics of soil through which a tunnel is
to be driven, its position in relation to the groundwater level and ruling
gradient, which in turn, is governed to a major extent by traction and
operation considerations. Placing a tunnel much below the groundwater table
should be avoided. It is advantageous to locate such tunnels in an impervious
layer under an adequately thick cover, which thickness should be sufficient
to prevent the inrush of water and also to prevent the escape of compressed
air if it is proposed to use compressed air for tunnelling operations. If,
however, traction and operating considerations require and it is otherwise
advantageous, the tunnel can be taken at an elevation below the groundwater
56

level after taking all necessary precautions. In subaqueous tunnels there is no

choice as they have to be taken below flowing or still water. Tunnel boring
operations will then invariably have to be done using compressed air. Such
tunnels have to be placed below adequate overburden to minimise loss of air.
They have to be placed well below the normal scour level, if the bed and
flow conditions would induce noticeable scour. In still water or creeks not
subject to scour, depth can be reduced through construction of tunnels by the
precast unit /caisson sinking method.

4.3 GRADIENT

4.3.1 Railway Tunnels-Minimum/ Maximum Requirement

The gradient of any section is dependent on load and traction considerations.
From the drainage consideration also, a certain minimum gradient may have
to be provided in the tunnel portion for easy drainage of water entering the
tunnel. This condition is particularly applicable to tunnels located below
groundwater level and subject to seepage. The minimum gradient in terms
of drainage is 0.2 to 0.3% so that the drainage water can flow out
automatically. In terms of traction, the ruling gradient permissible has to be
less than in open air owing to reduced adhesion and increased air resistance
inside tunnels. The values for electric traction are compared in Table 4.1.
From the energy point of view, the saving in energy over a horizontal line
is 20% and 25% when using 2% and 3% starting-down gradient over 145-
m and 125-m lengths respectively. A rising gradient of 2% results in a saving
of 20% in braking energy. These two examples give some idea of the effect
of gradient from the operational point of view.

Table 4.1 Change in Ruling Gradient in Tunnels

Ruling gradient (%) Reduction

Open line Tunnel
1.00 0.65 0.35
1,50 1.02 0.48
2.00 1.40 0.60
2.50 1,70 0.75
3.00 2.12 0.88

However, the other governing factor is the capital cost involved in

providing a flatter gradient which requires a longer length of track for
 57

negotiating the difference in level between the two points and consequent
increased maintenance cost also. Therefore, at the survey/investigation stage,
a very careful study of the ground contours is necessary for considering the
overall effects. A number of alternatives have to be examined. This depends
on lengths over which steep gradients are required and how far apart such
lengths are situated. Even if some banking assistance is required over a short
length, the overall saving, in terms of saving in energy and time of travel,
can very well be worth the expenditure involved in cases in which such
lengths are short and occur over the same stretch. In India, on main line ghat
sections a gradient of 2.85% has been used with banking assistance, though
a gradient of 1.67% is generally preferred. Presently, a ruling gradient of 1%
is preferred for routes with heavy traffic. In metro tunnels 3% and 4°
gradients can be used with increase in number of motor coaches. It is
preferable to give a rising gradient towards the station at either end and to
keep the station level higher. This results in economy and also helps in
deceleration and acceleration of stopping trains.

4.3.2 Examples
The advantages of tunnelling in terms of route location can be understood
from the following two examples (Pequignot, 1963)1.
On the line between Skokomish and Wenatchee of the Great Northern
Railway (USA) at the time of opening in 1892, there were eight reversals
(switchbacks) provided for traversing the steep mountain slopes.
Electrification was done in 1909 through the tunnel for increasing traction
capacity. In 1929, by providing a single long tunnel across a spur, all the
seven reversals were eliminated. There were still a few steep gradients to be
negotiated. This tunnel was near the summit and the line thus ascended and
then descended. In 1929, a new tunnel of 12.50-km length was bored at a
lower level, reducing the elevation by about 150 m. This reduced the length
of the line from 69 to 54.5 km, i.e., by over 20% (Figure 4.1). Replacement
of electrical traction equipment (which was worn out and due for
replacement in 1956) through the tunnel was not done. However, diesel
traction on either side was continued through the tunnel, thereby eliminating
need for change of locomotive at either end of the tunnel.
Another typical case of how tunnel provision helped in easing the
gradient of a section is the Canadian Pacific Railway line linking British
Columbia and Eastern Canada. The line had to pass through the Rocky
Mountains, During quick construction in 1885, a section on these mountains
58

was built in Yoho valley and over Roger's pass with a 1 in 23 gradient (6.4
km was on 4.5% grade) continuously. Four catch sidings were provided. It
was difficult and costly to operate on the line. Increasing traffic demanded
easier gradients. In 1908, the line was realigned and built with an easier
gradient of 2% (making the line 12.8 km long). This was made possible by
providing 2 spiral tunnels, one of about 980 m in Cathedral mountain falling
13.5 m on the circle and another about 880 m under Mount Ogden with a
fall of 13.6 m on the line between the two running in reverse directions. It
involved crossing the river twice. Both the tunnels were driven from both
ends.
On the other hand, Konkan Railway in India had adopted a ruling
gradient of 0.67%, in order to provide for operation of higher speed trains,
being more of a passenger service oriented line. This has resulted in
providing 76 tunnels aggregating a length of 79 km (about 10% of the route
length)3.

4.4 CURVATURE
The curvature resistance inside a tunnel is the same as that outside and hence
the principles governing fixing of the curvature with respect to proposed
speed of trains are applicable to the tunnel also. However, the need to avoid
boring a tunnel with a number of sharp curves involving difficulties in
alignment and other lurking errors should be borne in mind. Various
practices prevalent have been discussed in Para 2.3. There are two spiral
curves set at a gradient in the example on Canadian Pacific Railway
mentioned in Para 4.3.2 above. On Indian Railways, 6° curves on Broad
Gauge and 10° curves on Meter gauge have been common in the past. It is
not uncommon to find reverse curves on the alignment.
Konkan Railway was the first ghat section railway in India to adopt 1.4
degree as limiting radius, since that line had been designed for 160 kmph
speed. On the Jammu- Srinagar line, sharpest curvature adopted is 2.75° and
steepest gradient 1%. Section Katra- Qazigund is over the most difficult
terrain and there are 35 no tunnels in a length of 129 km, totaling 103 km
of tunnels alignment. Longest tunnel in this section, and in fact in India, is
across Pir Panjal range 10.96 km long. It is on a straight alignment. An ideal
alignment for a tunnel is that a major portion, if not the entire length, is on
a straight line.
Source: Pequinot (1963)
Figure 4.1 Cascade Tunnel-Old and New Alignments.

59
60

4.5 DETERMINATION OF CROSS-SECTION

4.5.1 The choice of a cross-section for a tunnel is dictated by one or more
of the undermentioned factors (Szechy, 1970)2:
(a) Clearance and moving dimensions specified for the vehicles moving
and the goods transported in the tunnel;
(b) Type, strength, water content and pressures of soil;
(c) Method of driving;
(d) Material and strength of tunnel lining as well as internal loads acting
on it; and
(e) Need for accommodating a single or a double track in the tunnel and
other line side equipment.
Typical dimensions for Railway tunnels adopted in various countries are
given in Table 4.2.

Table 4.2 Dimensions of Railway Tunnels in Some Countries

Country Width Height of arch

m above rail level
Double-track tunnels
Italy 8,00 6.00
France 8.00 5.80
Germany 8.20 6.20
Australia 8.20 6.40
Single-track tunnels
Italy 4.60 5.00
Australia 5.50 5.00
Switzerland
(Ricken tunnel) 5.20 5.80
India 4.72 6.00

The dimension given is for 1435 mm gauge in all except for India, which
is for 1676 mm gauge.

4.5.2 Tunnel Clearance

The general principle adopted in providing clearance for railway tunnels
according to the Central European Railway Association is that it should be
at least 300 to 400 mm larger than the clearance required for structures on
the open line. This is for additional safety against constructional inaccuracies,
deformation of section due to rock pressure, rock displacement or water
inrush. A tunnel section has to provide adequate ventilation and smaller air
 61

resistance. Air resistance, as detailed in Chapter 2, increases with velocity

and if a tunnel has to be provided on a high-speed line, this aspect has to
be taken into consideration even while deciding on spacing the track on a
high-speed line. Air resistance will have considerable effect on two trains
passing each other at high speed. Clearances permissible for railway and
highway tunnels in Europe are indicated in Figure 4.2.
The most usual type, which has proven economical and easier to drive
through, is the horseshoe shape for surface-to-surface railway tunnels,

Figure 4.2 Permissible Clearances in European Tunnels.

62

especially if one tunnel has to be provided for each track, and occasionally
for a double track. The main consideration is that the tunnel should have a
section that provides the minimum clearance required for vehicles passing
each other, without endangering a passenger who extends his hand out of the
window, after allowing for oscillations and throw of vehicles on curves. The
absolute minimum profile specified for a single-line railway tunnel in India
(equally applicable to bridges) for MG and BG, which are the major gauges
on the Indian Railways, are indicated in Figure 4.3 (a). The present practice
is that on a new line the profile required for the BG is provided at the
construction stage itself, irrespective of gauge of construction, so that later
there is no need for widening when the line has to be converted to BG. It
will be seen that for this profile, a horseshoe cross-section would be the most
suitable.

4.6 GEOMETRIC SHAPE OF TUNNEL

4.6.1 Choices Available

There are five principal geometric shapes available for tunnels: (a) circular,
(b) D-shaped, (c) horseshoe, (d) egg and (e) rectangular. In addition, there
is a modified horseshoe type and a modified egg shape. The latter is
sometimes known as egglipse. The modified horse-shoe type provides for a
flatter base for ease of construction and for ease of change from that profile
to a circular shape whenever both sections have to be adopted in contiguous
lengths. The egglipse shape comprises of two arcs of a circle joined by
straight lines or smooth curves. Thus it resembles an egg shape: the bottom
and top profiles (i.e., base and roof) are arcs of a circle. Figure 4.3 (b) shows
some of the shapes used in Europe for traffic Tunnels and clearances in them.

4.6.2 Factors Affecting Choice

The choice of shape depends on the following factors: (a); geological, (b)
hydraulic, (c) structural and (d) functional and (e) method of construction.
A comparison of different shapes is given below3.
Circular Shape: Structurally the most efficient as all pressures are
converted into hoop tension/compression, and thus it is best suited for
resisting heavy inward or outward radial pressure. Hence it is ideal for
conveying water under pressure with inadequate cover of overburden and in
soft soils in case of deep traffic tunnels. But it needs Shield or Tunnel Boring
Machine to execute the same. It is best suited for soft and medium soils but
with use of special cutters and bore through rocks also. It needs careful
Figure 4.3(a) Minimum profile for Railway Tunnels in India.

63
64

Structure Gauge for London Metro Extension

Figure 4.3(b) Different Traffic Tunnel shapes and Clearances
 65

control of alignment during boring, since any misalignment or dipping is

very difficult to correct.
D-Section: Easily constructed and gives more working floor space.
Structurally also it is quite efficient due to its arch action. But the lining
sections are heavy, especially on the sides, which usually makes it
uneconomical. However, it is good and economical under massive igneous,
hard, compact, metamorphic and good-quality igneous rocks where lining is
not required. It is preferred in particular for water conveyance as it gives a
large A/P (Area: Perimeter) factor for flow. The D-section is best suited for
cut-and-cover type of construction. It is suitable for navigation canals and
wide roads.
Segmental: Suitable for rocky formation (soft and hard). It has an arch
shape for roof with vertical sides. The arch shape of roof provides direct
resistance to the external forces, but the sides being just vertical have to resist
side thrust by bending action. Bottom also needs heavy support to resist uplift
forces. Thus it is structurally not so efficient. It is used for traffic tunnels,
both for railway and roadway. It is easy for construction. It is done by drilling
and blasting methodology full face or by heading and benching.
Horseshoe and Modified Horseshoe Shapes: A compromise between
circular and D-shapes. The former shapes are stronger than the latter in
providing resistance to external pressure. The modified horseshoe shape is
easier to construct and also more economical in use of section, particularly
in water conveyance. In rock it reduces quantity of blasting, especially at
difficult corners. For traffic tunnels, it is superior to the circular shape since
the space of excavation below the road-bed is reduced. It is generally
preferred for transportation tunnels in hard strata and for water conveyance
when there is adequate rock cover or when quality of rock is adequate to
resist internal water pressure.
Polycentric: It is an extended form of Horse Shoe shaped tunnels. As
name suggests, it is polycentric i.e. is made up of curves with different radii
and centres. Its action is similar to that of horse shoe type and is fairly
efficient. It is suitable for medium soils and can be done using NATM.
Suitable for Road (multi- lane) and Rail lines (Double line).
Egg and Ellipse Shapes: Structurally it is most efficient as all forces,
from above, pressure from sides and uplift from below are resisted by the
arch action of the ellipse in all four directions. It is suitable in stratified soft
and closely laminated rocks and when external pressures and tensile forces
on the crown are likely to be high. These are suitable for Single track
66

Figure 4.4 Different Forms of Tunnels3.

Railway tunnels but not too often as the shape is not economical for
providing the minimum side clearances required. The shape is advantageous
for sewage tunnels which have to carry flow under gravity since the velocity
reduction at low levels of flow is not much. The ellipse is hydraulically more
efficient. Figure 4.4 shows different shapes for comparison.
 67

Rectangular Shape: Structurally the least efficient but certainly the

most convenient shape to build when the cut-and-cover method of
construction is used. All forces are resisted by members by bending action.
It is generally used for underground metros where cut and cover
methodology is used and for stations, even if circular section is used for main
lengths. It is simple for analysis and for construction also. However, this
shape is not economical in the use of material and overall economy can be
derived from ease and speed of construction.
Typical cross-sections of railway tunnels in Europe are given in
Figure 4.3(b). While a horseshoe type is quite adaptable for the common
method of driving used for a surface-to-surface tunnel, a rectangular section,
especially for double lines, is more advantageous when the cut-and-cover
method is adopted. The circular profile is most common in subaqueous
railway tunnels and subways and is very rarely used for surface-to-surface
tunnels in hilly tracts. It is the best in soft and medium soils for which tunnel-
boring machines (moles) are used for driving the tunnels.

4.6.3 Selection of Shape

It is more economical in solid rock to go for a horseshoe section even for
a double-track tunnel. In soft soil it is more economical to adopt two single
track tunnels of circular section. Furthermore, in soft soil it is simpler to use
the driving shield method or a 'mole', the most advanced method of
tunnelling adaptable for use of machinery. The axes of such single tunnels
in soft ground should be spaced not closer than 25 to 30 m if both are being
driven simultaneously. If one is driven later, additional spacing should be
provided to preclude the effect of the load that may already be coming on
the earlier driven tunnel on the driving of the second tunnel.

4.6.4 Influence of Tunnel Lining on a Cross-section

The material of the tunnel lining must also be taken into consideration when
choosing the cross-section. Materials capable of resisting compressive
stresses only (stone and brick masonry and concrete) are limited to structures
composed of rocks and of robust side walls supported on good soil and arch
roofs. They should be used to carry purely compressive stresses or tensile
stresses not exceeding the tensile strength of the mortar used. Examples are
horseshoe and elliptical sections (the major axis of the last mentioned may
be vertical or horizontal) and to a limited extent circular.
Materials capable of resisting tensile and bending stresses alike (rein-
forced concrete, steel and temporarily timber) can be used for lining sections
of any desired shape, designed in the most economical manner and
68

permitting the fullest possible utilization of space. Examples are rectangular

sections with a flat or arched roof and thin shell-like linings.
Some basic principles that govern the design of supports and lining are
given here without going into details. In general, under Indian conditions the
type and thickness of lining of tunnels in rock have been mostly determined
based on past experience. Earlier, masonry lining was popular but now plain
or reinforced concrete is more common. Lining for soft strata and supports
in disintegrated, disturbed and soft rocks are designed as appropriate.

4.7 ROCK PRESSURE2

4.7.1 Types of Rock Pressure

Tunnelling through any ground causes a cavity and removes the support
against load from above and side thrust on the soil around the cavity. Load
from above, which the removed soil had been transferring down, has to be
transferred by the sides of the opening acting as abutments. Due to this there
can be some heave from below also. This is conceptually shown in
Figure 4.5.

Source : Szechy, 1970

Figure 4.5 Distribution of Forces at a Tunnel Opening

Tunnelling through rock induces three types of rock pressure: (a)

loosening pressure, (b) genuine mountain pressure and (c) swelling pressure.
Rocks can be classified into three types in respect of pressure conditions: (a)
solid rocks, (b) pseudosolid, soft and weathered rocks and (c) loose rock.
Smaller the cohesion of the soil mass, more the loosening pressure
resembles silo pressure. The pressure caused by mass above the opening due
 69

to boring and removal of soil is similar to that of a soil mass piled up in a

silo provided with a slot at its bottom. When the slot is opened, the pressure
drops suddenly to a minimum value but gradually increases again as the slot
is opened wider. The latter value, however, does not attain the intensity of
the original geostatic pressure acting on the cover. If the slot is left open, i.e.,
if the material above is left unsupported, a wedge-shaped mass will gradually
drop out from the overlying rock mass into the cavity until equilibrium
corresponding to the changes in stress conditions is re-established.
Solid rock transfers the load acting on it by beam action to the side
supports. In loose rocks and soils, load transfer to the undisturbed lateral
section has to rely on friction developing during mass displacement.
Deflections and bending stresses decrease with increasing height above the
cavity, as the spans become smaller and smaller due to the cantilever support
provided by the lower layers. In counteracting loosening pressure the most
effective method of construction is to excavate the cavity as far as possible
and with as little settlement as possible, followed by support at the earliest
possible time with a rigid and permanent structure.
In the case of countering genuine mountain pressure, the type of rock
must first be ascertained. The methods required for supporting the excavated
cavity against genuine mountain pressure are entirely different in solid rocks
from those required in pseudo solid rocks. The occurrence of genuine
mountain pressure in solid rock is quite exceptional. It reveals itself in
propping which, however unpleasant during construction, does not affect the
final stability of the tunnel. A lining of moderate thickness provided tightly
against the exposed surface of solid rock with rapidity ensures the required
solidity. A rigid lining is required all around, more so at the roof. On the
other hand, in pseudo solid rocks, such as clay, clayey shale, phillite shale,
and crushed and modified gneiss, early provision of lining has been found
to lead to failure whenever a plastic state of stress developed subsequently.
Temporary supports must not be designed to resist genuine mountain
pressures. There are no practical means available to resist these tremendous
pressures and therefore the development of a protective zone must be
awaited. It is a question of time and space. This purpose can be achieved by
providing easily replaceable temporary supports. Prudence dictates that the
pressure of the material is allowed to build up along the unlagged sides to
be dissipated gradually by continuous yielding. This also can be done by
providing a flexible lining in form of a shotcrete layer supplemented by rock
anchors first. Solid lining can be provided later after section takes a set.
Methods have been developed to measure rock movements and pressures, in
the meantime, which help in design of the solid (permanent) lining to be
70

provided. Readers may refer to Pequinot (1963) and Szechy (1973) for more
details on such tests.

4.7.2 Theories Regarding Rock Pressure

Several theories for determination of rock pressure have been proposed. The
following based on various assumptions regarding displacement and
equilibrium conditions, are of particular interest (Szechy, 1973).
(a) Bierbaumer's theory: The theory of Bierbaumer was developed
during construction of the great Alpine tunnels. According to this
theory, a tunnel is acted upon by the load of a rock mass bounded
by a parabola of height h equal to aH, a being a reduction coefficient
and H being depth of over-burden (see Figure 4.6(a) and 4.6 (b)).
Two methods, yielding almost identical results, were developed for
determination of the value of this reduction coefficient. One approach
assumes that upon excavation of the tunnel, rock material tends to
slide down along rupture planes inclined at (45° + f/2), where f is
the angle of internal friction of the soil. The second approach arrives
at a reduction factor based on friction acting on the sliding earth
mass.

Source Szechy - 1973

Figure 4.6(a) Rock Pressure Bulb after Bierbaumer.
 71

(b) Terzaghi rock pressure theory: This theory was originally

developed for cohesionless, dry, granular soils but can be extended
to cohesive soils as well. In correspondence with actual conditions,
Terzaghi assumed that the moisture content in sandy soil is sufficient
to secure the cohesion value necessary for maintaining the vertical
position of the face in minor headings. The sand masses around the
cavity are already disturbed by excavation, and movement continues
even when the temporary supports are installed after the tunnel has
been excavated to full section. These displacements suffice to lead
to the development of a set of sliding planes characterising the state
of imminent rupture in the sand. It is therefore justifiable while
determining the width of the earth mass suffering displacement,
using the inclination (45° + f/2) of the plane of rupture associated
with active earth pressure. Such width is obtained as:
B = 2[b/2 + m tan (45° – f/2)],
where b = width of tunnel, m = height of tunnel.
Displacement of the earth mass is counteracted by the friction
developing on the vertical shear planes. The vertical boundary planes
of displacement may therefore be represented by the verticals drawn
at the ends of the element of width B (see Figure 4.7(a)). At large
depths the arching action of part of overburden reduces effect of
loads transmitted as indicated in Figure 4.7(b).

Figure 4.6(b) Assumption Model of Bierbaumer Theory.

72

(c) A number of theories neglect the effect of depth of overburden, the

oldest being Kommerell's theory. According to this theory,
displacement or deflection of the supporting structure is
representative of the displacement suffered by the disturbed soil
mass. As a consequence of this displacement, the mountain material
is 'relaxed to a height equal to the height of the soil column capable
of filling this space' by loosening. Where the mountain material is
loose or soft enough for lateral pressures to also be anticipated, the
curve enveloping the loading body should be

Figure 4.7(a) Basic Assumptions of Terzaghi's Rock Pressure Theory.

started from the points of intersections of the extended roof line and
straight lines drawn to a slope of (45° + f/2) from the lower corner
points of the cross-section. Otherwise the curve should be the
equivalent of a stress free body contained below a zone of arching
of soil. For covers of over 30 to 50 m, tunnel lining should be
designed for this condition.
If there is no lateral pressure, a parabola or an ellipse of a calculated
height h can be fitted over the tunnel to represent the burden zone
(Figure 4.8). If there are lateral pressures to be considered, the sliding
surfaces at angle (45¢ + f/2) will extend from the bottom line of the walls
up to the top of the section. Above this level, the zone of burden will once
again be contained within a parabola. The height h of this zone can be
calculated by a number of methods. In case of entrance zone the depth will
be low or soil loose above tunnel.
 73

Figure 4.7(b) Rock Pressures at Greater Depths (after Terzaghi),

Figure 4.8 Shape of Kommerell's Pressure Diagram2.

Then, depth of overburden 'h' to be considered will be for full depth. In

larger depths the parabola principle will apply. The vertical loads are
calculated by dividing this area into narrow strips (Figure 4.9). In most cases
the two dividing lines are vertical and construed as representing either side
of the tunnel. The tunnel is then to be designed to withstand the vertical
pressures due to the central strip and the lateral pressures as derived from
 74
Figure 4.9 Assumed Pressures at the Entrance Zone.
 75

the pressure diagram due to the two areas on the sides. Figure 4.10 shows
pressure diagram for rocky strata.

Figure 4.10 Rock Pressures with Large Depth of Overburden.

Except for the adit and exit areas, it makes no difference whether the
surface is sloping or not. In those cases, the diagram of vertical pressure will
be Trapezoidal and the lateral active pressures on either side of tunnel will
not be equal. In solid ground with low pressures, passive pressures must not
be relied on unless there is a distance of at least 9 to 12 m between the
exterior face of the walls and the surface.
Fault Zones: Special consideration must be given to tunnel sections
passing along dividing lines between two different rock layers and/or faults.
These lines will constitute the critical sections, in which tunnel pressure will
not be symmetrical and lateral pressures will also be present in solid rock.
Pressures in solid rock depend largely on the condition of the material. For
example, there will be no pressure at all in sound rock free from fissuration.
On the other hand, adjectives such as 'laminated', 'shale structure', 'block
formations', ‘interwoven’, 'cracked', 'weathered' etc., are all indications of a
tendency to detrition and warrant increases in the assumed lateral pressures.
Moisture content has a similar effect as far as design loads are concerned
because it 'lubricates' the cracks, which would cause an increase due to its
own weight, thereby influencing pressure coefficients.
76

4.8 DESIGN OF TUNNEL LINING

The design practice for the linings differs with the type of soil and the shape
of the tunnel section. In principle, the lining has to withstand Load of
overburden (and water if water table is above); Horizontal pressure—due to
soil and also water if water table is above Self-weight of lining and track/
road and live load transmitted to base, and; Uplift pressure from base due
to the loads mentioned above being trans-mitted to soil below.
These loads cause direct thrust and bending moments to different
components, i.e., roof, sides and invert. It is simpler to resolve these effects
for rectangular or horseshoe type (arch and rib) structure (with a little
approximation). But designing circular sections becomes very complicated.
The total effect has to be worked out by summation for worst combination.
Many designers have found that such precise computations are not called for,
and have evolved some approximate methods for circular tunnels built using
the shield method. One such method is that of Hewett-Johannesson, which
is described below2.
Hewett-Johannesson method takes into account both lateral support and
interaction of soil. It is assumed that their values and distribution are such
that the resultant thrust line coincides with the centre line of the lining and
that no moments are caused. Since it is an approximate method based on an
arbitrary assumption, it is limited to sections composed of segments. The
joints can be treated as hinges preventing development of moments but at the
same time joints are tight enough to transfer the thrusts and prevent
deformation. The loads are analysed both for short-term case (during
construction) and long-term case (as when the tunnel transfers its own weight
and live load also to the base). They comprise of overburden load, earth
pressure, water pressure and uplift from base due to overburden and
superimposed load (self-weight + live load). The lateral resultant earth
pressure will lie some-where between active and passive earth pressures. The
passive earth pressure comes into play to counteract the forces induced by
the vertical loads which tend to make the lining shorter in the vertical
diameter and longer along the horizontal diameter. This elongation is
counteracted by the passive resistance of the earth (Szechy, 1970). Hence the
effective earth pressure will have a value somewhere between the active and
passive earth pressures, i.e., the coefficient of horizontal earth pressure k will
be
la < k < 1/la
where la = tan2 (45° – f/2)
This value k has to be chosen such that there is no resultant moment in
the section. In soft and saturated soil k = 1.
 77

The critical stress in the section skr is given by

Tf
(1  T f /T k )
Where sf = yield stress of lining material or joints and
sk = buckling stress of lining elements bearing against compact soil,
which is given by equation
1/2
2 Î CEJ Þ
Tk
F ÏÐ C  N 2 ßà
F = unit cross sectional area of the lining;
μ = Poisson's ratio.
In case of deep-seated circular tunnels in cohesive soils, alternative
practice has been to design the circular section to withstand the external loads
for hoop tension and compression, treating it as a monolithic structure. Due
to the external loads, the ring will undergo deformation, becoming shorter
in vertical direction and expansion along horizontal diameter. The elongation
will be countered by the horizontal earth pressure which will be somewhat
between active and passive pressures. There will be some bending moment
induced in the ring, but the earth pressure coefficient is chosen so that there
is no moment in the section. In practice this has been found adequate.

Adapted from : Szechy, 1970 (pp 357)

Figure 4.11 Forces acting on a Circular Tunnel (after Hewitt- Johannesson).
78

Rectangular box sections are generally adopted for metro subways and
roads in shallow depths. These are invariably constructed using cut-and-
cover method. The vertical superimposed loads above will be the full depth
of earth filling over the roof, surcharge water up to subsoil water level and
also the effect of live toad on surface(after allowing for due dispersion
through soil), if it is used for road or railway. The horizontal forces will be
active earth and water pressure on sides. Base has to be designed for uplift
pressure of surcharge load, self-weight and live load within tunnel transferred
to soil.
A Design example each following conventional methods are given in
Annexures 4.1 to 4.3 for a Box section, a Horse shoe section and a Circular
section to illustrate basic principles and to indicate pattern of resultant
moments and forces different parts of the structure. These methodologies are
applicable globally and need modification to suit the dimensions and local
external forces in specific cases.

4.9 DESIGN PRACTICE OF RAILWAY TUNNELS

4.9.1 Loads and Forces to be provided for

Roof load: Before designing the type of supports to be provided in a lined
tunnel, it is necessary to make an estimate of the roof load, i.e., the depth
of overburden. As would be noted from the foregoing discussions, the
standards adopted depend on local conditions. Broad indications depending
on the strata of rock met with in India and generally accepted in Indian
Railways have been:
(a) For hard stratified rocks, the roof load is taken for depth equal to half
the width of the tunnel.
(b) For massive rocks moderately jointed, depth of overburden is 0.25
to 0.35 times the width plus height of the tunnel.
(c) For moderately blocky rocks, 0.25 to 0.35 times the width plus height
of the tunnel is assumed for depth of overburden.
(d) For highly blocky rocks it is taken as 1.1 times the width plus height
of the tunnel. For rock tunnels, this is almost the maximum roof load.
Side pressure in all the above cases can be deemed negligible and
provision made only where the rock occurs in stratification dipping
towards the alignment.
(e) In the case of crushed rock or squeezing or swelling type of rock, side
pressure of considerable magnitude is met with and must be provided
for.
 79

All the loads mentioned here can be reduced by half if the tunnel is
permanently located above the water table.
Szechy suggests a maximum value of 2.5 B, B being width of tunnel.
IS:5880 (Part V)-1972 specifies that strata load to be considered should be
1.10 to 2.10 times (B + Ht), where Ht is height of tunnel.
In practice it may not be possible to predict to any degree of accuracy
the type of rock that would be met within the range given in the previous
paragraph. Most tunnels exhibit weathered broken rock at the exit and
entrance and better conditions in the interior of the hills. The dip or
inclination of the rock, while being favourable in some lengths of individual
tunnels, becomes adverse in curved sections of the tunnel. The blocky nature
of the rock produces some unexpected domes and vaults. The presence of
mica, biotite, schist and graphite produce slippery rock surfaces.

4.9.2 Choice and Design of Structure

It is generally necessary to have a ready design of permanent steel supports
to cover all such conditions, in standard lengths of steel verticals, wall plates
and ribs, except as dictated by requirement of additional clearances on
curves. It should provide a high level of flexibility and the requisite strength
of support provided for only by altering the spacing of these verticals and
the ribs. Broad-flanged beams would definitely be superior to joists or
channel sections, where easily procurable. Consistent with the assessed roof
load, in practice the arch ribs have been spaced as close as 250 mm centres
and as far apart as 750 mm centres and the verticals spaced at 1.5 m centres
and where required at 1.0 m centres with a runner in between. Where heavy
side pressures are anticipated, one vertical under each rib or at 500 mm
centres need be provided. It would be no exaggeration to state that this high
level of flexibility of steel supports contributes to rapid and efficient progress
in the supporting of tunnels soon after excavation and yet with economic use
of steel in many cases.
IS:5880 (Part V)-1972 stipulates that “while designing the final lining
the fact that the primary lining and the steel support will also participate in
resisting the forces shall be taken into consideration.” To ensure this, the
clause 7.5 stipulates that the gap between the strata and lining shall be fully
covered by grouting and that the rock around the tunnel for at least one
diameter be strengthened by grouting under pressure. The steel supports and
primary concrete will take care of the external load and this should be
designed by methods similar to those used in design of culverts. The IS
requires that the gap between the strata and support lining is fully backfilled
and grouted at a pressure not exceeding 0.2 N/mm2 soon after support and
80

lining is placed. The roof load is transmitted to the arch rib at points where
the rib is blocked against the roof. The practice on Indian Railways has been
all along to provide a 50 mm thick hard wood lagging over the ribs and to
provide 'tight' packing, i.e., continuous packing over the length of the arch
rib. Calculation of maximum thrust and bending moments, if any (depending
on the arch shape), determination of the force of passive resistance mobilised
by the rock against the active tendency of the rib (in some portions) to
advance toward the rock are matters of statistical determination and any
convenient acceptable method can be used. Where 'tight' packing is provided,
the thrust in the rib may be deemed equal to the vertical reaction. The vertical
is to be designed to take the reactions from the arch and the side pressure
as deemed necessary depending on type of rock and in all cases of moorumy
soil strata. It is designed as a column fixed at the base and free at the top.
In case of subway tunnels, RCC is the natural choice. RCC box
structures are designed as frame units on spring supports. Bored tunnels are
generally designed as flexible closed rings using precast RCC segments.
Earlier ones had used CI of steel prefabricated matching segments. A brief
summary of the design done for a few combinations of boxes used on
Kolkata Metro is presented in Annexure 4.1.
A typical calculation of arch rib and vertical forms Annexure 4.2. Where
heavy side pressures are expected as in the case of squeezing rock condition
(as in shale or highly weathered rock), invert struts will also have to be
provided to withstand the thrust and later embedded in invert concrete.

4.10 MODELING APPROACH TO DESIGN

ITA (International Tunnelling Association, Working Group on General
Approaches to Design of tunnels has presented a report on international
design procedures for tunnels5. It takes into account the factor of the ground
around actively participating in providing stability to the tunnel opening. The
report covers in detail the general approach to design including site
investigations, geotechnical probing, in-situ monitoring (during
construction), and a flow chart for design procedure in tunneling. It gives
alternative approach to structural modeling which should be based on the
following criteria-
• Deformation and strains
• Stresses and utilization of plasticity
• Cross-sectional lining failure
• Failure of ground or rock strength, and
• Limit -analysis failure modes
 81

According to this document the forces acting on the tunnel from the
ground above and around for different conditions and approaches will be as
presented in Figure 4.12(a).

Source: Reference 5
Figure 4.12(a) Plane Strain design models for Different depths and Ground
stiffness.

It presents four structural models for (plane) two dimensional structural

analyses. They are:
(i) In soft ground, immediate support is provided by a 'relatively stiff'
lining. In shallow depths, as in case of urban subways, a two
dimensional analysis will do, neglecting three dimensional reaction
as near tunnel face. Ground pressures acting on the tunnels are
assumed as equal to primary stresses that would exist in undisturbed
ground in cases 1 and 2. In case 1, full overburden can be taken as
load. Ground reaction is simulated as radial and tangential springs,
and bedded beam model approach is followed. In case 2, 'soil
82

stiffness is employed assuming a two-dimensional continuum model'

assuming existence of complete bond between ground and structure.
Any inward displacement would result in reduction of pressure on
lining.
(ii) In case of case 3, (in large depths) deformations in the ground before
lining become active, some stress release is assumed to occur.
Ground may be strong enough to allow some unsupported length
near tunnel face in medium rock and highly cohesive soils. In case
of high overburden, there will be some reduction in load on crown
i.e., h < H, as shown.
(iii) Case 4 represents an emphirical approach (generally followed
earlier), which is based on previous experience in similar grounds
and same method of tunnelling, modified based on in-situ
observations and monitoring of portion of tunnel already done. This
is a design model subject to continuous modification based on
observations.
Except in case of complicated geometrics of the underground structures,
two dimensional structural models are considered adequate and in
complicated cases, three dimensional models are used. Normally bedded
beam models are used. Generally Finite Element analysis is used for
structural design. In case of shield driven tunnels using segmental linings and
fully closed circle, an approximate method can be used considering only the
ring forces and consider the bending moments less important for providing
equilibrium. Figure 4.12(b) shows the loading pattern and forces and
moments on a circular section of a tunnel. Reference 5 may be referred to,
for more details.

Source: Reference 5
Figure 4.12(b) Bedded beam Model for Shallow tunnels.
 83

Latest development is use of computer models for entire design. This has
been done for the tunnels under construction in a large scale by Northern
Railway on the USBRL Project and by North east Frontier Railway in Assam
and Manipur. Alternatives used are a 2-D Finite element program developed
by Rockscience. Inc of Canada and one available on STAAD-PRO. Other
commercially available programmes are SOFTiDik and C-Tunnel using
Finite Element analysis. They take into consideration both thrust and bending
moment on D shaped as well as Ellipse and Horse shoe forms. One typical
such design, done for a Horse shoe type BG Railway tunnel is presented in
detail in Reference 6.
Szechy's method for circular tunnels has been used by KRCL for the
circular lining of Honavar tunnel. A brief summary of same is given in
Annexure 4.3.

4.8 REFERENCES

1. Pequinot, C.A., (1963) "Tunnels and Tunnelling'- Hutchinson, Scientific and

Technical, London, pp 216-240
2. Szechy, Karlowi, (1970) 'The Art of Tunnelling,' Akedimiai Kinda,
Budapest, Hungary, 1970, pp 264-365
3. Lal Das, J.N. (2014), 'Design, Construction and Maintenance of Railway
Tunnels', Proceedings of National Technical Seminar, on Management of
P.Way Works through need based Outsourcing and Design, Construction and
Maintenance of Railway Tunnels, Jaipur 2014
4. IS: 5880, Part (V), 1972,
5. Heinz Duddeck (1988), 'Guidelines for the Design of Tunnels'- ITA Working
Group on General Approaches to the Design of Tunnels'- Tunnelling and
Underground Space Technology, Vol. 3 No 3, pp 237- 249
6. Brahma, N.,(2014), 'Understanding Rock Mass Behaviour and Design of
Tunnels using Soft Computing Techniques: A Case Study, Proceedings of
National Technical Seminar, on Management of P.Way Works through need
based Outsourcing and Design, Construction and Maintenance of Railway
Tunnels, Jaipur 2014 pp315-356.
7. Sen, P.K., 1985, 'Computerised Analysis of Subway Boxes for Calcutta'
Metro'. Proceedings of International Seminar on Metro Railway-Problems
are Prospects, Calcutta-Paper 11.
8. Padmanabhan, V.C.A., 1965, 'Notes on D.B.K. Railway Project',
Unpublished Indian Railways Report, 143 P.
9. Limaye, S.D. and Narayanan, S.S., (1994), 'Design of a circular lining for
shield- driven tunnel', Indian Concrete Journal, February, 1994. pp 103- 106.
 ANNEXURE 4.1

TYPICAL EXAMPLE OF DESIGN OF

A BOX SECTION TUNNEL

A.1 General
Reinforced concrete tunnels of single-vent or two-vent box sections are
commonly used for metro tunnels, especially when the tunnel is constructed
by the cut-and-cover method. This type has been used for the metro railway
in Calcutta. Typical method of analysis used for a box section for the
underground railway tunnel is given in this Annexure*.
The box sections used for underground railway operation are of the
following types:
(a) Single-storey box of one or two cells for track between stations.
(b) RC boxes of one or two storeys and with one or more cells for
stations.
(c) Cells divided by RC columns spaced at about 3-m intervals in the
non-station portion and by RC columns at 6-m intervals in the station
portion.
Three of the different types of boxes used, with concept of forces acting
on same are shown in Figure A.4.1. The concrete used was generally
controlled concrete grade M-20. (Now a days richer mixes are used) The
slabs and walls vary in thickness from 500 to 800 mm.

*Adapted from a design by P.K. Sen for Metro Rail, Calcutta. (P.K. Sen, 1985)'
 85

A.2 Notations Used

C — Value of cohesion of soil
G — Dry density of soil
gs — Bulk density of soil
gw — Density of water
f — Angle of internal friction
Ks — Modulus of subgrade reaction
us — Poisson ratio for soil
Es — Young's modulus of soil
Ec — Young's modulus for concrete
B — Width of footing
J — Moment of inertia of bottom slab of subway box
S — Spacing of Winkler springs
E — Equivalent Young's modulus for Winkler spring
P — Load on Winkler spring
y — Deformation of Winkler spring
H — Height
P — Earth pressure.

A.3 Loading
Loads due to the following have to be considered for analysis:
— Earth pressure
— Lateral pressure induced due to building surcharge
— Superimposed dead loads
— Superimposed live loads
— Train live load with impact
— Live load due to passenger traffic in stations (mezzanine and
platform slabs)
— Machinery load with vibration effect in stations
— Self-weight.
Earth pressure has been worked out using formulae:
Intensity p = HK – 2 × C
1  sin G
where K
1  sin G
gs = g + gw
86

Figure A.4.1 Box Types, Loads and Forces acting on Different Segments of same.
 87

For working out total pressure, the water table may be assumed at ground
level.
Weighted average value of cohesion, bulk density and angle of internal
friction may be increased or decreased by 2 standard deviations and maxi-
mum and minimum earth pressures may be considered for analysis to allow
for variation in strata.
Lateral pressure due to building surcharge: Lateral pressure due to
building surcharge has to be considered at locations where buildings are in
the vicinity of the cutting. For rough assessment, the surcharge is taken as
55 kN/ sqm at an appropriate distance but not less than 2 m from the outer
edge of the box and not less than 1.5 m below GL.- assumed to act
continuously along the side of the vertical wall of the box.
Superimposed loads: Live load: Worst of the following: Surcharge due
to tracked vehicles (700 kN) marching in parade with 30-m gap between tail
and nose of following tanks and 2-m lateral gap of adjacent tanks or
20 kN/m2.
Angle of dispersion in soil: 30° to vertical.
Dead load. Due to overburden of soil and water above box Plus future
overburden equivalent to 0.50 m in built-up area and 1.50 m in
underdeveloped area.
Mezzanine floor, platform and other slabs accessible to pedestrian traffic
and/or supporting station equivalent and not continuously supported by earth
design for UDL of 1 kN/m2.
Train live load: Superimposed loads due to axle loads and longitudinal
forces considered only for design of track structures and not the box as their
effect here is negligible.
Live load due to passenger traffic: Platform slabs. Mezzanine slabs
and all slabs accessible to passengers = 5 kN/m2 UDL.
Loads due to machinery: As per actuals for air-conditioning and
ventilation equipment with necessary increment for vibration.
Self-weight: Unit weight of concrete: 24 kN/m3

A.4 Combination of Loads

Combinations and conditions considered:
Case I: Top slab — value of g and gw increased by 10%
Side wall — value of g increased by 20% and 10%
88

— value of f increased by 5°
Case II: Top slab — value of g and gw decreased by 10%
— Side wall value of g increased by 20% and gw by
10%
— value of f decreased by 5°
In any combination, any member is designed for the worst effect. Earth-
quake forces are not considered.
If the box is only partly integrated with the diaphragm wall by leaving
a small gap between the side wall and the former but extending top and
bottom slabs to the diaphragm wall, the side wall is designed for lateral
pressure due to full height of water instead of earth pressure. If the box is
integrated with the diaphragm wall by treating the latter as a permanent wall
of the box, the diaphragm wall is checked not only for temporary conditions
but also for Cases I and II above.

Design Example
The design example given here is for a station section Box type 2 (see
Figure A.4.1) Data: C = 30 kN/m3
f = 0°
g = kN/m3
gs = 18 kN/m3
gw = 10 kN/m3
Height of overburden = 2.36 m
Add for future = 0.50 m
2.86 m

Top Slab
Weight of earth = 1.10 × 8 × 2.86 = 25.20 kN/m2
Weight of water = 1.10 × 10 × 2.86 = 31.60 kN/m2
Self-weight of slab (650 mm) = 0.65 × 24 = 15.60 kN/m2
Total dead load Live load = 72.40 kN/m2
= 20.00 kN/m2
92.40 kN/m2
say 92 kNim2
 89

Mezzanine Slab
Self-weight 400 mm slab floor = 0.4 × 24 = 9.6 kN/m2
300 mm slab floor – 0.3 × 24 = 7.2 kN/m2
16.8 kN/m2
Live load 6.0 kN/m2
22.8kN/m2

Side Wall
Earth pressure at centre line of top slab:
1  sin G
K 1
1  sin G
Depth of C.L. of top slab from G.L = 2.36 + 0.325 = 2.685 m.
Depth of C.L. of future slab = 3.185 m.
Value of buoyant earth pressure (after reducing 20%)
= (0.80 × 10 × 0.50 + 0.80 × 8 × 3.185) – 2 × 30
= 0 since resultant negative value is not possible.
Value of water pressure (after reducing 10%)
0.90 × 10 × 2.625 = 21.30 kN/m2.
Therefore total pressure = 21.30 kN/m2
Net vertical load (load from top slab load from mezzanine + self-weight of
side walls and columns) divided by width of box gives net vertical unit load/
pressure.

Design
Box is a closed frame totally buried in soil.
Package programme for plane frame analysis not possible.
Moment distribution method is tedious as has to be done first without
sway condition and then sway correction applied.
Hence Kani's method using a set of simultaneous equations and iteration,
as illustrated by Thadani was adopted (Kani, 1947; Thadani, 1964).
A set of equations, one for each member for:
End moments in terms of fixed end moment, sway, angular distributions
at near and far end and relative stiffeners.
Sway and angular distortions expressed in terms of moments after
multiplying by suitable factors.
Though analysis can be done manually in a semi-graphical manner, to
make it quicker, a computer program written in FORTRAN-IV is used. The
resultant moment diagram is given in Figure A 4.2. for some typical sections.
90

Figure A.4.2 Moment Diagrams Based on Kani's Method.

 91

The above detailed method has some basic shortcomings:

(a) Here pressure distribution is considered uniform, which condition is
not strictly applicable to Kolkata soil. Also, the section assumed
thinner and more flexible than the ones designed elsewhere (Moscow
or Osaka). For Kolkata soil, a parabolic distribution is more aptly
applicable.
(b) The computer program is written for only 3 types; the other 5 had
to be done manually, which is more laborious.

A.5 Analysis by Stiffness Matrix Method

Hence, as an alternative, Winkler spring method was tried for same design.
This method, on the other hand, considers the box as supported on a series
of Winkler springs (Szechy, 1970; Hooper, 1970). The relative merits and
demerits of method adopted are discussed below:
Merits
(a) Analysis can be done very quickly and easily for any type of
underground box using any package programme meant for analysis
of plane and space frame.
(b) Realistic non-linear base pressure variation is taken into account to
the greatest possible extent.
(c) Extents of data preparation and computer usage time are much less
and, as such, obtaining solutions is quite economical.
Demerits
(a) As per Hooper (1970), the above-mentioned model of Winkler
springs does not represent the real behaviour, in particular for a rigid
structure founded on compressible strata overlying a stiff base. But
a typical box like the one used in Kolkata Metro is a flexible
structure. There is also no stiff base under Kolkata soil and, as such,
analysis by finite element based on half space continuum or layered
continuum models is very difficult and expensive.
(b) It is difficult to ascertain the modulus of subgrade reaction values
experimentally for different field conditions.
But as per Bowles (1985; pi. 268), the modulus of elasticity and Poisson
ratio of soil can be obtained by the formula:
Es
Ks (2)
B(1  N s )2
92

Ks and μs can be determined at any depth from tri-axial test data on

undisturbed samples collected from that depth. Ks can also be calculated
roughly from the Table given by Bowles (1985; p. 262).

Calculation for Flexibility of the Box

As per Szechy (1970; p. 473):
4EcJ
L 4 (3)
BKs
If l/L > 1, the bottom slab of the box belongs to a category of short beams,
it can be considered as flexible and can be analysed as supported on a series
of Winkler springs.
For a typical double-storey box of the Kolkata metro (Type 2), the L
value can be calculated as follows:
Ec = 2.5452 × 107 kN/m2
Jc = 0.02858 m4
Ks = 15600 kN/m3
B = 1 metre
Hence
1/4
Î 4 – 2.542 – 10 7 0.02858 Þ
L Ï ß
Ð 1 – 15800 à
4
186.1 3.62 m
l end span = 6.25 m
l / L = 6.25 / 3.62 = 1.693 > 1
Hence the structure is flexible and can be considered as supported on
Winkler springs.

Calculations of equivalent modulus of elasticity

Length etc. for Winkler springs: Consider 1 m length of the subway box.
The bottom is divided by a series of Winkler springs having an equal spacing
of S. Thus the equivalent area for an intermediate spring member is S.
Considering its length to be unity, the deformation as per Hook's law
DY = (Load on Spring × Length)/(Area of Spring
× Equivalent Young's Modulus)
= (P × l) / (S × E)
As per Winkler's Hypothesis,
 93

Pressure at structure – Soil Interface = Ks DY

Now load P on a spring = Area × Pressure
P = S × KsDY
= S × KsP/(S × E)
E = Ks
The stiffness of the spring members is assumed to be zero. However, a
very small moment of inertia value is fed into the computer for running the
program.

Running on computer
The problem was then formulated for running on a package program called
'STRESS'. The program was written in FORTRAN-IV language for solving
of plane and space frame structures by the Stiffness matrix method. Plane
frame and space structures up to 900 members and 900 joints can be solved
using this program.
The equivalent structural models for different types of boxes are shown
in Figure A.4.3 and resultant moment diagrams are shown in Figure A.4.4.
On comparison of results from Kani's method and the matrix method
assuming an elastic base, it can be seen that there is some redistribution of
moments from bottom corners to top corners. Results from the stiffness
method for box (1) are derived by assuming 400 × 800 mm (along the length
of box) column at the centre hinged at top and bottom spaced at 3 m centre
to centre. The resultant moment diagram compares well with those derived
from Kani's method. The comparative S.F diagrams from Kani's method and
stiffness matrix method for box type (2) are shown in Figure A.4.5. The base
pressure distribution for different boxes is shown in Figure A.4.6.
Each particular problem for a single loading case took 50 secs. on an
average in the CPU of the computer.
94

Figure A.4.3 Equivalent Structural Models for Boxes Supported on Winkler

Springs,
 95

Moments in kN-m
Figure A.4.4 Moment Diagrams Based on Flexibility Method.
96

Figure A.4.5 Comparative Shear Force Diagrams for Box Type-2 (by Kani's and
Stiffness Martix Methods.).
 97

Figure A.4.6 Base Pressure Distribution.

 ANNEXURE 4.2

DESIGN OF STEEL SUPPORT FOR

A HORSE SHOE SHAPE TUNNEL*

Data Available
(i) The rock is completely broken and crushed.
(ii) Water table is below the bottom level of the tunnel.
As the rock is completely crushed, it will have considerable side pressure
in addition to the rock load.
Calculation of Roof Load
For completely crushed rock, the roof load 'Hp' over the roof of tunnel is
given by the formula:
HP = 1.10 (B+Ht)
where B = width of tunnel
Ht = depth of tunnel
B = 5.86 m
Ht = 7.87 m
Hence HP = 1.10 (5.86 + 7.87)
= 15.103 m.
As the roof of the tunnel is located permanently above the water table
‘Hp’ can be reduced by 50%.

* Adapted from a design done by M.A. Umar for DBK Rail Project in India-Refer
Padmanabhan, 1965
 99

Hence HP = 0.5 × 15.103

= 7.55 m or 7.60 m.
Weight of crushed rock ranges from 1960 kg to 2450 kg per m3.
Assume an average weight of soil of 228 t/m3
Load per square metre = 7.6 × 2.28
= 17.33 tonnes.
The block point spacing is kept very small in case of crushed rock as small
pieces of rocks are likely to fall out being loose. Actually in this case, lagging
has been provided throughout the rib.
As the spacing is reduced, the thrust ‘T’ in the rib caused by rock load
over the rib tends to become equal to the vertical reaction Rv.
Hence T = Rv.

Design of Rib Section

Rv = the vertical load on half the tunnel.
T = Rv = (5.86/2) × spacing between ribs × 17.33 tonnes.
Spacing of rib is kept between 0.60 to 0.90 m for heavy loading. Keep
spacing of 0.60 m using 150 mm x 75 mm joist having an area of 22.77 sq
cm. Deduct the hole area for one tie-rod of 16 mm.
Area effective = 22.17 – 1.93 = 20.84 sq cm.
Stress in the joist = T / A.
T = (5.86/2) × 0.60 × 17.33
= 30.47 tonnes.
30.47
Stress 1462 kg/sq cm < 1590 kg/sq cm
20.84
Hence safe.
Provide ribs of 150 mm × 75 mm I-joist at 600 mm c/c.

Design of Vertical Post

The spacing of the rib comes to 600 mm c/c. It would have been better if
continuous ribs were used in which case, the spacing of the vertical posts
would have remained the same as that of the ribs. This is, however, not
possible on account of the huge side pressure caused by the crushed rock on
the vertical post.
Assume 250 mm × 125 mm R.S.J for vertical posts. The vertical post
is to be designed for a vertical load of 30.47 tonnes and for the side pressure.
This is designed as a slender column and whereas the allowable fibre stress
in the arch may be taken as 1590 kg/sq cm, the fibre stress permitted for the
leg is smaller on account of buckling.
100

I for 250 x 125 RSJ @ 216 kg/metre section along x- x axis is 6086 cm4
A = 57.09 cm2.
r along x-x axis = I/A = 10.34 cm.
The permissible stress in the vertical post is given by the formula (in FPS
units)

24000 Î È l Ø Þ in FPS units.

2
Ï17000  0.485 ß
18000 Ð ÊrÚ à
where
l is length of vertical post,
r radius of Gyration
l = 11' – 4½'' + 2'4'' = 13' – 8½'' = 164.5'' or 4.18 metres.
Hence Permissible stress is

24000 Î È 164.5 Ø Þ
2
Ï17000  0.485 É Ù ß
18000 Ð Ê 4.07 Ú à
= 21,600 lbs/in2 or 1522 kg/sq cm.
Let Mh = Bending moment caused by lateral pressure in kg-cm.
Mc = Bending moment from all causes combined at point of maximum
deflection in kg cm.
The maximum deflection is slightly below the mid-point of leg.
Maximum deflection of leg caused by moment Mh in cm
E = Modulus of elasticity, 29,400,000 lbs/ sq in. or 2072000 kg/sq
cm
I = Moment of inertia = 6086 cm4
Rv = T Thrust = 30470 kg
tc = Stress in leg at point of maximum deflection in kg /sq.cm
H = Height of rock causing vertical load = 7.6 m
w = Weight / unit volume of rock = 2.28 tonnes/cu m
Length of straight leg = 4.18 m
s = rib spacing = 60 cm
W = Total horizontal pressure of rock on straight leg in kg
I for 250 × 125 RSJ @ 45 kg/metre run
A = 57.09 sq cm.
I = 6086 cm4
 101

rxx = 10.34 cm
l = 3.46 + 0.71 = 4.18 m.
Permissible stress = 1522 kg /sq cm
W = (sHp wl) / (3 × 12)
0.60 – 7.60 – 2280 – 4.18
= 14486 kg or 14.5 tonnes
3 – 12
Mh = wl /14.2 = 14.5 × 4.18 / 14.2 = 4.268 tonne metre or 426,800 kg
cm.
14500 – 418 ^ 3
dl = wl3/ 185 EI 0.455 cm
185 – 2072000 – 6086
MC = Mh2 / (Mh × 1000 – 0.455 × Rv)
= 4268002 / (426800 – 455 × 30296) kg
= 4268002 / 413017 kg cm = 441043 kg cm
Maximum stress fc in the vertical post is the sum of direct stress and
bending stress.
fc = (Rv / A) + {Mc / (I / y)}
= (30470 / 57.09) + {441043 / (6086/12.5)}
= 533 + 906 = 1437 kg/sq.cm.
< 1522 kg / sq. cm permissible.
As this is less than the permissible stress the section adopted is safe. Hence
provide 250 mm × 125 mm × 45 kg/metre R.S.J. @ 600 mm centre/ centre
as vertical posts.

Design of Wooden Laggings

Span of lagging is 600 mm and is continuous over two or three rib supports
depending upon the length of laggings available.
Consider 300 mm width of lagging.
Load/ sq metre = 17.33 tonnes
Load/lagging = 17.33 × 0.30 = 5.199 tonnes/m.
Neglecting weight of wooden lagging being very small,
B.M = Wl2/10
= (5199 × (0.60)2 × 100}/10 kg cm.
= 18688 kg cm.
z= M/f
Using Sal wood laggings with f = 148 kg/cm2
102

Figure A.4.2.1 Typical Tunnel Section on a Railway Track with Permanen1 Steel
Supports.

Z required = 18688 /148 = 126 cm3

Z = bd2/6 = 30 × d2/6 = 5d2
5d2 = 126

d= (126/5) = 5.02 cm.

5 cm (2 in) thick Sal wood laggings will do.
 ANNEXURE 4.3

DESIGN EXAMPLE OF
A CIRCULAR TUNNEL

Some of the designers have found the approximate method of design by

Szechy2 gives very good results for the forces acting on the tunnel. The
segmental lining used on the Honavar circular section has been designed
using the same. They used the bedded beam model for the design. They used
hand calculations and checked by analyzing the lining with the same forces
treating it as a closed frame using a computer programme and results from
both were found to be in close agreement. The design made for the Honavar
shield tunnel and presented in form of a technical paper by S.D. Limaye and
S.S. Narayanan9 in the Indian Concrete Journal of February, 1994 is
presented here as an example.

Forces:

The section chosen is a circle with internal dia. of 7.2 m.

The soil strata varied from coarse grained laterite to stiff clay. Percentage
of clay present was 20% with c value varying from 0.15 to 0.40 kg/sqcm.
and f varying from 0 to 15 degrees. The effective depth of overburden
depends on tunnel opening, soil strata, its properties and sub-soil water
position. In this case, it worked out to equivalent of a 9.4 m height of column
above crown. Lateral earth pressure comprises of two components viz., effect
of surcharge in form of resistance/ passive pressure provided by the tunnel
104

walls and the active pressure exerted by the soil over the depth of the tunnel.
They are represented in Figure A. 4.3.1.
In this case Pv = 1.8 × 9.4 = 16.92 t/m
Ph = Passive pressure assuming k =1
Pe = computed for mean values of soil parameters given
above
The lining will be subjected to bending moments and thrust caused by
(i) external forces/ loads, as shown in Figure A 4.3.1 and (ii) self weight of
structure.
For (ii), unit weight of RCC is taken as 2.5 t/cum and thickness of shell
as 300mm, thus giving unit weight of 0.75 tonne per cum.

Equations Applied
Following equations apply to the structure treated as bedded beam. Bending
moments and thrust are computed at different positions. It varies with the
angle a subtended with the vertical axis, as shown in the figure.

Figure A 4.3.1 Forces acting on circular lining and Deformed state of lining.
 105

For external forces:

Moment
PvR2 Ph R 2
M cos B  cos (180’  2B )
4 4

PvR 2
 {4 (1  cos B ) 3  10  15 cos B}
4
Thrust
PvR PeR
N  sin 2 B  P h R sin 2 (90’  B )  cos B {4 (1  cos B ) 2  5}
4 16
Due to self weight, the forces and moments will be different for top half and
for bottom half. Following equations are applied for same, where g = unit
weight of the lining.
For top half

Moment M gR 2 ^ 3
8
5
Q  B sin B  cos B
6 ` and

Thrust N ^
g R — sin — 
cos B
6 `
For bottom half

^ `
2
Q 5 Q
M g R 2 (Q  B ) sin B  sin 2 B  cos B 
2 6 8

Î ÈQ BØ Þ
Thrust N g R ÏQ sin 2 B  ÉÊ ÙÚ sin B cos B ß
Ð 6 à
Assuming symmetry the moment and force distribution will be symmetric
about the vertical axis.

Analysis
The lining was analysed treating it as a closed frame using computer
programme and it was found that the results were in close agreement. Figure
A 4.3.2 shows the distribution of resultant moments and thrust in the section
at different locations.
Application to a Subway Tunnel- Worked example
As an example, the Szechy method is tried for design of a Subway tunnel.
106

Source: Reference 9
Figure A 4.3.2 Diagram showing Resultant Moment and Thrust in the section.

The given equations have been applied to a Metro tunnel of 5.8 m ID.
and loads as given below. Considering it as a shallow fill and applying the
approximation of Pb = 0.5 Pv the moments and thrusts have been worked
out and presented below;
Internal diameter = 5800 mm
Thickness of shell = 300 mm
R = (5800 + 300) / 2 = 3050 mm or 3.05 m
Unit weight of concrete = 25 kN/ cum
Unit weight of soil = 18 kN / cum
Pv equiv 9.4 m = 160 kN/sqm.
Ph assumed as 0.5 Pv treating it as a shallow tunnel and applying ITA
Working Group note.
Pe is not considered in addition.
Computations were made using a spread sheet, for BM and thrust at 30°
spacings on the tunnel profile. Resultant BM and Thrust are shown in Figure
A 4.3.3 which shows the distribution of moments and thrust on the section
at different locations.
 107

Figure A 4.3.3 Bending Moment and Thrust Distribution in a Subway Tunnel 5.8
m ID
 C H A P T E R

5
Survey and Setting Out
5.1 GENERAL
Survey and setting out of the tunnel alignment at the time of construction
constitutes a critical phase in the construction of a tunnel. IS: 5878 (Part I)
lays down the Code of practice in respect of 'Precision Survey and Setting
Out'. Setting out has to be done precisely, as later correction of any error
caused at this stage will either be impossible or prove prohibitively costly.
If construction is done from one end, any error in setting out the line or
traverse, even just one angle wrong, can result in shifting of the exit point
several metres away from where it should actually be. One can imagine the
problems of connecting up such a point in hilly country. If a tunnel is bored
from both ends, as is the usual case, the error in setting out may result in
their not meeting in the middle due to vertical shift, or their axes being found
shifted laterally or both. Extra work would have to be done to widen the ends
or to introduce the sharp reverse curves that may be needed. These would
have serious repercussions on speed of the vehicles plying in the tunnel.
Some examples of construction with remarkably low error results are given
in Table 5.1.
Normally, the alignment of the proposed line or road is marked on
topographical sheets of the area, which for India are available with the
Survey of India in scale 1:50,000 (and now for some areas in scale 1:25,000
also). In plain country, the alignment is then set out and fixed on the ground.
Where a tunnel is involved, the position of the end portals are similarly
 109

Table 5.1 Closing Error in Selected Tunnels

Name of tunnel Length, km Closing error in mm

Horizontal Vertical
St. Gotthard 14.9 175 100
Letchberg 14.5 254 102
Simplon 19.7 202 87
Mont Blanc 11.6 13 200
Havenstein 8.1 50 10
Wasserfruth 3.6 50 10
Tavern 5.6 550 56

Source: Pequinot (1963) and Szechy (1970)

marked with reference to the nearest triangulation stations or to fixed known

points.

5.2 SETTING OUT ON SURFACE

5.2.1 General
Since a tunnel would pierce a ridge or high ground the two ends will not be
visible from each other. Hence the line and actual bearing have to be fixed
by sighting some intervening mutually visible point or target fixed on
surface.

5.2.2 Progressive Ranging

If the ground is not too undulating and not covered by too many obstructions,
the simplest method is to fix these utilising one or two intervening points:
(i) The alignment of the tunnel is marked on the topographical sheet and
the same is transferred to the ground with the aid of a theodolite,
starting at one end, which point is identified with reference some
identifiable benchmark and direction (bearing).
(ii) It is then set out from station to station fixed progressively in required
direction over the intervening ground until the extended line reaches
the estimated position of the tunnel station at the other end. Extension
of traverse or setting out of each Intermediate station should be done
by double transiting the theodolite on both circle left and circle right
and the mean position obtained for the next station for further
propagation.
110

(iii) In the first trial, some deviation/displacement of the terminal station

will be seen. Let this be 'x' mm.
(iv) Let C be an intermediate point on the alignment AB and Let A be
one of the stations used for set out. The point C will then be laterally
shifted by y, where y = x(AC/AB × v)
(v) The extension process will again be repeated until almost a straight
line through A and B is obtained, i.e., when the line passes through
A and B. Then the intermediate points are marked and pegs fixed for
further reference and for later setting out of any intermediate point
where it is proposed to sink a shaft (for ventilation or for the purpose
of locating more working points). (Pequignot, 1963).

5.2.3 Reciprocal Ranging1

Alignment for a short straight tunnel can be fixed by successive
approximation by a number of trial ranging whenever visibility of some
intermediate points from either end is possible. Figs. 5.1 and 5.2 show two
typical cases. In Figure 5.1, PQ is the tunnel length on alignment line XY.
X1 is the first sight line set out from X. A point on the same visible from
Y is established on the line X1 so that it is sighted from X and Y. Let point
2 be such a point of intersection established. A rod is fixed next at 3 on the
sight line Y2 from instrument at Y. The sight line from X is now shifted to
3 and 4 is established on the sight line so that it is visible from Y also. The
process is repeated till such time the ranging rods fixed at summit points are
on same line from both X and Y. Figure 5.2 shows a modification of the
method using 3 ranging rods.

Figure 5.1 Layout for short tunnels (Successive approximation).

 111

Figure 5.2 Layout for short tunnels (Successive approximation with auxiliary
range pole).

Figure 5.3 shows a method by sighting an intermediate point R’ visible

from both X and Y. By measurement of angles and distances a and b,
distance S and Î’ can be computed and point R can be established on the
alignment.

Figure 5.3 Layout for Short Tunnels (by Angular measurements).

5.2.4 Traverse Method

In heavy undulating or crowded country or in an area with intervening
buildings situated on the alignment, setting out a straight line by the above
mentioned methods may not be feasible. In such a case the traverse or
triangulation method is adopted. The route chosen in both cases should
connect a number of stations on or close to any intermediate point over the
tunnel alignment, wherever sinking of shafts might be proposed. This will
facilitate precise measurements to such points falling on the tunnel axis.
The accuracy of any theodolite traverse for normal tunnelling work
should be such that the order of error is within 1 in 10,000 with angular error
of closure not exceeding 15 N seconds, where N is the number of angles
of a traverse. Though linear measurements can be taken with normal steel
tapes, for better accuracy with use of seconds theodolite, an 'invar subtense
bar' or 'invar tape' should be used.

5.2.5 Triangulation
In undulating or sub-mountainous country a direct setting out by reciprocal
ranging will not be possible. Even traverse survey may not be practicable in
112

Source : Pequinot, 1963

Figure 5.4 Setting out by Triangulation.

some cases. In such a situation precision triangulation becomes a 'must'. In

the two cases discussed above also, it is preferable to do triangulation survey
to serve as a check on the alignment of tunnel axis.
Figure 5.4 shows a semi-hypothetical scheme of triangulation for setting
out a tunnel with axis VB (Pequignot, 1963)1. Triangulation is based on the
principle that by measuring one side and angles of a triangle accurately, the
remaining sides can be calculated by principles of trigonometry. It is
essential first to select and fix a suitable base tine (AB in Figure) and to
measure it very accurately. This is done by subtense bar or base line
measurement equipment such as invar tapes or wires. Each angle of the
triangles in the layout should also be accurately measured, correct up to one
second, or even finer if suitable instruments are available. The process is
continued until the station at the other end is connected to the system of
triangulation. At the other end again two points are connected to the system
so that the distance between them can be directly and equally correctly
measured, as done for the first base line. The distance between the two will
also be calculated directly using the successive angle measurements made in
the triangulation. If the difference between the calculated distance and
measured distance is insignificant, the field layout measurements and
calculations can be considered accurate. If not, corrections have to be applied
to the calculated co-ordinates of intermediate stations by adopting a refined
mode of adjustment, e.g., method of least squares. In the example cited, AB
is the initial base line and CD the check base line as shown in Figure 5.4.
Before commencing any triangulation, the theodolites used should be
checked for their permanent adjustments. The invar tape should be stretched
and held applying the correct tension, i.e., same as at the time of calibration
(or suitable corrections applied for any difference).
 113

5.2.6 Procedure for Angle Measurement

The following procedure for measurement of angles is recommended:
(i) Set the instrument over station O and centre it for taking readings to
P.Q.R.S (say). Set the circle and micrometer to read zero
approximately while sighting station P. Move the telescope
clockwise, take reading sighting of each station, operating the tangent
screw to clockwise also. On closing the single round to station P, take
reading again. The departure, if within permissible limits, is
distributed among the various angles. If not, the process should be
repeated.
(ii) Reverse the theodolite onto the opposite face and repeat process (i)
starting from P but now moving in a counter-clockwise direction.
(iii) Operations (i) and (ii) should be repeated five times, with initial
readings set as close as possible to 60°, 120°, 180°, 240° and 300°.
Theodolite should be relevelled, preferably, after each round.
(iv) The included angles are averaged based on 6 x 2 = 12 observations
to obtain the required accuracy.

5.2.7 Required Degree of Accuracy in Triangulation1

For short tunnels of about 500 m length, a minimum accuracy of I in 10,000
is essential. Average errors of closure for this accuracy are of the order of
5 seconds and never more than 10 seconds. For longer tunnels, much higher
accuracy is needed as in the case of secondary triangulation.
The following precautions are specified in IS: 5878 (Part I) to avoid
probable sources of errors and to help in accuracy:
(a) The site for measurement of the base line should be approximately
level, evenly sloping, or gently undulating and as free as possible
from obstructions. The base line should be as long as possible and
its length should be preferably 1/12 to 1/15 of the total length of the
tunnel to be driven.
(b) To set up a new reference point, the most desirable way is by a single
triangle with no angle less than 45°. As a check, observations for
another triangle should also be made. If a single triangle with any of
its angles not less than 45° cannot be obtained, the angle may be
reduced but the angle shall not be less than 30°. This shall invariably
be checked with another triangle. But such triangle should not be
used for further expansion of the triangulation system. If either of
these two conditions cannot be obtained in any location, a braced
quadrilateral should be adopted.
114

(c) It is advisable to have two independent sets of observations done by

two independent observers using different instruments and the results
calculated independently. The particular set of calculations may be
taken as correct only if the final results of both are found to agree
within acceptable limits of difference. The same criteria should be
followed while setting out the alignment along the floor of the
tunnels and checking it.
(d) In all these calculations, seven-figure log tables shall be used and the
calculations for angles shall be based on tables given for values up
to one second of angle.
(e) For the calculation of angles, computation forms shall be used.
(f) For base line measurements for tunnels of small lengths of about 500
m, ordinary but calibrated steel tapes may be used. For longer tunnels
and complicated layouts, invar tapes or wires shall be used. At other
places where the country is hilly, repeated measurements in small
stretches by invar subtense bar may be made.
(g) While arriving at the true base line length, the following corrections
shall be applied.
(i) correction for absolute length;
(ii) correction for temperature;
(iii) correction for tension or pull;
(iv) correction for sag;
(v) correction for slope or vertical alignment;
(vi) correction for horizontal alignment; and
(vii) reduction to sea level.
Check of triangles/ polygons:
The properties of the triangles and polygons forming part the triangulation
network should satisfy the following conditions:
(i) Sum of the angles of each triangle should be 180°
(ii) Sum of central angle of or hub angles in a polygon should be 360°
(iii) Sum of log-sines of the left hand angles should equal the log-sines
of right hand angles looking towards the centre of the polygon.

5.3 USE OF ELECTRONIC DISTANCE

MEASUREMENTS
One of the difficulties in fixing project control lines, is the wide spacings of
existing National triangulation stations. Development of electronic distance
measuring instruments such as the Geodometer and the Tellurometer (and
now Distomat/ Total Station) has made the work of connection of tunnel
 115

alignments and project control line with available (far off) survey networks
feasible and more economical, both from the point of view of time and total
labour involved. These instruments can be used for checking the base line
and also to run the primary survey traverse along the tunnel alignment. Their
range of measurement is generally from 0.8 to 80 km. These instruments
have an inherent instrumental error of ±12 mm or 2 to 3 parts per million
of distance measured. These instruments work on the basic principle of
calculations of the distance from measurement of time required for a light
beam or radio wave to travel between the two stations and the necessary
calculations are automatically made within the instrument.

5.4 LEVELLING

5.4.1 Instrument Accuracy and Precautions in Levelling3

The level used in tunnelling work should be capable of giving an accuracy
of plus or minus 2.5 mm/km of levelling in normal country side. A modern
level with 40 mm objective; magnification × 28; and a bubble with a
sensitivity of about 30 s per 2.5 mm, and read by a prism coincidence system
is capable of giving an accuracy of 2.3 mm/km in normal country. It is the
nearest best that could be recommended (Padmanabhan, 1965)4.
The following precautions should be taken to ensure the desired
accuracy:
(a) Careful focusing of diaphragm lines and staff and elimination of
parallax.
(b) Use of staves which are machine divided, preferably neither of the
box type, nor more than 3 m in length.
(c) Use of micrometer device for reading fractional parts of the 0.01
division is helpful but not essential.
(d) Limiting the length of sights to a maximum of 45 m (preferably less)
and equalization in length of the backsights and foresights.
(e) Use of reliable footplates as turning points, where necessary.
(j) Care in ensuring that the bubble is in mid-position at the time of
reading the staff.
(k) Careful holding of the staff in a vertical position and avoidance of
windy weather which makes this impossible.
(l) Levelling during the period 10:00 a.m. to 4:00 p.m. in which
refraction is the steadiest. At the same time, this is the period when
heat simmer is likely to be troublesome. Cool but bright weather with
gentle wind is the best.
116

(m) Protection of the instruments from direct sunrays by an umbrella.

(n) Choice of a route which permits equalization of lengths of backsights
and foresights.
(o) The level survey must be closed, preferably by repeating the levelling
in the opposite direction by the same route and within a short time.
As in the case of 'angle measurements', the error (if within permissible
limits) shall be distributed amongst several stations in proportion to the
distance of the station from the starting point. Station benchmarks should be
established at each station.
If the tunnel is long and it is proposed to have intermediate shafts for
ventilation and/or to have more faces to work from, the positions of these
shafts should be fixed with reference to the nearest National triangulation
stations.

5.4.2 Benchmarks
Permanent benchmarks have to be established to carry the levels into the
tunnels and for checking during construction. Normally, benchmarks are
placed 60 m away from the centre line of the tunnel to avoid errors that may
be caused due to settlement during excavation. In urban areas, where more
settlement is anticipated, additional benchmarks are fixed along the tunnel
alignment at spacing of 180 m.

5.5 SETTING OUT INSIDE OF TUNNELS

5.5.1 Straight Alignment

Setting out actual tunnel alignment is done from various portals and faces
from which work is commenced and progressed towards each other. In the
case of straight alignments this is simple. Sighting is done by back sighting
on pillars aligned and constructed as far away as possible on the extended
centre line on the tunnel axis plane on the approach and then transiting. If
this is not possible, setting out can be done with reference to a distant pillar
or triangulation station fixed on a line subtending a known angle to axis of
the tunnel. In the latter case, however, it would be better to cross-check with
reference to another pillar fixed on the other side (Figure 5.5). It should be
noted that an initial error of 2" in angle can produce an error of alignment
of 8 mm/km length of tunnel.
Within the tunnel, reference points are constructed at every 300 m to
minimise errors, even though while carrying out work, to minimise errors
sighting will be done for each cycle of blasting/mucking. The reference
 117

Figure 5.5 Setting out centreline of tunnel.

points mentioned above may be fixed on the roof of the tunnel (Figure 5.6)
or slightly below the invert of the tunnel. This is done by fixing non-rusting
plates on concrete pillars (flush with the surface) and chisel marking the line
or fixing nails on the roof of the tunnel. Before marking these, repeated
circle-left and circle-right observations shall be made and levels also
accurately determined. In addition, reference chainage lines are marked on
the sides of the tunnel at about 15-m intervals with reference to main
reference plates.

Figure 5.6 Typical Reference Marks.

5.6 TRANSFER OF ALIGNMENT BELOW G.L. AT

INTERMEDIATE STATION

5.6.1 Tunnels Driven from Portals

In the case of tunnels driven from portals, to start with one work point at the
portal and a backsight point on the working line are adequate for extending
the alignment into the tunnel. Setting out is done by sighting back to the
backsight point after fixing the theodolite over the point fixed at the portal
and transiting the theodolite and extending the straight line into the tunnel.
If any angle is to be set out, same type of work is done from this point by
118

turning the theodolite suitably after transiting. The tunnel axis is aligned on
the surface directly or with reference to the intermediate triangulation
stations. The positions of the shafts are thus correctly fixed and the shafts
sunk at the required location.
Where the tunnel is long and alignment complicated, the work is done
with the help of work shafts at the intermediate points. There are two
methods for transferring the lines and levels from the surface to the shafts,
namely: a) by transit sights; b) by means of steel wires supporting heavy
weights hung from each.
The first method is similar to the portal method. But in this case two
work points are located on the working line on opposite edges of the shaft.
The theodolite is set up over one and the backsight is taken to the target on
the other point. Then the theodolite is transited on the opposite side as in the
case described earlier. The work points which are fixed on top are extended
down and across the bottom of the shaft, as indicated in Figure 5.7. The
transfer of alignment through the shaft to the tunnel floor is done by
suspending two or more plumb lines down the shaft and determining the
bearing of the plumb lines hung by connecting to surface survey reference
points. This bearing of plum lines under the surface should be the same as
the bearing on the surface so that this becomes the starting direction for the
underground survey work.
In the second method two work points are fixed on the opposite side of
the shaft on the surface. A theodolite is set over one work point B and is used
to sight the point U on the opposite side. B itself is fixed with reference to
a Triangulation station A and AB set with angular measurements to S and
T on the Triangulation grid. In all this, a number of repeated observations
will be made and averaged to ensure accuracy. Two steel wires, each
supporting heavy weights, are hung down the shaft. These are brought in line
with the theodolite sight line by trial and error. The heavy weights should
dip into pails of oil kept on the floor of the shaft, to give stability (dampening
effect) to the wires (W1 and W2). An instrument is so set up on the shaft
floor that it is in line with both wires. This instrument is positioned on the
working line and is to be used to establish work points on opposite sides of
the shaft. Here again there are two ways of doing the work, as detailed below.
The plumb lines are of fine piano wire and each carries a symmetrical
lead weight of about 300 N (the wire being strained to half its breaking
strength). In deep shafts particularly the bobs used may have projecting vanes
contained in a canister with a hood to reduce rotation and oscillation of the
wires. It is also customary to fill the canister with water or oil. In very deep
shafts bobs weighing up to 1.3 kN are used to reduce oscillations but thicker
 119
Figure 5.7 Coplaning Method.
120

wires are required and also geared winches to control lowering/lifting. The
two wires are suspended as far apart as possible. It is very difficult to do
setting out the alignment below precisely using this method, due to difficulty
in preventing oscillation in the plumb/ reference wires.
Two other methods used for transferring the orientation of survey
underground are coplaning method and Weisbach triangle method
(Pequignot, 1963).

5.6.2 Coplaning Method

In this method two wires are aligned along the bearing or alignment of the
tunnel axis at the surface and transferred down underground into the tunnel.
The line joining them is then extended inside to set out and extend the tunnel
axis. If this line has to be set out with reference to a triangulation station
which is not in line with the bearing of the axis of the tunnel, great care has
to be taken in fixing the theodolite station along the alignment on the surface.
This method is diagrammatically presented in Figure 5.7. (B the point fixed
with reference to triangulation station A, and bearings of AS and AT).
The process has to be reversed while fixing the theodolite station under-
ground. The theodolite has to be fixed so that its position is in the same plane
as that of the wires suspended. This is done by trial and error and sighting
the wires both in face-left and face-right positions and moving the position
of the theodolite as needed. In doing this, generally the theodolite is set up
at a distance of 9 to 15 m from the nearer wire. The nearer the wires are to
the instrument, the more the apparent misalignment when viewed through the
telescope will be. If a theodolite with minimum focusing distance is used,
it can be placed so close to the wires that greater sensitivity can be obtained.
Final adjustment of a shifting head calls for considerable delicacy. If the
distance is greater, the sensitivity reducing with distance, it becomes easier
to effect an apparent though erroneous alignment. The latter can be reduced
by a greater number of repeat observations in a given time to arrive at a near
value, which can be as accurate as work performed close to the wire.
Once instrument position is correctly aligned, the targets can be fixed on
the roof of the extended tunnel in the axis plane joining the wire (e.g., A4)
by sighting forward to give a longer base on the transferred axis. In the other
directions, e.g., A1, A2, A3 are fixed progressively by transiting the
instruments. If tunnel direction is to be changed, the theodolite should be set
up at the point of intersection and after self-alignment and correct
positioning, the required angle should be set and the targets fixed on the roof
of the tunnel section bored in the changed direction. Obtaining precise
 121

alignment is very difficult with coplaning method, since it is difficult to avoid

vibration/ movement of the plumb lines.

5.6.3 The Weisbach Method

In this method the theodolite is not aligned exactly, but placed as close as
possible to the nearer wire and nearly in alignment with W1 W2 as at P1 in
Figure 5.8, thus forming the Weisbach triangle W2W1P1. The angle W1P1W2
is measured with great care. This is the Weisbach angle from which, together
with the length of the sides of the triangle, the angle W2W1P1 is calculated
by the sine formula (sin W1W2P1 = P1W2/W1W2). And since W1 and P1 are
small angles measured in seconds, W1 = P1 = W2P1/W1W2. Having measured
the AP1 W1, the bearing of the wire plane can be determined. Underground,
the process is reversed; the angle W2 is computed in exactly the same manner
so that, knowing the bearing of the wire plane, the bearing of W2P2 and
thence that of P2B may be deduced. It can be shown that:
(i) The probable error in the determination of angle W1 is proportional
to that of the linear measurement and to the cotangent of the
Weisbach angle. So the Weisbach angle must be small to counter
possible large fractional error in linear measurement.
(ii) If the measured sides are assumed to have no error, then
W1 µ tan W1/tanP1 µ a/c.
So long as this ratio is small, there is not much need for a highly attenuated
angle to counteract errors in linear measurement. In other words, the
instrument should be as close to the wire as possible and distance between
the wires should be as long as possible. At the same time, the theodolite
should be as nearly coplaned as possible, the value of the Weisbach angle
being less than, say, 30 s. While the Weisbach method is easier to perform,
the coplaning method is more accurate.

5.7 SETTING OUT CURVES

5.7.1 Circular Curve
Though it is ideal and desirable to avoid curved alignments in surface-to-
surface tunnels, they are unavoidable, especially in long tunnels. Until the
tunnel has proceeded for some safe distance from tangent points, alignment
for each blast is given by using the offset method, using short-sight lengths
until the tangent point is fixed within the tunnel, after which the deflection
angle method is used for accuracy on curved alignments. (Figure 5.9). The
sight lengths or chords (where the chord method is used) should be made as
122

Figure 5.8 The Weisbach Triangle1.

long as possible. The usual rule is that the sub-chord length equals
Radius/20 or as large as the width of the tunnel and radius of curve can
permit, e.g., for a tunnel base width of 3.6 m and R = 180 m, the angle
between straights of 135°, allowing for minimum clearance of 300 mm
between chord and side of tunnel, the possible chord length would work out
to 46.5 m (which is larger than R/20). Adopting a 45-m chord, the deflection
angle will be 7° 10' 50".

5.7.2 Transition Curves

Invariably, with increasing speeds of operation, curves on railways are now
provided with transition lengths at either end so that the rate of change of
radial acceleration does not exceed 300 mm/s2/s. Introduction of transition
curves requires shifting the main curve and also actual tangent points.
Transition curves can be set out with sufficient accuracy by perpendicular
offsets; this is feasible, however, only if the width of the tunnel is adequate
for the purpose.
 123

Figure 5.9 Deflection-Angle Method of Setting out Circular Curves

5.8 SETTING OUT LINE THROUGH COMPRESSED

AIRLOCK
In case the line has to be extended through a pressurized airlock, care has
to be taken to establish the work points inside the lock, avoiding the
distortion which will take place during changes of pressure in the lock or
limiting it to the minimum. For this purpose the work points are kept as close
as possible to the bulkhead. The lock selected should be a stable one. In fact,
a muck lock might be better than a man-lock which is supported by steel
framing, since the former is supported on a concrete foundation.
Work is started from the end or from the shaft adjacent to the airlock.
The method of fixing the first two work points in the shaft from the surface
reference points is the same as before. For carrying out further work there
are two methods. In the first a backsight is taken to the work point at the
far end of the shaft (WP.4) by setting it over WP.5, the next work point in
the shaft. Then, the theodolite sight is transited and three points are
established over the bottom of the airlock, so that they are in line with the
working line in the shaft. During this process the airlock is open to free air.
After this, it is pressurized and the compressed air side door is opened. A
theodolite is set up that side and moved in such a way that it comes in line
124

Adapted from Pequinot, 1963

Figure 5.10 Setting out a Curved Alignment with Angles, Chord and Off-set
 125

with the three points in the airlock. It is transited and lock pressurized, after
which the door on the compressed air side is closed. The remaining process
is that of just extending the line as described earlier.
In the second method, the theodolite is set up over one of the working
points established when the airlock is on the free air side. The backsight is
taken to the points previously established towards the shaft. Then the
telescope is transited. After this, the lock is pressurized. The door on the
compressed air side is now opened and a foresight is established in the tunnel
on the other side along the working line and it can be extended further
onwards in. the normal way.

5.9 REFERENCES
1. Pequinot, C.A., (1963) "Tunnels and Tunnelling'- Hutchinson, Scientific and
Technical, London.
2. Szechy, Karlowi, (1970) The Art of Tunnelling, Akedimiai Kinda, Budapest,
Hungary, 1970
3. IS;5878 (Part I) 'Construction of tunnels- Part I. 'Precision Survey and
Setting out' , Bureau of Indian Standards, New Delhi
4. Padmanabhan, V.C.A., 1965, 'Notes on D.B.K. Railway Project',
Unpublished Indian Railways Report, 143 P.
 C H A P T E R

6
Tunnelling Operations
6.1 GENERAL
Tunnelling operations, apart from fixing the alignment and lining (which are
the preliminary and final aspects of construction of a tunnel) comprise the
under mentioned intermediate operations:
(a) Excavation, picking or blasting, the first being applicable to soft
soils, the second for medium soils and very soft rocks and the last
applicable to medium and hard rocks.
(b) Fixing temporary supports, as necessary.
(c) Removal of blasted/excavated material (mucking).
(d) Dressing, fixing permanent supports, followed by
(e) Final operation of lining, wherever necessary.

6.2 PRELIMINARY WORK

The face from which tunnelling work is to commence has to be decided first.
This is done with reference to the type of material and the rock cover. The
minimum cover with which the tunnel can be started depends on the type and
structure of the rock or soil material and also the shape of the tunnel. Also
to be taken into consideration are the geological structure and fault line of
the strata, as already discussed in Chapter 2. The relative economics of
adopting open cut in preference to a tunnel must also be determined. In some
cases the cost of protective works of open cuts and protection of the Portal
 127

may be so high that commencement of the tunnelling operation even with

a smaller cover is preferable.

6.3 TUNNELLING METHODOLOGIES

6.3.1 Alternative Tunnelling Methods

The adoption of any one of a number of possible methods for tunnelling
depends on the nature of the soil profile. Soils can be broadly grouped under
soft strata or rock. Soft strata may be cohesive soil (clay), or granular soil
or a mix. Tunnelling through soft strata is done by using one of the traditional
methods of driving, i.e., excavation by digging or with a tunnelling machine.
The machine is generally used in very soft strata and clay and prevails in
subway construction. Wherever seepage flow is heavy, the operation has to
be supplemented by use of compressed air. Occasionally some drilling and
blasting is also done, especially in the case of mix with soft rock and in
laterite types of soil.
A number of methods have been developed for tunnelling by machine
and the choice will generally depend on the type of soil, type of structure
etc.
Broadly speaking, there are seven main methods of constructing tunnels,
as listed below. Shape of tunnel suitable for each are indicated in brackets1
• Drill and blast (Circular, Horseshoe, Segmental)
• Sequential excavation (Horseshoe)
• Shield driven (Circular)
• Bored (Circular)
• Immersed tube (Circular, Rectangular)
• Cut and Cover (Rectangular)
• Jacking (Rectangular, Circular)

Drill and Blast:

This method has been the most often used methodology for older tunnels and
is still used for tunnels in rocky soils and in difficult conditions. In such
cases, they may be considered cost- effective and fast.

Sequential Excavation Method (SEM)

This method is suitable for soils which have sufficient strength to stand by
itself when done in small increments with no direct support but the exposed
soil face has to be supported as soon as possible by shotcrete (with or without
mesh as additional support before excavation is continued on next segment.
128

Cohesion of soil/ rock is increased by injecting grout and providing rock

bolts as required.

Shield driven tunnel

This method involves building a short length shield, pushing it to cut through
the soil, excavation of the soil in face in small lengths, and providing a lining
inside the shield before it is pushed forward. It is suitable for soft soils.

Bored tunnels
This is an extension of the shield tunnelling technology. A TBM (Tunnel
Boring Machine) is used, which can work on full face of the tunnel at one
time, by varying the type of tools to suit the type of soil, slush to rock. The
TBM is designed to support the surrounding soil after excavation, till the
lining is provided behind. Generally CI or precast segmental linings are
provided.

Immersed Tunnels
This method is used to provide sub-aqueous tunnels, i.e., tunnels to be
constructed across, canals, rivers or under-sea, using precast, floating and
sinking technology. A trench is cut at the bottom of the water and
prefabricated tunnel units or precast segments are taken to the site, made
watertight and lowered in position butting against each other tightly. Joints
are grouted to make them leak proof. Trench may be backfilled to provide
the cover to the tunnel and waterway clear for water borne traffic.

Cut and Cover

As the name suggests, this method involves excavating an open trench, in
which the tunnel section is built at desired level. The trench is filled back,
compacted and restored to original level and other pre-existing facilities
provided, as required. There are different methods used for cutting the trench
and its protection, in form of piles, diaphragm walls etc.' and same tied back
as required. This is the commonly used for subway construction.

Jacked tunnels
This method, alternatively known as pipe pushing method, is used for only
short lengths in case of large sections and adopted for tunnelling below
existing utilities like highways, railway lines, buildings, and other utilities
spread over an area, and where cutting in open and constructing shallow
tunnels is not possible, since the obstructions cannot be removed temporarily
and replaced. In this, first a jacking pit is prepared in which the tunnel section
in short length is constructed. After it gets sufficient strength, it is pushed
 129

into the soft ground with powerful hydraulic jacks, at the same time the soil
in front is systematically removed. As the built unit advances, further lengths
are built up behind till full length is covered. In case soil is too soft, it should
be stabililised by means of grouting etc. in advance.

6.3.2 Traditional Methods2

The traditional methods of sequencing operations to achieve full profile may
be classified as follows:
(a) full face method;
(b) top heading and benching method;
(c) bottom heading and stoping method;
(d) 'Drift' method, subclassified into wallplate drift method, side drift
method and multiple drift method.
The first three methods are generally used for rocks (aided by blasting)
and medium type soils, while the last (d) is used for soft rock and
disintegrated rock (requiring ground support). Clayey soils are generally
dealt with by the shield method (see below), a method gradually refined over
the years with the advent of tunnelling machines.
(a) Full Face: This method is used wherever the strata are such that
they can stand long enough to allow erection of supports after
excavation. It is also suitable for tunnels of small cross-sections in
which the mucking quantity is small and the support needed is not
high. In this method the full face is bored through in one continuous
operation, followed by mucking, supporting and lining, as necessary.
(b) Top Heading and Benching: As the name suggests, this method is
adopted in two stages. The top part, generally the arch portion, is first
excavated and supported. This may be done for the full length or in
parts ahead by boring the top portion advanced first. This is followed
by benching, i.e., removal of material for the bottom portion (in parts
step by step), each line supporting the soil to the required profile and
extending the supports below. While doing benching, the top heading
supports (continuously supported over a wallplate) are generally
underpinned. This operation is followed by providing necessary
permanent rib supports and lining.
(c) Bottom Heading and Stoping: This is the reverse of the top heading
and 'benching method. In this method tunnelling generally,
commences from the top face, while in most other methods it is
started from the bottom face or both faces concomitantly. As this
method requires special treatment of the soil for stabilising and
130

securing, it is more suitable for hard rock which can stand by itself
by arch action longer.
(d) Drift Method: in the case of disintegrated rocks and fault zones,
tunnelling is done in phases by driving small-size tunnels as pilot
tunnels. Alternatively, the top drift may be driven first, followed by
the side drifts to provide side supports. Subsequently, the material
between and on the sides is removed up to the required profile. The
drift method can be executed in a number of ways:
(i) Wallplate drift: This method is used when both heading and
benching or top heading methods have to be supplemented by
drifts on each side because the rock is so bad that only a short
advance can be made per 'pull' in the heading.
(ii) Side drift method: This is employed in large-size tunnels
through bedrock which requires support before mucking. A drift
is driven ahead on either side at subgrade revel and posts and
wallplates are erected. If the strata permit, a full-face operation
can then be carried out and roof ribs erected quickly over the
wallplates already erected and mucking initiated.
(iii) Multiple drift method: This method is used for soft ground
conditions not suitable for free operation. It is a combination of
crown drift and side drift. It is generally adopted for large-size
tunnels and for going through crushed rock in fault zones
requiring light blasting. The sequence of operation depends on
the type of rock. In one type the top drift is driven first and the
side drifts driven later; in other rock types the modus operandi
is reversed.

6.4 TUNNELLING IN ROCK

6.4.1 Drill and Blast Method

In the case of tunnelling through rock, blasting has to be invariably resorted
to. Support (temporary or permanent, may depend on type of rock. In this
case also all four alternative methods for sequencing described above can be
used, depending on type of rock and size of tunnel.
(i) Full-face method: Suitable for sound rock and up to medium-size
tunnels.
(ii) Top heading and benching: Recommended for large-size tunnels
and/or for rocks not structurally sound. Length of heading to be
 131

excavated or advanced forward depends on strata, site condition and

length of tunnel.
(iii) Bottom heading and stoping: Recommended wherever tunnel size
is very large and rock is consistent and sound.
(iv) Drift method: Used for large tunnels wherever economical to drive
one or more small tunnels called drifts or pilot tunnels. Drifts can be
'top', 'centre', 'bottom' or 'side' drifts according to their position with
reference to the main bore.

6.4.2 Codes Applicable for Major Operations

Tunnelling in rock is essentially a process comprising drilling and blasting
of rock and removal of muck. These two are major operations and hence is
covered in detail in Chapter 7. Bureau of Indian Standards code IS: 5878-
1970 (Part II/Sec. 1) also details them. The operation should conform to the
safety codes IS: 4089-1967 concerning blasting and drilling operations and
IS: 4137-1967 for working in compressed air. The general safety precautions
to be followed in all tunnelling works are laid down in IS: 4756-1968.

6.5 TUNNEL SUPPORTS3

6.5.1 Purpose of Tunnel Support

Supporting the tunnel section is required temporarily or permanently for the
purpose of preventing collapse or cave-in of the top or the sides of the bored
portion. Support may be part of a permanent lining or temporary until such
time the permanent lining which has to take the rock or soil pressures is
ultimately provided. In solid rock structures tunnelling can be done with no
support However, in other types of rocks and soils supporting is essential.
'Guidelines for Tunnel Supports' are covered in IS: 5878-(Part IV)-19713.
The main components of tunnel supports are ribs, posts, invert struts,
wallplates, crownbars, truss panels, bracings and Iaggings. In addition, in
some places a certain amount of packing may be required between the
aforementioned components and the exposed surface. In the early days these
tunnel supports were mostly made of timber. The tunnelling itself was done
by making a pilot tunnel or a drift which was properly supported and
different methods were used for extending the section and simultaneously
extending the supporting system. One typical arrangement is shown in
Figure 6.1. known as the English Crownbar method, it is a form of the drift
method. The Figure is self-explanatory. In case of Tunnelling in rock, where
132

necessary steel posts and arch ribs were used with or without wooden plank
lagging to suit nature of rock, soft/ fissured or solid/ hard. Fig 6.2 shows
different types of steel supports used.
Stages and sequencing of excavation varied from country to country. The
different practices are briefly discussed in Para 6.6.

Figure 6.1 Tunnel Support Stages at Different Stages of Tunnelling in Old

methods3

6.5.2 Types of Steel Supports

The present practice is to generally use steel members either for temporary
or permanent supports as they can be fabricated in standard sizes and can be
easily transported and assembled as necessary. Where necessary, rock
bolting and or pressure grouting of exposed surface is done to reduce the roof
settlement. Full face or top heading and benching methods are adopted.
 133

Figure 6.2 Typical Steel Support Systems3.

134

Different types of supports provided, as illustrated above, are:

(a) Continuous ribs: These are made in two pieces and are used when
full-face tunnelling is being done. They are recommended for use in
rocks whose bridge action period is long enough to permit removal
of gases and mucking.
(b) Rib and post: Also used for full-face working and for tunnels
whose roof joins the side walls at an angle instead of a smooth curve.
These are in three pieces.
(c) Rib and wallplate: As already mentioned, this is used for
supporting the top heading and wherever sections with high straight
sides through good rock or large circular tunnels are to be bored. This
is recommended for spalling and soft rocks.
(d) Rib, wallplate and post: This becomes necessary for a tunnel with
high vertical sides and is especially mandatory whenever spacing of
the ribs and posts differ.
(e) Full-circle rib: Used for providing a circular section or near-
circular section and is necessary for use in tunnels in squeezing and
crushed type of rock or in rock that imposes considerable side
pressure.
The ribs are the transverse supports used for supporting the roof. They
are in arched form. They may be made of bent I beams or braced frames.
Posts are provided to support the ribs while extending the tunnel section
below by benching; they thus transmit the roof load to the base and also
provide a framework for providing support for the sides. The invert strut, as
the term implies, is provided at the invert level and it struts between the feet
of the posts to-hold them in position. Wallplates are longitudinal members
provided between the posts and ribs. These are generally provided when
tunnelling is done by the top heading and benching method. In this system
the ribs are first erected over the wallplates located on the floor of the
heading. These wallplates are in turn underpinned and supported by the posts
during benching. Crownbars are provided between the ribs and the exposed
surface of the tunnel roof as it is difficult to make the ribs fit correctly against
the exposed surface. These crownbars are placed longitudinally, i.e., parallel
to the axis of the tunnel. See Figure 6.1(c).
Truss panels may be provided for lateral support to the ribs so that the
latter are kept in correct spacing; they also provide lateral restraint to the
same while doing underpinning. Bracings are also provided longitudinally
between the ribs and posts so as to increase their resistance to buckling about
their minor axis and to prevent their displacement while blasting ahead is
 135

done. This purpose can alternatively be served if lagging is provided.

Lagging serves one or more of the following functions:
(i) to provide protection from falling rock or spalls;
(ii) to receive and transfer loads to the rib sets;
(iii) to provide a convenient surface against which to block, in case it is
not convenient to block directly against the rib because of irregular
over break;
(iv) to provide a surface against which to place backpacking;
(v) to serve as an outside form for concrete lining, if concrete is not
required to be poured against the rock surface.
Spacing of various components depends on the type of rock or soil
structure. Laggings are sometimes used, as already mentioned, in such a way
that they form the shuttering for the lining also. As far as possible, use of
timber should be avoided as it is difficult to remove safely and furthermore
is likely to deteriorate and prove a source of weakness. However, timber
lagging is economical if it is to serve as inside shuttering in tectonic type
rocks as the regular face need not necessarily be fully and directly supported
by the lining.

6.5.3 Tolerances
Various tolerances and methods of fabrication and erection of supports are
indicated in IS: 5878-1970, Part Ill. The ribs shall generally be bent cold. For
small jobs, ribs may be fabricated as polygons. The accuracy of bending shall
be such that after bending, each segment shall conform to a true template at
the ends; intermediate portions may depart from a true template by not more
than plus or minus 10 mm. The web shall be true and wrinkles or buckles
shall not exceed 5 mm when measured from a straight edge held flush against
either side or web on a radial plane. To ensure proper space at the crown after
wedging, the ribs shall be fabricated to a slightly larger radius than
theoretically computed. In tunnels with small cross-section, the crown joints
may be 'kicked' up or the ribs set high to accommodate the concrete delivery
pipe.
Welding for fabrication of support is governed by the provisions of IS.
816-1969 (Welding Code).
Erection of supports is done within the following tolerances2:
Spacing of ribs: Average of three measurements taken around periphery
shall not differ from the spacing shown on the drawings by more than ±30
mm. Internal dimensions: Dimensions between the inner flange of ribs shall
be checked at 2 or 3 points in the horizontal plane and such dimensions shall
136

not vary from the theoretical dimensions by more than +30 mm.
Level at crown: Level of the crown shall be within –20 mm and + 40
mm of the required level. Deviation in vertical plane: The deviation from
vertical or the required inclination shall not be more than ±20 mm when
measured at the lowest point. Spacing between tie rods: This shall be as
shown on the drawings with a tolerance of ±30 mm.
Gap between joints: The gap between the joints of the butt plates of
the ribs shall not be more than 5 mm.

6.6 TUNNELLING IN SOFT ROCK AND SOILS

6.6.1 Methods used in Different Countries

Traditional methods of tunnelling through medium rock, earth and stiff soils
is to drive in drifts or smaller headings and successively enlarging them by
excavation and lining. They are also called Classical or Mining methods.
There are a number of variations in sequencing the headings/ drifts to suit
different soils and evolved in different countries. With the shortage of timber
for providing supports and with development of better technology they are
not much in vogue now. NATM with use of steel and shotcrete supports is
more in use. However, these methods are detailed here to understand how
old tunnels were done. The major ones are4:
• English Method or Crown bar method;
• Classical methods- Belgian flying arch method; German core leaving
method;
• Austrian or Cross bar method;
• Centre cut method; and Alternate ring method.
• Italian- invert arch method
• Combined methods developed as a combination of two or more
methods mentioned combining selected elements of same.
As the names suggest, the methods vary mainly in respect of location
and sequencing of drifts, their widening process and timing the construction
of permanent supports. A few major ones are briefly described below. For
more details, Szechy (1970) and Merriman and Wiggin (1943)4 may be
referred to.
(a) The English method
This is a full face method and is suitable for very firm ground and
heavy and wet grounds i.e., soils which can stand on its own for some
time for full face to be opened up before the lining can be built up
 137

from below. It is done in short lengths of 3 to 6 m. Work starts with

driving a small drift (at bottom (which would help in haulage of
muck and also drainage) This is followed by a similar drift just below
crown, the roof being supported by providing roof bars supported on
props at far end. Transverse polings are provided over these. The top
heading is then widened for that width by placing breast boards
against face and propping them. The heading is then widened and
supported till full arch portion is opened. Similarly the bottom
heading is widened and supported all-round, till full section is opened
for selected length and roof and sides are firmly supported. Once this
is done, masons take over and build the side walls and arch followed
by the invert. The process is repeated for further lengths. Figures 6.1
and 6.3 (a) show the different stages and how timber supports are
provided at various stages.

Figure 6.3(a) English Method4.

(b) Belgian method:

This method is used in firm ground, where generally loads would be
primarily vertical with minimal side pressures. In this method, top
excavation is continued over longer length ahead of the lower part
excavation. Transverse poling is not used over crown bars to support
roof, but props are set against the earth in between roof bars. Once
arch portion is excavated, the arch masonry is built up and strutted
and supported at springing. Then central trench is cut below for full
depth at intervals. The arch masonry is underpinned at intervals. Cut
is then widened to extend underpinning to facilitate building of one
side wall. The process is repeated on the side also and side wall built.
Floor is then cleared and invert is built. Stages are conceptually
shown longitudinally in sketch at Figure 6.3(b).
138

The method can be extended to heavier soils, but with

considerable risk, by doing same keeping the timbered length in
shorter stretches. Main disadvantage of the method is the likely
uneven settlement of the arch which is first supported on earth and
subsequently on timber at intervals.

Figure 6.3(b) Belgian Method4.

(c) German Method

In German Method, three drifts are run, one larger one at top centre
just below roof and two at bottom at foot on either side. In the side
drifts, the side walls are built as high as the supports would permit.
On top of these, two more side headings are done and side walls
extended up. The top drift is widened by timbering. Then, in stages
the arch ring is built over the side walls on both sides, till they join
at centre. Core is then removed and the invert concrete laid or built
up. Figure 6.3(c)

Figure 6.3(c) German Method4.

 139

(d) Austrian System

It is similar to German system with the difference that, first the soil
in centre is removed by driving two central headings, one below the
other as shown in Figure 6.3(d). They are widened, the bottom
heading on one side first. Over this, poling boards are driven for the
arch roof above and widening out with arch the top drift done in short
lengths (supported with propos and struts). Side wall is built in short
lengths and extended over. The same process is repeated on the other
side. Finally the invert is built, as in other cases.

Figure 6.3(d) Austrian Method4

(e) Italian Method

This was developed for very soft and treacherous soils. In this, only
short lengths (2 to 3m) and small areas are opened at a time. First
a centre drift is driven for about one eigth height of tunnel. It is
extended on either side, and supported all-round with heavy
timbering. Within this, the invert and as much height as possible of
side walls can be built forming a bench. The open area between is
filled back with earth. A centre top heading is then driven and
enlarged for half height of tunnel and for full profile, and opening
is well supported by props and braces. On the sides, after trenching
through the bench and clearing earth upto top of side walls already
built, the side walls are extended along with the arch above in one
operation. Figure 6.3(e)

6.6.2 Sequential Excavation Method (SEM)5

'SEM (Sequential Excavation Method is defined as a method where
surrounding rock or soil formation of a tunnel or underground opening are
140

Figure 6.3(e) Italian Method4

integrated into the overall ring-like support structure and following principles
are observed.:
– ‘The geotechnical behaviour of the ground must be taken into account
– Adverse states of stresses and deformations must be avoided by
applying adequate support system
– Completion of the invert will give the above mentioned ring like
structure, static properties of a 'tube'
– Support system should be optimized according to the advancing
deformation
– General control, geotechnical measurements and constant checks on
(the functioning and) optimization of the pre-established support
means must be performed.’
This method as evolved was considered suitable for Short tunnels, large
openings such as stations, unusual shapes or complex structure, Intersections
and Enlargements and may not be competitive enough for long tunnels. With
the advent of NATM, which is typically an SEM, it is being used for long
tunnels also now.

6.6.3 New Austrian Tunnelling Method (NATM)

Popularly known as NATM, this method has been used extensively in many
countries. This has been developed over the Modified Austrian Method and
was first tried in large scale in 1950s.5 It is in fact based on an ‘accumulation
of expertise from all over the world' It is a concept developed taking into
account the self carrying capacity of the rock surrounding the tunnel by
allowing deformations within limits'. It owes its refinement Prof Rabcowitz
(1965). When the opening is made, there will be some movement from all
around the opening and there will be some adjustment in load sharing by
 141

surrounding rock due to elastic nature of the rock and due to elastic nature
of rock, there will be some yielding in immediately surrounding rock layer
and the rock beyond will start sharing the load, thus relieving the rock nearer
tunnel face of some stresses. This can result in their cracking and becoming
loose. If not held in place, it may crumble in places and fall. Provision of
temporary supports partake some of these forces and reduce this effect.
Instead, if the surface of exposed rock in tunnel is provided a shotcrete layer
and some elastic support in form of grids or steel mesh and rock bolts, such
layer would form a protective layer and also in integration with the
surrounding rock resist the forces from the surrounding rock mass. By
observing the movement of this surface and measuring the stresses in them
and rock around, it will be possible to assess the forces to be resisted over
time and design the permanent lining and provide the same as soon as
possible.
The method itself is quite simple and can be used in weak rock and
cohesive type soils. It was employed early in construction of the Vienna
Metro, for example. In developing countries, apart from detailed soil
investigations, it requires measurement of strength of surrounding rock and
its movement soon after the cavity is made and till it stabilizes. This process
requires import of certain expertise from abroad. In some stretches
depressing the water table by well point pumping may also be necessary.
NATM may be cheaper than shield tunnelling and can be used in varying
geological conditions, such as rock outcrops coming in-between brown silty
clay, and progress will be faster than shield tunnelling. Restrictions such as
minimum cover on top and minimum centre-to-centre distances between
tunnels, as required for compressed air shield tunnelling, could be
considerably reduced. This would in turn allow the tunnels to pass at a
comparatively lower depth and reduce inconvenience to commuters. In this
method, as soon as the excavation is done to required profile the exposed
surface is gunited to stabilise it. This is followed by proper lining work.
This method is now widely used in India in mixed soil conditions,
especially in the Himalayan region. It has been used along with Drill and
Blast for boring the 11 km long Pir Panjal Tunnel, details of which are
covered in a Case Study at Annexure 6.2

6.7 EXCAVATION AND ADVANCING FACE2,4

6.7.1 This section covers details of how excavation at tunnel face is carried
out. The excavation operations would differ according to type of soil. Five
different methods have long been used for tunnelling through soft soils and
to some extent medium strata, using manual labour:
142

(a) Forepoling method

(b) Tunnelling with liner plates
(c) Needle beam method
(d) Flying arch method
(e) Shield tunnelling.
The first four methods were developed some hundreds of years ago and
the last in the early nineteenth century for full face tunnelling in soft ground.

6.7.2 Forepoling Method

Forepoling is used particularly in running ground for small tunnels or drifts,
as well as for driving headings in some other cases. Forepoles as originally
used were timber boards (about 2m long) or scantlings with wedged ends.
(Now steel pipes of longer lengths with wedged end are used for driving
headings in cohesive or mixed soils). They can provide support to the ground
above when driven in. Figure 6.4 (a) shows schematic of how they work.

P- Post; C- Capping beam p- Poling board/ Poles;

b- Breasting board; F- Tunnel face
Figure 6.4(a) Forepoling for Mining/ Tunnelling in earth.4

Work is started with fixing posts and a capping beam set against tunnel
face. Using it as a bent for levering poling boards or forepoles are driven
through the soil at an angle (about tan–1 0.15) and adjacent to each other so
that they would form a roof over and earth can be excavated below. With
this protection excavation is done to extent possible for erecting next set of
bent (posts and cap). If, however, the soil cannot be held for duration
required to erect next set of posts and cap, some short vertical boards are
 143

driven into ground (as shown in rear of C2) and similarly the bent erected.
Next set of poles can be driven into the ground next and process repeated.
For more details of stages of fore poling in running soils, Reference 2
may be seen. With the development of shield tunnelling, latter is preferred
for running soils.
In partially cohesive soils, the forepoles can be driven at the roof level
in an overlapping manner as shown in Figure 6.4(b). Transverse ribs or
lattice girder normally used for supporting roof level near the face of the
tunnel is used as the bent mentioned above for driving in and supporting rear
end of forepoles. (Face is normally supported with breast boards below the
girder, to suit the nature of soil). A row of forepoles are driven into the soil
with the girder providing rear support. With this row of poles providing
support soil below for some small depth is cleared for some distance and
another transverse girder is laid across. The intervening distance can be about
0.600 to 0.900 m. Another set of forepoles can be driven in to extend the
support for further excavation. In this manner forepoles are driven in an
overlapping manner so that there is no gap between them and in the coverage
as shown in Figure 6.4(b). Excavation below this umbrella can be done for
proposed pull length. As it is done, face support in form of breast boards is
provided beyond the pull length, shifting from the front. Part of the pole will
be cut off and the remaining will be left buried behind the lining.

Source: Manual for Design of Tunnels and Bridges, FHWA

Figure 6.4(b) Forepoling Method of Supporting Running Ground.

Forepoling with longer pipes and larger overlap is now used extensively
for driving headings of tunnels in clayey earth, with full or partial breast
board protection for holding the tunnel face during the time taken for driving
a set of forepoles.
144

6.7.3 Tunnelling with Liner Plates

This is generally used for either forming drifts or headings on medium soft
ground. It can also be adopted for small cross-section drifts in running
ground, combined with compressed air. The first liner plate is placed at the
crown segment in a pre-excavated cavity at the top. After the hole has been
sufficiently widened, adjacent liner plates are bolted to it, one on either side.
These plates are temporarily supported by trench jacks or props placed below
and tightened carefully. The arch section can be extended down to the
springing line in a similar manner. The liner plate ring for the section so
formed should be wedged outward from the wallplates or wall beams placed
in the grooves. This process can be continued below also if a full-face
operation is intended.

6.7.4 Needle Beam Method

This method is a modification of the liner plate method. It is applicable
wherever the roof can stand for a few minutes and the sides for an hour or
two as in stiff clay. The full section of the tunnel is broken up into successive
portions, as indicated in Figure 6.5. Work is started in the top heading portion
and then extended below.
To start with, a monkey type of drift is driven into the face of tunnel.
The roof of the drift is supported with laggings carried over wooden
segments. These are supported by trench jacks which should leave the central
portion clear. After a sufficient length is cleared, including space along the
axis for inserting the needle beam, the latter is inserted with its front portion
resting on planks placed on the floor of the drift. The rear end will be
supported on a post resting on the finished floor of the tunnel. Further
lagging plates are set up one by one and are supported radially using trench
jacks or props from the centrally placed (longitudinal girder) needle beam.
The needle beam consists of two IRSJs bolted together or a timber beam.
If the needle beam is made up with joists, the space between the webs of steel
joists is filled in with hard wood. The length of the needle beam chosen will
depend on the length of daily progress, generally 1.5 to 2 m.
The remaining part of the entire section is cleared and the exposed
surface is supported by plates and trench jacks and the tunnel advanced, as
shown in Figure 6.6, stage 3. This method causes difficulty in placing
concrete lining due to the obstruction posed by the needle beams. Brick
lining is easier to place. This method is suitable for small- and medium-size
tunnels (2.5 to 4.0 m dia).
 145
Figure 6.5 Needle Beam Method2.
146

6.7.5 Flying Arch Method

The flying arch method is similar to the needle beam method except that no
beam is used for supporting the liner plates. As the top heading is driven,
the liner plates of the arch are supported by trench jacks resting on the bench
itself. Each day's drive is concreted with half-round arch forms, handled and
filled by hand with a plank used as footing under the concrete. After the
heading has been driven about 20 to 25 m, the benching is done for extending
the section below, after which side and invert concrete are placed
(Figure 6.6).

Figure 6.6 Flying Arch Method.

6.8 SOFT-GROUND TUNNELLING7

6.8.1 Tunnelling in soft ground has been recognised as one of the most
challenging and complicated construction operations. The requirements for
satisfactory tunnelling in soft ground are:
(a) The method should be such that it is possible to advance the tunnel
consistent with safety and to maintain the integrity of the opening
temporarily until the permanent lining is built/ erected and gains
strength to support the pressures exerted on it.
(b) Construction of the tunnel should not result in any damage to
adjacent or overlying buildings, streets or utilities.
(c) The tunnel after construction should be capable of withstanding the
influences to which it may be subjected during its lifetime, such as
earth pressure due to the surrounding soil, overburden, presence of
stations, ventilation shafts, cross-tunnels etc., including disruptions
caused by sub-sequent tunnelling alongside completed tunnels.
Different methods used in soft ground Tunnelling are listed below with
brief details.

6.8.2 Shield Tunnelling6

In most subway constructions shield tunnelling has to be carried out with the
use of compressed air since the level at which it is done will be below the
 147

subsoil water level, or under water bodies such as streams and rivers. Where
depth is not large or in highly cohesive soils where subsoil water ingress can
be easily managed, use of compressed air can be dispensed with. Technology
in shield tunnelling has advanced so much that there are machines, Tunnel
Boring Machines (TBM), mounted at the face of the tunnel which can cut
the soil using rotary cutters; excavated soil is collected and conveyed through
a conveyor-belt system mounted on the equipment. This equipment advances
automatically like a mole as face soil is cut and cleared and lining in the rear
is erected or poured. Such equipment, known as 'moles', is more popular in
subway tunnel construction. Moles are successful wherever soil is fairly
uniform, cohesive and not too hard and can achieve a progress rate of as
much as 0.9 m per hour. The methodology involved in shield tunnelling is
discussed in more detail in Section 6.9.

6.8.3 Tunnelling by Freezing

Tunnelling in soft ground below the water table can also be done by the
freezing method. Its essential feature is solidification by freezing of ground-
water in the soil through which the tunnel is to be constructed, by circulating
brine cooled to low temperatures. Circulation of brine results in the formation
of an ice wall due to freezing of the water inside the soil pores. Even though
freezing of vertical shafts by this means has been found successful, freezing
a horizontal tunnel has rarely been tried, because of the complexity and
expense of the operation. This method has been resorted to for some lengths
in a recent London tube construction. Even though tunnelling by freezing is
technically feasible in water-bearing sandy soils, the technique would be
uneconomical for construction of a tunnel of the size required for a metro
system, especially in tropical countries. The technical know-how and
equipment for the process are also not indigenously available in developing
countries, for example India.

6.8.4 Tunnelling with Chemical Grouting

Soil stabilisation to facilitate tunnelling is possible also by a special chemical
grouting system. In this method sodium silicate, calcium chloride or silica
gel is injected under pressure. Chemical grouting is not practicable, however,
in soils with considerable variation in permeability of different formations
which call for different grouting materials of different strengths, thus leaving
several doubts about the effectiveness of the injection. The sequence of
tunnelling using chemical grouting is indicated in Figure 6.7.
148

Figure 6.7 Sequence of Grouting Operations Using Pilot Tunnel to advance

Tunnel Face.
 149

6.8.5 Slung Wall Construction

This method is used in cut-and-cover construction without additional piling
or diaphragm wall. It also avoids need for underpinning adjacent buildings.
The side walls are constructed for full depth in trenches as for diaphragm
wall construction, the difference being that the trenched wall itself forms the
side walls of the subway. Once the walls are completed, the earth between
them is excavated to the underside of the proposed roof level of the subway
(using struts to hold the walls laterally). Using ground as the form, the roof
slab is cast and keyed into the side wall. After this, the earth below the roof
slab and side walls is mined by working from the ends. The earth above the
roof slab can be simultaneously filled (after the roof slab has gained
sufficient strength) and the road surface restored. Once the excavation by
'mining' reaches base level, the floor stab is cast and well keyed into the side
wall. This method was experimentally implemented for a short length in the
USA but proved costly and hence has not been pursued. Its main advantage
is reduction in interruption of road traffic.

6.8.6 Cut-and-Cover Tunnels

Wherever the permanent protective arrangements for continuing an open cut
are expensive and fixing soil-supporting arrangements for boring the tunnel
complicated and/or costly, that part of the length can be made an artificial
tunnel by using the cut-and-cover method. This method was used for entire
lengths of some tunnels on the Budni-Barkhera section (on Nagpur-Delhi
line) of the Central Railway, where the soil was neither dependable for
stabilisation in open cut nor considered easy to support and tunnel through.
Similarly, in the loose sandy strata area on the Assam Rail Link Project the
cut-and-cover method was used for a number of tunnels in 1947 and recently
on a rail link project in Tripura and on Konkan Railway. This type of
tunnelling is more often used for metro tunnels.
While establishing a tunnel face, the following items have to be attended
to:
(a) Open excavation in overburden and rock or excavation of shaft from
the bottom of which tunnel excavation can start;
(b) Arrangement for collection of surface water and its drainage by
gravity or pumping;
(c) Access roads or rail tracks to mucking areas;
(d) Erection of winching and hauling equipment;
(e) Establishment of a field workshop, compressors, pumps, water-lines,
ventilation fans and ducts.
150

In tunnels in shallow depth, where cut-and-cover method is adopted,

diaphragm walls on either side are constructed using bentonite slurry. After
these set, excavation from above can be done duly strutting the walls. This
method is adopted more in subway tunnels and is discussed in more detail
in Chapter 8.

6.9 SHIELD TUNNELLING5,6

6.9.1 Where used5

The shield tunnelling method is used in loose, non-cohesive or soft ground.
It is mostly circular in shape. It can be driven either in free air or under
compressed air. The former method is used when the depth of the tunnel is
shallow and/or there is not much likelihood of ingress of water, as in clayey
soils. The advantage of the shield tunnel is that it permits excavation of soil
and erection of primary lining under safe conditions. It also provides better
control of ground settlement from above as well as on the sides.
The shield tunnel was invented by Marc Brunel and his son who
completed a 360-m long tunnel between 1825 and 1845. It was 11.5 m wide
and 6.6 m high and was made in free air under the Thames River. The first
circular shield was designed by Greathead who used it in 1896 to build the
second tunnel in London stiff clay.
Use of compressed air was first proposed by Cochran. The first shield
tunnel driven using compressed air appears to be the St. Clair tunnel between
Port Huron in Michigan and Sarnia in Canada in 1898 using a 'Beach'
hydraulic shield. This tunnel is 6.3 m dia in section and nearly 2 km long.
Air pressure, as high as 2 atmospheres, was used.

6.9.2 Shield6
The equipment comprises a shield made of an outer envelope of steel plate,
slightly larger than the outside dia of the tunnel lining. This is known as the
‘skin’ (Figure 6.8 (a)). In small shields the skin is stiffened internally by
means of a diaphragm made of a steel plate with a large central aperture. In
large shields it is braced by heavy framework of structural steel. A fixed
cutting edge made of cast steel is mounted in front of the skin. This is pushed
into the face and cuts into the soil and trims the excavation to the shape of
the tunnel. A series of hydraulic jack (rams) mounted around the inside of
the skin in the rear portion of the shield are used for pushing the shield
forward as each successive length of the tunnel is completed. To aid in
 151

cutting harder ground, sometimes the shield cutting edge is coated with
abrasion-resistant welding material.
In some shields a hood is provided in the upper half projecting one shove
ahead of the shield. Under the protection of this hood, the excavators can
advance and fix breast boards to prevent the soil in front from collapsing,
i.e., to hold the face prior to the next shove.
During use in clayey soils the front is not closed and hence no breast
boards are necessary. While using the shield in very soft clay, silt or fine
running sand, the front face of the shield is generally closed by a steel
bulkhead provided with portholes through which the soil can be excavated.
These ports can also be closed with steel doors for control when necessary.

6.9.3 Accessories
The other accessories of the shield are:
(a) Shove jacks,
(b) Breast jacks,
(c) Table jacks,
(d) Erector arm,
(e) Tail seat and
(f) Hydraulic equipment.
Shove jacks: These are a series of hydraulic jacks mounted around the
periphery at the tail end of the shield. Their capacity is generally about 70
t/m2 of the face and they have a stroke 150 mm longer than the shove
proposed. These jacks are set in stiffening rings of the body of the shield and
bear against the last set of primary lining erected for the completed tunnel
in the rear. They bear against jacking shoes resting on the face of the lining.
The number of jacks used may vary from 6 for small shields to as many as
40 for large openings. Each jack may exert a force ranging from 10 to 100
t. Total shove effort may reach 1000 t.
Breast jacks: These jacks are mounted on the upper face of the shield
to hold the breast boards (where used) bearing against the soil. They are held
by and bear against suitable vertical posts fixed on the diaphragm. They
retract gradually when the shield is advancing and concomitantly maintain
pressure on the breast stands. Table jacks: These are used to support steel
plates or platforms which are used as the work deck for giving the excavators
a working platform or table and sometimes are used for holding the breast
boards.
Erector arm: This is used for picking up the liner segments from the
delivery trolleys or from the bottom of the tunnel in the rear and placing/
 152
Figure 6.8(a) Shield Tunnelling Equipment.
(contd.)
 153
Figure 6.8(a) Shield Tunnelling Equipment.
154

pushing them into position. The arm holds the liners until they are bolted in
place. These are mounted at the rear diaphragm of the shield just above the
horizontal axis.
Tail seal: Rubber seals are bolted onto the inside of the tail at the rear.
They prevent soil, gravel, grout or water flowing into the back of the shield.
Precaution has to be taken against their getting 'frozen' into the grout.
Hydraulic equipment: All the jacks and the erector arm are operated
from a central hydraulic system. The shove jacks are controlled by valves
placed in the four quadrants, namely upper, lower, left and right. The breast
jacks and table jacks as well as the erector arms have individual controls. The
fluid used for the hydraulic system should be fire-resistant. The hydraulic
system is generally operated by an electrically driven pump which has
remote controls for starting, stopping and varying the pressure. The normal
maximum working pressure is about 28 N/mm2 but the system is designed
for 2.5 times that pressure. In fact, when the shield does not move at 28 N/
mm2, a check has to be made to ascertain whether some major obstruction
in the form of rock, boulder etc. is impeding the cutting edge.

6.9.4 Work Cycle8

The cycle of working the shields without the use of compressed air is:
(i) The ground is excavated ahead of the shield to a standard distance
equal to the width of one section of the tunnel lining (usually between
0.5 m to 0.8 m). The lining is erected and properly fixed onto the
excavated face.
(ii) The shield is jacked bodily forward, the thrust of the rams being
taken by the ring of lining last erected.
(iii) The rams are withdrawn, leaving a space inside the tail of the skin
for the erection of a new ring of lining (at no time should any ground
be exposed at the rear of the shield).
(iv) The space between the excavated surface and the outer surface of the
previous ring of lining left by the withdrawal of the skin of the shield
is filled with cement grout injected through special holes in the
lining.
(v) The next length of ground is excavated in the face and the process
is repeated.
Figure 6.8(a) shows different stages of work with the shield.
Figure 6.8(b) shows how in-situ concreting is done, in conjunction with
shield work. This procedure will be equally applicable for use in other
methods of doing tunnelling full face.
 155

Figure 6.8(b) Construction Stages of Cast-in-situ Concrete Lining in the Shield

Method6.

6.9.5 Special Precautions

If at the beginning of the shove, one side or the other is advanced a small
amount more by operating all the jacks on that side, there will be a tendency
156

for the shield to turn slightly, either squeezing the ground on one side or
leaving a void on the other. This can be avoided by advancing the shield
using all the shove jacks uniformly and by keeping a surveyor on each side
of the tunnel to closely monitor the lead distances as the shield advances and
to ensure that it is moving uniformly in the desired direction.
Shield 'diving': Since most shields are nose-heavy, they have a
tendency to dip, i.e., 'dive'. This has to be closely watched and controlled by
using only the lower group of jacks when such a tendency is observed.
Sometimes an extra jack is added at the bottom to correct this problem.
Curves are very difficult to drive with shields and hence the minimum
radius of curvature of alignment while using a shield is kept as 175 m (10
degrees). The segments supplied for this will be in the form of tapered rings.
Shield rolling: All circular shields have a tendency to roll; to prevent this,
some are designed with removable fins on the sides. A simple way of getting
over this difficulty is to fix a few of the shove jacks in slotted holes. In that
case the cover plates can be removed and the jack forced to the end of the
slot by wooden wedges. When a shove is made with this arrangement, it
gives a spiral effect to the shove and prevents rolling.
Running sand and gravel: When driving a tunnel through (loose)
sandy and gravelly soils, hoods must be provided for the shield and the face
must always be breasted. While doing the excavation, the upper breast board
will first be removed carefully and muck drawn into the tunnel. This board
will then be advanced for one shove length and held temporarily by two
trench jacks. Work is then similarly continued below by advancing the
remaining breast boards one at a time. This operation is continued until the
soldier beams are free and can be reset and held by breast jacks. The trench
jacks can then be removed and the shield shoved ahead.
Tunnel Boring Machines have been developed, which work as sealed
units, with facility for fixing Segmental CI or Precast segments for lining as
the machine advances. Annexure 6.1 gives a brief description of working of
a TBM.
In fine water-bearing sand, advancement using this method is slow and
costly. Even if the overburden is not much, it is advantageous to use
compressed air or to lower the water table by external pumping in such cases.
Alternatively, the surrounding ground can be stiffened by chemical grouting.
Such problems arise, as a matter of course, in subway tunnels, particularly
in cites, and in coastal areas. A case study is given in Para 6.10 to illustrate
how such problems can arise in a hill tunnel and how they have been dealt
with.
 157

6.9.6 Tunnelling by Bentonite Slurry Shield

The need for a tunnelling method to bore through non-cohesive soils without
disturbing overlying property and preferably without exposing men to work
in compressed air, has been felt for long. With the development of Shield
Tunnelling, it has been possible to use bentonite slurry for advancing the
shield for stabilizing the cut and clearing the cut soil as slurry mixed with
bentonite and pumping it out of the tunnel. Some have been tried, such as
the continental 'compressed air in the face alone' with variable openings in
a full face with rotating cutter head etc., Such machines do not offer constant
and regulated support to the working face. Safety of the tunnel and the
overlying property relies heavily on the judgement of the machine operator
if such machines are used. An approach to the problem of supporting the face
while tunnelling in non-cohesive ground was recently developed in the
United Kingdom and Japan. This new tunnelling technique is the result of
the realisation that bentonite slurry which supports surfaces of an open trench
in non-cohesive ground can be equally effective in supporting a tunnel face.
The essential features of this methodology are presented in Figure 6.9.

6.10 CASE STUDIES

6.10.1 Challenges in Soft Ground Tunnelling on Konkan

Railway Line8
This 760 km long Broad Gauge line on the West Coast of India, was
constructed in the last decade of the last millennium. It passes along the west
coast of India and for most part passes through the hilly terrain of Western
Ghats. This long overdue link between Roha (near Mumbai) and Managalore
in south substantially reduces the travel distances and travel times between
many destinations in the north to south of the country, apart from opening
up the area for economic development. It gives a more direct rail link to Goa,
a major tourist spot, from both north and south. This happens to be the first
BOT Rail project to have been completed in record time.
In the 760 km the northern 600 km length passes through a formidable
hilly territory. In the total length of 760 km, there are 92 tunnels totaling a
length of 83.6 km; the longest tunnel being 6.506 km long (Karbude) all in
rock. It has 178 numbers major bridges (total length 20.5 km), longest
Sharavati Bridge being 2065 m long.
Nearly 74 km of the tunnels is through hard rock, balance being in strata
varying from soft rock to lithomargic clay. They generally were with hard
porous laterite crust on top for 4 to 12 m depth followed by silty clay over
158

Figure 6.9 Bentonite Slurry Method.

 159

lithomargic clay. During rains (which used to be heavy in that area), water
would percolate down and the saturated clayey layer used to cause mud flow,
resulting in creation of cavity extending upto the crust, which would cave in
causing craters in many places. Of the hard rock tunnels 9 were longer than
2.25 km (being the longest of then existing tunnels on Indian railways).

6.10.2 Honavar Tunnel8,9

Of the soft strata tunnels, 7 tunnels aggregating to 3.8 km length were fully
through soft soil. All except about 1500 m of a tunnel at Honavar were
tackled by conventional heading and benching process. For the 1500 m
mentioned, two 7.9m OD Shields were used to start with. The tunnel
consisted of two stretches, one 300 m long and the other 1200 m long.
Work was started from both ends with two shields and had been planned
to bore this tunnel through with the two shields. The type of shield used is
known as 'Blade shield'. The ones used here were for providing tunnels with
7.2 m (inner diameter). Allowing for lining thickness and a play of 100mm,
the inner diameter of shield was chosen as 7.9m. The hood of the shield had
two circular bearing rings of 6.1 m ID and 7.7 m OD and fabricated with
20 mm and 25 mm plates welded to stiffeners inside. The rings are spaced
at 3.448 m. 6.8 m long blades with sharpened front ends formed front blades
and tail blades were 1.2 m long. Total number of blades was 29. Sixty ton
capacity jacks with 600mm stroke length, one each attached to front shield
and bearing against rear bearing ring, were used for propulsion into the
tunnel face.
A number of problems were met with while carrying out the work.
During the boring, large boulders were encountered, which had to be blasted
and removed. In the process, there were some collapses resulting in cavity
formation on top of shields. Such problems had to be overcome by grouting
the soil from surface. Since such interruptions caused delay, in order to
expedite work, it was decided to open up more faces in between and do work
by conventional 'heading and benching' method, in addition.
Additional faces were created, one pair by additional Adit and one pair
by sinking a 10m dia shield 20 m deep as shown in Fig 6.10 (a). Fig 6.10
(b) shows the schematic of an overhead collapse and how it was dealt with.
Due to such problems and slow rate of progress, shield Tunnelling method
was restricted and conventional heading and benching method adopted as
indicated in Figure 6.10(a)
160

A, G-By Shield Method–524 m; B, C, Conventional Heading, Benching –306 m;

D, E – Conventional Method from Shaft 511m; F-Conventional from South – 260m
(a) Tunnelling Strategies for Honavar Tunnel 5 and 5A Grouting Holes.

(b) Honavar Tunnel- Problem in Progress of Shield.

Figure 6.10 Tunnelling through Soft Strata at Hannover on Konkan Railway9

6.10.3 Alternative Strategies for Soft Ground Tunnelling9

Figure 6.11(a) General Structure of Soil with Lateritic Crust9.

 161

Figure 6.11 Different Strategies adopted in dealing with Lateritic Soil and Clay9

Figure 6.11(a) shows the general strata structure in locations with

lateritic rock crust. The problem of seepage of water, mud flow and/ or cavity
formation and caving mentioned above were dealt with by four different
strategies adopted as listed below:
162

(a) Installation of perforated pipes (150 mm dia) at the heading face for
advancing it as shown in Figure 6.11(b). These pipes were driven
through using horizontal boring machines. These suited in medium
hard strata.
(b) Providing pipe umbrella to advance hold the heading using smaller
(30mm dia) pipes at closer spacing (200mm), by pushing them
through the clay with jack hammer. The rear ends were temporarily
supported on temporary arch ribs. This is illustrated in Figure 6.11(c)
(c) Using multi-drifts as shown in Figure 6.11(d).
The cavities met with, shown in Figure 6.10(b) were filled by placing
concrete in them. For passing through cavities, nine blades of the shield were
extended by upto 2.5 m. For transition between the extended and non-
extended portions, four more blades were extended partially. Conventional
method of filling rock spalls in cavity did not work. In order to combat this
problem, a number of 100mm dia holes (upto 4) were drilled through the
overburden and a grout formed with a mixture of stone chips, sand, bentonite
and cement was poured through the bores. As such mix was found to be
costly, later a grout consisting of cement: clay: fine sand in ratio of 1:8:8 was
used successfully8.

6.11 REFERENCES

1. Agarwal, M.M. and Miglani, K.K., (2014) 'Global experience of design,

construction & maintenance of Railway Tunnels with special reference to
India', Proceedings of National Technical Seminar, on Management of P.
Way Works through need based Outsourcing and Design, Construction and
Maintenance of Railway Tunnels, Jaipur 2014 pp315-356.
2. IS: 5878- (Part III)- 1972 ,'Code of Practice for Construction of Tunnels: Part
Ill Underground Excavation in Soft Strata', Bureau of Indian Standards, New
Delhi.
3. IS: 5878- (PART IV)- 1971- ' Construction of Tunnels- Part IV- 'Tunnel
Supports' , Bureau of Indian Standards, New Delhi.
4. Silas H. Woodard (1947), 'Dams, Aqueducts, Canals, Shafts, Tunnels' in Ed.
Thaddeus Merriman and Thomas H.Wiggin, American Civil Engineers
handbook, John Wiley Inc. New York, 5th Edn. 1947, pp 1614-1652.
5. FHWA Technical Manual for Design and Construction of Road Tunnels and
Bridges, Civil Elements Chapter 7., USDOT, Federal Highway
Administration
6. Bickel and Kuesel, (1982) Tunnel Engineering Handbook , Von Nostrand
Reinhold Company, New York ,1942 pp 93-120, 417-444
 163

7. Pequinot, C.A., (1963) "Tunnels and Tunnelling'- Hutchinson, Scientific and

Technical, London
8. Raju, C., Narayanan, G., and Kurien, A.P., 'Soft soil tunnelling using shield
for Honavar tunnels'. Indian Concrete Journal, February 1994, Associated
Cement Companies, Mumbai
9. Limaye, S.D., (1997), 'Konkan Railway Project: Tunnelling -Important
Aspects', Structural Engineering Convention, Mumbai. (Unpublished)
10. Vipul Kumar (2014), 'Managing Surprises in Tunnel Projects', Proceedings
of National Technical Seminar, on Management of P.Way Works through
need based Outsourcing and Design, Construction and Maintenance of
Railway Tunnels , Jaipur 2014 pp 247-257.
11. Ankur Jain, (2013), 'Pir Panjal Tunnel', Paper presented in Course 824,
Indian Railway Institute of Civil engineering, Pune, IRICEN web site.
12. Rastogi, V.K., 'Instrumentation and monitoring of underground structures
and metro railway', World Tunnel Congress 2008 on Underground Facilities
for Better Environment and Safety- India
 ANNEXURE 6.1

TUNNEL BORING MACHINE

General
Tunnel Boring Machine is a compact system with the Cutter head with or
without short shield leading and the mechanical thrust system (jacks, driving
unit etc.,) conveyors for the muck removal and control unit linked to it in
rear. They move as a unit. The cutting is done by the rotation of the cutter
head. Thrust is provided by hydraulic jacks acting against gripper shoes
mechanism provided against the tunnel walls of the completed portion in rear
in hard rock or against the concrete rings. TBM is also called a 'mole',
TBMs of different types are available for use in all types of soils varying
from soft strata to hard rock fro tunnels of circular cross section. Their main
advantage is that they limit the disturbance to the surrounding ground. It, thus
is eminently suitable for tunnelling through heavily built up urban area. It
saves the cost of lining in hard strata as it leaves a smooth tunnel wall behind.
The segmental lining installation is quick resulting in saving of time. The
main disadvantage is its cost (as for example TBMs being used in Chennai
cost about Rs. 90 crores each, as in 2013). First such boring machine is
reported to have been built in 1846 for a rail tunnel across Alps but not used
due to a Revolution. One such was built in USA in 1853 with Cast Iron as
a Stone Cutting Machine but failed after drilling about 3m length. First
successful use of tunnel boring machine is reported to be in 1952 in Oahe
dam by James Robinson. Since then they have been improved upon and are
now available for boring holes of diameter varying from 1 metre to 17.5 m
(earth balancer type) developed in 2013 for Highway 99 tunnel project in
Seattle. Largest hard rock TBM is for 15.62 m diameter, (weighing 4500
tons, made for Sparvo gallery of Italian Motorway Pass A1. (Wikipedia-
March 2014).
 165

Figure A 6.1.1 Schematic View of a Tunnel Boring Machine in Soft Ground.

Types of TBM
There are basically five types of TBM, two for Rock and three for Soft
Ground Tunnelling as indicated below:

Source : Google Image

Figure A 6.1.2 Types of Tunnel Boring Machines

Working of TBM
Hard Rock
Hard rock TBMs can be open or shielded type. In either case, the excavation
is done by 'disc cutters' mounted on the cutter head. The thrust applied by
the machine on the cutter head makes the 'disc cutters create compressive
stress fractures in the rock' at the 'tunnel face' resulting in chipping away of
the rock and same fall through the openings in the cutter head. It is collected
and is carried through an overhead conveyor system to the muck cars for
removal from the tunnel. In hard rock, open type is used, in which the rear
of the cutter head is left open for the exposed rock to provide the support.
Advancing of the machine is done by a gripper system, in which a pair of
166

gripper shoes is pushed on side walls of excavated tunnel for them to get
support. During forward stroke, the jacks acting against the grip bars cause
the compression required for cutting the rock and for the cutter head to move.
At the end of the stroke, 'rear legs of the machine is lowered and the grippers
and propel cylinders retracted'. Then the gripper assembly is moved forward
and repositioned for the next cycle. Erection of concrete segments is not done
in the open/ beam type TBMs. If required, the exposed rock can be supported
using ground support systems like, ring beams or Ring steel, rock bolts,
shotcrete with or without steel straps and wire mesh. See Figure A 6.1.1.
Shielded (closed) TBMs are used in fractured or softer rocks, which
require installation of concrete segments to support the unstable tunnel walls.
In this case, the pushing and advancing is done using thrust cylinders acting
against the installed tunnel segments behind. In this there are two types,
single shield TBM and Double shield TBM. The former can push forward
only by thrust cylinders acting against the lining segments and hence are used
in fractured ground only. The Double shield type has both capabilities viz.,
use of grip against tunnel walls or use of thrust cylinders. Hence it can be
used where there is a mix of the two types of rocks met with.

Soft Ground
There are three main types of TBM for soft ground Tunnelling viz., open face
excavation type; Earth Pressure Balancing type; and Slurry type (Figure A
6.1.2). The latter two types work as closed Single Shield TBMs and the cutter
head is advanced by pushing off against segments. The open cut one also
uses a shield for maintaining the profile and advancing but does not use a
cutter head since these machines are used in ground, face of which can stand
without support for a short period of time during excavation. Excavation is
done with a back actor arm (or a cutter head) upto about 150 cm of the front
edge of the shield. As the shield is advanced forward, the cutter in front cuts
any remaining ground to obtain the circular profile. Ground support to the
excavated tunnel is provided by erection of precast concrete or Spheroidal
(Graphite Iron) segments. This type of TBM can be used for boring through
softer rocks of upto 10 MPa strength.
Earth Pressure Balanced type is the most commonly used TBM. In this
the cutter head uses a combination of 'tungsten carbide cutting bits and
carbide disc cutters. As the name suggests, as the cutting head is jacked
against the earth face, the earth and any other pressure coming on the face
is balanced by applied pressure and additional thrust and rotation of the cutter
head causes the excavation of the face and excavated soil flows down
through the openings in the cutter behind it. That soil is scooped and
conveyed by a screw conveyor to the overhead conveyor for ultimate
removal from the tunnel. As soil is excavated, the cutter head is advanced
 167

There is an automated system through which the operator can maintain the
rate of machine advance with the rate of soil removal. The soil in front is
stabilised, as necessary, by injecting chemical grouts, polymers, bentonite or
foam to suit the type of soil, through hole provided in the cutter head for the
purpose. Any pre-existing bore holes in the area of influence of the tunnel
will have to be sealed well in advance. Suitable precautions have to be taken
for avoiding or minimizing any settlement of ground in the area of influence.
In soft grounds with high sub-soil water and very high water pressure,
it will be necessary to use Slurry Shield Type TBM. Working in these has
to be in a completely enclosed environment. The soil in front is stabilised
by mixing it with bentonite and as the shield advances, the soil mixed with
bentonite will flow through the cutter head. It is collected and sucked/
pumped and removed through a system of slurry tubes to the outside of
tunnel. There, large slurry separation plants have to be available on surface
for separation and removal of muck and the reclaimed bentonite slurry is
recycled back into tunnel. Where the water pressure is very high, pneumatic
pressure may have to be applied ahead of cutting head and system of locks
for men and for muck removal will have to be provided behind cutter head.
In this case, various stipulations and precautions will have to be taken in
selection of workers, their health condition, reduced duration of work etc..

Special Types of TBM

Of late, site specific TBMs are being developed with the advancement of the
technique. For example, recently a special type of TBM was developed in
Malaysia for use in two different kinds of ground. At one end of tunnel,
normal soft ground is met with and the tunnel has to pass through a lime
stone deposit, in which it has to cut through lengths with hollows in the rock
formation.

Source : Google Images

Figure A 6.3 View of a TBM and Parts.
 ANNEXURE 6.2

CASE STUDY : Example of a

Railway Tunnel With Service Road
done using New Austrian Method

The 345 km Udampur- Baramulla rail line project in the Jammu-Kashmir

region on the Himalayas can be considered the most difficult rail line project
in mountain range carried out by Indian Railways since Independence. Of
this, the most and challenging length is the 129 km line, cutting through Pir
Panjal Mountain range, including 62 bridges and 35 tunnels (aggregate
tunnel length being 103 km). Pir Panjal Tunnel is the longest Vehicular
Tunnel in India as of 2014. It is 10.96 km long on a straight alignment.
Situated at an elevation of about 1700m above MSL, it is about 440m below
the Highway Tunnel passing through the same range. It is less likely to go
under snow. The work was started in 2006 and took about six years to
complete; the tunnel was commissioned in June 2013.

Geological Features10
Geological investigations consisted of consultations with the expert
geologists and supported by drilling exploration bore holes as follows: 6 bore
in 2003 in RITES investigations; 15 bores upto 225 m in 2004 RITES
detailed investigations; and 7 bores in 2004 upto 640 m depth as part of
MECL investigations. It can be seen that the deepest drill hole was 640m as
against normal practice of about 300m. A layout of the bores can be seen
in Figure A.6.2.1
It has been found that the tunnel passes through different types of rock
and soil, consisting mainly of 'silicified lime stone, andesite, quartzite,
sandstone and lime stone'. There are shale intercalations, agglomerates, shale
and tuffs are also met with. The portal areas are in soft ground, situated in
'fluvioglacial sediments'. Trap and Quartzite is met with in the middle length.
 169

Source: Reference 10
Figure A.6.2.1 Layout of Bore Holes for Pir Panjal Tunnel Construction.

The central areas of the range have a 'distinctive folding' and a number of
fault zones have been encountered. General direction of strike in mountain
range is NW- SE while the tunnel runs almost North- South. With an
overburden of upto 1100m, the tunnel bore was anticipated to be subjected
to high squeezing, apart from heavy water incursion, in the lime stone area.
These conditions have had a major impact on the choice of tunnelling
methodology.

Salient Features of the Tunnel11

The tunnel section has been designed to accommodate a Single line BG track
and a 3m wide road by the side running for the full length for the purpose
of maintenance, attention to emergency rescue and relief measures. It is
lined. It is in arch form with maximum width of about 8.40 m and height
of 7.39 m. Figure A 7.2.1 shows a typical section with the lining. Finished
area is 48 sqm, while excavation area varied from 67 sqm to 78 sqm.
170

Proceeding from south, it has a rising gradient of 1% for about 6720 m from
the South end and a falling gradient of 0.5% beyond to the North end,
(summit being at Km 159.134).
Apart from the two portals, it has a 774 m long Adit (meeting tunnel at
2750m, isolating the soft ground) and a 12m dia 55 m deep shaft at 600m
from the North end (isolating the north end tunnel). They provided additional
working faces and now serve for ventilation. The Adit gives an alternative
approach for use in emergencies and for maintenance. A total of about 1
million cum of underground excavation was involved. Provision has been
made for ventilation, fire fighting and safety monitoring and lighting for the
full length. Extensive instrumentation was done during execution for
monitoring and also updating design parameters and revision as required.

Tunnelling Methodology:
Use of TBM was ruled out for this tunnel for following reasons, even though
it would have been faster:
— The section being non-circular, with the use of TBM, expansion of
section requiring enlargement of the section calling for use of other
means.
— The heterogeneous geology varying from the portals to the middle
and the need to go through a number of fault zones, requiring
changes in regulation of applied pressure and types of cutting tools.
— High squeezing of rock anticipated and also heavy water flow likely
in the limestone area
— Retrieval of TBMs working from two ends in middle poses problems
like providing caverns etc.
— TBMs having to be designed to suit varying geological conditions,
import and transport up the hill would have required a very long
mobilisation time.
NATM (New Austrian Tunnelling Methodology) was the next best
choice for the section chosen and for the varying geological conditions met
with. Soil excavation has been done using a road header and 'drill and blast'
methods.
The sequence of tunnelling work was as follows:
Excavation: Eight classes of rock mass have been found. Where the rock
mass class was found excellent, very good and good, full face excavation was
done; depending on the composition, excavation was done by heading and
benching. For further inferior classes considered poor and very poor ones,
excavation was done by segmentation. At the excavation face, the face was
'divided into small cells that would help the ground to stand until completion
 171

of the lining'. This primary lining comprised of shotcreting with steel wire
mesh embedded in it. The opening was gradually widened in steps.
Depending on the geometry and size of the tunnel section, number of such
steps was decided. Figure A.6.2.2(a) shows how they were segmented and
sequenced when work was done in soft ground. Work sequence can be
understood from the table of cycle time (in hours) for different pull lengths
given below:

Description of task Cycle time for Cycle time for

2 m pull 1.25 m pull
(in hours) (in hours)
Drilling and excavation 1.7 0.9
Charging, blasting, defusing 2.7 1.5
Diffusing and mucking 1.1 0.8
Fix wire mesh and lattice girder supports 2.4 2.3
Shotcreting 0.9 0.8
Rock bolting 1.8 1.0
Preparation for next face 0.3 0.3
Maintenance 1.6 1.6
Forepoling 1.6 1.7
14.1 10.4
Source: Rahul Sinhal from 'Academia' web site

Figure A.6.2.3 (b) shows the work of primary lining as the arch is
widened upto spring, the roof being supported with a lattice girder type of
rib and A.6.2.4 shows fixing of a rock bolt.
Design of the Support System
The support system design is integrated with the deformation characteristics
of the ground around. It is done using 'rock support interaction' diagrams.
Geotechnical classification of rock mass obtained initially and those evolved
by observations during construction and continuous analysis of the rock
pressure and movement of primary lining were used to obtain these . For this
purpose, instruments like load cells on rock bolts, strain gauges and
extensometers were fixed at intervals and continuous monitoring and
measurement of actual stress levels and movements were noted. (Details of
these instruments and their locations are briefly discussed in chapter 11.).
The support system has two components, viz., primary which is done as soon
as possible after excavation and the permanent one in form of final lining.
Details of latter are not covered here. The former is designed based on
preliminary observation of the rock mass and the final one after assessing the
stress levels and movement pattern. It is done after the movements of the
172

Figure A.6.2.2 Stages of Excavation11

Figure A.6.2.3 Shotcrete and Lattice girder Support11

 173

Source: Reference 11
Figure A.6.2.4 Drilling for Rock bolt

excavated surface stabilises and reaches a steady state or is within prescribed

limits. Table 6.1 shows details of Primary support system provided for
different classes of rock / soil met with.

Table 6.1 Elements of Support system and Tunnel advancing used for different
Rock mass classes

Rock Sealing Fore Wire Shotcrete Lattice Rock

Class Shotcrete pole mesh mm girder bolt
I Ö – – 50 – –
II Ö – – 100 – Ö
III Ö – 2 layers 150 – Ö
IV Ö Ö 2 layers 250 Ö Ö
V Ö Ö 2 layers 300 Ö Ö
VI Ö Ö 2 layers 300 Ö Ö
VII Ö Ö 2 layers 300 Ö Ö
VIII Ö Ö 2 layers 300 Ö Ö
Ö- Yes provided/ used.
174

Some important actions suggested to be taken as part of NATM system

by different authorities5 are:
Inherent strength of rock or soil around (tunnel domain) has to be
preserved and mobilised to the maximum extent possible; Such mobilisation
is achieved by controlled deformation of the ground; it is achieved by the
initial and primary supporting systems by way of shotcrete and systematic
rock bolting/ anchoring plus semi flexible sprayed concrete.
The closure of ring (i.e., invert) has to be appropriately timed, which
would vary with rock and soil conditions
Tests (and measurements) and monitoring of deformation of supports
and ground and forces have to be done
Length of unsupported span should be as short as possible
All people involved in the work of design, execution and supervision
will have to clearly understand the approach to this system, accept the same
and react to and act in close co-ordination anticipating any problem arising.
Method of Excavation and Machines used for different Lengths.

Table 6.2 Shows the split of mode of tunnelling done in different lengths of the
tunnel

Description of Segment Length in metres Main method

Main Tunnel Zone VA 6130 Drill & blast plus soft ground by
Hydraulic excavator in SEM
Main Tunnel Zone VB 4245 Drill & blast
Main Tunnel Zone VB 585 Hydraulic excavator
to North end
Adit, 12m dia Shaft 55 m 863 m (approx) Drill & blast.
deep and cross passage

Tunnel Instrumentation
The tunnel has been provided with RCC permanent lining. The initial
investigations and study of the soil/ rock properties helped in decision on
profile of the tunnel, tunnelling methodology to be used and design of
primary supporting arrangements (shotcreting, mesh fixing , rock bolting,
and provision of trussed girder arch and vertical supports). The stability of
the tunnel and forces exerted by the enveloping soil/ rock had to be
monitored for not only taking any additional measures to maintain integrity
of the profile, but also for designing the permanent support and also to decide
when the movements of the profile is such that the permanent lining can be
provided. '3-D optical deformation sections at spacing of 5 to 25 m with
prism targets around the perimeter needed to be installed for the purpose.'
Source: Rahul Sinhal in academia.com
Figure A.6.2.5 Sighting Lines to Targets for Monitoring Optical Deformation during Construction

175
176

A typical arrangement how monitoring of optical deformation system

was done is shown in Figure A.6.2.5.
In addition, other instruments used were convergence measuring devices,
shotcrete pressure cells and strain gauges, load cells on anchors and
extensometers as required. This was a continuous process. Typical
arrangements are discussed in the Chapter 11 on 'Instrumentation of
Tunnels'. On completion of the tunnel, the behaviour of the tunnel and
components are monitored by installing load cells, strain gauges etc., at
sections in regular intervals. The spacing may be 500 to 1000 m for a long
tunnel like Pir Panjal tunnel. A typical arrangement is shown in Figure
A.6.2.6

Source: Rastogi, Reference 12

Figure A.6.2.6 Typical Arrangements of Instrumentation for Tunnel Monitoring

Tunnel Ventilation3
The tunnel ventilation system has been provided for this tunnel after
considering a number of alternatives and detailed studies. The design
provides for quick clearance of emissions that would arise in either direction
(North or South bound) and at different gradients for a 5000 ton train. Based
on the calculations, 25 numbers of jet fans (each having 1500 mm diameter)
have been provided in the main tunnel positioned in five groups of 5 fans
 177

each. Minimum distance between the machines has been kept at 150 m.
Three numbers 1500 mm dia jet fans have been proposed in the access
tunnel. 2 numbers axial fans are proposed to be installed in the Shaft
Emissions during train moving uphill would control the design. It was
found that the emission level of NOx and particles for the system provided
would cross the threshold limit in some segments of the tunnel. This would
require more time for the tunnel to be cleared of gas before the next train
can enter. In such a situation, the 25 fans would have to be operated
simultaneously in the Northern direction generating an air velocity 5.7 m /
sec. so as to accelerate clearance and to bring down waiting time for a train.
To meet with complex situations in operation, a stable SCADA has to be
used for control.
Figure A6.7 Shows the layout of the tunnel, adit and shaft.

Figure A 6.7 Layout of Piar Panjal Tunnel, Adit and Shaft

 C H A P T E R

7
Drilling, Blasting and
Mucking
7.1 GENERAL
Blasting is resorted to while dealing with hard rock and soft rock of compact
nature. Special care has to be taken while blasting. The blasting operation
has to cover just the profile and the tunnel has to advance progressively. It
has to be done in such a way as to minimise shock, vibration and any other
disturbance to the rock structure around the profile of the tunnel. It should
be such as to ensure minimum 'overbreak', i.e., the extra section over and
above the minimum section required to be removed (see Figure 7.1). This
is particularly important when the tunnel is to be lined. Otherwise, extra
lining material, an expensive item, will have to be used. The basic principle
is to loosen the volume of virgin rock in such a way that when it is removed,
the length of the tunnel has advanced in the correct direction, and conforming
as nearly as possible to the correct cross-section.
Hence preparation for the blast is a vital factor that affects the speed and
economy of tunnel driving. It is therefore meticulously planned with the
fullest regard for the characteristics of the rock to be removed. Details of
drilling pattern, depth of holes, quantities of explosives to be used and
sequence of detonation are to be suitably worked out. They should also be
amenable to revision, based on the performance and changes in the structure
as driving proceeds. Thus it is apparent that blasting for the entire section
is not done in one go; rather, a sequence is adopted in detonating various
holes, enabling delayed detonation arrangements.
 179

Figure 7.1 Trim and Payment Lines.

7.2 THE ROUND

The work of drilling and blasting rock is done in cycles known as 'the round'.
It comprises of: (a) drilling, (b) blasting, (c) smoke time, (d) mucking and
(e) supporting1.
To maximise use of time, while drilling is in progress, water lines, air
lines, ventilation and power lines should be extended. Normally the number
of men required for the drilling operation will be more than that for the
mucking operation. If it is proposed to utilise the same men for both
operations, it is advantageous to use the extra men for transporting the
utilities during the mucking period. If the same men cannot be used for both
operations, it is economical to work in two rounds in adjacent lengths at a
time, so that drilling and mucking work can be done alternately. Smoke time
is the time needed for clearing/reducing smoke to a safe level for men to
work. This clearing is done by blowers for exhausting gas through ventilation
lines of the heading or by exhausters. The latter are more effective.

7.3 DRILLING
7.3.1 Drilling Pattern
The drilling pattern is very significantly important. It has to be designed such
that the holes are easy to drill; the total quantity of explosive consumed
should be held to the minimum (taking into consideration the overall work
180

and not individual holes); and the periphery of the space left after the blast
should conform as nearly as possible to the required tunnel section after
allowing for supports and lining wherever necessary.
The terms 'underbreak' and 'overbreak' refer to deficient section and extra
section and can be understood by reference to Figure 7.1, which indicates
also the 'trim line' (finished concrete line) and 'payment line'.

7.3.2 Classification of Drill Holes

Holes are drilled by using pneumatically operated rock drills with wet
drilling. The drill holes are divided into three classes: (a) cut holes, (b) easers
and (c) trimmers. The section given in Figure 7.2 indicates direction of
drilling the various holes. In the case of larger sections, further refinement
can be made by adding secondary easers, secondary trimmers, lifters and
blank holes.
Cut holes are also known as 'breaking-in' shot holes. Cut holes are
usually in the centre of the drilling pattern, 150 to 300 mm deeper than the
other holes and converge towards the centre of the section away from the
face. They are to be charged first in the sequence of charging. While
detonating they will remove a cone or wedge of material in the centre
initially, which in turn will serve as a free surface for 'breaking off' when
successive holes are detonated.
The location of cut holes is determined by the following considerations:
(a) They should be as low as possible in order to restrict the throw of
blasted Rock
(b) They should be placed in the centre when the choice of different
delay intervals is limited;
(c) In narrow tunnels one may try cut holes placed on the side to gain
maximum advance.
The types of cuts are described below
(i) Horizontal wedge cut: The holes are placed symmetrically with
respect to the vertical centre line. They are all horizontal and
inclined towards the centre. They are easy to drill but it is not
possible with wedge cuts to advance more than half the width
of the tunnel (Figure 7.2(a)).
(ii) Pyramid cut: Three or four holes are so inclined both vertically
and horizontally that they are directed to converge towards a
point further on towards the direction of the tunnelling
(Figure 7.2(b)). This cut is suitable for small-size tunnels.
 181

(iii) Fan cut: This type is used when the holes are directed towards
one side of the heading of the bore and laid out in a fan shape
(Figure 7.2(c))
(iv) V-cut: Similar to the horizontal wedge cut and suitable for tunnels
of very large size (30 to 100 m2 area) (Figure 7.2(d)).
(v) Michigan or cylinder cut: Refers to the pattern of a hole of large
dia (70 to 100 mm) drilled in the centre and surrounded by a
series of smaller holes forming a geometric pattern (two
pentagons or two triangles). All holes are drilled horizontally.
The larger holes are not charged while the smaller ones are
loaded and blasted in such a way that the holes close to the
central ones are charged first (Figure 7.2(e)).
(vi) Burn cut: Similar to the Michigan cut. All holes are normal to
the tunnel face and the charged holes are located inside the cut
(larger) holes and broken towards the surrounding uncharged
holes. This is suitable for homogeneous rocks. Blasted stones
are also not thrown so far from the working face as with wedge
cuts (Figure 7.2(f)).
Easers: The function of the 'easers' is to blast the area around the
central cone or wedge created by the cut holes. The charges in these will
normally be less than in the cut holes.
Trimmers: Provided along the periphery of the profile to give the
required final shape and section of the tunnel bore. These will require still
lighter charges in order to avoid excessive 'overbreak'.

7.3.3 Depth of Holes

The 'pull' or advance per round or cycle of holes drilled and fired is
controlled by three factors:
(a) the cross-sectional area and shape of the tunnel;
(b) the nature of the rock; and
(c) the degree of accuracy required in the excavation.
It also depends, to a certain extent, on the drilling pattern chosen and the
type of explosive used. These determine the depth of holes to be drilled.
Drilling shot holes, charging and detonating them and leading out debris,
i.e., mucking, are considered the productive activities and those like moving
plant and equipment away from the blast zone before blasting and returning
it afterwards both for blasting and mucking are ancillary (non-productive)
activities. The length of the pull affects the later operations considerably. For
better progress, the number of latter operations has to be kept to the
 182
Adapted from Reference 2
Figure 7.2 Typical Drilling Pattern.
 183

minimum. A rough guide for determining the maximum economical depth

of pull is to image a square neatly inside the tunnel contour and to make the
holes 300 mm shorter than the length of one side of the square' (Pequignot,
1963)1. However, there is a physical limitation to the depths that can be
drilled and charged. In soft rocks the maximum is about 2.4 to 3.0 m and
in harder rocks, is generally restricted to about 1.5 to 1.8 m. Presently with
use of pushers and Tunnelling Jumbos and larger diameter rotary percussion
drills, drilling holes upto 4m depth is possible.

7.3.4 Diameter of Hole

The diameter of the blast hole depends on the size of the charge material that
is generally available. For example, in the U.K. the standard charge used is
32 mm dia. In the USA and France, charges of more than 22 mm dia are
in use. The dia of the holes should be at least 3 mm more than the dia of
explosive charge. In India the hole dia. generally used is 30 to 35 mm to suit
normal cartridges of 25 to 30 mm dia. (Cartridges up to 63 mm dia are also
available.) A suitable number of cartridges of 200 to 245 mm in length have
to be loaded, with the primer cartridge placed next to the farther end, i.e.,
blind end of the hole.

7.4 EXPLOSIVES
The quantity of explosives used for loading the individual holes depends on
hole spacing, burden of the rock to be loosened and removed, and type of
rock. Many empirical rules for calculating this requirement have been
evolved.
With explosives having a density of 28 g per 25 mm length of cartridge,
the length of drilling required is taken as 2.2 m per kg of explosive. This
figure divided by the drilling length gives the approximate number of holes
needed in the area of the tunnel face. Another method for determining the
holes is to ascertain the area of tunnel face per hole based on Table 7.1. Table
7.2 indicates the tunnel size and the quantity of explosive per m3 excavated,
as adapted from British practice (Pequignot, 1963). For example, for a tunnel
face of 4.2 m x 3 m in medium hard strata to be blasted, the depth per charge
is generally kept at 1.8 m. This will require 21.1 kg of explosives, which will
give the length of all holes to be drilled as 46.4 m. The probable number of
holes will be 26. The velocity of detonation is dependent on the type of
explosives used, as shown in Table 7.3.
184

Table 7.1 Blast Hole Requirements

Area of tunnel lace (m2) Tunnel face per hole (m2)

Soft or highly Hard or
Fractured massive
9.0 0.41 0.20
18.0 048 0.30
22.5 0.55 0.36
36.0 0.60 0.41
45.0 0.64 0.45

Table7.2 Explosive Requirements for Blasting

Quantity of explosive required per cum.excavated

Tunnel Hard strata Medium strata Soft strata
area (m2) Kg Kg Kg
5.6 to 7.5 1.64 1.15 0.98
7.5 to 10.0 1.45 1.02 0.88
10.0 to 13.0 1.32 0.93 0.79
13.0 to 15.8 1.14 0.80 0.68

Table7.3 Properties of Explosives

Weight/strength Velocity of Density

ratio detonation (g/cc)
(%) (m/s)
Polar ammon. gelignite 78 2500 1.5
Polar ammon. gelatin dynamite 90 2500 1.5
Submarine blasting gelatin 95 7500 1.6
Gelignol 82 3000 1.2

IS: 5878 (Part II)2 recommends the following types of explosives for use
in tunnelling operations:
(a) Blasting gelatin: To be used for hard and tough rocks as it has the
highest concentrated power. It is fully waterproof and suitable for
wet work also
(b) Special gelatin 90% to 40%: Requisite strength has to be chosen
to suit actual rock conditions. At high altitudes, low freezing types
should be used.
(c) Ammonia dynamites: These types contain an equal amount of
nitroglycerine and nitrate of ammonia and are made in strengths of
15 to 60%. They are suitable for soft rock.
 185

(d) Semi-gelatin: These contain ammonia, gelatinised nitroglycerine

and nitro cotton and come in two strengths, 45 and 60% They are
cheaper and water resistant and emit less harmful fumes. They are
used for soft rock and limestone.
As already indicated, the firing of shots has to be done in a controlled
sequence, neither singly nor simultaneously, as otherwise surrounding rock
will be disturbed and uniform removal of materials inhibited. This technique
was evolved in 1831 consequent to Bickgord's invention of the safety fuse.
But major developments of controlled delayed detonation have taken place
since 1939. Initially, the delay period between consecutive blasts was 1
second but later a series of detonations with 0.5s delay intervals was
introduced. A range of still shorter delay detonation has recently gained
popularity. Delay numbers and delay period used with 0.5s delay detonations
and with the present short-delay detonators are indicated in Table 7.4.

Table 7.4 Normal Delay Detonation Periods

Normal delay period for Normal delay period

half-second delay for short delay
detonations detonations
Delay no (s) (ms)
0 0 0
1 0.5 25
2 1.0 50
3 1.5 75
4 2.0 100
5 2.5 150
6 3.0 184
7 3.5 225
8 4.0 265
9 4.5 305
10 5.0 345
11 – 400
12 – 465
13 – 535
14 – 615
15 – 700

Delay detonators are available in delay numbers 0 to 6 with nominal

delay intervals of 25 milliseconds each. They are widely used in tunnelling
and open excavations as they give much better and more uniform
fragmentation, reduce the need for secondary blasting to a minimum, and the
amount and direction of pull can be controlled better. With these, more holes
186

can be fired in a single blast with less vibration, concussion and noise.
Alternatively, long-delay or half-second delay detonators are also available
with delay series of 0 to 10 numbers with nominal delay intervals of 300
milliseconds (500 milliseconds in the case of 0.5s detonators). The typical
drilling pattern, sequence of blasting and quantum of charge used recently
for heading and benching operations in a tunnel worked through hard rock
on the Bombay-Nasik section of the Central Railway are indicated in
Figures 7.3(a) and 7.3(b)3.

7.5 DRILLING OPERATIONS

7.5.1 Drilling by Wet Method

The work of drilling has to be done very carefully and is to be done by the
normal wet method. The wet method is favoured mainly for suppressing dust
as the dust nuisance in a confined space has an adverse effect on the men
working inside. Water also cools the drill bit at the bottom of the slot hole,
which reduces breakage of bits. On the other hand, dry drilling is more
efficient. In some places use of water may not be practicable or desirable.
In such cases some mode of dry-dust suppression is needed, which can be
achieved by either of two methods:
(i) Dust is withdrawn through drilling hoses and through a swivel
external to the drilling machine.
(ii) Alternatively, dust is withdrawn through the drilling tools and the
machine itself. Dust is collected in filter units.

7.5.2 Types of Drills

(i) Percussion drill with rifle bar rotation: The most common and
used most satisfactorily for hard rock.
(ii) Percussion drill with separate positive method of drill rotations:
used on soft rock to achieve greater percussion than that given by the
above percussion drill. if used for hard rock, the cost of bits may
become excessive
(iii) Rotary drill: This gives high penetration in extremely soft rock,
shale or mud.
(iv) Augur drill: Suitable for very soft rock of hardness similar to coal
(cohesive type).
Drills are commonly identified by size of cylinder bore. Common sizes
now used vary from 50 to 125 mm. All underground drilling is done wet to
 187

Figure 7.3(a) Typical Blasting Pattern for Heading of Tunnels3.

188

Figure 7.3(b) Typical Pattern of Drilling and Blasting for Benching3.

 189

reduce rock dust breathed by miners. In percussion drilling water clears the
cuttings out of the hole.
It also has a secondary benefit less consumption of compressed air.
Economy means lower total cost, which in drilling may be obtained by less
capital cost plus increased direct cost in medium jobs. Hence it is advisable
to choose light hand tools or feed leg supported jack hammer.
For soft rock, a drill giving good penetration is advised. Penetration rates
of 85 to 110 mm in various types of soft rock are quite similar in result. A
smaller size drill is used to reduce capital cost.
In hard rock the progress of excavation is directly proportional to time
to drill out a round cycle. Maximum output is achieved by using the longest
drill that can be used with standard size bits without excessive steel breakage.
Percussion drills are used with sinkers (140 to 320 N by weight) and jack
hammers (designed for hand holding) classified by weight 140 to 300 N or
more. Feed legs and jack legs are used for drilling lateral and overhead holes.
In hard rock, which can stand on its own the drilling and blasting
is done on full face and apart from speed of work, the number of holes are
reduced and some economy is achieved. A typical section of such work and
type and sequence of blasting as done on many tunnels on Konkan Railway
is shown in Figure 7.4.

7.6 SAFETY2
Tunnelling work is of a specialised nature and is hazardous due to cramped
working space in the heading, wet and slippery flooring wherever seepage
exists, artificial lighting, inadequate ventilation and presence of obnoxious
gases. Unseen weaknesses in the rock and any lack of care in handling of
explosives can cause accidents. All possible precautions have to be taken
from the moment of procurement and storage of explosives. A number of
safety precautions are imperative while drilling and charging the holes and
blasting. The main precautions generally advised in drilling and blasting
operations are indicated below.
(i) The explosives must be stored only in a magazine that is clean, dry,
well ventilated and reasonably cool. The magazine should also be
correctly located, substantially constructed with bulletproof and fire-
resistant material and securely locked.
(ii) Detonators must be stored separately. Suitable fire extinguishers
should be provided at places of storage of explosives and detonators
and explosives periodically examined. Figure 7.5 shows the typical
arrangements for magazine, detonator and fuse store. A typical site
190

Source: Indian Concrete Journal, February, 1994

Figure 7.4 Blasting Pattern on Full face in Karbude Tunnel4.

plan for magazine location with minimum safety distances from other
structures is shown in Figure 7.6.
(iii) Vehicles used for transporting explosives must be in good working
condition and have a floor made of light wood or non-sparking metal
 191

Figure 7.5 Typical Magazine Building, Detonator and Fuse Store.

192

such as copper, brass etc., with sides and ends sufficiently high. The
electrical wiring of the vehicle must be fully insulated to preclude the
danger of any short circuiting or sparks. At least two fire
extinguishers of carbon tetrachloride type must be carried in the
vehicle. Explosives and detonators must not be transported in the
same vehicle.
(iv) Explosives and detonators should be brought to the working places
in separate well-insulated containers.

Figure 7.6 Typical Plan for Magazine Location with Respect to Safety Distances.

(v) Blasting must be carried out using a suitable exploder with 25%
excess capacity. The revolving handle of the exploder must be in the
custody of the blasting foreman to prevent anyone else firing the shot
by mistake when the blasting foreman and/or other persons are
inside.
(vi) All explosives are dangerous and must be handled and used with care
under close supervision and direction of competent, experienced and
licensed persons. The provisions of the Indian Explosives Act, 1984
and the Explosives Rules, 1940 must be scrupulously observed.
(vii) Before undertaking drilling operations for blasting, the nature of the
strata and the overburden should be carefully examined to avoid
possible leaks through fissures and landslides after blasting.
(viii) Before firing, sufficient warning must be given to enable people
working in the blasting area to get clear of the danger zone, which
should be suitably demarcated with flagmen posted at important
points to prevent strangers from straying into the area. It is better to
schedule firing at a fixed time of the day.
 193

(ix) None of the fittings, including locks of rooms or containers, should

be of steel as it is likely to cause sparks. Brass fittings are to be
provided.
(x) Adequate provision should be readily available for rendering prompt
and adequate first aid to any person injured at the work site.
(xi) All persons entering the tunnel or a shaft should be provided with
protective clothing, such as helmets, gumboots etc. They should also
have torches.
(xii) In view of the limited and confined space inside the tunnel, only the
minimum equipment and materials required should be allowed to be
kept near and at the face of work.
(xiii) The entire electrical installation must be carried out according to the
provisions of the Indian Electricity Rules and wiring should have
good-quality insulation. Exposed wires should be scrupulously
avoided. The voltage of the supply line for lighting purposes should
be reduced in tunnels from 230 V to 110 V. For machinery requiring
440 V supply, reliable moisture proof cables must be used.
(xiv) As stray currents can cause accidents while loading, utmost care must
be taken in removing all faults from electrical circuits. Electric
power, light and other circuits within 70 m of the loading points must
be switched off after charging the explosives.
(xv) Where high-voltage electric traction is in use on railway lines close
by, special care for prevention of induction and sparking is necessary.
(xvi) After every cycle of blasting, the blasting foreman must make a
careful inspection of the face to determine whether all charges have
exploded. No other person must be allowed near the area of blast
unless an all-clear signal is given by the blasting foreman after
checking.
(xvii) Drilling should not be resumed after blasting until a thorough
examination is made by the blasting foreman to ensure that there are
no misfires and no unexploded charges left.

7.7 ROCK MASS CHARACTERISTICS AND

ALTERNATE STRATEGIES
The Drill Blast strategy with nominal steel rib supporting discussed above
are applicable to competent rock, which generally are self supporting over
fairly long periods. But, in nature, the type of rocks met with will be with
varying static strengths, joint structure, contact behaviour at joints and
seepage or intrusion of water. They will require not only alternative strategies
194

for supporting but also in choice of section and even tunneling methodology.
Similar to the development on NATM for soft ground tunnelling, a
methodology known as NMT, Norwegian Method of Tunnelling is
considered more suitable in such cases5.

7.7.1 Norwegian Method of Tunnelling

This method is considered by many as the most suitable tunnelling method
for hard rock masses, where jointing in rock structure and over breaks are
dominant, and in which Drill & Blast or use of Hard rock TBMs are the usual
methods used for excavation. In case of NMT, (i) firstly rock mass
charaterisation is done to predict the rock mass quality and support needs.
The information needs to be updated during tunnelling, so that suitable
modification can be made in supporting. (ii) Rock bolting forms the
dominant form of 'rock support' for mobilizing the strength of the
surrounding rock and same is done systematically. (iii) The support provided
by bolts/ anchors is supplemented by Shotcrete/ steel fibre reinforced
shotcrete (SFRS) in potentially unstable rock masses like ones with clay
filled joints and discontinuities. (iv) A thick load bearing ring (formed by
reinforced rib in shotcrete) is formed, as required to match the uneven profile
finally.
This method has been found more suitable for the type of geologic
structure met with in the tunnels on USBRL, in addition to Drill and Blast
used for harder rocks. The main components of the support system used here
are: a) Installation of shotcrete lining with rock bolts, to allow limited
deformations but preventing loosening of rock mass. (b) Providing steel
supports to avoid several layers of shotcrete that would have to be provided
otherwise infringing tunnel space. As mentioned above, the design of support
system first requires ‘Rock Mass Classification’ as they are dependent on
Rock mass rating RMR. RMR itself is related to Q the Rock Mass
Classification.

7.7.2 Rock Mass Classification Determination6

As mentioned above, Q is a relationship combining different characteristics
of rock like RQD, the main characteristic denoting the core strength of rock
as listed below:
RQD J r J
Q – – w
Jn J a SRF
• Where, Jn = Rating for the number of joint sets (9 for 3 sets, 4 for
2 sets etc ) in the same domain
 195

• Jr = Rating for the roughness of the least favourable of these joint sets
or filled discontinuities
• Ja = Rating for the degree of alteration or clay filling of the least
favourable joint set or filled discontinuity
• Ja = rating for the water inflow and pressure effects , which may cause
outwash of discontinuity infillings, and
• SRF = The rating for faulting, for strength/ stress ratios in hard
massive rocks, for squeezing or for swelling
The three different terms represent characteristics/ factors as follow:
• RQD/Jn indicates the relative block size (useful for detecting massive,
rock- burst prone rock)
• Jr / Ja indicates relative frictional strength ( least favourable joint or
filled discontinuity)
• Jw/ SRF indicates effects of water, faulting, strength/ stress ratio,
squeezing or swelling type. This is a stress term.
Tables at Annexure 7.1 give the quantitative ranges for the rock structure
at a location in respective characteristics Jn ,etc., used for quantitatively
determining the Rock Mass. Rocks are grouped under different classes based
on (tunnelling quality) Index Q as per N.G.I as given in Table 7.5 below6;

Table 7.5 Rock Mass Classification as per N.G.I- Based on Index Q

Sl. No Class Q Rock mass description

1 Class I Ø 40 Very good rock
2 Class II 10–40 Good rock
3 Class III 4–10 Fair rock
4 Class IV 4 Poor Rock
5 Class V 0.1–1 Very poor rock
6 Class VI < 0.1 Squeezing rock

Bieniawski has given the following relationship between Q and RMR

RMR = 9 loge Q + 44
Bieniawski has classified the rocks based on their cohesion, average stand
up time, average internal friction and RMR as given in Table 7.6 below5:

7.7.3 Rock Mass Index and Tunnel Support

Knowing the RMR value and stand up time, the manner of excavation and
type of support and lining can be determined. The following table gives some
guidance in that respect.
196

Table 7.6 Classification of Rock Mass (Bieniawski (1979)5

Sl. No Rock Cohesion in Average Stand Angle of RMR

Classification Rock Mass up Time Friction
internal
1 Very good 0.4 10 yrs for Ø 45° 100–81
15 m span
2 Good 0.3–0.4 6 months for 35°–45° 80–61
8 m span
3 Fair 0.2–0.3 1 week for 25°–35° 60–41
5 m span
4 Poor 0.1–0.2 10 hrs for 2.5 m 15°–25° 40–21
span
5 Very poor < 0.1 30 min for < 15° < 20
1 m span

While drilling holes for blasting, probe holes for a depth equal to about
2 to 3 times the length proposed to be excavated should be done to see if
there is intrusion of water and also to know the type of soil likely to be met
with ahead. It will help to suitably modify the methodology and take
precautionary measures. For excavation, alternatively road headers with rock
cutter provision can be used for lighter rocks and soils. Hard Rock TBMs
are also used as an alternative tool for tunnelling through rocks.
In case of rocks, Singh et al (1995) have suggested different support
pressures and some additional requirements of support. Their
recommendations for Type V and VI rocks, are given in Table 7.8. These
are the types of rock often met with in the tunnels considered by the
designers for tunnels done in Himalayan Region.
Rock pressures for structural analysis of the support system in these
cases have been done based on Q values as indicated in Table 7.9.
As against these value, actually the values as per Modified Terzaghi
loads, Pv = 3kg/ sqcm and Ph = 1kg/sqcm as against 2.82 kg/sqcm and 2.08
kg/sqcm respectively, e.g., for comparison of D shaped and E shaped (egg
shaped) tunnels are used.

7.7.4 Suggested Support System for different Rocks

To sum up, the tunnel system proposed at crown for different types of rocks
are:
• Rock class I - Spot bolting with local shotcrete
• Rock class II- 50 mm thick shotcrete + 25 dia Rock bolts 3.5 m long
@ 1.5 m crs.
 Table 7.7 Rock Mass rating vs Excavation and Support5.

Rock Mass Class Excavation Support

Rock bolts Shotcrete Steel Ribs
Very good rock-
RMR 100- 81 Full face 3m advance Generally no support required
Good rock
RMR 80- 61 Full face 1.0 to 1.5 m Locally- 3m bolts in crown 50 m in crown when None
advance. Support 20 mm spaced 2.5 m- Occasional required
from face mesh
Fair rock Top heading and bench; Systematic 4 m bolts @ 50- 100 mm in crown;
RMR 60- 41 1.5 - 3 m advance; 1.5- 2 m at crown and walls 30 mm in side walls
Support after blast with mesh in crown None
Poor rock Top heading and bench; Systematic 4.5 m bolts @ 100- 150 mm in crown; Light ribs spaced
RMR 40- 21 1 - 1.5 m advance; 1-1.5 m in crown and walls and 100 mm on sides @ 1.5 m where
Support concurrently with mesh in crown required
with excavation 10 m
from face.
Very poor rock Multiple drifts 0.5- 1 m Systematic 5- 6 m long 150- 200 mm in crown; Medium/ heavy
RMR 40- 21 advance; Support bolts @ 1- 1.5 m in and 150 mm on sides; ribs spaced @
concurrently with crown and walls with mesh; 50 mm on face 0.75 m with steel
excavation. Shotcrete Bolts in invert lagging;
soon after blast Forepoling if
required; Close
inverts

197
 Table 7.8 Recommendations of Singh et al (1995) on Support Pressure for Rock Tunnels and Caverns5

198
Terzaghi Classification Classification by Singh et al (Modified Terzaghi's Remarks
Classification
Category Rock condition Rock load Category Rock condition Recommended
factor (Hp) support pressure
Pv Ph
V Very blocky, 0.35 to 1.1 V Very blocky, seamy, 0.2 (0-0.5)ph Inverts may be
seamy, shattered, (B+ Ht) shatterd, highly required, arched
arched jointed, thin shear roof preferred
zone of fault
VI Completely 1.0 (B +Ht) VI Completely crushed 0.3 (0.3-1.0)pv Inverts
crushed but but chemically essential,
chemically in tact unaltered, thick arched roof
shear and fault line essential
Terzaghi's classification modified by B.Singh has been considered, since earlier Classification by Terzaghi gives loads on higher
side.
 199

Table 7.9 Rock Pressure based on 'Q' system

Rock Type Q value Jr value Average 'Q' P- Roof P- wall

Kg/ sqcm Kg/ sqcm
Good 10-40 1.5 25 0.528 0.308
Fair 4-10 1.5 7 0.507 0.594
Poor 1-4 1.5 2.5 1.13 0.628
Very poor 1.0 1.0 0.55 2.82 2.08

• Rock class III- 50 mm thick shotcrete + 25 mm dia Rock bolts 3.5

m long @ 1.2 m crs.
• Rock class IV- 100 mm thick shotcrete with wire mesh + 25 mm dia
Rock bolts 4.5 m long @ 1.0 m crs.
• Rock class V- 100 mm thick shotcrete with wire mesh + 25 mm dia
Rock bolts 4.5 m long @ 1.0 m crs + steel ribs ISHB 150 @ 50- 100
cm crs with back fill concrete.
Figure 7.7 shows the typical arrangement of steel ribs and back fill
concrete.

Figure 7.7 Arrangement of Ribs, blocks and Backfill concrete (Primary) Support
system for tunnels5

Support System for Very Poor Rock

In very poor rock, the tunnel shape and supporting system described below
has been found suitable:
(i) Semi circular arch roof, curved walls and curved invert to make a
continuous supporting ring (near to an ellipse), which will help in
controlling rock deformations and resist both vertical loads and side
pressure;
(ii) Support system provided during construction is a combination of
shotcrete, rock bolts and steel rib including invert strut;
(iii) Backfill concrete encasing the steel ribs forming an essential element
of initial support, both 'overt and invert';
200

(iv) Heading and benching system of excavation should be followed;

(v) A haunch system (for heading) is provided, aiming at following
advantages-
— Footing (for arch ribs) is not disturbed during benching, thus
making it safe, and
— Most of the roof thrust being conveyed to abutments, side wall
segments are made safer
(vi) In the heading stage also a curved invert is provided with shotcrete/
concrete.
A typical section of the support system proposed in such cases is shown
in Figure 7.8.

7.7.5 Squeezing and Swelling Soils7

Behaviour of squeezing soils- By squeezing, one refers to the soil when it
'squeezes or extrudes plastically into the tunnel, without visible fracturing or
loss of continuity and without any perceptible increase in water content.' This
can be considered as ductile, plastic yield of soil due to overstress.
Typical soils that cause such squeezing are:-
Ground with low flexural strength subject to overstress- the rate of
squeezing of soil depends on degree of overstress. It may occur at shallow
to medium depths in clay of very soft to medium consistency. Stiff to hard
clay under high stress also may move, in combination with raveling at
excavation surface and squeezing at depths behind surface of excavation.
Rocks with low geo-structural quality (RMR) also can lead to squeezing
when it is subjected to high stress in relation to its strength7. The behaviour
of rock as its geo-structural quality deteriorates is explained
diagrammatically by some as indicated in Figure 7.9. Rock with most
unfavourable RMR and low strength can lead to squeezing when subjected
to high stress.
The type of rocks with low strength and high deformability include, for
example, 'phillytes, schists, serpentines, mudstones, tuffs, certain kinds of
flysch and chemically alterated igneous rocks' (Kovari, 1998). In such cases,
caving is also possible. In India, this type of condition has been met with
extensively in the Himalayan Region as has been experienced during large
scale tunnelling on the USBRL project. New methodologies like NMT and
NAMT have been adopted in them extensively and the structural forms
evolved to suit, as indicated in Para 7.7.3. In such cases, recommended
support pressures and support system as per modification by B.Singh is given
below, which can be considered a continuation of Table 7.8.
 201

As examples, Annexure 7.2 gives some case studies of typical problems

met with while tunnelling on some tunnels on Katra- Dharam section of
USBRL project.

Source : KRCL
Figure 7.8 Typical Support and Lining details for Tunnel in Very Poor Rock5.
 202
Continuation of Table 7.8 (See Para 7.7.5)

Terzaghi Classification Classification by Singh et al (Modified Terzaghi's Remarks

Classification
Category Rock condition Rock load Category Rock condition Recommended
factor (Hp) support pressure
Pv Ph
IX Swelling Rock Upto 80 m VIII A. Mild swelling 0.3–0.8 Depends upon Inverts
type and essential
content of in excavation,
swelling arched roof
clays, May essential
exceed Pv Inverts
essential,
arched roof
essential
B. Moderate 0.8 to 1.4 -Do-
swelling -Do-
C. High swelling 1.4 to 2.0 -Do- -do-
 203

Source : Russo
Figure 7.9 Conceptual behaviour of Ground on excavation7

7.8 MUCKING PROCEDURE1

7.8.1 General
'Mucking' is the term used for removal of the spoil, i.e., debris that has
resulted after each blasting or excavation operation. This should be done as
soon as the blasting is over and It is considered safe for men and machines
to go into the tunnel up to its face. In the case of rocky soils mucking can
be commenced immediately. The first task is to spray the debris with water
to settle the dust. This operation is repeated during the mucking process
whenever considered necessary.
In the early days mucking was done by running small trolley trucks or
open top wagons over narrow tracks laid on the floor. They were manually
pushed in small jobs and for short leads. Nowadays mucking is alternatively
done using individual motorised tippers and trucks. A wide range of
mechanical equipment is available, from which one or more can be chosen
to suit the particular circumstances, tunnel size, type of material etc. The time
taken in mucking represents about one-third to one-half of the total cycle
time of tunnelling operations and any quicker means adopted will help to
hasten progress of the work.
In the case of unstable soils not considered safe, or there is danger of
roof falls and side slips, mucking operations should be commenced only after
the sides and roof of the tunnel are temporarily supported properly. The
204

supporting can be done by means of timber struts and lagging in the case of
smaller tunnels and headings. In larger tunnels and headings it may be
necessary to install a collapsible steel framework conforming to the shape of
the tunnel. This framework would cover the entire section in the case of full-
face tunnels. Individual frames are to be properly tied to one another
longitudinally. In tunnels bored with the use of headings, they should be
supported with longitudinal runners known as 'wallplates', which are to be
kept at the base on edges of the heading. They will bear against the steel
frames mentioned above. Typical supporting arrangements are shown in
Figure 5.6. Supporting and mucking should progress gradually to cause
minimal disturbance by way of vibration inside the tunnel.

7.8.2 Use of Rail Trucks

There are two methods of doing mucking in long tunnels. One method uses
wagons or open trucks pushed by a locomotive over a track laid on the floor.
This track has to be extended in small lengths. The latter are generally
supported on steel plate sleepers or wooden sleepers suitably packed to keep
them level and aligned. Where the tunnel is wide enough, in order to expedite
the work a number of wagons/trucks may be taken in tandem and an
intermediate truck-passing arrangement (loop or parallel track) laid so that
it is possible to transfer and move the loaded trucks back towards the entry/
opening while the next batch of empty trucks is moved forward to be loaded.
Where the width of the tunnel is not large enough and only a single track
can be laid inside, such transfer within the tunnel may not be possible. In
that case there should be two lines/spurs outside, one for holding the wagons
to be taken in for loading and the other for bringing out and stabling the
wagons loaded with material to be offloaded or dumped. These wagons are
moved on to the haul line extending into the tunnel, through a pair of railway
switches. These switches are Iight in weight and portable and hence can be
shifted from location to location without much difficulty.
Alternatively, motorised vehicles either with rubber tyres or with tracked
wheels are used. They can be reversed into the tunnel one by one and after
loading driven out for dumping the spoil outside.

7.8.3 Loading
Loading inside can be done either manually or by mechanical bucket loaders
selected to suit the limited head room available inside. These loaders may
be of the rocker-arm type, which can directly load onto the car or onto a
conveyor behind the machine (Pokrovsky, 1977)8. Rocker-arm type shovel
 205

loaders are usually driven by compressed air and are mounted on a track. The
bucket is filled by pushing the machine forward into the spoil heap, the
bucket lifted, and the machine reversed for discharging into a truck or over
the conveyor belt. The bucket returns to its initial position by gravity when
machine recedes. Compressed air drive makes it easy to connect the machine
to the power supply at the face and, with reasonable maintenance; the shovel
will give reliable and economic service. Machines with a bucket capacity of
0.4 m3 are generally used. Machines are available, however, with bucket
capacities varying from 0.2 to 0.5 M3 and working capacity of 0.5 to 2.0 m3/
min. Some are provided with turntables for swinging sideways.
Alternatively, the bucket assembly can be swung by a swivel mechanism.
The working heights vary from 2.2 to 2.8 m. The machines may be crawler
mounted or mounted over wheels moving over a narrow gauge (600 mm to
900 mm) rail track.
Alternatively, electrically operated machines may also be used. In one
such, the gathering arm loader is mounted on crawler/tracked wheels. It
collects spoil by means of two eccentrically operated arms or claws. A flight
chain conveyor carries the muck backwards and dumps it into cars or trucks.
Another type of loader is the shaking-pan or vibratory type which consists
of a trough with a shovel-shaped front end which can be vibrated into the
spoil heap. The vibration carries the material up the slope of the trough and
into skips waiting at the rear of the loader. This type can work only inside
tunnels with even floors. Yet another method of loading employs a slusher
or scraper loader. In this case the sloping steel chute at the front of the
machine is used as a ramp over which a double-drum winch hauls a scraping
bucket to deposit its load into a waiting skip. A typical loading arrangement
is shown in Figure 7.10.
The method of loading adopted at a particular location depends on the
availability of men and machinery. In India, in short tunnels and tunnels of
difficult access, loading is done manually. The stones are broken and the
debris shoveled or loaded onto trucks/dumpers manually.

7.8.4 Cycle Time

Where compressed air is used for drilling and loading, air pressure is
increased to 0.8 N/ mm2. Such a pressure can work three drills at a time or
operate one loader at a time. With a typical shovel loader, the operation time
for mucking and blasting a typical job would be as shown in Table 7.10
(Pokrovsky, 1977)8.
206

Figure 7.10 Muck Loading to Train with a Conveyor Belt.

Table 7.10 A Cycle of Mucking Operation5

Time Time
Operation (normal) (shuffle car)
min min
Clear smoke 15.0 12.0
Prepare to muck 11.5 10.0
Muck 80.0 42.0
Prepare to drill 5.0 5.0
Drill 34.0 35.0
Charge, stern and fire 20.0 20.0
Lay rails 9.5 8.0
Total 175.0 132.0

7.8.5 Haulage
No improvement in cycle time can be achieved without adequate provision
for getting the loaded spoil out of the tunnel quickly. Hence, for this purpose,
where rail mounted trucks/wagons are used, diesel operated locomotives of
suitable haulage capacity are employed. Use of small diesel shunters reduces
the smoke problem, so less ventilation air is needed, and also increases
efficiency. Use of such locomotives requires proper track laying, with rails
of suitable weight and sleepers adequately spaced and packed. A poorly laid
track will mean slower travel and may also involve expensive derailment.
Due to the nature of the work and unevenness of the base of a tunnel, the
general tendency is to hurry and carelessly lay the track on an uneven,
undressed bed. Any time saved in such laying without adequate precautions
will be far exceeded by the time spent in slower movements and in rerailing/
removal of derailed vehicles. The gauge used is generally narrow, 610 mm
or 641 mm. In wider tunnels, tracks of 1000 or 1067 mm gauge have also
been used. A few typical arrangements for layout of tracks are shown in
Figure 7.11.
The use of railway locomotives requires that the tunnel be well ventilated
and the engine in good working order. Even though diesel exhaust contains
no carbon monoxide, the fumes emitted from a badly adjusted engine are
 207

nauseating to breathe, heat the surrounding air and hence reduce the working
efficiency of the men unless quickly cleared out of the tunnel.
While rail-mounted skips or trucks can be moved even in small-size
tunnels, motorised or individually hauled units of trucks or dumpers can be
used only when the tunnel is large enough to accommodate them. However,
use of these dispenses with the need for laying a track inside. The general
practice in the U.K. is to use (tracked wheel) crawler type trucks while in
America and Europe pneumatic tyred vehicles are used more often. The same
practice had been adopted in short tunnels and in areas of difficult access in
India.

Figure 7.11 Typical Arrangements for Switching Wagon9.

The relative advantages and disadvantages of using rubber tyred or

diesel-powered individual haul units and rail haul units are detailed below
(Parker, 1970)9:
(a) Individual haul units:
The main advantages of using individual haul units such as tippers,
trucks etc. are that they
— can be mobilised quickly,
— will operate easily on grades up to 10%,
— need less capital expenditure,
— are flexible in operation,
— can readily move from one heading to another when different
heading crews are working,
— can be easily moved from one place to another over even rough
roads, and
208

— can dispose of muck at any chosen location, instead of the rear

mouth of the tunnel.
The disadvantages are:
— Small tunnels need small units and the latter cannot operate on
steep grades due to low power.
— Units wider than rail units of the same capacity need more
moving room and wider bed/invert
— Individual units are relatively heavier and so are less efficient
and need more horsepower per payload.
— They need more ventilation per unit on long hauls and a large
ventilation requirement makes them impractical.
— The road units need a well-graded firm surface and dry road-bed
inside the tunnel, both of which are difficult to obtain and maintain
in a wet tunnel.
(b) Rail haul units:
Advantages from rail haul units result from their work in train
formation.
— They are more efficient in long tunnels and yield more haul with
less horsepower and fewer operators.
— The ventilation problem is less critical.
— Being compact and relatively narrow, they can operate in small-
diameter tunnels.
— They are more suitable in wet tunnels and can operate in flooded
tunnels also.
— They are easily adaptable for concrete (lining) placing operations
after mucking is over.
— When operated with cables and hoists, they can be used on any
grade.
— Being of robust construction with only the locomotive or winch
to be powered, they require less maintenance.
Their disadvantages are:
— Longer period of mobilisation required.
— In short tunnels, more expensive due to larger crew requirement.
— In large tunnels, one half has to be mucked out at a time or two
muckers operated abreast of each other.
— Lack the flexibility necessary for use in excavation of
underground metro tunnels.
— Work well normally on grades up to 2%, application restricted
with grades of 2% to 4% and must be winched up/down for
grades over 4%.
 209

However, pneumatic-tyred individual vehicles are now used more in

view of easy availability of tippers, flexibility and especially lower cost for
short- and medium-length tunnels. Para 7.9.2 gives more details.

7.8.6 Mucking by Pumping

Where water seepage occurs, the mucking operation becomes more difficult.
Adequate trench arrangements have to be provided to clear the water so that
it does not interfere with the various operations nor hamper the laying and
maintenance of track or movement of the dumpers. In short, soil mucking
is done by loading the spoil through large-diameter pipes, mixing with
compressed air and pumping outside the tunnel.
In some countries belt conveyors have also been used in recent years for
conveying muck in long tunnels. They are yet to be used in India on any large
scale.

7.9 TUNNELLING MACHINERY10

In order to speed up the major operations involved in tunnelling, specially
boring long tunnels in rock, mechanization of major operations is necessary.
Two major operations involved in rock tunneling are Drilling holes and
Muck loading and disposal.

7.9.1 Drilling Operation

Traditionally, drilling holes in rock was done manually by hammer men
using jumper. But progress was hardly two metres of hole per hour. Rotary-
cum-percussion drilling with hand held or otherwise supported tools
followed. Steam power was used to aid in this. Pneumatic operation to aid
for drilling was the first major development since the beginning of 19th
century. This was followed by the invention of 'Pusher leg', which helps the
operator of drill to exert less. It is learnt that in construction of St Gothard
Railway tunnel, hydraulic drilling tools were used (as early as 1876), but this
technique got boost only with development of different hydraulic tools in
1960s. One main problem in use of hydraulic tools was non- availability of
hydraulic hose pipes which could transmit the high pressure fluid without
leak at joints. Manufacture of pneumatic tools and steam driven or diesel
compressors were found cheaper. Later development of hydraulic tools and
transmission system gave a new impetus to use of hydraulic drills. Initially
it used pneumatic percussion mechanism. The development of rotary drilling
mechanism and use of 'compressed nitrogen accumulators in the circuit to
210

impart energy to piston' and use of indexing for avoiding continuous rotation
helped making the system more economical. Figure 7.12 shows how the
drilling technology has been developed and refined in past over a hundred
years. (Anand, 1994)10. Present day drilling systems with use of water at tool
end for lubrication and washing helps in reducing dust and over-heating of
the tool.

Adapted from Reference 10

Figure 7.12 Development of Drilling Technology and Rate of drilling.

Earlier, single tool was mounted on each unit, but jumbos have been
developed with two or three such drills mounted on each mobile unit, capable
of dealing with two or three tools in parallel. Feed lengths of such drills now
are from 3.5 to 6 m. Jumbos suitable for use on tunnel sizes of 4.3 × 7.1 m
to 13.2 x19.2 m are available. Their operation can be hydraulic or electro-
hydraulic. For movement from portal/ niche to working face and back, diesel
power is used. In India, Konkan Railway Corporation had as early as 1992
imported nine such jumbos (having two booms) from Sweden for expediting
work on a number of long tunnels. They had to tackle a total 78 tunnels
(totaling a length of 79 km), out of which there were 9 tunnels varying in
length from 2033 m to 6520m. They found that, by using conventional
equipment about 70m length only could be done per month, while with the
Jumbos, they aimed at a progress of about 150 m per face per month. In fact,
they achieved a record progress of 180.3 m in a month on the 4376 m long
Nathuwadi tunnel and in general average of over 120 m. On the longest
Karbude tunnel they used one such from each end and conventional method
 211

on 6 more faces created by sinking three shafts. On the second longest

Nathuwadi tunnel, due to heavy overburden (about 350m), sinking shaft for
developing additional faces was not considered practicable and they worked
from two ends only with one jumbo at each end.
• 'KRCL adopted various mechanized methods for excavation and
loading in their tunnels in order to expedite progress, such as-
• use of clay diggers for excavation
• Deployment of electrically operated conveyor belts for loading muck/
spoils in tippers / trolleys
• Use of JCBs for excavation in enlarged sections of heading
• Deployment of Westfalia Road Header with soil cutting tools for
excavation -with conveyor belts
• Use of Alpine Miner AM50 for excavation'
Figure 7.13 (a) shows a modern Jumbo (tunnel Running 2L Jumbo)
which is designed to work on a face with maximum height of 7.98m and
width of 12.9m. These are electro -hydraulically operated. Figure 7.10(b)
shows close up view of a tool on a boom fitted on the Jumbo used on the
Konkan Railway. The tools were capable of drilling holes upto 4m length,
but to suit the fractured condition of rock, holes of 2.5 to 3 m were driven.
With this they could achieve an average pull of 2.5 m. As against
conventionally drilled hole diameter of 35 mm, these tools can drill larger
holes and 45mm dia. holes were drilled, facilitating use of larger 40mm dia
slurry explosives (Indo tunneler K of IBP). It facilitated reducing the number
holes per full face from 76 (for 32mm cartridges) to 68 thus reducing drilling
and charging time and some saving in consumption of explosives also.
Drilling that number of holes could be done in two hours.

Road Header
A Road Header, also known as 'boom-type road header machine' or 'header
machine' is an ecavating equipment used in coal mining and now in
tunnelling operartions. It consists of a boom- mounted cutting (tool) head,
a loading device and a crawler travelling track to move the machine to the
tunnel face. The cutting tool can be a general purpose rotating drum mounted
either in line or perpendicular to the boom, so that it can excavate in forward
and transverse directions. It can have 'special function heads such as jack-
hammer like spikes, compression fracture micro-wheel heads like those on
tunnel boring machines, a slicer head like a gigantic chain saw for dicing up
rock'. It can have simple traditional jaw- like buckets of normal excavators.
It was developed and patented first by Dr. Z. Ajay of Hungary in 1949, A
schemaic view of the machine is in Figure 7.13 © [Sorce- wikipedia]
212

Figure 7.13(a) A view of Tunnel Runner 2LF Jumbo.

Figure 7.13(b) Tool Boom of an Elector Pneumatic Jumbo used on Konkan

Railway
 213

Source: Wikipedia
Figure 7.13(c) Road Header.

7.9.2 Mucking Operation by Road vehicles.

It has become a common practice now to do the mucking operation using
road vehicles, avoiding need to lay temporary tracks and use of rail trucks
and locomotives. The loading operation is another bottle neck in expediting
progress of tunnelling. The loaders need high energy and use of diesel
engines for operating them add to the pollution and need additional
exhausting arrangements, especially in long tunnels. In order to simplify and
expedite this operation, high capacity electrically operated Electro-Hydraulic
'Hoggloaders' have been developed. They come with digging blades,
gathering arms, lifting arm and an inclined chain conveyor all built into a
mobile unit, which can transmit the muck from face to its rear for dropping
into a dump truck behind. The gathering arms simulate human arms and feed
the lifting arm which in turn feeds the chain conveyor. A built-in sprinkler
system automatically sprinkles water on gathered muck at the toe of
conveyor, which reduces pollution. Figure 7.14 shows a schematic view of
one such loader used on Konkan Railway construction (Anand, 1994)10.
Modern such loaders have loading speed of 3 to 4 cum per minute. They are
rubber tyred and are diesel powered for haulage from portal/ parking niche
to the face, while working on electric power to operate the hydraulic
machinery for loading.
Taking a cue from the needs on Konkan railway construction and likely
future needs, indigenous equipment producers started developing and
supplying easily maneuverable smaller capacity loaders, which have been
used in smaller tunnels in many projects since. The tyres of the loaders are
provided with protective chains to guard their tyres from damage due to
sharp ended rock pieces. Dumpers of high capacity and shorter turning circle
214

Source: Reference-10
Figure 7.14 Schematic of an electro- Hydraulic 'Hoggloader'.

for turning inside the tunnels are used for removing the muck from loader
to the portal.

7.9.3 Ancillary Equipments and Arrangements

The modern drilling tools and loaders will thus be seen to have to be
electrically powered at work at an assured high voltage. They will require
an assured supply and requirement will be heavy also. In long tunnels, full
length will have to be properly lighted for movement of men and the
equipment including dumpers. The gases emitted by explosives and trucks
and CO2 from the work force have to be exhausted quickly, for which large
diameter (600mm) ducts are run from the face to portal with blowers at
intervals (about 250 m) which also need electric power. Water has to be
supplied to the drilling tools for lubricating holes and to the loaders for dust
suppression, which means provision of water supply lines with booster
 215

pumps, needing power. Seepage water from sides and water leaking from
joints and fissures and that used for cooling tools and washing holes will be
substantial in long tunnels, which require a high power pump and large dia
(100 mm) pipe line for dewatering to portal. Hence as a first requisite,
electric supply cable has to be run from portal to face and it should be
extendable. In very long tunnels, intermediate booster transformers may have
to be provided to ensure the required voltage at demand point.
1. Case Study
Various steps taken in the construction of Nathuwadi tunnel, mentioned
above, are listed below, which will give an idea of steps taken for
maintaining a progress of 80 to 120 m per day per face.
(i) Provision of an air duct line 900m dia (fabricated using 22 swg. GI
sheets) with angle rings and rubber ring joints; Provision of 25 HP
1440 rpm blower at 250 intervals in addition to one at portal end.
(ii) 100mm dia GI water supply pipe line leading from 4 nos storage
tanks of 10,000 capacity each for supply of 20,000 to 30,000litres per
drilling cycle; Three bore holes had to be drilled for providing the
supply of water.
(iii) Installation of a 100mm dia. Pipe line for dewatering the muddy
water and a high power electric pump at the face for discharging the
same.
(iv) Treating and maintaining the road bed in sufficiently good condition
for the plying of tippers (7 such used) efficiently and quickly as well
as reducing wear and tear on them as well as other machinery
(v) Refuges provided for use as trolley refuges later, were enlarged to
accommodate jumbo/ tippers for loose checking and parking when
not working. They were large enough for these to reverse as required.
(vi) Step-up transformers were installed in some of the trolley refuges for
maintaining voltage.
(vii) Provision of telephone communication at face, at intervals along,
portal, site office, maintenance shop.
(viii) Wireless communication facilities between working face, other face
of tunnel, and connected to Chief Engineer's and Deputy chief
engineer's offices
(ix) Provision of a small site workshop with sufficient spare parts for
maintaining the machinery.
(x) Provision of a 250 -kVA Diesel Gen. set for meeting with power
demand during shut downs and emergencies.
For the workmen, site camp was provided in a hygienic environment with
board, lodge, lighting and minimum medical facilities.
216

7.10 RECENT DEVELOPMENTS IN DRILLING AND

BLASTING
Under the Drilling and Blasting methods, discussed in this chapter there have
been considerable recent developments. Present scenario is presented here,
with a case study on a Railway tunnel driven through a 'competent 'rock
formation near Mumbai. There are two basic methods of such tunnelling,
viz.,
(i) Cyclic drilling method, and
(ii) Continuous boring machine method
The second method is in its early stages of development, but still it is
competing with the former in speed and cost. The first is the old traditional
method, which has been continuously improved, and is the one commonly
used. Being a versatile method, it is suitable for any type of rock, soft
sedimentary ones to hard igneous rocks. The case study described here
illustrates present stage of development of this traditional 'drill and blast'
method, using latest technologies.
Case Study - Karjat Tunnel11
Karjat tunnel is one of the tunnels recently done by the Central Railway for
their Panvel - Karjat new BG line through the foothills of Matheron Hills
done in 1999- 2004 period. It is 2.7 kms long in one straight alignment. Its
minimum excavation width and height are 6.2 m and 7.7 m respectively. It
comprises of two parts, rectangular section 4.5 high and arch 3.2 m above
springing level. Overall cross sectional area is 43.48 sqm. for the minimum
excavation line and pay line 46.362 sqm. The overburden is about 20 m
average and maximum overburden is 168 m. It has two shafts for ventilation
purposes, first 1212 m from Karjat end and second one 900 m from same.
It has a gradient of 0.5 % for full length It has 98 holes for full face (with
60 to 63 in heading portion and 24 to 26 in benching portion). Full face or
Heading + Benching method was used to suit the site conditions. Inclination
of holes were kept from perpendicular to maximum 22°, as per design
criteria.
Holes were drilled using a jumbo and generally depth of hole was kept
at 3.6 m. Explosives used is a combination of Gelatine as main one with
Aluminum Nitrate (ANFO). The types of Gelatine used were: Noble (most
effective with pull 2.72 to 2.9m); Power Gel (pull 2.4 to 2.6 m); Shakti (Pull
2.2 to 2.5m); and Rajdine (Pull only 1.9 to 2.2 m). The amount of fumes
emanating was highest for Noble and least for Rajdine. The diameter of both
gelatin stick and ANFO stick was 25 mm. Sequence of placing them in hole
 217

was four of gelatin followed four of ANFO sticks (totaling 2.4 m) and
packing the remainder of the hole with earthen sticks rammed for packing.
For blasting 25 milli-seconds Delay detonators were placed in the 25mm
Gelatin stick called (primer).
Sequence of work and time taken for each activity for a 'Full face' work
were as follows:

Activity Time taken for Brief description of activity

full section
Survey/ set out 1 hr Mark centre line (vertical) on
face of tunnel, bottom level and
spring level (for arch) taking
into account gradient etc.
Drilling 6 to 7 hrs Mark profile on face, bring
jumbo to face and drill holes
(only wet drill holes) as per
design pattern -
Dry shotcreting was Clean holes with compressed
preferred letting water in air, charge all holes, except
Explosive charging dummy holes {Smoking / sparks
strictly prohibited during
process)
Arrangement for blasting 30- 40 mts. Pull back water pipe line, air
pipe, lighting arrangements etc.
Connect wires from detonators in
series and lead wire taken to
safe distance; .
Blasting After checking everything,
exploder to blast.
Defuming 1 hr Start and run exhaust fans for
defuming.
Top scaling 3 hrs Loose stones to be removed
from crown portion exposed
surface, bringing jumbo near
blasted face and where not
reachable men standing on debris
Mucking 8 hrs Withdraw jumbo, bring in
excavator/ loader followed by 4
to 5 dumpers and clear muck
Final scaling 1 hr Recheck, bring in jumbo to face
and remove any loose stone
from and near about face
Bottom cleaning 30 mts. Final clearing operation by
excavators.
218

A few improvements made or found available during these tunnelling

operations are worth mentioning.
(a) Tunnel Support: Conventional shape Bent ISB ribs were used for
supporting the arch portion. The bent quadrants have a kick-up at
crown for accommodating concrete slick line. At the other end (foot
at springing) it has a straight piece having an off-set for rib feet. The
rib feet are enclosed in concrete with provision of steel dowels. Later
during benching, column legs were placed below, if required. In such
cases, a straight flat piece was welded to heading rib at springing
level and the column rib cap was bolted to the same.
(b) RCC precast concrete laggings (in concrete M20, same as of lining
concrete, were over the outer flange of rib supports and space behind
filled with spalls. Thus the lagging concrete was compatible with line
concrete and had better integration. Alternatively, shotcreting has
been done to cover space between ribs with steel mesh reinforcement
for support– Dry shotcreting, by having water mixing arrangement
at the nozzle. Shotcreting had to be done in two stages viz., first
provide a thin layer, then embed the reinforcement mesh and hold it
to rock with steel dowels installed by drilling. Provide final shotcrete
layer over same. In many cases , it was found the mesh does not get
fully embedded in final layer and resort had to be made for excessive
shotcreting in second layer. This has been found a time consuming
process not liked much by men. Robotic arms have been developed,
which carries out the operation from some distance. Also, fiber
reinforced shotcrete mixes have been developed, which avoids need
for embedding mesh reinforcement. It is learnt these later
technologies have been used on tunnels bored in same area for
Mumbai- Pune Expressway.
(c) Rock Bolting
Fully grouted rock bolts have been provided for preventing rock falls
and strengthening the exposed surface. The work requires care so as
not make them redundant. On this tunnel, after drilling the holes and
cleaning them, ready mix grout of correct consistency was pushed
into the hole by inserting polythene grout pipe till grout fills the hole
and comes out. The pipe in then withdrawn and rock bolt is pushed
into the hole.
Alternatively, they have used 'cement capsules'. Required number
of capsules (for filling 80% of the hole) are wetted in water till
bubbles come out to indicate they are fully wetted and have been
pushed into the hole. Then the rock bolt is pushed into the hole for
 219

full depth and the grout oozes out of the hole. Rock surface should
be made flat around so that bolt plates butt uniformly and nuts
tightened. About 10% of bolts are test checked after setting. They had
used epoxy grouting also for rock bolts, following similar
methodology. In such cases, after the epoxy capsules are filled in, the
bolt is inserted and turned. As it is turned, it punctures the epoxy
capsules and epoxy fills the hole.

7.11 PROBLEMS IN TUNNELLING

Common problems met with during tunnelling in rock are (i) finding the rock
in layers or meeting with fault zones (ii) seepage flow (iii) hazards. In the
first case, the loose rocks or masses are rock bolted so that they would not
fall down due to vibrations of moving vehicles and trains, or if too small to
be held so or too loose to remove them deliberately. In case of seepage flow,
channelize the flow and provide for proper drainage to outside, if it cannot
be stopped or diverted otherwise.
Hazards refer to roof or side collapse after blasting, during supporting
arrangements or mucking operations. They can occur during blasting
operations also for next pull after completing the previous pulls with
supports, due to poor nature of rock or during benching work after
completing the heading, due to excessive charge. These are common
occurrences in Drill and Blast type of work in areas where rock is mixed with
soil. Most common method of dealing with such hazards is to provide a
shield (roof like structure) below the affected and vulnerable portion, suitably
supported at ends and sides and do the work of providing permanent rib
supports at closer intervals below; clearing muck and lining. Any debris
falling due to accretion of the collapse would be held on the shield.
A typical arrangement used on a tunnel in the Hasan- Mangalore link
project12 done in 1960s is shown in Figure 7.15. Hasan - Mangalore rail link
project covered 92 km of which 55 km passed through Shiridi Hills in
Western ghats12. It involved construction of 50 bored and 15 cut and cover
tunnels totaling 11 km overall length. The geology of the hill comprised of
stratified rock with intervening patches of talus formation. Though the track
on that section at that time was for a MG line, tunnels were made to BG
standards. Prominent rock was gneiss with intrusions of pegmatite and quartz
veins. Most of tunnelling was done by blasting. Except where there was
continuous rock, rib, wall plate and post type of supports were provided at
20 cm, 100 cm and 150 cm spacings for posts and 25 cm and 30 cm spacing
for ribs.
220

Figure 7.15 Conventional Method of Permanent shield for Hazards12.

 221

Hazards were met with In 6 tunnels. They were mostly dealt with by
conventional method of providing a flat cover, i.e., a shield made of steel
matting using RSJs touching each other transversely across over the affected
length, i.e., over the length of the vault created by the collapse. After the
vault becomes stable, a number of ISBM 150 mm RSJs are laid across over
longitudinal rail runners at 1.2 to 1.5 m spacing, running along length of
tunnel. The runners are supported in the rear over the erected stabilised ribs
of the tunnel; and over temporary crib supports in front as shown in the figure
7.15. The ISBM mat is with flanges touching each other. A 1.5 m boulder
packing is done over the shield. Any more debris coming down will be held
over the boulder packing. With the shield protection, the debris below is
removed for short lengths, (say 1.2 to 1.5 length) and permanent ribs and
supports are erected and consolidated. Then next length is cleared and rib and
supports erected. The process is repeated by extending shield over affected
length as required, by shifting the crib supports in front.
Most cases could be dealt with in this manner, except for a hazard in
Tunnel 12A, where, the debris heap was too high and this method could not
be used. There, they adopted a forepoling methodology, similar to the
arrangement shown in Figure 6.4 (b) to go through the heap of muck and
advance the 'face', treating it as a hill formation. Sharpened scrap drill rods
2.4 to 3.6 m long were used as the poles.
There are cases where, the collapse has extended over full depth of the
overburden, leading to a chimney formation. In such cases, usual practice is
to stabilise the opening by driving in some piles at the periphery of hole and
lay a shield (matting of ISMB at a higher level and provide a lean concrete
floor (0.6 to 0.9m) thick. After it sets, remaining portion is filled up to
prevent any inundation. Alternatively, in some cases, they have sunk a well
of suitable size to cover the hole and have grips on sides. The remaining part
of the pit around the well is filled up to natural ground level. This well can
serve as a ventilation shaft later12.

7.12 REFERENCES

1. Pequinot, C.A., (1963) "Tunnels and Tunnelling'- Hutchinson, Scientific and

Technical, London
2. IS: 5878- Part II/ Section 1 (1970) Construction of Tunnels Part II-
'Underground Excavation in Rocks- Section 1- ' Drilling and blasting'-
Bureau of Indian Standards, New Delhi.
3. Limaye, G.K., (1979 ) 'Tunnels- Notes of Lectures at the Institute of
Advanced Track Technology '- Institute of Railway Civil Engineering. Pune.
222

4. Kulkarni, B.R., (1994) ' Construction of 6.5 km Karbude tunnel', Indian

Concrete Journal. February 1994 pp 61-64, Associated Cement Companies,
Mumbai.
5. SJVNL (2005), Reports and Presentation on 'Designs of tunnel Cross
sections, Drainage System for Tunnel No1 and 2 of Katra- Laole section of
Udhampur- Srinagar Link Project in Jammu and Kashmir', KRCL 2005.
6. Nick Barton (2008), 'Training Course on Rock Engineering for Drill-and
Blast and TBM Tunnelling-----' Lecture NB-1. ' Introduction to the Q-
System of Rock Mass Classification' - Indian Society for Rock Mechanics
and Tunnelling (ISMTT) and Central Soil and Materials Research Station,
7. Russo,G.(2008), 'A simplified Rational Approach for the Preliminary
Assessment of Excavation Behaviour in Rock Tunnelling, Tunnels et
Ouvragas Souterains'pp 1-8.
8. Pokrovsky,H.M (1977) 'Driving Horizontal Workings and Tunnels',
Translation by Savic, L.V., M.I.R. Publications, Moscow.
9. Parker, A.B., 'Planning and Estimating Underground construction', McGraw-
Hill Publications.
10. Anand, V., (1994) 'Tunnelling Machinery for Konkan Railway Project'
Indian Concrete Journal. February, 1994. pp 75-78, Associated Cement
Companies, Mumbai.
11. Garg, S.K. (2014)- Tunnelling Using Conventional Drill Blast Method, and
Support System. Case Study of Karjat Tunnel' National Conference on
Management of P.Way works through need based Outsourcing and Design,
Construction and Maintenance of Railway Tunnels'*, Jaipur 2014, Institute
of Permanent way Engineers (India), New Delhi pp 275-291
12. Venkata Rao, S.N. and Seshadri, S, Paper on Hasan- Mangalore Railway
Project, Shiridi Ghats - Tackling of a Hazardous tunnel 12A. (Unpublished)
13. Prakash, L., 'Construction experiences in Katra- Dharam Section of USBRL
Project.', Konkan Railway Corporation.
 ANNEXURE 7.1

Q Tables for Use with Histogram

Logs (Source Nick Norton)6

1 Rock quality designation RQD

A Very poor 0 – 25
B Poor 25 – 50
C Fair 50 – 75
D Good 75 – 90
E Excellent 90 – 100
Note: (i) Where RQD is reported or measured as < 10 (including 0),
a normal value 10 is used to evaluate Q.
(ii) RQD intervals of 5, i.e. 100, 95, 90 etc/ are sufficiently
accurate

2 Joint Set number Jn

A Massive, no or few joints 05–10
B One joint set 2
C One joint set plus random joints 3
D Two joint sets 4
E Two joint sets plus random joints 6
F Three joint sets 9
G Three joint sets plus random joints 12
H Four or more joint sets random
Heavily jointed. 'Sugar cube' etc 15
224

J Crushed rock, earthlike 20

Note: (i) For intersections, use (3.0x Jn)
(ii) For portals, use (2.0 x Jn)

3 Joint roughness number Jr

(a) Rock-wall contact and b) Rock-wall
contact before 10cm shear
A Discontinuous joints 4
B Rough or irregular, undulating 3
C Smooth, undulating 2
D Slickensided, undulating 1.5
E Rough or irregular planar 1.5
F Smooth, planar 1.0
G Slickensided, planar 0.5
Note: (i) Descriptions refer to small scale features and intermediate
scale features, in that order
(c) No rock-wall contact when sheared
H Zone containing clay minerals thick enough
to prevent rock-wall contact 1.0
J Sandy, gravelly or crushed zone thick enough
to prevent rock wall contact 1.0
Note: (i) Add 1.0 if the mean spacing of the relevant joint set is
greater than 3m.
(ii) Jr = 0.5 can be used for planar slickensided joints having
lineations, provided the lineations are oriented for minimum
strength

4 Joint alteration number qr Ja

(approx.)
(a) Rock-wall contact (no mineral
fillings, only coatings)
A Tightly healed hard non softening
impermeable filling, i.e. quarts or epidote 0.75
B Unaltered joint walls surface staining only 25-35° 1.0
C Slightly altered joint walls - Non
softening mineral coatings, sandy particles
clay free disintegrated rock etc 25-30° 2.0
 225

D Silty or sandy clay coatings small clay

fraction (non-softening) 20-25° 3.0
E Softening or low friction clay mineral
coatings kaolinite or mica. Also chlorite,
talc, gypsum, graphite etc and small
quantities of swelling clays 8–16° 4.0

(b) Rock-wall contact before 10cm shear

(thin mineral fillings)
F Sandy particles, clay-free disintegrated
rock, etc 25-30° 4 .0
G Strongly over-consolidated non-softening
clay mineral fillings (continuous, but
< 5mm thickness) 16–24° 6.0
H Medium or low over-consolidation,
softening, clay mineral fillings (continuous,
but <5mm thickness) 12–16° 8.0
J Swelling - clay fillings, i.e. montmorillonite
(continuous, but <5mm thickness) Value of
Ja depends on percent of swelling clay size
particles and access to water etc. 6–12° 8–12

(c) No Rock-wall contact when sheared

(thick mineral fillings)
KL Zones or bands of disintegrated or 6-24° 6.8 or
M Crushed rock and clay (See G,H,J for
description of clay condition) 8.12
N Zones or bands of silty or sandy clay small
clay fraction (non-softening) – 5.0
OP Thick continuous zones or bands of clay 6-24° 10,13,
R (see G,H,J for clay condition description) or 13–20

5 Joint water reduction factor Approx. Jw

water
press.
(kg/cm2)
A Dry excavations or minor inflow i.e.
<5 l/mm locally <1 1.0
226

B Medium inflow or pressure occasional

outwash of joint fittings 1-2.5 0.66
C Large inflow or pressure in competent rock
with unfilled joints 2.5–10 0.5
D Large inflow or high pressure,
considerable outwash of joint fillings 2.5–10 0.33
E Exceptionally high inflow or water >10 0.2-0.1
pressure at blasting decaying with time
F Exceptionally high inflow or water >10 0.1-0.5%
pressure continuing without noticeable
decay

Note: (i) Factors C to F are crude estimates increase Jw if drainage

measures are installed.
(ii) Special problems caused by ice formation are not
considered.

6 Stress reduction factor SRF

(a) Weakness zones intersecting excavation, which
may cause loosening of rock mass when tunnel
is excavated
A Multiple occurrences of weakness zones
containing clay or chemically disintegrated rock
very loose surrounding rock (any depth) 10
B Single weakness zones containing clay or
chemically disintegrated rock (depth of
excavation £ 50m) 5
C Single weakness zones containing clay or
chemically disintegrated rock (depth of excavation
> 50 m) 2.5
D Multiple shear zones in competent rock (clay
free) loose surrounding rock any depth 7.5
E Single shear zones in competent rock (clay free)
(depth of excavation >50m) 5.0
F Single shear zones in competent rock (clay free)
(depth of excavation >50m) 2.5
G Loose open joints heavily jointed or
sugar cube etc (any depth) 5.0
 227

Note: (i) Reduce these values of SRF by 25-50% if the relevant shear
zones only influence but do not intersect the excavation.

(b) Competent rock, stress problems sc/ s1 sj/ s1 SRF

H Low stress, near surface open joints >200 < 0.01 2.5
J Medium stress favourable stress
conditions 200–10 0.01–0.03 1
K High stress, very tight structure
Usually favourable to stability,
may be unfavourable for wall
stability 10-5 0.3-0.4 0.5-2
L Moderate slabbing after 1 hour in
massive rock 5–3 0.5–0.65 5–50
M Slabbing and rock burst after a few
minutes in massive rock 3–2 0.65–1 50–200
N Heavy rock burst (strain- burst)
and immediate dynamic deformations
in massive rock <2 1 200-400
Note: (ii) For strongly anisotropic virgin field (if measured). When 5 £
s1/ s3 ³ 10 reduce sc to 0.75 sc. When s1 /s3 > 10 reduce
sc to 0.5 sc where sc is unconfined compression strength, s1
,s3 are the major and minor principal stresses. sj is maximum
tangential stress (estimated from elastic theory.)
(iii) Few case records available where depth of crown below
surface is less than span width. Suggest SRF increase from 2.5
to 5 for such cases.

(c) Squeezing rock : plastic flow of sj/ sc SRF

incompetent rock under the influence
of high rock pressure
O Mild squeezing rock pressure 1-5 5-10
P Heavy squeezing rock pressure >5 10-20
Note: (iv) Cases of squeezing rock may occur for depth H>350 Q 1/3
(Singh et al.1992) Rock mass compression strength can be
estimated from q = 0.7 Y Q1/3 (MPa) where Y= rock density
in kN/ m3 (Singh, 1993)
228

(d) Swelling rock - chemical swelling activity SRF

depending on pressure of water
R Mild swelling rock pressure 5-10
S Heavy swelling rock pressure 10-20
Note: Jr and Ja classification is applied to the joint set or discontinuity
that is least favourable for stability both from the point of view
of orientation and shear resistance T (where T = sn tan (J1/J2)
Source: Nick Barton6
 ANNEXURE 7.2

Case Study-Tunnelling Through

Varying Rock Conditions

A 7.2.1 Typical Case- Hills in Himalayan Region

The Udhampur- Srinagar-Baramulla-Rail Link passes through a region with
young rock formation and tunnelling through them has thrown a lot of
challenges to engineers. Considering the magnitude of the problems likely
to be met with, very exhaustive geological and geophysical studies had been
conducted and special design procedures adopted. The engineers involved in
the project went through a special training course conducted by international
experts in association with the Indian Society for Rock Mechanics and
Tunnelling Technology in association with the Central Soil and Materials
Research Station6. The design of the tunnel section and support arrangements
for tunnels were decided based on Rock Mass Quality (Index). This annexure
covers the basic approach adopted and also a few typical construction
problems met with on a few tunnels on Katra- Dharam section of the project.
Original alignment of Katra- Dharam section covered a length of 71 km
(Km 30 to 100.868) of the link13. This included 31 tunnels totaling a length
of 57.33 km and 46 bridges totaling a length of 9.14 km. During progress
of work in early stages, a number of difficulties were experienced, especially
during tunnelling e.g., Portal 2 of Tunnel 1 and Portal 1 of Tunnel 2 through
the shear and fault zones. A review was made and alignment was revised at
the difficult locations, so as to minimise number of portals by combining
some tunnels and relocation of some station yards and bridges. The revised
alignment came to 74.072 km. The revised alignment has reduced the
230

number of tunnels to 19 reducing number of Portals, which were most

difficult to deal with. The total length of the 19 tunnels is 62.195 km.
Number of bridges also could be brought down to 33 totaling 7.49 km. The
terrain is so difficult that part of yard lines and platform extend into nearest
tunnel or over part of adjacent bridge.
The alignment passes through areas with Dolomite overlying younger
Sivalik group of rocks. Contact between the two rock zones are marked by
a thrust zone called 'Reassi Thrust' (MBT), as between T1 and T2. Since
tunnelling through thrust zones is time consuming and expensive, it had to
be modified so that it cuts across the thrust zone in almost a perpendicular
direction. The rock structure over the length has been quite varying. Also in
some lengths, seepage has been a problem, e.g., Sirban Dolomite between
tunnels T2 and T5 met with closely jointed / fractured, sheared dolomite with
water. There were heavy over breaks and occurrence of frequent cavity
formation. Km 51- 73.4 lies in Subathu formation e.g., first 400 m of T-1
consisted of red coniferous shale, silt stone, limestone, and sandstone Murree
formation consisting of alternate bands of claystone, siltstone and sandstone
was met with. Km 73.800 to 83.800 is along a local fault known as Sangal
Kund Fault, where also some realignment was called for. In next length (upto
100.867 km) tunnels pass through a 'fair' category rock, passing through
Murree formation with deep overburden/slide derived from parent Murree
rocks. Overburden material itself is considered poor to very poor tunnelling
medium. The length was fairly dry through, with isolated patches of sub-
surface water. Beyond Km 100.867 to Km 120 the structure comprises of
Salkhala group of rocks mainly consisting of slate, phillytes, quartzite, schist
and granitic gneiss, which rocks are better tunnelling media, compared to the
Murree rocks.
To start with, the preliminary design of D section for tunnel was
reviewed and an alternative form of Elliptical section with curved invert was
decided upon and a horse shoe shape for wider tunnels, as they were found
structurally more efficient for the strata here. Two basic sections adopted
were one narrower one with a footpath alongside the track for tunnels upto
3 km length and one with a 3 m wide service road running alongside the track
for tunnels over 3 km long. The two basic sections are shown in
Figure A.7.1.
The elliptical section is structurally more efficient than D section as can
be judged from the following table of comparison for a single line tunnel.
The arc shape of sides resists side pressure much better. The invert continuity
adds to the lateral resistance of the structure. Another advantage is that the
internal dimensions of the tunnel need not be changed upto 2.75 degree
Adapted from Source: KRCL
Figure A 7.2.1 Alternative Tunnel Sections used on USBRL .

231
232

curve, as the requisite clearances required on the curves as per SOD can be
achieved by shifting the centre line of track.

Comparison between D- shaped and Elliptical Tunnel in Structural performance5

Description Maximum Maximum Maximum Maximum

axial force bending shear force displacement
moment
kN kN-m kN M
With Top pressure of 15000 kg/M and Side pressure of
5000 kg/ M
D- shaped tunnel 412.5 137 15129 0.083
Elliptical tunnel 567 35.80 9025 0.024
With Top pressure 15000 kg/ M
D- shaped tunnel 412 48.10 8565 0.03
Elliptical tunnel 639 35.65 9635 0.028
Source: SIVNL / KRCL

The planners also evolved an innovative design for the tunnels passing
through very poor strata, where difficulties were expected in supporting the
heading arch during benching. They eliminated provision of wall beams at
SDL of the arch and in lieu introducing support legs at SDL for the arch ribs,
(elephant foot) as indicated in Figure 7.8. In such a case, the excavation for
benching can be done in between the arch ribs without disturbing the support
legs.

A 7.2.2 Construction Problems13

The frequent problems met with during excavation were in form of (a)
deformation in tunnel cross section (b) heavy seepage of water (even
reaching over 100 lit/ min) (c) frequent cavity formation and (d) squeezing
of soils and low stand up time of some soils (e) difficulties in doing portals
through shear/ thrust zones
1. The first type of problems were, to a large extent contained, by using
the modified egg shaped design and invert treatment and use of rock
bolts in conjunction with shotcreting for preliminary support.
Elimination of wall beam and provision of independent supports
(elephant foot) for arch ribs and providing curved section for side
supports, and rock bolting and shotcreting as required, helped in
reducing problems that arise during benching. Continuous
monitoring with instrumentation was done using Pressure cell, Load
 233

cell and Tape extensometer. Tunnel support systems were modified

to suit and grouting, in case of water incursion, could be arranged for
in time. In case of poor soils with low stand up time, umbrella pipe
forepoling at roof level at fairly steep angles (50 to 150 degree) was
done.
2. The general approach adopted for tunnelling in different strata was:-
• Conventional method of excavation by heading and benching
was followed. Deep probe holes (at least three times the length
proposed to be excavated that day) were driven through the
tunnel face in advance to find type of strata to be met with and
sub soil water condition.
• Road header was used for excavation of 'jointed rocks and soft
to medium strata upto 100 UCS'. A combination of excavation
by Road header with option of Drilling and blasting is followed.
• Hard rock comprising Dolomite and Murree formation is
excavated by Drill and Blast method, followed by conventional
rock supports (using 150 x 150 H- beam ribs, shotcreting and
rock bolting.)
• Wherever drilling has not been possible and where the holes
drilled do not stand intact, 25 and 32 mm SDAs are used.
• Bottom closure is done with steel sections in most reaches.
Adoption of NMT and NATM methodology for tunnelling with support
systems using self drilling anchor rods along with shotcreting with fibre
reinforcement, especially in crown portion helps to contain tunnel
movements and increases stand up time of excavated surface. Three specific
cases of problems met with are mentioned here to indicate how specific cases
were dealt with.
(i) Failure of Portal 2 @ Tunnel No 1.
Due to a heavy land slide at the face of this portal, the portal and
tunnel for some length were damaged. The portal lies along the Reasi
thrust. Fig A 7.2 shows the general view of the isolated portal land
slide around this portal.
This was dealt with by clearing the debris and rebuilding the length
by providing micro piles to support the structure. Side gaps near face
were filled with Reinforced Earthwork.
(ii) Tunnel No2 -Tunnelling through shear zone13
(iii) Problems met with here were poor stand up time and water seepage.
After about 250 m of tunnelling, it was found difficult to work further
through the thrust zone due to extra-ordinary flowing conditions.
234

Source : KRCL
Figure A 7.2.2 Collapse at Portal 2 of Tunnel No1 due to land slide13

They were dealt with as follows. Tunnel face was temporarily closed
and 4 m deep SDAs were drilled through the face and grouting done
with cement grout (normal cement and super fine cement and
Polyurethane chemical. Self drilling anchors 6 to 9 m long were used
in lieu of normal rock bolts at the crown. Lattice girders with steel
fibre reinforced shotcrete support were used for supporting arch roof.
6 m long pipe 51mm dia SDA forepoles at 300 mm crs. were driven
in the crown to form an umbrella protection for advancing excavation
in heading. Steel fibre Rock bolts were installed and shotcreting was
done along with provision of the lattice girder supports every half a
metre. Fibre concrete and strutting was done in the bottom for
closure. Latter were removed during benching. The different actions
taken are conceptually indicated in Figure A7.3.
(iii) Tackling cavity formation
Cavity formation has been a frequent occurrence in dolomite. They
were accompanied with drainage problems also. They were dealt
with by doing filling/ grouting the cavity with pumped in cement
mortar/ concrete and simultaneously draining out water from the
pocket. A ramp was formed with the debris filled in gunny bags till
a 'cut off was made between loose muck and broken tunnel face'.
Drainage pipes (upto 15 m long) were driven in through the dolomite
roof to reach the cavity to drain the water collection there. Cement
sand mortar in 1:3 ratio and/or lean concrete was pumped into the
Source; KRCL
Figure A 7.3 Scheme for tackling Shear zone in Tunnel No2 Katra- Dharam section13.

235
 236
Source : KRCL
Figure A 7.4 Tackling a cavity formation in Tunnel No 5 Katra- Dharam section13
 237

cavity through one or two pipes. For this purpose a transit mixer and
pump were used taken close to the cavity. After filling the cavity and
stabilising the area on crown/ cavity zone, work on the face was
commenced by adopting multi drift excavation, with two or three
openings till the cavity zone was crossed. Figure 7.4 shows the
details.

Source : KRCL / IRICEN web site.

Figure 7.5 Tunnel Support failure due to swelling soil.

(iv) Swelling / Squeezing soils

In some locations in the thrust area, there were failures due to
swelling pressure of soil against which the vertical supports of
reverse U shape tunnel could not stand. One typical case in T1 is
shown in Fig A 7.5. Such locations were avoided by changing the
alignment at such locations as mentioned earlier also by going in for
more efficient ellipse shaped sections. The general methodology
suggested by designers for such locations has been covered in Para
7.7.5.
Similar methodologies have been to be followed for tunnelling in rocks
in geotectonic region e.g., for Barat twin highway tunnels (2.8km each) near
238

Caracas. Each tube is providing for 3 lanes of Road shaped in a D form

12.43 m wide. Near the portals at ends and at locations where the roof of
the tunnel is in weak zones, they opted to use Jumbo mechanical excavators,
loader shovels and dump trucks. At other locations they used Drill and Blast
method. In both cases, they followed sequential excavation method. Light
supports were provided in form of projected concrete and rock anchors where
rock is good. At weaker locations and locations with infiltration of water,
they went in for thicker section of shotcrete, rock anchors and metal trusses
as primary support. Permanent lining concrete has been of three types,
varying in thickness and designed to suit the rock condition met with.
[Tunnel 3/14, May 2014]
 C H A P T E R

8
Metro Tunnels
8.1 INTRODUCTION
In developing countries metros are generally understood to refer to
underground rail systems. Metro rail systems need not necessarily be entirely
underground. A major part of the metro rail in New York and Chicago has
been and is being constructed on elevated structures. In London the metro
rail lines are below ground in the city area and on the surface in the outskirts.
BART (Bay Area Rapid Transit) in San Francisco revived the idea of using
elevated structures for the metro over road medians for a considerable length
(37 km elevated, 36 km in tunnel and 40 km surface, then). The cost of
construction vis-a-vis aesthetics and space shortage on the chosen route now
dictates choice of form of construction. The first phase of Singapore metro
comprises a short surface route, a 41.4 km long elevated and a 20-km
underground route. In Indian conditions the initial cost of construction would
be in the ratio of 1:3:6 to 1:4:10 for the three forms (surface, elevated an
underground).
Metro or subway tunnels refer to a continuous underground passage
provided for movement of commuter trains within cities and suburbs. They
have to be considered separately as their design is more restrictive and has
to allow for a number of special features related not only to the vehicles using
them, but also to city characteristics. Also, they have to be at shallow depths.
The choice of construction methodology also imposes certain limitations.
Alignment of the route is primarily dictated by the likely patronage pattern
240

along the line. A subway has not only to provide space for running tracks,
but also for location of stations at close intervals of about 0.80 to 1.20 km.

8.2 ROUTE SELECTION AND CONSTRUCTION

METHODOLOGY1,2
8.2.1 Alignment
The first problem in locating a metro tunnel is route selection. While location
of tunnels for roads and railways for intercity and other traffic is dictated
mostly by costs (construction and operating costs), permissible gradients and
curvature based on haulage consideration and topography, the route for
Metro tunnels affect not only costs and construction problems, but also the
traffic that will be generated and the development (commercial/residential)
it will induce along the alignment. In order to cater to maximum traffic, the
route should pass through the most densely populated and the busiest areas.
But such a route would increase the cost of construction and aggravate
construction problems. The cost of construction also depends on choice of
method of construction, viz., cut-and-cover or bored tunnelling. The busier
the area, the more difficult is cut-and-cover construction. For cut-and-cover,
the alignment has to follow street layout. Such streets should be wide enough
to allow open excavation with minimum need for dismantling buildings and
without endangering building foundations. Also, there should be sufficient
room on the surface to permit minimum traffic and use of machines for
loading and carrying away excavated materials. Space is also needed for
storage of construction materials at the site. When the alignment has to
change direction, requiring curves, the street alignments may not always suit
since they cannot accommodate flatter curves (radius of 250 m or over for
heavy metros). Wherever stations are required, a wider space availability is
a must. Hence in some areas, off-street alignments become necessary
requiring bored tunnelling.

8.2.2 Utilities
Existing utilities (water supply pipes, gas pipes, sewerage lines, drains, and
electricity and telephone cables) have to be diverted or supported if they
cross the alignment, if the cut-and-cover method is adopted. This method will
also cause disruption to traffic, calling for total or partial diversion depending
on the width of the road and availability of parallel roads for diversion of
traffic. Access to properties on either side will also be affected during the
period of construction. Off-street alignment would avoid both these
difficulties.
 241

8.2.3 Construction Methodology and Costs

On the other hand, off-street alignment would pass under a primary artery
(street) representing the dense traffic demand corridor and partly under
private properties adjacent to the same. Tunnels can pass under built-up areas
where curves are introduced but would have to be well clear of the
foundations of buildings, i.e., below the zone of influence of such
foundations. This would call for locating them at greater depths, increasing
the distance of vertical travel for passengers. There is always some risk of
settlements and ground subsidence affecting the buildings above. The track
structure also depends on the method of construction. While cut-and-cover
calls for a twin-box cross-section, the bored tunnelling method calls for two
parallel tunnels.
A single circular tunnel to accommodate two tracks (necessary for any
metro in order to maintain required frequency of trains) would be too large.
For the bored tunnelling method, space between tunnels has to be cleared to
accommodate station platforms with the concourse placed either on surface
or underground. Space for platforms etc., can be provided by using cut-and-
cover methodology or adopting other special methods of supporting
overburden for inter connecting the tunnels and providing platforms. These
aspects would also greatly influence cost. According to Morton (1982)3, the
relative advantages and disadvantages (of the above methods would be as
indicated in Table 8.1. It would be seen that under street cut-and-cover
alignment is likely to lead to the least overall costs and construction time,
whereas bored tunnelling results in the least construction nuisance and
minimum interference with traffic.
Table 8.1 Unweighted Comparison Criteria for Different Modes of
Construction(Morton 1982)

Criteria rating score for

On-street alignment Off-street alignment
Components Bored Cut and Bored Cut and
tunnel cover tunnel cover
Right-of-way costs 4 4 3 2
Construction costs 2 3 2 4
Construction time 2 3 2 4
Construction nuisance 4 2 4 3
Construction interference
with traffic 4 2 4 3

Note: The ratings are based on a score of 4 for best performance and a score of 1
for worst performance.
242

8.3 ALIGNMENT AND TRACK DESIGN

While fixing the alignment certain track geometry requirements have to be
borne in mind pertaining to horizontal alignment and vertical profile. Tunnel
size and floor orientation depend on the type of track bedding (ballasted or
ballastless), provision for cant to cater for speed and comfort required by
passengers, type of traction and location of line side signals and other
equipment The permissible minimum radius of a horizontal curve depends
on length of coaches, wheel arrangements and speed to be provided for.
Maintenance problems, such as wear on rail, and noise nuisance due to
screeching wheels on sharp curves have also to be considered. Generally the
minimum radius of curvature is limited to 250 m but desirable practice
requires 300 m or over. The sharpest curvatures in some of the metros are
120 m in BART, 200 m in Singapore and 200 m in Kolkata. The maximum
operating speed in the metro rail can go up to 80 / 100 kmph and permissible
maximum permitted cant and cant deficiency (maximum permitted
unbalanced super elevation) are specified to suit local circumstances. A few
examples are given in Table 8.2.
All curves have to be transitioned. The transition length would be such
that the super elevation is run out at a maximum rate of 1 in 333.33. A
minimum length of 30 m of straight is generally provided between two
reverse curves. In stations, the radius of curvature is limited to 1000 m as
otherwise, due to the inside and outside throw of the vehicles on curves, a
wider gap will occur between the platform edge and the side of the vehicle
at the doors, endangering the passengers boarding/alighting. This gap should
be limited to 100 mm. Any change of curvature or introduction of curves at
station approaches should be at least 25 m away.

Table 8.2 Design Criteria for Passenger Comfort on Horizontal Curves System

System Maximum Maximum Cant Maximum

operating permitted deficiency permitted
speed speed mm lateral
(kmph) (kmph) acceleration
at max. speed
San Francisco (BART) 128 150 68 0.04g
Toronto 88 100 62 0.04g
Washington 120 100 112 0.08g
Singapore 150 (Ballastless) 0.06g
125 (Ballasted)
Kolkata 80 150 (Ballastless) 75 0.06g
Delhi 80 150 (ballastless) 75 0.06g
 243

8.4 VERTICAL PROFILE3

The gradient permissible is dependent on the tractive capacity of vehicles.
A minimum drainage gradient of 0.3% is to be provided. At stations, for the
purpose of stability of stopped vehicles, this should also be treated as
maximum gradient albeit the desirable maximum is 0.2%. There are systems
with up to 5% maximum gradient in-between stations on some heavy metros
(Boston and Philadelphia). Washington has a 4% grade in its tunnel,
Singapore 3% and Kolkata 3%. The gradient should be compensated for
curvature (0.04% per degree of curvature). A vertical curve is always
introduced when the gradients change. Parabolic vertical curves are
preferred. Lengths will be (G1 - G2) x 100, where (G1 - G2) is the algebraic
difference between the grades of connected lengths; this is limited to a
minimum length of 80 m. The constant profile of any grade is also limited
to a minimum length of 30 m (in Toronto it is 150 m). The minimum radius
of vertical curve adopted in metros ranges from 1500 m to 3000 m as against
3000 to 4000 m on main line railways. At 80 kmph, which is the normal
maximum speed of metros with close station spacing, this would give a
vertical deceleration of 0.033 g for 1500 m to 0.017 g for 3000 m. Hence
this range is satisfactory. It is also advantageous to provide a vertical grade
that ascends to the station and descends out of the station thus providing a
camel-back type of track surface at the station (but of uniform grade or level
over the station length plus 25 m at either end). This not only helps reduce
vertical transportation distance for passengers, but also aids in quick
deceleration and acceleration of the vehicle, resulting in some saving of
energy. Typical profile for such treatment at stations is given in sketch
below.

8.5 COVER/OVER BURDEN

A minimum cover of 2.0 to 2.5 m above the roof of a subway structure is
required when cut-and-cover method is used. This allows passage of most
utilities above the roof. Any deeper utilities would need to be diverted. If the
bored tunnel method is used, a minimum cover of one tunnel diameter and
244

more depending on the nature of the ground is provided above the tunnel
crown. In rock and hard strata one diameter depth will do. In alluvial soil
a cover of twice the tunnel diameter depth is required. If the tunnel has to
pass under buildings, the cover should be below the zone of influence of
building foundations. On Chennai Metro a minimum cover of 9 m has been
adopted for bored tunnels, which goes upto 20 m or more where one line
passes below another and in some areas with line taken down across built
up structures or water bodies.

8.6 INVESTIGATIONS4
8.6.1 Geotechnical
Once the possible alternative alignments are chosen, geotechnical
investigations are carried out by drilling bores, taking out undisturbed
samples and testing them. Boreholes are drilled at intervals of 90 to 150 m,
or closer if any sharp change in strata is noticed. Depth should extend a few
metres below the proposed lowest level of the tunnel. In addition, SPT and
permeability tests are carried out. Chemical examination of the soils is also
done to ascertain whether any gases are likely to be encountered and if the
soil is likely to adversely react with the materials of the structure. The type
of soil would also determine the type of construction to be adopted and even
depth of construction in some cases. During boring, records are maintained
of the type of subsoil encountered and depth of groundwater tables.
Wherever groundwater is encountered, observation pipes, or a piezometer are
used to take long-term readings so as to establish seasonal fluctuations in
water level. This helps in planning the type and quantum of pumping
requirement (or freezing arrangements) during construction. It further aids in
design of the structure as well as the waterproofing arrangements to be made.

8.6.2 Utilities
On-street alignment can cause disruption to various utilities which are
normally below the road surface. These may be sewers, surface drains, water
and gas pipelines, and electric supply and telephone cables. They invariably
would run in the longitudinal direction and at some places across the road
alignment. The underground structure has to be clear of all these and may
even have to be graded down to clear transverse crossings.
The possibility of diverting other utilities which might come right over
the alignment on a permanent or temporary basis would have to be studied
in detail, in the case of cut-and-cover construction. Wherever this diversion
 245

possibility does not exist, the bored tunnelling method will have to be
adopted. Some utilities, such as water pipes, G.I. sewers, telephone and
electric cables and ducts can be supported temporarily from deck beams. But
for high risk utilities such as gas mains, H.T. electric cables, masonry sewers
running over alignment, diversion would be preferable. The cost of diversion
of utilities would form a major portion of the cost of cut-and-cover
construction.
During the investigation stage, a careful inventory of all such utilities as
described above has to be made in consultation with the concerned
maintenance agencies and methodology for their diversion/ relocation/
supporting planned in consultation with maintenance agencies..

8.6.3 Road Traffic and Diversions

In on-street alignments, for the cut-and-cover method to be adopted,
diversion of traffic in part or in full is necessary. During this time period the
side supports can be installed and the trench excavated to sufficient depth to
enable people to work below. Full diversion of traffic away from the width
of construction is mandatory. In addition, about a lane width on either side
would be required for working of machinery and plying trucks to take the
excavated earth away. Once this is done, temporary decking plates can be
laid and traffic largely restored but at slow speed. On completion of the
underground structure, during filling and restoration of the road surface,
traffic diversion will again be necessary. A study of volume and direction of
traffic as well as availability of parallel roads for diversion is necessary to
devise a traffic management scheme. The amount of disruption to access to
properties on either side and alternative arrangements of regulating traffic
and their impact on local business have to be studied simultaneously.

8.6.4 Building Survey

The choice of on-street alignment means it will be clear of adjoining
properties for most of its length as it would follow an artery of sufficient
width. But at station locations the width of excavation would be more (about
20 m) in order to accommodate these. While choosing the station location,
this requirement should be kept in mind. Alternatively, some buildings may
have to be dismantled. On the other hand, at some locations in the running
sections and at stations the load pressure distribution from the foundation of
some buildings (when reckoned on a 45-degree dispersion line below base)
may infringe upon the excavation profile. The excavation can also cause
246

settlement of surrounding ground, accompanied by some heaving in the

excavated trench, especially in cohesive and wet soils. Such settlement can
cause cracks in the adjacent buildings. During cut-and-cover operations, in
some cases work can be done with suitable underpinning of lighter buildings.
In such cases, while assessing easements the value, that the owner places on
loss of future foundation capacity and redevelopment has to be considered.
In off-street alignment, in order to avoid the high cost of acquisition of
buildings if cut-and-cover is adopted, bored tunnelling is resorted to. As
already highlighted, the tunnel has to be placed well clear of the building
foundations and their zone of influence. Details of foundation and height /
loading details of all buildings coming over the tunnel, and for a width
subtended by a 45-degree line drawn from the outer lines of the tunnel
opening, are collected during the investigation stage. Presence of any open
wells or bores within the zone of influence of the tunnel boring should be
noted, so that they are plugged in advance of the tunnel bore. Any chemical
or grout used for strengthening the weak soil, in advance of TBM may,
otherwise, escape through such holes with resultant problems of pollution,
settlement etc.. Buildings coming within zone of influence of excavation
should be carefully surveyed for pre-existing cracks and inventory made of
same. Such information should preferably be authenticated or vetted by the
owners so as to avoid any undue claims for damages later.

8.6.3 Construction
Table 8.3 presents the different methods of construction that can be used for
underground metro rail structures, using either cut-and-cover or bored
tunnelling methods. The different methods applicable for various types of
soil are summarised in Table 8.4..

8.7 CUT-AND-COVER CONSTRUCTION

8.7.1 Method- Description and Types
Cut-and-cover construction basically consists of, cofferdaming, i.e., putting
up two vertical retaining walls to prevent the ground caving into the trench
dug for construction of the RCC box through which the rail tracks or road
(carriageway will pass). In order to reduce the requirement of working areas,
utilities relocation and number of diaphragm walls or piled side supports to
be provided, the box profile should be for twin track. These retaining walls,
diaphragm or row of piles would be about 10 m apart between stations and
20 m to 22 m apart at stations. In station areas, a row of intermediate supports
 247
Table 8.3 Methods of Underground Metro Construction
 Table 8.4 Suitability of Construction Methods for Different Soils

248
Locations Type of soil Methodology for Limitations of Advantages Disadvantages
construction method, if any
Between Soft clay, silty, clay, i) Cut-and- cover with i) D/Wall to be taken Box design can be more Disturbance to the surface
Stations clayey, sandy clay diaphragm wall or sufficiently below the economical. The box cannot be avoided in
sheet piles excavation to prevent could be integrated with cut-and-cover
heaving D/wall to reduce cost
(ii) Tunnelling (ii) Generally not
possible without
compressed air
Solid or sparsely Blasting with unlined Blasting in busy Cost likely to be Because of proximity of
fissured hard rock or partially lined city areas likely to competitive. Progress buildings many precautions
tunnels be hazardous likely to be good as have to be taken,
work can be allotted to particularly for old
an independent contractor buildings.
Stations Fissured rock, soft i) Blasting with fully i) Normal blasting (i) Same as above
rock, friable rock, lined tunnels not advisable. (ii) Disturbance to surface
conglomerate, gravel ii) Cut-and-cover ii) Excavation may be roads and high social
etc. diaphragm walls expensive costs
(i) Cut-and cover with (i) Heaving possible (i) Cost would be (i) High social costs.
soldier piles competitive Likely damage to surface
properties
Sands, silty sands, ii) Grouting and shields Not to be used with (ii) No disturbance to (ii) Technology of a high
fine kankar, loose tunneling loose conglomerates surface or utilities degree required
conglomerate etc.
(i) Shield tunnelling Silt percentage Cost likely to be Delays due to
important. Expert competitive. No compressed air
opinion required disturbance to surface
(ii) Cut-and cover with Disturbance to surface
temporary decking

Source: RITES Report ,1993

 249

(temporary or forming part of station structure) may have to be provided to

reduce length of struts. The walls are designed to take full earth pressure
behind them when braced at different levels. The stations are easy to build
if not located at cross-roads or at intersections, due to complications involved
in supports for decking. Though decking can be used in exceptional cases
even at cross-roads the progress of work would be slow and the cost high.
The cut-and-cover method can be adopted in all types of soils except
rocky strata. To use this method of construction effectively, a complete
relocation or temporary support of utilities is often essential. The two tracks
allow location of emergency turnouts and points and crossings without
construction of special structures, as required in the case of bored tunnelling.
The main advantage of the cut-and-cover method of construction is ease in
setting out and future extension of side platform, if required subsequently.
Excavations for diaphragm walls or rows of piles (retaining walls) are
normally 12 to 14 metres deep (Rudrakshi)4. The two walls are held back
by anchors and / or braced by steel struts butting against each wall over the
waling piece. Three to five layers of such struts have to be used depending
on depth and nature of soil behind the walls as well as the surcharge due to
other surface structures such as buildings. In better types of subgrade soil/
ground anchors have been used with success at some places4.5. The basic
sections of cut-and-cover in a station and a running section are shown in
Figures. 8.1 and 8.2 respectively.

Figure 8.1 Typical Section through a Station Box in Kolkata Metro

250

Figure 8.2 Typical Box section in between Stations in Kolkata Metro

Four types of construction are normally adopted for providing the

retaining walls: (a) diaphragm walls, (b) steel sheet piles, (c) steel H-posts
with steel or timber lagging and (d) Bored piles adjacent / linked to each
other.

8.8.2 H-Piles and Lagging or Sheet Piling3

H-piles are driven for depths of about 1 m more than the depth required for
casting the box. After the two rows of piles are driven for a length,
excavation is done so that the top layer of struts can be fixed. Excavation
is then continued and timber lagging inserted between piles and pushed
down. As excavation proceeds, struts are added at lower levels at suitable
intervals and timber lagging added. The section showing arrangements made
using H-piles is shown in Figure 8.3. H-piles with timber/steel lagging are
generally suitable for sandy soil, shallow cuts and in areas where soil is good,
having a high angle of repose.
For deeper cuts, sheet piling methods are used. They are suitable for
cohesive soils. A typical cross-section of the structure using sheet pile wales
is given in Figure 8.4. Interconnected sheet piles are driven on outer
peripheries of the section for depths extending about 1 to 3 metre below base
level of the structure depending upon soil conditions and likely heaving. The
 251

piles are supported using waling pieces/runners and struts at designed levels
(similar to struts for H-piles). The piles are withdrawn in both cases after the
structure is completed and as filling above the structure proceeds. But in
many cases difficulty is experienced in withdrawing all the piles and some
have to be left and cut off below road crust level. This adds to cost and time
of construction. The piling method was tried in Kolkata and given up in
favour of diaphragm walls, which are more popular now.

Figure 8.3 Cut-and-Cover Construction Method using Soldier Piles and

Timber Lagging3.
252

Figure 8.4 Cut-and-Cover Construction Method Using Sheet Piles3.

8.8.3 Diaphragm Walls4

Diaphragm walls have to be designed as continuous slabs spanning between
horizontal beams supported by struts. Reinforcement is provided in the walls
 253

to take care of the bending moments as calculated. Construction of

diaphragm walls is done using the bentonite slurry circulation method, by
digging / boring a narrow trench up to the required depth of 12 to 14 metres.
These trenches are then filled with tremie concrete after the prefabricated
reinforcement cages are lowered into them by cranes. Precast concrete
diaphragm wall panels can also be lowered into the trenches using cranes and
adjacent segments made watertight using special techniques such as rubber/
PVC water stops. Figure 8.5 depicts a vertical section showing prestressed
tiebacks for supporting diaphragm walls. The panels are laid alternatively
(with space between edges filled with grout or made watertight by match
casting).
There are two methods in diversion of traffic; sequencing the excavation;
and in the construction of the boxes viz., from bottom or top down. In the
former, traffic is diverted on either side of proposed excavation; diaphragm
walls taken down full; preparing the base; construction of the box; refilling
the pit above and around the boxes; restoring the carriageway and restoring
the traffic. This method is feasible in case the ROW of road wide enough
and or the excavation width is limited as for the box between stations. This
was the method followed for Kolkata Metro.(Rudhrakshi)4 Figure 8.6 (a)
shows the sequence of operation adopted and Figure 8.6 (b) shows provision
of diaphragm walls and box in between.
The other method is the preferred one where the existing ROW of road
is not wide enough for diversion of traffic to sides and maintaining same over
a longer period and also where the width of box is large and in more than
one layer, as in case of underground stations. In this case, the diaphragm wall
construction has to be completed in two stages and providing the roof slab
and restoring the road surface initially. Excavation below roof slab follows
and box is formed in two stages from top as shown in Figure 8.7, which is
self explanatory. This method is being followed for construction of station
boxes in Chennai Metro.

8.7.4 Bored Piles

This method employs an earth auger that can bore holes through all types
of soils with or without the use of bentonite slurry. After completion of
drilling or boring hole, reinforcement cages or joists is lowered into the holes
and concrete poured through tremies. A series of piles are so constructed
adjacent to one another as to form a wall which gives support to the earth
during excavation. They also have to be laterally supported by runners and
struts as excavation proceeds downwards. This method of construction
 254
Figure 8.5 Typical Section Showing Prestressed Tiebacks for Diaphragm Wail.
 255

Figure 8.6 (a) Sequence of construction of cut and cover Box by normal
Process4.

results in a large number of joints, waterproofing of which becomes

extremely difficult, especially where the water table is high. The main
advantage of this method is that it calls for no special equipment.
256

Figure 8.6 (b) Tunnelling by Cut-and-Cover- Diaphragm wall Construction for

Kolkata Metro

8.7.5 Ground Movement Caused due to Excavation5

The primary requirement of the side supporting system, viz. H-piles with
lagging or sheet piles, diaphragm wall etc., is to prevent large movement or
collapse of the sides of the excavation. Excavation removes a mass of soil
 257

and water and produces a reduction in total stress along the sides and bottom
of the cut. This causes the soil at the sides to move inward towards the
excavation and the soil at the bottom of the cut to move upwards. The
upward movement at the bottom is accompanied by an inward movement of
the soil below the excavation level. Such movements depend on depth of
excavation and soil conditions, rigidity, method and sequence of installing
the support system and the time-period the excavation is left open. The
maximum ground settlement on the sides is also likely to be about 3% of the
excavation depth. Sufficient precautions have to be taken to minimise these
movements. There have been cases where the soil intrusion from sides,
especially in sandy strata, have caused heavy settlement on sides, resulting
in caving in and heavy settlement and breaking of utilities running parallel
and/or settlement of buildings on sides.

Figure 8.7 Cut and Cover Top down Method.

258

8.8 CONSTRUCTION JOINTS AND WATERPROOFING6

Waterproofing does not become a serious factor in over-ground (hill) tunnels
since the seepage water can be drained into side drains by providing suitable
gradient towards the adits. Some additional control measures are called for
in the case of heavy infiltration. But in underground tunnels disposal of
drained water has to be done by using heavy pumping arrangements to lift
the water to the surface for siphoning off. Since seepage water can cause high
humidity and hence discomfort to passengers, special ventilation
arrangements are necessary. It can also have a deleterious effect.

Figure 8.8 Some Typical Joints Used in Subway Construction3.

on concrete and reinforcement as well as affect track and signal components.

Hence in underground tunnels special care is taken to waterproof the
structure and to provide efficient leak stops at construction joints.
Use of dense concrete of grade M40 (concrete with 28-day cube strength
o140 MPa) in the surface and lining, adopting a minimum thickness of 60
cm for the walls, roof and floor or lining, careful laying and vibration provide
the desired waterproofing. On the roof slab, especially in station areas, some
waterproof membrane such as butyl sheet or brush-on asphalt crating is used.
This is essential as any water infiltration would damage electric fittings,
cause current leakages and also leave ugly patches on the finish.
Expansion and construction joints are provided at intervals to take care
of shrinkage stresses and thermal variation in concrete. They are generally
spaced 10 to 15 metres apart All such joints are carefully match cast or
bonded and provided with non-metallic water stops. In the Washington metro
 259

a bentonite-filled tube was embedded in the concrete on the exterior face. In

Toronto the joint space provided was 6 mm and plastic water stops inserted.
A few typical joints are shown in Figure 8.8. Such joints notwithstanding,
some seepage and leakage water will still flow in due to rain falling on open
portals, street flooding due to abnormal rain, or broken water or fire-fighting
pipes. (Street floods may go above the raised kerb provided at portals.) Such
water is drained through side drains or invert drains under the track, collected
in sumps at intervals. Submersible pumps of the order of 2000 litres /minute
discharge capacity are installed to pump this water to surface drains above
ground.

8.9 SHIELD TUNNELLING AND USE OF TUNNEL

BORING MACHINES
The construction of tunnel boxes using cut and cover method requires
opening part of the road and keeping it unavailable for road traffic. The road
traffic will have to be diverted on other parallel road or if the ROW of
existing road can allow part width to be used for construction and traffic
diverted on other portion. For this to be possible, the ROW of the road should
be at least 25 to 30 m. In very busy areas, this may not be possible due to
traffic density. In such cases, especially in soft soils tunnelling is done
adopting circular cross section and use of shield. Annexure 6.1 gives details
of TBM and its working. In case of very soft soils, stabilisation of soil is done
while progressing shield is done by use of bentonite slurry. Figure 6.9 shows
the working of the method using bentonite slurry conceptually. Para 8.12
covers a case study on Chennai Metro Rail construction.

8.10 DESIGN OF STRUCTURE

The design of a subway structure has to incorporate the following: Dead
loads comprising weight of structure, weight of backfill above, horizontal
forces due to lateral earth pressure and water below subsoil water level.
Live loads comprise of vehicles passing over tracks, subway equipment, and
other general occupancy including crowd load in times of emergency and
surcharge due to road vehicles above ground and Seismic forces in
earthquake prone areas.
The structure has to withstand uplift pressure on the bottom slab (inverts)
and the entire structure weight has to counter uplift when there is no load
260

on the track, with an adequate factor of safety. All loads may not act at one
time. Hence the design has to be checked for these combinations.
Full vertical load + full horizontal load
Full vertical load + full horizontal load on one side and half horizontal load
on the other side
Full vertical load + half horizontal load on either side
Full vertical load + full horizontal load (balanced) + horizontal seismic force.
While considering vehicle loading, impact forces are generally taken as
30% of the static load. The horizontal forces due to braking or traction are
applied in a longitudinal direction at the centre of gravity of the vehicle or
at 1.80 m above rail level. They are usually taken as 25% of static vehicle
load. Lateral forces are applied in the form of an equivalent couple acting
downward on one rail and upward on the other, assumed to be equal to 10%
of static vehicle load. Example of a typical design for one of the combination
of loads is given in Annexure 4.1.
Lining for tubular construction may be flexible or rigid. Most commonly
used ones are (flexible) segmental ones made of steel, cast iron or concrete.
(Morton)3 The flexible lining is then to serve as temporary and permanent
ground support. Design should take into consideration the following factors:
(i) It should be able to provide immediate resistance against the external
loads i.e., earth pressure.
(ii) Since it is to serve as permanent one also, it should be able to provide
resistance to long term developments in form of earth and water
pressures, 'without detrimental deformation or leakage'. Future
developments include influence of deep excavation or subsequent
tunnelling alongside it.
(iii) The lining should form a watertight structure against any subsoil
water present, which means the manufacture of segments should
permit caulking the joints to make them water tight. Segments should
form a watertight membrane. In extreme cases, it should be possible
to provide an inner liner with waterproofing membrane inserted
between, after the preliminary lining has adjusted and there is no
further movement within.
(iv) The lining section should have sufficient capacity to resist the axial
stresses induced by the propelling jacks.

8.11 SUBAQUEOUS TUNNELS6

This is a form of tunnelling done under water, not by using a tunnelling
machine but by precasting full section units in part lengths, floating, laying
 261

on the sea or river/creek bed and joining them together. This method avoids
taking the tunnel very deep and overcomes the difficulty of keeping seepage
water out while tunnelling. This form of construction is, used when the road
or rail has to cross deep channels or creeks, rivers in estuaries and sea-bed
across bays and connecting closely spaced islands. For example, this form
is used for extending railway tracks across a number of islands in Japan. It
has also been used extensively in the BART metro in San Francisco and in
Detroit. It has proven to be a better alternative to high-level bridges across
bays where a wide clear waterway is required for flexible ship routing. The
first such construction was adopted in 1909 for the Michigan Central
Railroad in Detroit. Since then almost 100 such tunnels have been built (Vos,
1992) ‘Also known as 'immersed tunnels' or 'submerged tunnels', they are
very flexible in cross-section. They only require a simple dry lock for casting
units, towing equipment and a dredged trench for laying the unit along the
alignment. Units are floated and laid on a properly prepared foundation in
the trench. In the bed of very deep channels they can be laid on a levelled
and prepared base on the bed and after proper connection to one another and
covered with sand. A typical method used for construction of an immersed
tunnel for a road is shown in Figure 8.9. Wherever the soil is too soft and
silty and no firm base is available, two rows of closely spaced piles are
driven along the alignment and the tunnel units laid on them. This scheme
was adopted for the Rotterdam metro line. Another recently developed
method of founding the submerged tunnel is to lay the structure over a
temporary foundation made up of concrete tiles spaced at intervals over the
prepared bed. After the units are geometrically positioned to fine tolerances
and jointing, the space below tunnel 'bottom and above bed (in between tiles)
is filled tight by jetting a mix of sand and water from the sides.
In the floatation method the tunnel sections are made up in dry docks
or on shore. If of RCC, the ends are closed so that the unit can float. It is
taken to the site where the foundation bed would have already been prepared.
Once the unit is aligned over the position where it is to be laid, water is let
into the interior and the unit slowly lowered. It is properly matched with the
end of the previous unit, alignment checked and corrected to close tolerances.
The joints are then caulked or provided with leak stoppers and finished.
Alternatively (American method), the tunnel walls, base and roof are made
up of a cellular (two-walled) section with ends closed. The skin plate joints
are properly welded or riveted. The assembly is then floated to the site,
ballasted with water or concrete filled to the extent required inside the shell
and lowered into position. After it is correctly positioned and joined to the
 262
Figure 8.9 Schematic Diagram of Subaqueous Tunnel Construction.
 263

already laid length, the remaining concrete is poured inside the shell and the
structure completed.
Waterproofing submerged tunnels is a very important and the most
difficult aspect of this type of construction. The steel lining used in the
American method provides the best waterproofing protection. In other types
of tunnels, an additional waterproofing layer in the form of coatings on the
outside or additional lining inside is provided. But such procedures have been
superseded, especially after technology has been improved for providing
denser and better controlled concrete for structures. Only joints provided for
construction, expansion and rotation are now attended to. The fresh stripped
surfaces at the ends are fitted so as to give a satisfactory construction joint.
The joints between independently immersed units are provided with good
leak proof double water stops. In joints providing for expansion or rotation,
special measures are taken while pouring concrete to avoid honeycombing
or air entrainment in the vicinity of water stops at the joints. In addition, the
possible leaks in-between concrete and water stops are injected with leak
proof compounds or resins.

8.12 CASE STUDY- Practical Problems in Bored

Subways through Soft Soil7

8.12.1 Choice of Methodology

Amongst the early Metros, London, started providing some sub-surface lines
using 'cut and cover' methodology on wide roads and small circular
underground sections (called tubes) using shield tunnelling technologies 3.5
m dia) at deeper levels. New York and Chicago metros started using elevated
steel structures provided at edges or median of roads to start with. But with
growing road traffic and then prevalent lower labour costs, they replaced many
elevated sections on busy areas by providing shallow box like structures using
'cut and cover' methodology. The mole like circular tunnels were provided as
'deep tubes' also in Moscow, Paris etc They generally met with cohesive /
clayey soils which could stand on their own longer for providing the linings.
With the advent of TBMs (Tunnel Boring Machines) and use of cast iron or
precast concrete segmental linings, engineers have found boring circular
tunnels through sandy/ non-cohesive soils also possible. But use of 'cut and
cover' technology for building more economical box type shallower tunnels
have become more and more difficult with increased road traffic which cannot
be easily diverted. Hence, starting with the BART (Bay Area Transit) in San
264

Francisco in early 1970s, they found use of a mix of 'elevated / aerial tracks'
over wide roads, carried by a single row of slender columns provided over
medians preferable. In busy areas, deeper 'twin circular tunnels' generally
aligned under sidewalks or edges of roads using TBM are adopted. Stations
in such cases are being built using 'cut and cover' methodology, using stage
construction as schematically shown in Figure 8.7. With the dense growth of
cities, especially in older parts of the city, it is difficult to find road alignment
to follow using either methodology. Some lengths of tunnels have to be taken
across built up areas under the existing buildings. In such cases, the depth of
location of tunnels have to be increased and alignment deviated to avoid
important and heritage structures. In many cities, especially coastal ones, one
more difficulty met with is that the soil at that level would consist of fine sand
and silt with high sub-soil water level. While going through such soils, care
has to be taken to strengthen/ solidify such soils in the zone of influence of
tunnel opening by chemical grouting/ freezing etc. ahead of the TBM.
Precautions have to be taken to ensure that such grout does not either disturb
the stability around nor does it escape through any pre existing holes like bore
holes, wells etc.. Thus providing metro lines in such cities has to be well
planned, carefully implemented and monitored. The case study given in the
following paras gives salient features of such planning, problems met with
during implementation; how they were tackled with and how work was guided
and monitored using instrumentation in Chennai. The various issues discussed
above are applicable to metro rail lines in cities in developing countries and
coastal cities elsewhere. The project consists of two lines, totaling about 47
km, about half of each being underground construction using twin circular
tunnels. One of them is a North-South alignment closer to coast line and the
other East-West. Major problems arose specially in the old city portion of the
North-South line, which lies closer to coast line.
Sharpest curve on line is with 150 m radius and in depots 100m. Steepest
gradient adopted is 4%. Underground stations are provided a gentle grade up
for retardation and down grade at exit for acceleration. The station roof slab
in UG stations is kept 2.5 to 4 m below road / ground level to accommodate
utilities like water, sewage pipes etc.. Minimum depth to top of tunnel tube
is 9m and maximum 30.5 where it crosses River Cooum. Chennai Central
underground station is at two levels, one below the other for the two lines.
All the underground stations are being done using cut and cover
methodology and sections in between are being bored through using TBMs,
which have been imported from China or Germany, depending the contract
agency doing the work. Though in the preliminary study stage, much longer
lengths in both the cases were proposed for viaduct construction, considering
 265

that the ROW of the existing roads on the alignment at a number of locations
was hardly 20m and so would become bottlenecks for road traffic if viaduct
structures were used on them, the costlier underground option was chosen.
The soil in the underground construction lengths is quite varied,
consisting of Achaean rocks underlying younger alluvium of varying depths.
Detailed geotechnical investigations were conducted at the investigation
stage to decide on lengths suitable for TBM work as well as to design the
TBM requirements. Investigations included Survey of utilities coming in the
way; enumeration of bore holes/ wells etc., within the zone of influence of
the tunnel and structural condition of buildings likely to be affected. Before
starting tunneling work, utilities coming in the way were diverted and all
bores/ wells within the area of influence plugged. These and continued soil
investigations in the underground lengths helped in arranging for choice of
grouting type and pressure, and stabilisation of soil ahead of the TBM cutter
head. Earth Pressure Balance type of TBMs are used. Parameters for TBM
such as face and grout pressure and volume of grout was continuously
monitored.

8.12.2 Profile
Two circular tunnels, each of 5.8 m internal diameter, one for the Up and
the other for the Down line are provided at 14.05 m (centre to centre) apart
and are given sufficient cover, locating them 9m clear below the road
surface. They, thus, run almost below the edge/ walkway of the road above.
The tunnel section provides for space to provide a 600 mm wide walkway
on one (inner) side for use of passengers in case of emergencies or
breakdowns. Cross passages are provided between the two tunnels at 250 m
intervals for passengers to access the other tunnel. These can work as refuges
also for maintenance staff. Each TBM starts from one station and bores
through upto next station. Typical layout and section of the tunnels is given
in Figure 8.10(a). Figure 8.10(b) show details of one tube.

8.12.3 Major Problems

The TBM used is one suitable for working in densely populated urban
environment. In some lengths, (Figure 8.11) the tunnel cuts across built up
areas (two to three storeyed buildings having shallow foundations) and work
had to be planned so that minimum risk/ settlement/ damage to buildings
above is caused. In such areas the tunnel is taken 12 to 16 m below ground,
giving additional cushion. The EPBM is capable of tackling mixed face of
266

Source: CMRL
Figure 8.10(a) Typical Section of layout of Circular Tunnels in Chennai
Metro Adapted from CMRLDrg

Figure 8.10(b) Clearance Diagram and details of one Tunnel7

 267

soil, sand of different consistencies, clay etc.. Buildings in the area of

influence have been surveyed in advance and where required monitoring
devices fixed. A field team visits them twice a day during TBM operations
for monitoring them and takes precautionary and remedial measures. In case
of heritage buildings additional care is taken and in one case, a church
coming too close to the original alignment was avoided by deviating the
alignment as shown in Figure 8.12. In spite of such caution, there were two
other cases of old buildings, in which some cracks appeared. They were
attended to with technical advice from structural experts from IITM.

Courtesy: CMRL
Figure 8.11 Typical Alignment through Older area in Chennai

The tunnel lining is made up of precast concrete rings comprising 6

segments. Rings are 1.2 to 1.5 m long. There is a wedge ring, provided in
a staggered manner as shown in Figure 8.13. Lining segments are 275 mm
thick, reinforced suitably and interconnected with bolts at joints.

8.12.4 Station Tunnel

The tunnel tubes are so spaced that at stations, an island platform can be
fitted in between. A typical section at a station is shown in Figure 8.14. It
is implemented by using Top- down Cut and Cover method as illustrated in
Figure 8.7.
268

Source: CMRL
Figure 8.12 Deviation of Alignment at a Heritage Building Location

Courtesy: CMRL

Figure 8.13 Arrangement of Precast Segments of a Lining Ring

8.12.5 Instrumentation
Instrumentation is being done extensively for monitoring during construction
and for later observations where required. Details of instrumentation done
normally on sub-way tunnels are discussed in detail in Para 11.5.Figure 8.15
shows views of different instruments used by CMRL.
 269

Courtesy: CMRL
Figure 8.14 Typical section of an Underground Station.

All figures in Case Study; Courtesy CMRL

Figure 8.15 Instruments used for monitoring different aspects on CMRL.
270

8.13 REFERENCES

1. Parker, A.D., "Planning and Estimating Underground construction', McGraw

Hill Publications, New York.
2. Pequinot, C.A., (1963) "Tunnels and Tunnelling'- Hutchinson, Scientific and
Technical, London
3. Morton, D.J., 1982, 'Subway Tunnels', In: 'Tunnel Engineering Handbook',
Bickel, John 0. and T.R. Kuesel, (Eds.), Van Nostrand Reinhold Company"
New York, pp. 417-444.
4. Rudrakshi, M., (1985), 'Construction Method- Cut and Cover '- Paper 26,
Proceedings of International seminar on Metro railway- Problems and
Prospects, Metro Railway, Kolkata
5. Phadke, G.N., (1985) 'Constraints and Problems in Construction of Metro
Railway, Calcutta with special Emphasis on Civil Engineering Works'- Paper
1, Proceedings of International seminar on Metro railway- Problems and
Prospects, Metro Railway, Kolkata
6. Vos, Charles (1993) 'Submerged Tunnels Examples of Maxima Structures',
Seminar Papers of International Association of Bridge and Structural
Engineers Conference, New Delhi.
7. Ramanathan, R, (2014) 'Chennai Metrorail Project- An Overview', Tech
Times, April, 2014, Chennai, pp 44-48
 C H A P T E R

9
Lining
9.1 GENERAL REQUIREMENTS

9.1.1 Purpose and Types of Lining

Lining is provided inside the tunnel section with masonry or concrete and
/or by shotcreting to provide support to the cavity against thrust from
surrounding ground. The internal dimensions and shapes of tunnel after
lining should be in conformity with the minimum section required for the
tunnel. Conveyance tunnels, such as water and sewage tunnels, have to be
necessarily lined in order to give a smooth surface for the flow of water, to
prevent any leakage/seepage and also to serve any structural purpose that
may be needed for withstanding inside/outside pressures. Traffic tunnel
bored through hard rock which can stand on its own need not be lined unless
it is intended to have a pleasing and smooth surface inside for the purpose
of aesthetics and cleanliness.
According US Tunnel Inspection Manual1, they can be broadly grouped
under 7 types1, viz., Unlined rock; Rock reinforcement system; Shotcrete;
Ribbed system; Segmental linings; Placed concrete; and Slurry walls.
(i) Unlined rock: In hard rock, the exposed rock surface is left with no
further treatment since structurally it is self sustaining. This was the
earlier practice mostly on Railway tunnels.
(ii) Rock reinforcement system: is same as the unlined rock, but some
additional strengthening of rock is done in case some structural
272

defects exist in same and there may be some rock weak/ loose pieces.
They may be strengthened to act in an integrated manner by fixing
some rock anchors or bolts and/ or shotcrete with mesh and steel
dowels or thin layer of concrete.
(iii) Shotcrete: In case exposed surface has low stand up time, as a first
step shotcrete is provided with steel mesh reinforcement.
Alternatively fibre reinforced concrete may be used. It is done in
layers for required thickness. It is used as a primary lining.
(iv) Ribbed system: This is adopted in Drill and Blast system. As
excavation proceeds, ribs with or without laggings behind are
provided. Laggings may be of timber, steel sheets/ plates of precast
concrete slabs. The space behind the lagging upto exposed rock/
ground surface is packed with broken debris/ stones. Later reinforced
or fibre concrete is poured between ribs or in a layer embedding them
as permanent lining.
(v) Segmental lining: is used in conjunction with tunnelling with shield
or tunnel boring machine for soft ground. This is done within the
TBM/ shield under its protection. Segments are bolted together
transversely and longitudinally. They can be of steel; cast iron or
precast (match-cast) concrete blocks.
(vi) Placed concrete: These are final linings provided after cavity takes
final position and properly designed taking into account measured
movements/ strains/ forces. They are reinforced. A water-proof
membrane shall be inserted between this and primary lining
mentioned above.
(vii) Slurry walls: are used in case of cut and cover construction. It
consists of excavating a narrow trench using bentonite slurry at the
edges of the profile. It is done in short panels. After trench is made,
prefabricated rebar cage is lowered and trench filled with tremie
concrete. These walls may themselves form side wall of tunnel or
provide protection for the tunnel box to be cast within.
Lining of tunnels on Indian Railways used to be mainly decided from
the point of view of utility. Many tunnels bored through hard rock have been
left unlined except at the trench portion where a proper drain profile is
provided. For example tunnels through hard basalt in Bore Ghats have such
exposed rough interior. But wherever the rock is not of sufficient strength/
hardness, in soft rock and also in soft soil, lining is provided based on
structural strength considerations.
 273

9.1.2 General Requirements of Lining

Though the lining should be designed to withstand pressures that will be
exerted by the rock after tunnelling, the practice thus far in India had been
guided by past experience. One rule of thumb for the thickness of lining in
rock was 1 mm / 1.2 mm (1 inch per foot) of diameter of the circle of the
tunnel and twice as much in soft rocks. In earlier days lining was done with
stone or brick masonry, according to local availability of the material. In such
cases the lining was built (particularly in the roof portion) for a minimum
thickness and the space in-between the lining and the exposed rock surface
was packed with loose rubble. In the case of rocky strata the surface may
be gunited with cement mortar also. Shotcreting has become the norm
presently in such cases also. It can be done with fibre concrete for providing
better support in case of NATM.
Wherever possible, suitable weep holes should be left for seepage water
to flow into drains, instead of blocking it completely and inducing
hydrostatic pressure unless the lining is designed to withstand the same, as
in subaqueous tunnels.
The lining should be so designed as to prevent collapse of the strata
above and around the tunnel. Reinforced concrete has to be used in soft
strata. If a box section is used reinforced concrete is a must. The practice has
been to use concrete lining by pumping concrete in place between
telescoping shutters which can be moved forward. Alter-natively, precast
concrete or cast-iron segmental lining is used. These are most suited for
circular sections and/or soft strata.
Present practice is to go in for two stages of lining. Primary lining, soon
after excavation is done, is provided to help the exposed face to resist and
reduce convergence of the surface and conserve the integrity of the structure.
As mentioned above this will be in from of shotcreting etc., which may be
about 10 to 20 cm thick of fibre concrete or with mesh reinforcement to
strengthen same. Suitable instrumentation is done to observe the movements
and forces developed around, which aids in proper design of the permanent
(secondary) lining. This lining will be of preferably reinforced concrete or
fibre concrete. In hard rock, the steel rib supports embedded in concrete
should serve the purpose of reinforcement.

9.1.3 Linings to suit Different Rock/ Soils

Latest trend is to provide lining on a more scientific basis, taking into
consideration the characteristics of rock/ soil it passes through and subsoil
condition. In the large scale tunnelling works being done by the Indian
274

Railways in the Himalayan Region, they are adopting three alternative

designs to suit Good Rock, Fair rock and Very poor rock/ soils. Primary
lining is made of Shotcrete of different thicknesses with rock bolts and with
or without steel ribs, designed to suit the Rock Mass Rating of soil. This will
be flexible to extent required. The Secondary lining is of concrete of different
mixes and thickness to suit. Reinforcement must be provided for poor rocks
and lower quality soils. The different types are shown in Figure 9.1.
In areas subjected to seepage and presence of subsoil water, a waterproof
membrane of suitable thickness should be provided between the Primary and
Secondary linings.

9.2 TIMING PLACEMENT OF LINING

The correct time for providing lining is governed by the nature and condition
of the soil bored through. Whenever, due to tectonic forces, rock is likely to
dilate or the soil is likely to heave, it is advisable to allow sufficient time
for such dilations to reduce to reasonable limits, in order to ensure that
concrete lining will not fail by cracking due to heavy and unequal external
forces. In some cases (especially in horseshoe-type sections) the practice is
to provide the lining, leaving some space for the rock to breathe and filling
that space with loose packing of rock spoil. If this is not done, the breathing
forces will induce undue pressure on the lining and cause cracks in the same.
In cases where the rock may not dilate much but may deteriorate in
structure causing spalling, a thin layer of concrete lining provided in-between
the steel ribs which may have been used for supporting the full surface of
the rock and for transferring the forces to steel supports would be necessary
as primary lining. The supports can later be embedded in lining also as a
permanent measure. From the point of view of safety, lining should be done
wherever essential, as soon as possible after excavation. On the other hand,
for rock of better type earlier practice was to leave it exposed and in some
cases lining was proposed from aesthetic considerations, the same being done
at any time convenient in the construction programme. With electric traction,
lining was not considered an essential requirement from operation and
maintenance points of view. However, with diesel traction, the exposed
surfaces get covered with soot, making the tunnel unhygienic and darker for
maintenance men to work. Modern thinking is to line all tunnels and even
periodically clean and white wash and make tunnels brighter for maintenance
staff.
Source SVJNL/ KRCL
Figure 9.1 Types of Lining to suit Different qualities of Rocks/ Soils.

275
276

9.3 SEQUENCE OF LINING OPERATION2

The alternative sequences of operations generally adopted for in-situ lining
are:
(i) Placing concrete to form the kerbs first, followed by side walls and
arch and finally the invert
(ii) Placing concrete to form the invert first, followed by sides and arch;
or
(iii) Placing concrete for the invert, side walls and arch all at one time.
Sequence (i) is suited for horseshoe, W-shaped and other flat-bottomed
and wide tunnels. The kerb shall be built up to a section of sufficient width
to serve as a base for the erection of forms for the sides. The latter shall be
properly anchored and stabilised to withstand the loads of concrete lining and
formwork that will come from above. Once the sides are cast and have
attained sufficient strength, the arch portion can be cast. The arch portion
concrete lining will generally have to be filled with concrete from the
exposed face only and properly packed. Subsequently, the invert will be cast
and the track or road surfacing to be provided laid over the same.
Sequence (ii) is suitable when the bottom of the tunnel is narrow or when
the section is circular. In this, invert concreting is done first so that a regular
base for erection of the formwork for the sides and arches is obtained before
further work is taken up. This work involves removal of track and other
service lines laid for the purpose of movement of form as well as lining
material. In tunnels through weak strata where the tunnel floor tends to wear
out fast or likely to heave, this sequence is required to be adopted. Where
large horizontal thrusts are encountered, invert concrete should be placed in
advance of lining the sides so that it will serve as strutting between the sides
also.
Sequence (iii) is adopted for smaller circular and oval conveyance
tunnels and is not relevant for large traffic tunnels, except in the case of
underground railways, sub-aqueous tunnels and tunnels through soft strata
where boring is done with shield tunnelling machines. Here the lining closely
follows the boring, either with use of precast segments or a telescopic
formwork.

9.4 FORMWORK2
9.4.1 Types of Formwork
It is preferable to use collapsible steel forms made up in standard size/unit
lengths in the interest of speed and economy. These forms can be used for
 277

multiple operations and easily removed and added on for proceeding ahead.
The types of formwork generally used are rib and plate, rib and laggings and
travelling shutters, with or without telescopic arrangements. In transitions,
junctions and sharp bends, timber formwork is necessarily used due to the
need for flexibility and change of sections. The ribs in the first two types of
formwork mentioned are made up either of channels or T-sections placed at
intervals of about I m. This spacing may be varied according to the thickness
of the concrete lining. The ribs will be spanned by steel plates suitably
stiffened or timber lagging firmly fixed from the bottom upwards as the
concrete rises. In a tunnel in which the solid rock is to be lined and concrete
placed mechanically, forms can be removed even 16 to 20 hours after placing
the last batch of concrete. The usual precautions of oiling and greasing the
formwork must be taken before final assembly and concreting, to facilitate
easy removal. A travelling type of formwork is generally used in the full-
bore method of tunnelling or when the invert is done first and the sides and
arch are done together, as in the horseshoe-type tunnel. Such forms are
otherwise known as travelling jumbos. Such jumbos are used for lining
tunnels even during service by blocking traffic for short intervals of time.
There are two types of tunnelling formworks: non-telescopic and telescopic.

9.4.2 Non-telescopic Formwork

The entire formwork is preassembled and mounted on a travelling frame
(jumbo) fixed with wheels running on a track and screw jacks for collapsing
the formwork when required. The sections are hinged to permit collapsing
and the jacks are required for bracing and aligning. The forms are 2 to 4 m
long and can be struck and reassembled quickly depending on the
requirement of construction, matching concreting equipment.
Figure 9.2 shows the typical formwork used in the Indian Railways for
concreting the arch and roof (Padmanabhan, 1965)4. The travelling steel
shutter running on narrow gauge rails is provided with turn buckles and jacks
to adjust and ease the shuttering. This provides concrete free from blemish
on the surface and ensures high standards.

9.4.3 Telescopic Formwork

This type of formwork is so designed that the back unit can be collapsed and
moved forward through the front unit without disturbing it. The side plates
are so hinged to the arch plate that they can be collapsed. The formwork
should be self-supporting while travelling in a collapsed condition also.
Another formwork (slip formwork) or monolithic formwork is used for
278

circular or near-circular section tunnels and lining of the full section is done
in one operation.

Figure 9.2 Travelling Steel Shutter for Arch Concrete4.

All formworks should have inspection windows about 0.5m x 0.5m in

size and not more than 3 m apart. Horizontal and vertical spacings of such
windows depend on the thickness of lining, method of placement of concrete
and workability. These windows are used to place and vibrate the concrete
and have to be so located that dense, compact concrete is ensured. The
shutters to these should be strong and be capable of being easily fitted and
removed. The joints should be leakproof to prevent cement slurry flowing
out, causing honeycombing or leaving projections in the finished concrete
surface.
 279

At either end of the formwork, except when non-stop concreting is

adopted, bulkhead shuttering has to be used; timber is generally more
convenient for this purpose. Neat construction joints are also mandatory.

9.5 CONCRETING2,5
The mix of concrete for lining depends on the location and design
requirements. Generally a concrete mix of grade more than M 20 or more
is used for the invert and sides and M20 for roof. Of late RCC Box and
circular linings are designed with M40 mix. Use of M30 concrete with fibre
reinforcement is also the present trend. The slump of concrete should not be
less than 100 mm so that the concrete can flow easily or be pumped in,
avoids segregation and also properly fills the space. However, wherever
concrete is placed directly, as in inverts and kerbs, the slump may be reduced
to 50 mm. The maximum size of aggregate shall not exceed 40 mm. The
minimum cement content in the concrete may vary from 350 to 450 kg/m3
when natural aggregates are used and there is no hindrance of supports or
reinforcements. As far as possible, concrete should be placed through a
pneumatic placer. For tunnels of short length and jobs requiring
comparatively large volumes of concrete, the latter should be mixed in a
'batching plant located at a suitable site outside the tunnel and the mixed
concrete conveyed as quickly as possible to the site of placement by means
of a short belt conveyor and poured into the hopper of the concrete pumps
or placer situated close to the working site. In the case of tunnels of longer
length, it is advantageous to batch and mix the aggregate in dry condition
outside the tunnel and then convey it inside to locations of placement by
tipping type wagons or dumpers. The dry mixed aggregates are then remixed
at the site adding the required quantity of cement and water (and any
plastciiser) to obtain the specified slump and water cement ratio. The mixer
at the site of placement has to be so located that the dry mixed aggregates
can be readily dumped into the upper part, and the mixed concrete can then
flow into the hopper of the placer or pump. Suitable retarders may be used
where ready-mixed concrete is transported in transit cars.
Following structural design specifications have been suggested for the
second (permanent) lining by ITA5:
(i) Thickness cast-in- place lining can have a lower limit of 25-30, to
avoid difficulties of placing, compaction and possible honey-
combing-
-20 cm if it is unreinforced
-25 cm if reinforced
 280
Figure 9.3 Layout of Lining Equipment for Arch Concreting3.
Figure 9.4 Concrete in-situ Lining with Telescoping Formwork3.

281
282

- 30 cm for watertight concrete

(ii) Reinforcement is desirable for crack control, even if not required
from stress point of view. From point of view of placement such
reinforcement may have following quantum of closely steel mesh in
both directions.
-at least 1.5 cm3 / m of steel on outer surface
- at least 3.0 cm3 / m of steel on inner surface
(iii) Minimum cover recommended for reinforcement are:
30 mm at the outer surface if a waterproof membrane is provided
50mm-60 mm -at the outer surface if it is directly in contact with
ground and ground water
40 mm- 50 mm - at the inner surface
50 m - for tunnel inverts, where water is aggressive.
For segmental lining specifications (i) to (iii) are not applicable, if
it is the outer primary lining. Special attention should be paid to
avoiding damage during transport and damage and design detailing
should take care of this
(iv) Sealing against water (waterproofing sheets) may be necessary in
following cases.
-when there is threat from aggressive water to damage steel/ concrete
- when sub-soil water is more than 15 m above crown
- when there is possibility of freezing of ingressing water along
tunnel section close to portals
- for protecting inner installations of tunnel
For achieving water tightness of concrete, special specifications for the
mixture; avoiding shrinkage stresses and temperature gradients during setting
and quality control are more important than crack control.
They have also suggested that long term durability of shotcrete concrete
used in Primary lining should be preserved if it is to be considered to provide
stability to tunnel. This requires absence of aggressive water, limitation of
concrete additives (liquid accelerators) and avoiding 'shotcrete shadows'
behind steel arches and reinforcements.
A typical layout of compressor, placer, pipes etc. for laying arch concrete
is shown in Figure 9.3. Concreting the arch and sides together is shown in
Figure 9.4. Concreting should preferably be done using a tremie for sides and
invert. Precautions normally adopted in tremie concreting should be followed
in the case of concrete being placed by pumping through pipes. The open end
of the conveyor delivery pipe must be buried at least a few cm inside the
freshly placed concrete to avoid segregation. Care should be taken while
placing through side doors in forms so that no hollow pockets remain. In the
 283

case of monolithic forms, as the concrete will fill the invert first, there may
be a tendency for the form to float and hence the formwork should be rigidly
strutted down from the sides and the roof of the tunnel as well.
During concreting with the pump or placer, if placement is interrupted
for a period of more than one hour, a batch of mortar sufficient to cover the
area by a 15 mm layer should be pumped to cover the cold joint before the
next batch of concrete is pumped in.

9.6 COMPACTION
As far as possible flexible shaft immersion-type vibrators with a vibrating
needle of 50 mm dia and 3000 vibrations/minute frequency should be used
for vibration of the concrete. In addition, the concrete should be vibrated by
external form vibrators of minimum 0.5 KVA capacities. The spacing of
form vibrators depends on the size of vibrators, make of formwork, thickness
of concrete etc. Any hollow space should be grouted under pressure not
exceeding 5 kg/sq. cm. through holes drilled at intervals. Where grout intake
indicates a gap of more than 10 mm, very fine sand or rock dust should be
added to the grout to fill the gap. In certain locations the addition of bentonite
may also be helpful to hold cement in suspension.

9.7 CURING
Curing of concrete should be done by spraying water at short intervals to
maintain a wet surface. The minimum period will be the same as for the
curing of concrete in other locations.

9.8 SEGMENTAL LINING6

A faster method of lining circular tunnels is to use segmental lining. They
can be of Cast Iron or of Precast RCC segments. They are quicker to install
and it is easier to ensure quality in them. The major advantages of use of
segmental lining are:
• They provide a flexible lining, which adjusts with the movement of
soil around and distributes forces better. They can take the loads soon
after erection, without need for waiting for concrete to age and gain
strength.
• Being produced in factory conditions, there is better quality
assurance.
284

• The dimensions are uniform and surface finish better.

• Installation time is reduced and the opening can be supported sooner
after excavation is complete.
• No in-situ curing is called for.
Main disadvantages are:
• It calls for establishment of a separate casting yard and good transport
arrangements for transport to site. The segments have to be match-
cast and properly marked for matching during erection.
• For small jobs and isolated tunnels, they will be less economical
• They need special equipment, highly skilled staff for erection at site,
and in casting yard.
• After erection, the gap left behind them has to be grouted to ensure
proper contact with the excavated surface.
They are flexible, with hinged joints and hence can deform to suit the
ground movements and help convert the forces into thrust mainly.
For sub-way bored tunnels, segmental linings are used invariably. They
are preferable for circular tunnels driven using shields.
Typical details of the segmental lining and details of a circumferential
joint of RCC segments used at Hanover tunnel are shown in Figure 9.4(a)
and (b).

Source: ICJ, February, 1994

Figure 9.4(a) Details of Tunnel Ring used on Hanovar Tunnel.
Source: ICJ, February 1994

285
Figure 9.4(b) Details of a Segment and a Circumferential joint6.
286

9.9 REFERENCES

1. FHWA, 'Highway and Rail Transit Tunnel Inspection Manual'- Chapter 2

'Tunnel Construction and Systems', FHWA, Department of Transport,
Washington.
2. IS 5878: Part V , (1971). 'Construction of Tunnels Part V - 'Concrete Lining'-
Bureau of Indian Standards, New Delhi.
3. Parker, A.D., 'Planning and Estimating Underground construction', McGraw
Hill Publications, New York.
4. Padmanabhan, V.C.A., (1965), 'Notes on D.B.K. Railway Project',
Unpublished Indian Railways Report, 143 P.
5. Heinz Duddock, (1988) 'Guidelines for Design of Tunnels' Feature Report of
ITA Working Group on General Approaches to Design of Tunnels,
Tunnelling and Underground Space Technology, Vol3, No 3, PP 237- 249
6. Raju, C., Narayanan, G., and Kurien, A.P., 'Soft soil tunnelling using shield
for Honnavar tunnels'. Indian Concrete Journal, February 1994, Associated
Cement Companies, Mumbai
 C H A P T E R

10
Ventilation, Lighting
and Drainage
10.1 VENTILATION
Explosive charges and plying of vehicles or locomotive for moving drilling
equipment or for mucking leave fumes and unhealthy gases inside the tunnel.
An efficient ventilation system to drive away these fumes and gases from the
tunnel should be provided for all tunnels during construction1. The effect on
humans of the carbon monoxide emitted by petrol-ignited engines and, to a
small extent, by diesel engines is given in Table 10.1.
The acceptable limit for CO is 0.04% according to US practice. The
ventilation arrangement should be such that a minimum fresh air of 2.8 M3
per minute per person and 2.1 m3/min for each BHP of diesel equipment
working in the tunnel is provided for. Such ventilation can be done by means
of ducts through which either fresh air is blown towards the face of the shaft
or the stale air exhausted from it, leaving the fresh air to flow through the
other face or faces along the length of the tunnel. Whichever system is
adopted, it must fulfill two major requirements during construction:
(i) Fumes from blasting must be cleared quickly from the working face
so that work can be resumed after blasting without delay.
(ii) Accumulation of dangerous concentrations of fumes anywhere along
the length of the tunnel is prevented.
288

During construction, fans delivering 600 to 850 m3 of free air/min to

blow over the face after blasts help to reduce the delay due to waiting for
fumes to clear. For small works it is difficult to provide for such powerful
equipment and generally more time is spent waiting for the gases to escape
by using smaller boosting fans. Such action would result in carrying out only
one blasting cycle per day.

Table 10.1 Effect of Carbon Monoxide

CO Exposure time Effect

% (min)
0.01 Several exposures Ultimate poisoning of the system
0.04 240 Headache and discomfort
0.12 60 Palpitation
0.20 30 Unconsciousness
>0.50 up to 30 Death

In addition, in certain types of ground like shale and in some cases of

rocks (with presence of coal seams) some harmful gases may escape from
cavities, like methane which is a very dangerous gas, since it is easily
combustible and harmful to breathe also. The ventilation of traffic tunnels
has to keep the tunnel free from such obnoxious and harmful gases and
smoke and gas arising out of blasting to such an extent as to keep their levels
inside the tunnel at any time within safe limits.
Methane2 is a colourless, odourless gas lighter in density than air
(Specific Gravity being 0.553) and tends to remain in cavities of roof. IS
4756:1978 lays down guidelines in dealing with this gas. In such cases, the
executive has to take action in consultation with the Director General of
Mines Safety. Methane is highly explosive in the concentration of 9% with
4.5% and 9% being Lower and Higher explosive limits. Some immediate
precautionary steps have to be taken on its detection. When its concentration
exceeds 1.25% at any location, it is advisable that supply of electricity is cut
off, diesel engines to be stopped and battery terminals disconnected. No form
of spark (from welding, cutting etc..) or naked fire will be permitted nearby.
The gas should be cleared by blowing fresh air and preventing any
recirculation of exhausted gas. Tunnel instruments to detect presence of gas
and its laboratory analysis should be available in suspicious locations.
Methanometers are available now in market for detecting presence of
Methane and hand held Multi- gas Detectors for detecting presence of
Methane, carbon monoxide, Carbon di-oxide and Oxygen. Hanging of two
Flame Safety lamps near the face of excavation can also help in detection
of CH4 , since its yellow flame would turn bluish in presence of methane.
 289

If concentration increases, the flame size also will increase. It is desirable to

have services of an experienced mining engineer while tunnelling in such
locations. Whenever there is any coal present, presence of CH4 is a
possibility.
Actions to be taken in case of presence of methane are:
> 5% of LEL- increase ventilation
> 10% of LEL - suspend hot work such as welding, gas cutting etc.,
> 20% of LEL - Stop all works, cut power supply, withdraw all men and
wait till concentration by ventilation falls below this limit.
(LEL- Lower Explosive limit)
Vent of ventilation system in case of presence of methane should not be
more than 5 m from face of excavation, installed near crown. Exhaust type
ventilation system for tunnel, capable of sucking the gas and pushing into the
exhaust system may also be fixed at about 20 to 25 m from face of
excavation. Smoking or use of mobile phones should be prohibited.
After construction and commissioning of tunnel, during service with
traffic the carbon monoxide content in the tunnel should be within 100 to 250
ppm range. To achieve this in highway tunnels the ventilation system should
generally be capable of producing a minimum fresh air supply of 0.85 m3/
tlm (tlm = tunnel lane metre).
In the case of long and curved tunnels special blowers are required
during service for quick clearing of the fumes emitted by the vehicles and
motive power. This is particularly important in highway tunnels and also in
railway tunnels when steam or diesel traction is used. Ventilation is achieved
artificially by blowing air through ducts from one end of the main body of
the tunnel and exhausting it by suction through exhaust fans at the other end
in short tunnels. In long tunnels ventilation shafts are provided to act as
natural vents or for assisting in driving the foul air through.

10.2 VEHICLE EMISSIONS

10.2.1 Exhaust Emissions

The exhaust emissions from spark-ignited and compression-ignited vehicles
differ. The major constituents of the exhaust from these two types of vehicles
and their relative percentage by volume are listed in Table 10.2. During
service more care is called for as the public are exposed to the effects of these
gases. Their effects are therefore discussed in more details here.
290

10.2.2 Carbon Monoxide

Carbon monoxide (CO) is an odourless toxic gas. It has a very high affinity
to blood haemoglobin (300 times that of oxygen) to form
carboxyhaemoglobin (COHb). This adversely affects the capacity of the
blood to transport oxygen to body tissues;

Table 10.2 Typical Composition of Emission from Road Vehicles1

Spark-ignited Compression-ignited
Exhaust gas component engine engine
(%) (%)
Carbon monoxide 3.000 0.100
Carbon dioxide 13.200 0.000
Oxides of nitrogen 0.060 0.040
Sulphur dioxide 0.006 0.020
Aldehyde 0.004 0.002
Formaldehyde 0.001 0.001
Source; Bickel and Kuesel, 1982

instead the carboxyhaemoglobin is absorbed by the tissues, which at 63%

concentration can be fatal. Even at 10% the first toxic effects become
evident. The process is reversible.

10.2.3 Carbon Dioxide

This too is toxic but only at levels which are well above those found normally
in vehicular tunnels, as can be seen from Table 10.3 which shows the dilution
effects.1,4

10.2.4 Oxides of Nitrogen

Of the several oxides of nitrogen, only two, being toxic, are of concern here,
namely nitric oxide (NO) and nitrogen dioxide (NO2). Their effects are
similar except that NO2 is five times more toxic than NO. Nitric oxide is a
colour-less, odourless gas formed during high temperature combustion, its
quantity increasing with flame temperature.
It is soluble in water and has great affinity to blood haemoglobin, which
produces shortage of blood oxygen, as does carbon monoxide, but with less
severe effect.
Nitrogen dioxide is a pungent reddish-orange-brown gas which is almost
insoluble. Since 95% of inhaled NO2 remains in the body, concentrations of
100 to 150 ppm are dangerous for exposures of 30 to 60 min. It also
 291

Table 10.3 Dilution of Engine Exhaust Gases*

Spark-ignited Compression Threshold

-ignited limit
At Level At Level value-time
Gas exhaust after exhaust after weighted
(ppm) dilution (ppm) dilution average**
(ppm) (ppm) TLV-TWA
(ppm)
Carbon monoxide 30000 200.00 1000 6.70 50
Carbon dioxide 132000 880.00 90000 600.00 5400
Nitrogen dioxide
& nitric oxide 600 4.00 400 2.70 5
Sulphur dioxide 60 0.40 200 1.30 25
Aldehyde 40 0,27 20 0.13 NA
Formaldehyde 7 0,02 11 0.07 2
• Diluted to maintain .200 ppm of CO using a dilution ratio of 150 to 1,
** Time weighted concentrations to which workers may be exposed 8 hours
per day without adverse effects

combines with water in the lung to form nitrous and nitric acid. The latter
can destroy the alveoli, thereby reducing the ability of lungs to transport
oxygen. It can also combine with hydrocarbons present in exhaust gases and
sunlight to form smog, which reduces visibility (as smog absorbs light).

10.2.5 Sulphur Dioxide

Sulphur dioxide (SO2) is a non-flammable, non-explosive, colourless gas. It
oxidises in the atmosphere and with moisture forms sulfuric acid (H2SO4),
and thereafter reacting with other pollutants forms toxic sulphates. When SO2
is present at over 3 ppm it has a pungent odour. Since its proportion is low
in vehicle exhaust, it does not present a serious problem.

10.2.6 Hydrocarbons
Though these may form a small proportion of vehicle emissions,
hydrocarbons are the most complex. They include methane, ether, propane,
ethylene, acetylene, pentane and hexane. Most are inflammable at high
concentrations. But they rarely reach the threshold limit levels in tunnels.
The main problem is that they aid in formation of photochemical smog,
which affects visibility.
292

10.2.7 Aldehydes
Aldehydes are organic compounds present in exhaust gas; they are irritants
to either the skin or the mucous membranes or both. The levels at which they
act as irritants provide sufficient warning to preclude health hazard.

10.2.8 Particulates
Particulates are caused by incomplete burning of hydrocarbon fuels
(petroleum products). They remain in suspension for a long enough period
to be respired, thus affecting the lungs. These are more significant in diesel
engine exhausts and constitute one of the major problems of diesel engine
trains in tunnels.

10.3 VEHICLE EMISSION RATES

Design of a ventilation system requires a good knowledge of vehicle
emission rates. The earliest work done in this respect was in 1920 by the US
Bureau of Mines. Further tests were done by the Colorado Department of
Highways in the US in 1990 relating to the Straight Creek tunnel. But this
was at elevations of 330 to 1650 m. For elevations about 2135 m the Institute
for Highway Construction of the Swiss Institute of Technology prepared a
report. The results can be adapted for other elevations, based on the
knowledge that the consumption of fuel increases at higher elevations due
to reduced air pressure, producing more smoke and gas.
The content of carbon monoxide emitted gives an idea of the emission
of other gases; if the level of carbon monoxide is kept at or below 200 ppm
(equivalent to a 150 to 1 dilution ratio), all other constituents will stay well
within threshold limits. Hence the role of emission of carbon monoxide is
mainly considered for tunnel ventilation design.
Emission rates vary also with vehicular speed. The rates of emission are
taken as 1.5 x 10-3 m3/kN/km (0.88 ft3/ton/mile) for spark-ignited engines
and 0.046 x 10-3 m3/kN/km (0.026 ft3/ton/mile) for diesel engine vehicles.
When traffic is stopped and an engine is idling, up to 10% carbon monoxide
is produced in the exhaust gas. But since an idling engine consumes less fuel,
the total amount of carbon monoxide will be less. For a normal ignition-
powered engine consuming one litre per hour of gasoline, the rate of
emission will be about 0.3 m3/car/hour (10.6 cft./car/hour).
The emission of a compression-ignited engine is more complex. To
reduce the amount of smoke emitted in tunnels, such engines have to be
operated with 20% to 40% excess air. But this means a reduction in power
 293

and efficiency. Hence a certain amount of smoke in exhaust has to be

accepted. In determining this amount (commensurate with safety and
comfort), a stopping distance of 90 m for a speed of 60 kmph can be taken
as standard. To give good visibility and to keep smog low, a smoke level of
2 to 4 Dmg/m3 is considered satisfactory, depending on the lighting level in
the tunnel. Regarding emission of other gases, in view of the complexity of
determining exhaust emissions of diesel engines, the same procedure as
adopted for ignition engines is adopted.

10.4 METHODS OF VENTILATION

10.4.1 Types of Ventilation1

Ventilation is required for all vehicular tunnels. Natural ventilation cannot be
relied on for tunnels longer than 150 m. For long tunnels, and for tunnels
with anticipated heavy traffic, mechanical system of ventilation using fans
must be considered. There are 3 types of ventilation: longitudinal, semi-
transverse and full transverse1,3.

10.4.2 Longitudinal Ventilation

This is a system whereby air is introduced or removed from a tunnel at a
limited number of points along it, creating a longitudinal air flow. Typical
ways of doing this are sketched in Figure 10.1. It is most effective in a
unidirectional traffic system. In the simplest form, it can be done with no
shafts. The addition of shafts induces air flow due to the stack effect. In this
system the air velocity is uniform. The contaminant level is lowest at the
entrance and highest at the exit.
In a longitudinal system provided with two shafts at the centre, one for
exhaust and the other for supply, the contamination level can be kept low in
the second half of the tunnel also. The system is affected by external adverse
atmospheric conditions. In bidirectional traffic tunnels, using this system the
contamination level is highest near the shafts. The system may be one of
natural ventilation or forced air using booster or exhaust fans. The length that
can be managed depends on traffic volume. For example, the 1.8 km tong
East River (USA) road tunnel has a volume of 100 vph (vehicles per hour)
while the 0.45 km long Lake Washington (USA) tunnel has a peak volume
of 5280 vph.
Ventilation can also be obtained in this system by providing booster fans
fixed in the ceiling. This eliminates the need for shafts but requires a larger
(taller) section for tunnel profile. The most economical one is the system
294

without booster fans but with supply or exhaust at a limited number of

locations. The existing tunnels using this system vary in length from 0.25 to
3.00 km (e.g., Tende in France/Italy is using axial boosters).

10.4.3 Semi-Transverse Ventilation

In a semi-transverse ventilation system air is passed through a duct with
supply flues that release it into the tunnel at about the exhaust pipe level. A
pressure differential is maintained to eliminate piston effect and to counteract
the effects of atmospheric winds. This system seeks to produce a uniform
level of carbon monoxide throughout the length of the tunnel. In
unidirectional tunnels the maximum contamination level occurs at the exit
portal and in bidirectional tunnels mid-length where a zone of zero fresh air
is created. It may be a supply only, or an exhaust only or a combined system
(Figure 10.2). These systems are suitable for tunnel lengths up to 900 m.
Beyond this length the air velocities at portals become excessive.

10.4.4 Full-Transverse Ventilation

For large tunnels, full-transverse ventilation is the most suitable. In this, a
full exhaust duct and a full supply duct are provided. The system achieves
a uniform distribution of supply air and uniform exhaust of contaminated air.
A uniform pressure of air throughout the length of tunnel and more or less
uniform level of contamination result. Nevertheless adequate pressure
differential has to be maintained between air in the tunnel and air in the duct
ways. Here the best level for admission of air is at vehicular exhaust emission
level. Figure 10.3 shows a typical arrangement.
This system was first developed in 1924 for the Holland Tunnel. Figure
10.4 shows its longitudinal profile. The lengths of existing tunnels using this
sys-tem vary from 0.36 to 14.4 km. It has been adopted mostly in subaqueous
tunnels and subway metro tunnels. In main line railway tunnels artificial
ventilation is used only in long tunnels since the vehicles provide necessary
suction and pressure effect in smaller lengths. Urban tunnels call for artificial
ventilation due to frequent services and long lengths.
A special artificial end-to-end ventilation arrangement was used in the
New Cascade tunnel (USA) by providing a portal gate type door closing the
higher (eastern) end and installing two number 850 HP electrical fans
capable of delivering about 14,866 m3 (525,000 cu ft) of air per minute. The
door is kept closed with one fan blowing when the east-bound train climbs
the 1.57% gradient. When the train is within 975 m of the eastern portal, the
door opens automatically. After the train clears the tunnel, the door closes
 295

Figure 10.1 Longitudinal Ventilation System1

296

Figure 10.2 Semi-transverse Ventilation Systems1.

 297

Figure 10.3 Transverse Ventilation Systems1

and both fans work to clear the tunnel of the fumes. West-bound trains being
lighter and descending downgrade by coasting need no such operation.

10.4.5 Design of Ventilation System

Design of ventilation system for long tunnels by itself is a complicated one
and a number of Tunnel codes or Guidelines have been issued by UIC and
standards bodies. A few typical ones are listed below for information4 :
• UIC 779-9 (2003) for Railways
• UIC 624-V (2001) - Exhaust emission tests for diesel traction engines
• US EPA document- Control of Emissions of Air Pollution from
Locomotive Engines and Marine Compression -Ignition (2008)
• ‘‘Good engineering standards"- Technical Standards in tunnels (rail/
road) - a comparison to other country guidelines and actual experience
like:
– PIARC, 2003, C5 -Road Tunnels
– ASTRA 13001, 2008, Luftugder Strassentunnel
– RABT, 2006, Richtlinean fur die Ausstatung und dien Betrieb von
SraBentunneln
 298
Figure 10.4 Longitudinal Section of Holland Sub- Aqueous Tunnel3 (showing Ventilation details)
 299

- RVS 09.02.31, 2008, Tunnelasrutung - Beluftung

- and some actually constructed tunnels.
Reference 4 gives a case study of design of ventilation system for Pir
Panjal Tunnels, longest tunnel on the Jammu and Kashmir rail line.

10.5 CASE STUDIES

10.5.1 General
Three case studies, one on ventilation of a road tunnel; on the ventilation
of a metro rail (subway) tunnel and the third on a main line rail tunnel are
presented in this section. The Holland (road tunnel) is situated on the
highway connecting New York with New Jersey (USA). It was opened to
traffic in 1927 and was designated a National Historic Civil and Mechanical
Engineering Landmark in the USA in 1984. The ventilation system has
undergone renovation necessitated recently by need to replace the ceiling
which has deteriorated over 60 years of use (Lesser et al., 1987)3. The
subway rail tunnel is the metro tunnel in Kolkata. This metro system was in
1989 adjudged the best in the world in terms of maintenance. The main line
railway tunnel Karbude tunnel 6.52 km long, considered longest on India,
was built on Konkan Railway in early 1990s.

10.5.2 Holland Tunnel [Lesser et al., 1987]3

Once described as the eighth wonder of the world, it is approximately 2550
m long. At the time of construction, it was the longest underwater tunnel,
made possible due to the provision of an unprecedented ventilation system.
The ventilation arrangement is a fully transverse system divided into a
number of sections along the tunnel length. Each section is served by
multiple fans, each of which can operate at three or four speeds. Outside air
is supplied through a chamber below the roadway deck through openings on
the kerb side spaced 4.5 m apart. Foul air is exhausted through ports provided
in the ceiling at 4.5 m intervals. There are four intermediate ventilation shafts
(Figure 10.4). The ports in the ceiling vary in size so as to balance air
quantities, i.e., ports nearer the shafts are smaller. Figure 10.5 shows a cross-
section of one of the two tunnels, one provided for each direction of traffic.
Each tube accommodates a two-lane roadway and an inspection gangway. In
emergencies and for maintenance operations two-way traffic is permitted in
one tube for short periods.
For emergencies, say, a fire in a section of the tunnel, the ventilation
system has been configured in such a way that smoke movement would be
300

forced in a specific direction. Given one-way traffic movement, this poses

no problem for car occupants since all vehicles downstream (traffic flow)
would have exited. The exhaust would be downstream of the ventilation
section over the affected length. The air supply upstream of that section
would provide minimal air in the section containing fire and all other sections
downstream. Fire-fighting vehicles would approach from downstream and
personnel would be assured sufficient oxygen.

Figure 10.5 Cross-section of Holland Tunnel3.

But for two-way traffic during maintenance and reconstruction of the

ceiling, this type of system was not found satisfactory. For the major
reconstruction activity it was decided to divert traffic through a neighbouring
tunnel (Lincoln tunnel). Tests of four configurations were conducted to
decide the best strategy. For this, an artificial fire was created in section S5
of the south tunnel (along 300 m from the nearest downstream ventilation
building).
Test 1: Air supply maximum in sections S1 and S2; almost maximum
in section S4 with no exhaust, minimum in S5, S6, S7 and S8; with
 301

maximum exhaust in S5, and near maximum exhaust in S6, S7 and S8. This
resulted in a smoke-free tube upstream and downstream up to 120-150 m,
after which smoke dropped downwards affecting visibility.
Test 2: Air supply minimum in S1 to S4 and S6 to S8 and at S5 kept
near minimum. Exhaust also kept nil in S1 to S4 and minimum in S5 to S8.
Smoke moved downstream at 75 m/min but also moved upstream.
Test 3: Maximum air given in all sections. No exhaust provided in SI
to S4, with maximum exhaust in S6 to S8 and near maximum in S5. This
resulted in insufficient air for diluting the smoke-laden air, which quickly
dropped to the roadway level causing a visibility problem.
Test 4: A moderate quantity of air was supplied to S1 to S4 with no
exhaust and in S5 a moderate supply with exhaust twice the amount of air
provided. In other sections a minimum air supply and exhaust were
maintained. This created a velocity of 150 m/sec in S5 and smoke began to
drop down beyond 135 m. Still adequate visibility was maintained and fire-
fighting vehicles could reach the site of the fire and quench it. This was the
final strategy selected for adoption during emergencies and ceiling
replacement.
It is a semi-transverse system to be used for the interim period only and
after the ceiling has been replaced, the full transverse system will be restored.

10.5.3 Kolkata Metro Tunnel5

In metros in developed countries, a fully air-conditioned system is adopted
for vehicles and stations. This requires a system with a large ventilation
capacity for the tunnel and stations. Taking into account economy in
construction and maintenance, manufacture cost of vehicles and need for
keeping power requirement as low as possible, it was decided to provide only
that uniform temperature (and humidity) level and fresh air supply within the
vehicles and stations as would be obtained under shade outside on a normal
day. Shade temperature in Kolkata on a normal day is as follows:
Summer Monsoon Winter
Dry bulb (temperature), °C 36 33 17
Relative humidity, % 55 70 57

The system has to absorb heat of different kinds as detailed below:

(i) Traction heat load
(ii) Passenger heat load (sensible heat and latent heat)
(iii) Auxiliary heat load from fans, lights, working machines
(iv) Heat transfer from structure to soil and vice versa
302

(v) Solar gain in shallow metro.

Only the first three were computed with 10% to 20% more provided to
take care of the others. The heat load on a time basis per passenger was taken
at 130 kC/h/passenger. The total heat load for all worked out to 1.31 × 106
kC/h.
Air circulation inside the subway was designed to remove thermal load
caused by the equipment and also to provide the biological needs of the
commuter in terms of fresh air and maintenance of temperature within the
subway at ± 6°C of that obtaining outside. The installed system supplies
filtered air passed through cooling (chilled) coils and provides 16 to 20 air
changes per hour. There are two types of tunnels in the Kolkata metro. In
the rectangular twin-box sections a maximum air quantity of 80 m3/sec and
in the circular and independent boxes 50 m3/sec is maintained. Station areas
have 220 cum /sec. of intake and 210 cum/ sec. exhaust air.
Longitudinal ventilation system with air supply at stations with partial
exhaust and full exhaust through ventilation shafts at midpoints has been
provided. The average station-to-station distance is one km. A schematic
diagram of the ventilation system is shown in Figure 10.6.
The equipment used for each section comprises:
Intake
Four 30 m3/s station fans – 100 mm SP
Two 50 m3/s tunnel fans – 50 mm SP
Exhaust
Two 803/s midpoint exhaust fans – 50 mm SP
Two 25 m3/s under platform
exhaust fans – 100 mm SP
(all are centrifugal pumps)
(SP - Static Pressure)
A ventilation mezzanine is provided at each station. Just below this
adequate area was reserved between tracks for locating the refrigeration plant
and its control panels. At each end of the station platform an exhaust fan
room is provided under the platform.
Fresh (ambient) air is taken and cleared at the air washery located at the
entry of the ventilation mezzanine before being admitted into the moisture
trap.
The clean, drier air is then passed through cooling coils to lower its
temperature to design level before being admitted into the ducting system.
The ducting system is an extensive network over the platform and mezzanine
area using 56 grills fixed in the false ceiling for letting air into the subway.
The working hours of the system are distributed as follows:
(i) Chiller package during summer and monsoon only
 303

Figure 10.6 Air Schematic Diagram for a Typical Metro Station.

(151h March to 15th Nov.) –0700 to 1000 hrs

(ii) Full ventilation –0050 to 2300 hrs
(iii) Half ventilation –2300 to 0500 hrs
(except under platform)
Each station is provided with 2 air intake shafts 7m x 4 m raised 3 m
above ground level to take in ambient air. Two under-platform exhaust shafts
2.5m x 2 m rising to a height of 6 m are provided adjacent to the intake
shafts. Midpoint exhaust arrangements comprise underground fan rooms
located adjacent to each track and above track with necessary approach to
surface. Two fans 80 m3/s (50 mm SP) are provided for exhausting air on
either side of the tunnel direct to the atmosphere. Each fan has an
independent shaft 4.5 m × 4.5 m rising to 6 m above ground level. No hot
air is exhausted near any residential building.

10.5.4 Konkan Railway Tunnels6

Based on an Expert Group study done for these tunnels, KRCL adopted the
following policy for ventilation of tunnels:
(i) Unlined Tunnels upto about 2 km length and lined and shotcreted
tunnels upto 3 km can be allowed without any ventilation
arrangements like shafts for forced ventilation.
(ii) In all other cases, either shafts to reduce lengths of tunnel segments
or forced ventilation arrangement is to be provided.
304

In accordance with this guideline, they provided shafts/ adits in 5 out of

9 long tunnels. They provided 3 shafts in their longest Karbude Tunnel.
Segment lengths were less than 2 km but this was adopted to provide better
passenger comfort. Forced ventilation facilities system in form of three
centrifugal fans of 150 kW capacity each was provided near the middle shaft,
along with mechanical dampers, and air curtains were provided to control
direction of flow inside the tunnel. Figure 10.7(a) shows the functioning of
the system conceptually at different conditions of traffic.
For three other long tunnels (4.425 km, 3.39 km and 2.96 km
respectively) the proposals provided for forced ventilation with jet fans, as
shown in Figure 10.7 (b). These jet fans are suspended from introdas of roof.
Though jet fans deliver relatively smaller quantity of air, it is provided at
high velocity, the momentum created by which, is transmitted to the larger
air present in the tunnel and necessary flow velocity can be maintained.
Similar arrangements of fixing powerful jet fans at a number of locations
have been made in the 11 km long Pir Panjal Railway tunnel, which has Adit
and a Shaft added in between the end portals for air flow. Brief details are
given in Annexure 6.2, a case study on Pir Panjal Tunnel.

10.6 LIGHTING7
Lighting requirements may be considered temporary during construction of
the tunnel and permanent for the tunnel in service.
For efficient working (during construction) inside the tunnels, good
lighting is needed and hence artificial lighting must be resorted to. Provision
of lighting which can be allowed is a light intensity 258 lumens/m2 in the
working area. For example, for a tunnel size of single lane width or single
track, it is required to provide light intensity of the order of 1000 cp.
Tunnel lighting during construction is a complicated process as there is
need to introduce lighting arrangements at the time of drilling and charging
of the holes, and then withdraw it prior to blasting; and repeat the process.
In India, electric lighting with incandescent bulbs is generally arranged
with a portable diesel generator kept outside and cables running through the
length of the tunnel.
Most short-length railway tunnels, especially those in remote areas
where power supply is difficult to obtain, are not lighted permanently.
However, railway tunnels should be provided with adequate lighting for
workmen to do patrolling and to carry out maintenance work and also to
serve during emergencies. Incandescent lamps at suitable intervals can be
provided on side walls. Since traffic is guided and controlled, the engine
headlights serve the drivers' purpose.
 305

Source : Indian Concrete Journal, February 1994.

Figure 10.7(a) Working of Ventilation Arrangement with Train at Different
Positions
306

Source: Indian Concrete Journal, February 1914

Figure 10.7(b) Jet Fans fixed at Tunnel ceiling

For highway tunnels, adequate lighting has to be provided as a

permanent arrangement also. This lighting should be commensurate with the
importance, type and level of traffic. Vehicular traffic should be able to pass
through the tunnel without having to use the high beam of headlights.
Further, tunnel lighting should not throw glare on the drivers. In a curved
alignment, lighting should be sufficiently diffused so as not to suddenly
impinge on the viewer. It is usual to adopt sodium vapour or mercury vapour
lamps for this purpose.
The design of lighting for a long tunnel is quite complex. The lighting
should be economical and suited to the degree of adaptability of the human
eye under the varying conditions of light and speed of vehicle as one travels
from the open highway through the tunnel to the other end. The problem is
most severe during the day when the driver has to adapt from a bright
illuminated open road to the much lower level of illumination of the tunnel.
For the purpose of design of lighting, a long tunnel is divided into five zones:
(a) approach zone, (b) threshold zone, (c) transition zone, (d) interior zone
and (e) exit zone (Gallagher, 1985)1. The length of zones (a) to (c) and (e)
 307

and the roadway luminance required for each zone depends on the design
speed and carriageway width.
The approach zone is the area outside the portal for a length
corresponding to the safe stopping distance for the design speed. The lighting
level may be about 2000 cd/m2 in daylight. The threshold zone is the area
of most serious design consideration and needs most elaborate lighting and
control systems. The lighting level in the threshold zone may be 1/15 of the
approach zone. The length of the threshold zone is usually the safe stopping
distance at the design speed. The lighting level should be reduced gradually
from the threshold to the transition zone. The transition zone has a lighting
of about 20% that of the threshold zone and should have a length
approximately equal to the safe stopping distance for the design speed. The
interior zone represents the length of the tunnel from the transition zone to
the exit zone. The recommended level of luminance for the interior zone is
5 cd/m2 for Portland cement concrete surfaces. The exit zone is the final zone
before transition to daylight. The length of the exit zone is nearly equal to
the safe stopping distance.
Design for night lighting is relatively simple. The lighting at night should
be uniform throughout the tunnel. The lighting intensity inside the tunnel
should be about half to one-third the lighting on the approach road out-side
the tunnel. Relative intensities of lighting required in different zones as
adopted in St. Gotthard tunnel are indicated in Figure 10.8.

Figure 10.8 Typical Lighting Requirements in Different Zones of Tunnel.

308

10.7 DRAINAGE
It is very rare that a tunnel is bored through for its entire length without
coming across seepage. Should the gradient fall towards the tunnel, wherever
water coming from the approaches is encountered, suitable side drains and
intercepting drains are to be provided to lead it away before it can enter the
tunnels,. Wherever necessary, suitable pumping arrangements have to be
provided.
Inside the tunnel a suitable drainage arrangement should be provided so
that the water collected can be drained without flowing over the surface of
the road or track. Normally, in single-line railway tunnels with ballasted
tracks, properly lined side drains are provided for water collection and
drainage. The lining should be sufficiently wear resistant to withstand the
high velocities likely to be attained in steeply falling gradients. Modern
practice is to go in for ballastless (paved) tracks, in which case the floor
section is shaped to include such drains running in the middle of track or on
either side, to suit the design of pavement. On highway tunnels, with
provision of camber on carriageway, such drains will be paved and run along
the sides.
In short tunnels the water will drain out to the open exit and naturally
can be led away easily. In long tunnels collection may be considerable and
suitable intercepting sumps and pumping or cross-drainage works by way of
drainage tunnels or bores may have to be provided.
In the case of double-line tracks drainage is generally provided in the
middle between the two tracks, which may be covered, and suitable man-
holes provided at 30 to 50 m intervals. Alternatively, open-jointed covered
channel drains (with perforated slabs on side for water) may be provided
between the tracks. In addition, side drains are provided and connected at
intervals to the central drain. It should be remembered that good maintenance
of the track or road surface depends on the drainage system provided.
Improper drainage can also cause seepage of water below and cause
settlement of track or pavement due to disturbed moisture balance in the soil
below (particularly cohesive loose soils, shale etc.). In subaqueous tunnels
across rivers, creeks etc., since the gradient will fall towards the middle,
water tends to collect in the central length of the tunnel. In such cases it is
necessary to provide separate drainage tunnels leading away from the central
portion to the shafts at the end, through which the collected water is pumped
out. Similarly, in long tunnels in hills also the shafts provided for the purpose
of ventilation can be used for collection and disposal of drainage water.
 309

The general shape of the side drains provided in railway tunnels in India
can be seen from the tunnel section shown in Figure 3.4(a) to (c) and A.4.2.1.

10.8 NICHES AND REFUGES

In long tunnels, some provision has to be made at intervals for the
maintenance staff to take shelter when trains pass over the tracks. These are
provided in form of recesses cut into sides of the tunnels for maintenance
staff to take rest and also store their tools and equipment. On Indian
Railways, provision of such shelters known as 'trolley shelters'/ 'safety
refuges' at not more than 100m intervals is mandatory. In curved lengths of
tunnels it is desirable to provide them at about 50 m intervals. Even in
highway tunnels, such recesses will be necessary and some planners advise
such provision at not more than 50 m intervals. Simple man refuges may be
2 to 2.25m high, 2 to 2.5 m wide and 1m deep. Refuges where some
equipment or maintenance trolleys will have to be sheltered, should be at
least 3m wide, 4 m deep and 2.5 m high.

10.9 REFERENCES

1. Lesser,N (1987)-' Tunnel Ventilation System', in : 'Tunnel Engineering

Handbook', Ed. Bickel, John O. and T.R. Kuesel, (Eds.), Van Nostrand
Reinhold Company" New York,
2. Pawan Kumar Singh, 'Experience on Tunneling- Problems and Solutions' -
presented in Course No 13026, IRICEN Journal of Civil Engineering, Indian
Railways Institute of Civil Engineering, Pune pp 36-44
3. Lesser, N., Horowitz, F., and King, K., 1987, 'Transverse Ventilation Sys-
tem of the Holland Tunnel Evaluated and Operated in Semi-Transverse
Mode', Transportation Research Record 1150, Transportation Research
Board, Washington, D.C.
4. Hitesh Khanna, (2014), 'Tunnel Ventilation and Fire Safety in Tunnels',
Proceedings of National Conference on National Technical Seminar on
'Management of P.Way Works through Need Based Outsourcing & Design,
Construction and Maintenance of Railway tunnels' Jaipur 2014. (Volume II)
5. Narayanan, G.A., 1988, 'Air-Conditioning and Ventilation of Calcutta
Metro', International Seminar on Transit Technology of Tomorrow, Bombay
6. Chopra, I.D., (1994), 'Ventilation of long tunnels on Konkan Railway',
Indian Concrete Journal, February, 1994, pp113-116.
7. Gallagher, V.P., 1985, 'Tunnel Lighting Design Procedure, Report No.
FHWA-IP-85-9', US Department of Transportation, Washington,
 C H A P T E R

11
Instrumentation in
Tunnelling

11.1 NECESSITY FOR INSTRUMENTATION

11.1.1 The observation of physical and structural properties and behaviour
of the soil and the tunnel itself are integral parts of design and construction
of underground structures. This becomes particularly important in case of
tunnels which, necessarily have to pass through varying type of soils and
rocks and in many cases close to or below existing structures and utilities
or other underground structures. Such observations serve a number of
purposes and are carried out at different stages of the work viz., (i) site
investigation for help in surveying and initial planning; (ii) during
construction, for collection of data for design verification and also for
construction control by modifying method and rate of progress as required
and (iii) for monitoring the performance of the structure in service and
ensuring its stability.

11.1.2 Stages of Instrumentation

During the investigation stage, investigations would cover determination of
the characteristics of the soil along the alignment pore pressure, and
permeability, especially in case of subway tunnels and fault zones. Para 2.5
gives details of type of geotechnical investigations.
 311

In some cases, deep benchmarks are established as reference points by

fixing the same at a depth in rock not likely to be disturbed by the excavation,
since BMs existing on surface nearby are likely to be disturbed due to
settlement of surrounding ground during tunnelling. Levels at these points
are taken periodically with Precise Levelling instruments.
During construction stage the type of instrumentation cover for
determining:
• Ground movement on alignment, adjacent to and away from tunnel,
• Building movement, stability and structural changes on structures
within the zone of influence
• Movement within the tunnel under construction and adjacent tunnels/
utilities
• Stresses in rock and the supports/ lining provided in tunnel and
dynamic effects on ground during drill and blast
• Ground water movement, pore pressure and percolation pattern

11.2 GROUND MOVEMENT STUDIES

The types of instrumentation used for study of ground movement are (FHWA
Technical Manual)1:
• Extensometers which can be Probe type or Fixed bore hole type.
• Inclinometers- Conventional and in-place ones
• Heave gauges
• Convergence gauges.

11.2.1 Extensometers
Probe Extensometers
Extensometer is used for measurement of 'deformation in rock mass and
surrounding soil with respect to a deep anchor'. It can be used for assessing
settlement of ground at different levels with respect to the deep anchor. These
can be in form of a portable Probe such as a Reed Switch Transducer. These
measure distances between two or more points within a bore hole drilled in
soft ground. A bore hole is drilled into the ground upto well below the
potential influence zone of the tunnel and a Flush coupled rigid PVC Access
pipe of smaller diameter is inserted into the same upto base. A spider magnet
each is positioned at desired depths and held tight against the pipe by spring
loaded anchors from the borehole wall, as shown in Figure 11.1. The annular
space in the hole is filled with grout. The bottom reference point at base of
this pipe would become the reference point from which the movement of the
312

other points above can be judged. A Probe containing Reed Switch and
connected to the reading unit by a survey tape is lowered into the access pipe.
Probe is lowered into the bore to the bottom and as it is slowly raised,
observations are made. This transducer can detect the position of the magnets
at different levels by emitting a beep and operator notes down the position
by listening to the beep. Any difference in position of any of the points with
respect to the initial set would indicate the amount of settlement. He may
repeat the observations to recheck and confirm. Thus results noted are
operator sensitive. The observations at each location would take about 45
minutes.

Figure 11.1 Probe Extensometer1

Fixed Borehole Extensometers:

These can be used in soft ground as well as in rock. They are installed at
different depths from ground level. They can be Single point ones (SPBX)
or MPBX, Multi Point Borehole Extensometers. Latter is generally preferred,
in which upto six anchors can be used, placed at different depths in one bore.
The anchors are grouted into the ground. This device is generally used by
installing them at different distances above the crown of tunnel being bored.
They are connected to the ground level by steel or fibre glass rods (of small
 313

diameter). The movement of the tops of rods at ground level would indicate
how much each anchor has moved thus indicating the amount of movement
of the soil or rock at that elevation. Readings can be taken by manual
observations or with use of electrical data logger or transducer. These data
loggers / transducers can be removed and reused at new locations when the
need for observation at one location is over as the tunnel advances. These
observations will help the engineer to take any precautionary or corrective
measures in case of unanticipated settlements.
In case there is any problem in locating such bore holes on the alignment,
falling on a carriageway, such probes can be fixed from sides/ pavements
kept at an angle towards the crown of the advancing tunnel and results
suitably interpreted. A schematic of the arrangement may be seen of the
borehole in vertical position, in Figure 11.2.

Figure 11.2 Multiple Position Borehole Extensometer1

Horizontal Borehole Extensometers

These are similar to the borehole extensometers mentioned above but
installed in horizontal bore extending from the cut tunnel wall for measuring
the movements in the transverse direction after the tunnel is excavated. The
arrangement is shown in Figure 11.3. Installation of such instrument,
protection of same and doing periodical readings is difficult as it will
interfere with the ongoing work, as the stretch will be busy with follow up
activities of tunnel work after excavations and is subject to frequent
movement of miners , who may not understand their existence or importance.
 314
Figure 11.3 Horizontal Borehole Extensometer1
 315

But they are helpful in design modifications and protection measures for
structures on surface above such zone of influence.

11.2.2 Inclinometers
Conventional Inclinometers
Inclinometers are used for observing the movement of ground around an
underground excavation. They are installed in a plastic casing drilled
vertically on the side of the proposed excavation till it reaches a level well
below the bottom of proposed excavation so that the bottom is at a stable
ground, with reference to which movements of rock or ground at different
levels above in transverse or longitudinal direction can be observed. The
guide casing has tracking grooves for guiding the probe parallel to and
perpendicular to the direction of excavation. It has universal joints at
intervals for letting it tilt with the movement of the surrounding rock/ ground,
(as shown in Figure 11.4). A probe containing tilt sensors and with guide
wheels is lowered into the guide casing on a graduated cable to the bottom
of the hole. While winching it up, collection of inclination data is done on
a read out unit at surface, at fixed interval (about 600mm). By an iterative
process the tilt of the pipe in that direction is determined with respect the
position of the stable point at bottom and plotted. These would indicate the
profile of the pipe in that direction, as shown in the inset in the figure. The
probe is turned by 90 degrees and lowered again and winched up and tilts
at different levels determined in a similar manner. Its path now will indicate
the profile in the (longitudinal) direction. Such readings are taken once a day
during construction, which will help in taking any preventive or remedial
measure. This is found helpful specially for monitoring ground movement on
the sides of diaphragm walls in cut and cover construction works.
Presently in-place inclinometers are also available. In this, 'gravity
driven transducer sensors' are installed equidistantly at different levels in the
casing and wired to a computer on top. Sensors are computer driven and
readings can be taken automatically by a data logger on surface and tilts
observed. More the number of sensors proposed to be installed in a bore,
larger will be the diameter of such bore. The equipment is comparatively
expensive and more complicated.

11.2.3 Heave Gauge

Heave gauges are required to determine the heave of the base of an open cut
in cut and cover construction due to removal of overburden. No reliable
instrument has been found to work for direct measurement of same. One of
316

Source: FHWA Manual

Figure 11.4 Conventional Inclinometer1

the best alternatives found good is the use of a 'the magnet-reed switch gauge'
as a probe extensometer for measuring the increasing distance instead of
measuring decreasing distance of spider magnet from a fixed target anchor
placed at the bottom of a pipe drilled into the ground, the pipe being located
within the side walls of the proposed enclosure/ trench. Before start of the
work, a pipe is bored in and an anchor /target placed at the bottom well below
the influence zone. After initial readings, the pipe is sealed with an
expanding plug about 1.5 to 3.0 metres below surface placed with an
insertion tool, and the portion above plug, cut using an internal cutting tool.
The position of the pipe is noted. When the excavation reaches near that, its
level is noted by a reading. Care is taken not to disturb it and once excavation
reaches that level the process is repeated till excavation reaches the final
level. The changes in its level will give an idea of the heave of the excavation
at that stage.

11.2.4 Convergence Gauges and Roof Anchors

It is necessary to note the quantum of movement of exposed tunnel walls and
roof periodically, for which target anchors have to be fixed as quickly as
 317

possible before the tunnel starts to 'work'. Anchors are fixed on side walls
and roof of arch and distance between them is measured periodically using
a tape extensometer, as shown in Figure 11.5.

Figure 11.5 Tape Extensometer and Eye bolt Anchor1.

But such measurements are not possible immediately behind the advancing
face where TBM is used due to the presence of the trailing equipment and
movement of people. In such cases, alternative equipment in form a distomat
(or Total station) can be used by sighting from a distance in the rear. In such
cases, the instrument determines distance by emitting a laser or infra red
beam to a target fixed at the anchor location, instead of a bolt with an eyelet
used for extensometer measurement. Even in this case, sight line may be
obstructed by presence of some trailing equipment of TBM till it clears.
Hence, the locations of targets will have to be judiciously chosen. Distomat
318

is capable of measuring distances in x, y and z directions and give the three

co-ordinates with respect to position of the instrument. Knowing the co-
ordinates, the distance between pairs of them can be computed and changes
can be determined.
In fact, the settlement of the ground around the tunnel have to be
determined using such measurements only, as drilling deep holes and use of
extensometers mentioned earlier will not be possible over depths normally
involved in such construction.

11.3 MEASUREMENT AND MONITORING IMPACT ON

BUILDINGS/ STRUCTURES
11.3.1 Settlement of ground above the tunnel and on sides may have little
impact on structure on the surface in case of railway and highway tunnels
through hilly terrain due to nature of soil and depth of excavation helping
in distribution of load, as discussed in Chapter 4. Even in such cases, in case
the ground is interspersed with soft soil some localized settlement at surface
is possible. In case of shallow tunnels, done by boring through soil such
settlement is countered by stabiiising the soil just ahead of the tunnelling face
and on sides by freezing or grouting, as mentioned in Para 6.7. In case of
cut and cover construction, as excavation proceeds in between the
cofferdams, depending on properties of soil there will be settlement of soil
for some distance on either side of excavation. In all these cases, if there are
any structures on the surface they may also be subjected to some
readjustment of load with likely consequence of being subjected to some
deformation or damage in form of cracks. Suitable remedial measures will
have to be taken in time, to ensure safety and also prevent claims for such
damages. Instrumentation is done on vulnerable buildings, pavements and
structures and for watching such developments on a continuous basis till the
excavation is completed and the tunnel/ cut are provided with permanent
supports and any pit/ cavity is filled up.

11.3.2 Measurement of Deformation

In case of roads and pavements, at intervals monitoring points are selected
and a bolt like device embedded with the top exposed and position noted.
It is desirable to fix such points away from area subjected to vehicle traffic.
Their levels and relative positions are measured to an accuracy of 5 to 6 mm
at periodic intervals. On buildings/ structures, such targets can be fixed on
the vertical face of a wall forming integral part of the building. They can be
provided with hexagonal nut plugged in a hole, the top of which can be taken
 319

as the reference point for measurement of level. Figure 11.6.shows an

arrangement as given in FHWA Manual.

Figure 11.6 Deformation Measuring Point on Structures1.

Similar reference points can be fixed for measuring lateral movements

and settlement on pavements and hard surfaces by providing the bolts, with
hemispherical heads, vertically.

Robotic Total Station

If real time data of movement of structures in an area is required, a Robotic
Total station can be used. They can record the position of the targets in three
dimensions. One station can be fixed to sight and take measurements of a
number of targets fixed in its range. The instrument is installed 'atop small
electric motors' in such a way that they rotate about their axes. They can be
timed to automatically get actuated at pre-determined times and make the
measurements. Such sophisticated instrumentation is quite expensive and
may be called for only in case of very sensitive structures coming in the area
of influence of the tunnel.
320

Tilt meters
It is important to monitor tilt in the floors, walls, columns etc. of structures
also. Conventionally tilt is measured manually using hand held instruments
on reference points fixed on plates fixed to the structures. More sophisticated
electronic powered tilt meters with electrolytic level transducers are
available. The transducers are housed in casings, which can be attached to
the element of structure to be monitored. They are available for measurement
in uni-axial or bi-axial mode. One such with bi-axial movement is shown in
Figure 11.7.

11.4 STRUCTURAL MONITORING

11.4.1 Due to base settlement, deformation or shocks and vibration caused
during excavation underground, the structure may develop some structural
damage. This will be mostly in forms of cracks. If any such crack develops,
likely cause has to be studied and if necessary method or rate of excavation
modified to prevent further damage. The structure may have already had
some structural or other superficial crack. Hence a detailed inspection of
structures before start of work is done; and tell tales will have to be fixed
for monitoring. Also, as soon as any such crack is noticed during
construction, tell tales have to be fixed and their further behaviour monitored
by periodical inspection. The tell tales can be in the form of glass strips,
plastic strips etc.. There are crack gauges available which span across the
crack, which should be fixed as soon as the crack is noticed. It consists of
two overlapping plastic flat pieces. One is fixed on one either side of the
crack on the wall with epoxy (or any other fixing mechanism provided).
There will be crossed lines on upper plate and a graduated grid scale on lower
one. The position of the cross over grid line is noted at installation and
amount of movement periodically measured over the grid line, the difference
giving amount of movement. Simultaneously, the ends of crack line can be
marked on the wall and distance between noted initially. During monitoring,
any extension of the ends of the crack is measured. The two sets of readings
will give an idea of the damage being caused for taking remedial action.

11.4.2 Measurement of Loads and Stresses2

When a cavity is made inside the mountain or soil, there will be some release
in load and readjustment of forces around the cavity. They will cause some
displacement and movement around the surface of opening. Such
displacement will be time dependant. The forces of gravity in ground around
Figure 11.7 Bi-axial Electronic Tilt Meter1

321
322

on the excavated surface can result in instability, calling for provision of

supports. In order to properly design such supports it is necessary to know
the pressures/ forces, soon after excavation, and instrumentation is used for
obtaining rock pressures including pore water pressure. They will help in
verifying assumptions made in design of supports and lining and make
necessary changes. Such instrumentation is done on the temporary steel
support ribs and struts provided; rock bolts fixed deep into surrounding rock;
and shotcrete and in case of NATM it is done to find loads /stresses in them
so as to check their adequacy and also for design of final support/lining.
In olden days, they used to embed some form of load cells in the rock
at some depth from excavated surface and measure loads. In rock tunnels,
such measurements used to be done in the drifts to help in preliminary design
and around. Presently many forms of electronic and hydraulic measuring
devices are available for such measurements on a continuous basis. The
force/ load on rock bolts and tie back anchors provided from supports are
measured on a continuous basis using special load cells. The cylindrical load
cell comes with a central hole so that it can be fixed at the surface end of
the bolts wrapping round the bolt. They are fixed to the bolt on the exposed
surface with a pair of packing plates on either end of the load cell. As the
rock moves and the bolt or anchor is stressed, the pressure will come on the
load cell and the same can be read on the load cell. Using electronic type
of cells, the reading can be recorded at predefined intervals on a continuous
basis.
In case of steel supports (arch ribs) provided to support the roof load and
on sides, the effect of load coming on them can be measured periodically by
fixing load cells or strain gauges welding small flanges between which the
cell can be mounted on the members. Generally this is done at the springing
of arch of the rib and at the crown. In some cases, additional load cells can
be fixed at 45° position on arch ribs. Alternatively wire type strain gauges
can be fixed with ends fixed by welding or epoxy on to the members to
measure strain and co-relate for arriving at stresses. The latter are less
expensive. Strain gauges have gauge length around 140mm and shorter ones
of 50 mm are also available for use on struts, between diaphragm walls in
cut and cover work.
Similarly in the NATM, strain gauges are embedded in the shotcrete for
measuring stresses in concrete, both in radial (along the circle) direction and
tangentially. They are fixed on short steel rods with ends fixed to rod by
welding and embedded in shotcrete.
 323

11.4.3 Pore Pressure Measurements

Vibrating wire type pore pressure meters are available for installation by
drilling a hole through the lining or exposed rock surface for periodically
measuring and monitoring any increase in pore pressure in the surrounding
rock. Such increase can weaken the surrounding rock or soil. Cassagrande
piezometer and standpipes can be used and measurements taken using dip
meters and noting changes in levels. These are more often used in subway
tunnels.

11.5 LOCATION OF MEASURING INSTRUMENTS

Figures 11.8 to 11.10 would give an idea of where such instruments and
devices are fixed for monitoring deformation and forces/ stresses in the
tunnels or in the zone of influence.
In a cavity or tunnel through rock, instruments for measurement of
movement of the exposed surface and their convergence; load cells for
measuring changes in rock pressures/ forces are most important.
Additionally, the behaviour of rock beyond for some distance can be
measured with use of probe extensometers fixed horizontally from the walls
and vertically upward in the roof. Figure 11.8 shows one typical
arrangement.
If the rock is such that it needs supports during excavation and /or
needing support lining, load cells are provided in addition between joints in
supporting ribs at crown and springing or alternatively strain gauges may be
fixed on ribs at crown, near springing and near base of vertical support for
measuring loads/ forces. This will help in design of the permanent lining.
Figure 11. 9 shows the arrangement of instrumentation done in case of
tunnels bored using NATM, (as done in Pir Panjal Railway Tunnel).In this
case strain gauges are embedded in the shotcrete for measuring the forces for
which permanent lining is to be designed, in addition to load cells on rock
bolts for understanding rock stresses and movement to be provided for in the
design of permanent lining.
In case of cut and cover method, more elaborate instrumentation is called
for, being in soft soil and high sub soil water levels causing high pressures
and ground settlements. Soil behaviour and settlement are studied by use of
a pair or more extensometer cum inclination meters on sides and PSP
(Precise Levelling Points at suitable intervals on the surface Inclinometer
gauge wells are provided in tunnel walls at intervals for monitoring lateral
wall movements. Stand pipe or electronic type piezometers are provided for
324

Adapted from reference 2

Figure 11.8 Typical Arrangement of Instruments in a Tunnel in Rock

ascertaining pore pressure. Heave extensometers (electronic or magnetic) are

provided at intervals between the diaphragms and earth Pressure cells fixed
below the floor to measure heave pressure. Figure 11.10 shows a typical
arrangement.
For more details references quoted at end of the chapter may be seen.
For monitoring circular subway tunnels bored with TBM, undermentioned
instrumentation is done:
(i) Settlement markers on the surface to note levels perpendicular to
alignment at 5 m centres
(ii) Inclinometer at a distance of 1.5z outside from centre of each tunnel
bore where z is depth of axis of bore from surface.
 325

Figure 11.9 Typical Instrumentation in NATM Tunnel2

Figure 11.10 Cut and Cover Box Monitoring Arrangement of Instruments2

326

(iii) Inclinometer cum extensometer at the centre line between the bores,
and one each on outer side of centre line at 0.5 D, D being the
spacing between bores.
(iv) Stand pipe Piezometer and stand pipe at 0.75 D on the outside, on
either side.
A view of the some of the instruments, mentioned above, can be seen
in Figure 8.15

11.6 REFERENCES

1. FHWA: Technical Manual for Design and Construction of Road Tunnels-

'Chapter 15, Geotechnical and Structural Instrumentation' - USDOT,
Washington, D.C.
2. Rastogi, V.K., 'Instrumentation and monitoring of underground structures
and metro railway', World Tunnel Congress 2008 on Underground Facilities
for Better Environment and Safety- India.
 C H A P T E R

12
Inspection and
Maintenance of Tunnels

12.1 GENERAL
Tunnels, like any other structure require proper maintenance, which calls for
periodical structured inspection and follow up action. Unlike any other over
ground structure, tunnels are subjected to the stresses caused by the passing
loads, have to withstand the forces exerted by the surrounding ground and
overburden. While the older tunnels were generally bored through rocks and
geologically more stable and settled soils, many of the newly constructed and
under construction tunnels are through challenging geological conditions.
Thus their maintenance throws up more challenges.

12.1.1 Basic Difference with Other Structures1

Physical and structural assessment of tunnels is much more complex than
that of other structures like bridges, buildings, road pavements and rail track
due to following differences and hence tunnel inspection procedures have to
be necessarily different from those of the latter .
(i) The design of the tunnel including its profile depends greatly on the
characteristics of surrounding ground and ground-structure
interaction. It is very difficult to assess them precisely and our
328

understanding of the forces they exert on and their interaction with

the tunnel is limited, rendering it difficult to make proper design
assumptios. The sub soil water condition of the ground also cannot
be precisely predicted before design and construction as they may
undergo changes over time with changes in surface water flow
conditions, resulting in unexpected forces and seepage on the
structures, causing deterioration of the tunnel structure.
(ii) Understanding of structural behaviour of tunnels is comparatively
limited e.g., the effect of a rock bolt getting loose on the structure
it supports.
(iii) Visual inspection of the tunnel intrados, the time honoured method
of inspection, can only reveal surface defects like cracks, spalling,
leakage of water etc. Using a small hammer to tap the surface can
indicate hollowness in the structure. But such inspection does not
give an idea of the health of the components above the intrados like
the tunnel lining, other internal fixtures like waterproof membrane,
the condition of rock bolts, and distress in the layers of overburden.
On the other hand, every component of a bridge structure can be
visually examined and/ or non- destructively tested.
(iv) Each tunnel located in varying types of soils and climatic condition
is designed to suit local conditions and even in the same tunnel, the
supporting arrangement may differ in different lengths. Each tunnel
therefore becomes a unique structure by itself, while it is not so in
the case of other structures like bridges for instance. Thus inspection
of each tunnel offers a new challenge to understand the 'unknown'.
(v) Another factor which renders Inspection of the existing tunnels more
difficult, is the non-availability of documentation on the design and
construction of the old tunnels constructed in the earlier centuries.
This emphasizes the need for proper documentation and preservation
of permanent records of design and construction details of tunnels in
recently executed or ongoing and future works.
The distinctive features of tunnel inspection described above underscore
the need for the inspecting personnel to be aware of these facts as well as
the previous history of the tunnel. As the normal maintenance staff may not
be knowledgeable in these special aspects, they have to be suitably briefed
or trained before inspecting tunnels. The Indian Railways are taking steps in
this direction. Also, there may be occasions when some defects and
conditions occur, the impact of which can be understood only by specialists.
Hence special inspections by such personnel may become necessary
periodically, say once in 5 or 6 years and at closer intervals in the case of
tunnels known to be problematic
 329

12.2 TYPES OF INSPECTION

Practices regarding tunnel inspections vary from country to country. The
Indian Railways have laid down the periodicity and requirement of such
inspections in Chapter 10 of the Indian Railways Bridge Manual (IRBM)1,
according to which, tunnels have to be inspected once a year in a specified
month after the monsoon rains by the Section Engineer (P.Way Engineer
generally and Works Engineer as required). He enters his observations in a
register containing a standard proforma in two or three sheets allotted for
each tunnel. It lists 8 components of the tunnel and approaches, one below
other, and is tabulated in such a way that remarks of inspection for 15 years
can be recorded serially in juxtaposition on each such sheet. Under each year,
there are three columns to record (i) date of inspection, (ii) condition of the
component and (iii) Action taken.
The section engineer, while sending the register along with a certificate
listing important defects, to the Assistant Engineer of the sub-division, takes
prompt action for repairs within his competence. The Assistant Engineer
peruses the Register and gives explicit instructions as deemed necessary to
the Section Engineer. The Assistant Engineer himself is required to inspect
all the tunnels in his jurisdiction before the monsoon, accompanied by the
Section Engineer. He records his observation in the Register and forwards
it to the Divisional Engineer with his certificate and asking for the latter's
orders. Divisional Engineer would inspect the tunnels he deems necessary
and give further instructions. The Register is then sent to the Territoral Head
of the Engineering Department of the Railway for his scrutiny and
instructions, if any. Tunnels found to be in distress need to be inspected more
frequently. These inspections at different levels have been mostly visual and
carried out by normal maintenance personnel, not necessarily with special
knowledge on tunnels. More rational procedures are now being adopted.
Recently (in August 2012) RDSO of the Indian Railways has
supplemented these instructions with ‘Guide Lines on Inspection and
maintenance of Tunnels No GE: G- 0015’. These guidelines provide for three
types of inspections (as is being adopted in the case of bridges and also,
tunnels in other countries). The guide lines also lay down procedures for
better documentation of the inspection. (They can be followed for Highway
Tunnels also). According to these guidelines, the inspection is of three kinds,
viz.,
(a) Regular inspection (annually or more frequently) by maintenance
engineers,
(b) Detailed Inspection by a tunnel expert once in 1 to 6 years depending
on the geology and tunnel condition and
330

(c) When unexpected events like train derailments or occurrence of fire

inside the tunnel, natural disasters like earthquakes, landslides,
flooding etc. happen, special inspections may have to be conducted
with the assistance of experts and special equipment to assess the
damage caused to the structural components of the tunnel. There are
a few other inspection procedures and record keeping measures
proposed2 in the RDSO Guidelines
(i) In order that the inspection is carried out effectively, it is
necessary for the inspecting official to familiarize himself with
the drawings of the tunnel if available, the individual components
of the tunnel and their past history. He should study the, previous
inspection reports, construction phase geological records and
data obtained from instrumentation installed, if any.
(ii) There should be a referencing system established, which can be
used for recording the precise location of a defect, so that its
deterioration or otherwise can be monitored during subsequent
inspections and remedial action taken as necessary.
(iii) The recording of the defects noticed during inspection should be
detailed and specific, supported by sketches. Where the defects
are considered to be of a serious nature, It will be preferable to
photograph or even videograph them to have a permanent visual
record. Similar action taken during subsequent inspections will
help in monitoring the rate of deterioration over time. Such
details should be included in a separate report accompanying the
register.
(iv) Present status of the component on which a defect had been
made in previous inspection should be mentioned, supported by
sketches if any.
(v) Observations should be made of any visual signs of movement
or deformation of the tunnel structure/its overburden by recording
systematic convergence measurement. Such measurements are
taken by installing permanent stainless steel reference points
embedded in the tunnel wall by grout along the periphery of the
tunnel section at suitable intervals along the length of the tunnel.
Usually five markers are installed at each cross section, two at
rail level, two at springing level and one at the crown. This will
enable recording of inter distances along six diagonals and five
straights. Any variation in the inter distances recorded on
subsequent occasions would indicate deformation of the tunnel
structure.* It is preferable to use a Tape extensometer for distance
 331

measurement to facilitate ease of use and accuracy.

(vi) A consistent abbreviation system should be adopted in recording
defects. List of abbreviations should be prominently included in
the Register/ Report.
(vii) A standard grading system should be adopted for indicating
severity of defect and their priority for attention.
* While taking such measurements, it is assumed that the reference points
themselves do not shift in position, which may not be true when the tunnel
itself suffers rotational deformation. Rigorous mathematical methods have
been developed for calculating the revised coordinates of the reference points
due to deformation. Reference may be made to the paper on 'Absolute
deformation profile measurement in Tunnels using relative convergence
Measurements by Mahdi Moosavi and Saeid Khazaei, Mining Engineering
Department, The University of Tehran, Iran - Proceedings, 11th FIG
Symposium on Deformation Measurements, Santorini, Greece, 2003'

12.3 INSPECTION COVERAGE AND

DOCUMENTATION
12.3.1 Apart from the Tunnel Inspection Register, in which the defects are
entered using condition codes and comments and short sketches as
mentioned above, the RDSO guidelines stipulate that a 'Supplementary
Tunnel Information Register' should be maintained containing more detailed
information on the defects noted, along with detailed sketches and
photographs of these defects. Similar detailed information on the defects
noticed during the previous and subsequent inspections should also be
incorporated in the Supplementary Register, so that any improvement or
deterioration in the condition of the defect over a period of time can be
ascertained. As far as possible, such information should be entered in the
Supplementary Register during the inspection itself. Where it is not possible
because of the need to photograph or videograph the defects, such
information should be entered in the Register not later than two weeks from
the date of inspection The Supplementary Register should also contain
reference to any special report that might have been prepared on the tunnel
/ defects noticed/ repairs carried out etc., but not included in the register.

12.3.2 Inspection Coverage

The elements of the tunnel and approaches to be inspected and what to look
for are tabulated below (based on provisions in the IRBM 1986):
332

Table 12.1 Coverage of Annual Inspection of Tunnels.

Sl. No. Segment to be inspected Details

1 Tunnel approaches and cuttings Any change in cutting slope, slips,
condition of slope pitching, vegetation (to
be cleared/ controlled), drainage at toe,
catch water drains on top, any loose
boulders
Ii Portals at either end Any signs of slips in the slopes above the
portals, condition of masonry, catch water
drains above the portal, any signs of
percolation into the overburden, growth
of any tress or hanging on slopes (to be
cleared)
iii Tunnel walls, roof, invert, lining Any noticeable change in profile
Condition of rock bolts; condition of
weep holes; Any fresh seepage;
Condition of seepage at joints, bolt holes,
previously noticed;
Condition of lining, any damage caused
by any moving part.
Any rust streaks, specially at cracks and
rock bolt/ target insertion points
-do-Structural condition Any noticeable crack, condition of tell-
tales on cracks noted in earlier
inspections; any flaking or breakage in
masonry, concrete;
Condition of pointing in masonry;
Any hollowness in concrete, specially at
locations showing bulging
iv Drainage Condition of side drains inside and on
approaches upto outfall, adequacy,
v Refuges/ shelters/ cross passages General condition, cleanliness, freedom
from any vegetation, freedom from any
obstructions
vi Ventilation shafts, Adits Their condition of the openings, whether
they are free of any blockages and their
adequacy. Condition of peripheral
surfaces, freedom from any vegetation,
slips,
vii Integrity of profile/ clearances Internal dimensions should be recorded at
specific section and compared with
previous records to detect any movement
/ infringement to Moving dimensions and
minimum clearance requirement, Any
 333

signs of bulging, leaning- (Reference

points should be fixed for the purpose at
completion stage of new tunnels). Use of
tape extensometers recommended.
viii Track Line, Level, condition of rail, sleepers
and fittings, cleanliness of ballast;
condition of base slab, plinths and fittings
in the case of paved track; general
drainage condition
Road pavement Surface evenness, soundness of the
pavement, presence of any ruts, pot holes;
condition of walkways and drainage
ix Lighting,
Fire fighting arrangements,
C communication lines. Their working conditions, adequacy as
noticed during working should
individually be inspected and defects
noted and rectified.
General For tunnels over 200 m length, the level
of pollution and temperature condition
should be checked by enquiry from the
patrolling keymen / gang mate on railway
tunnels and other maintenance personnel
in other than railway tunnels

While inspecting and recording structural defects in tunnel the

component of the tunnel structure inspected should be clearly described viz.
concrete, steel (structural / reinforcement), masonry, shotcrete etc and the
defects classified as 'minor', 'moderate' and 'severe'3. Locations of any joint
or any insert should be carefully examined to see if there is any widening
and ingress of water or soil through it. Any sign of spalling of concrete or
widening of cracks and their severity should be noted, supporting it with
sketches/ photographs. The locations sounding 'hollow' on knocking with a
light hammer should be tested non-destructively normally. In case of doubts,
cores can be taken, and tested, taking suitable precaution to properly seal the
locations where core is taken immediately, in consultation with the designer/
expert. In the case of spalls, the effect of external causative factors like
leakage, ingress of toxic water, frost damage, and likely effect of pollution
/ smoke should be examined. The manual gives guidance for classifying
defects as 'minor', 'moderate' or severe'. For example cracks upto 0.80 mm
deep are 'minor', those between 0.8 mm and 3.2 mm are 'moderate' defects,
and any crack deeper than 3.2 mm is a 'severe' one. Description of type of
defect is also simplified by using abbreviations like B- Buckle; CR-Crack;
SC- scaling; C- corrosion E- Efflorescence; LK- leaking etc..
334

Examination of the upper parts of tunnel wall and roof cannot be done
effectively standing at the road or rail level. Stagings erected will have to be
clear of moving dimensions and will have to be well held against disturbance
by the moving vehicle. Hence it is desirable to use stagings erected on a
trolley/ dip- lorry and use them for the purpose of inspection under 'traffic
block'. Alternatively they can be erected on a wagon attached to a slow
moving train or vehicle.

12.3.3 Defect Grading and Condition Rating

The RDSO Guidelines mentioned above recommends that the defects under
the broad headings of inspection (listed in Table 12.1, e.g., 'Tunnel portals.
Including approaches', 'Tunnel walls, roof, and invert' etc.,) should be
numerically rated as given in Table 12.2 below. Rating will be based on the
location, type, amount / size and extent to which the structure retains its
original character and capacity despite the defect. It will therefore be
necessary for the recording/ rating official to be aware of how the structure
had been designed, so that he can determine to what extent the defect would
affect the objectives of the design and safety margins including clearance
between structure and moving vehicles.

Table 12.2 Numerical Grading of Defects

Rating Description
5 Excellent condition- No defects found
4 Good condition- No repairs necessary. Isolated defects found
3 Fair condition - Minor repairs required but element is functioning as
Original designed.
Minor, moderate, and isolated severe defects are present but no
significant loss.
2 Poor condition- Major repairs are required and element is not
functioning as originally designed. Severe defects are present.
1 Serious condition- major repairs required immediately to keep
structure open to traffic.
Source: Reference 2 and RDSO Guidelines GE: G- 0015.

While summarizing the inspection details and making recommendations,

the inspecting official categorizes the defects as 'Severe', 'Moderate', and
'Minor'. He should also mention the priority of repairs to be carried out as
'Critical', 'Priority' and 'Routine'.
 335

'Critical' would refer to those defects that are likely to cause danger to
the traffic and maintenance personnel. They need immediate remedial action:
the defects need to be under continuous observation. Vehicular traffic may
require observing appropriate speed restriction while negotiating the
defective section of the tunnel. In worst cases, the tunnel may have to be
closed to traffic until rectification of the defects, followed by permanent
remedial measures.
'Priority' attention refers to those that call for further investigations,
study, design and carrying out temporary and / or permanent repairs on
priority basis. It may be kept under close watch till action is taken.
'Routine' type of repairs refers to those that can be carried out as part
of scheduled maintenance repairs.
A 'Tunnel Inspection Report' has to be submitted along with the
Inspection Register, which inter alia should contain a summary of findings
of inspection, catgorised list of repairs required, grouping them under 'minor',
'major', and 'severe' tunnel wise. It should also contain the inspecting
official's recommendation regarding repairs and rehabilitation measures
where called for. While giving such recommendations, he should classify
repair/ rehabilitation measures under the three categories; 'Critical,' ' Priority'
and 'Routine'.

12.4 MAINTENANCE, REPAIRS AND REHABILITATION

1. Cuttings on Approaches and Adits

Any wild growth and trees, likely to obstruct the view of the loco pilot or
likely to endanger the stability of the slopes or cause damage to the portal
or other masonry on approaches and adits should be cleared and the roots
dug out. Any loose boulder on the cutting slopes and slopes behind Portals
likely to drop on the track or roadway should be removed by jacking and
levering. Those that cannot be removed should be broken, if necessary by
blasting and cleared. Side drains on the approaches and catch water drains
on the top of the cuttings and behind portals should be cleaned. Likewise,
any cracks in the masonry/ pitching provided at such locations should be
repaired and rendered leak proof so that there is no danger of water seeping
down through them and causing slips. The ground surface in the zone of
influence should be examined for presence of any cracks which may let water
seep down and cause slips or seepage in the tunnel. Where necessary,
retaining walls should be provided at the toe of slopes.
336

2. Portals
Any cracks or peeling of masonry or damage to the portal walls, arch etc.,
should be promptly repaired with polymer or other suitable mortar, epoxy
resin etc.. Any lean in the walls should be corrected with additional
strengthening arrangements. In the worst case, it will be better to replace the
affected portions of the wall under traffic block. If there is low overburden
on the portal, it may cause seepage / leakage in the tunnel in that the vicinity.
Proper catch water drains, through insertion of perforated pipes may have to
be provided at such locations to prevent accumulation of water and seepage
into the tunnel.

3. Tunnel walls, roof etc.

Cracks in the tunnel wall and roof which are wide should be epoxy grouted
and their behavior kept under watch. If such cracks are accompanied by any
bulge in the masonry, reasons there for should be explored by checking the
design and studying whether there has been of any change in the local
geology. Remedial measures should be decided under expert advice. If there
are any loose rock bolts found, reasons for their looseness, including possible
corrosion should be explored. Spalling of concrete should be attended to, as
any major repair to concrete, by proper recessing, cleaning by jetting or
blowing air and finishing with polymer based concrete or mortar to suit the
location. Heavy spalling may be attended to with application of concrete after
providing a few dowels into base concrete and shotcreting preferably with
wire mesh reinforcement. At locations with hollow concrete, the bad
concrete should be chipped out and replaced in the same manner, if it is
considered local. Major cases of hollow concrete need investigation to see
if there is any external cause for such hollowness.
Leakage: Seepage and leakage are among the major maintenance
problems in tunnels, especially in old tunnels. They can aggravate and lead
to difficult problems like damage to/ deterioration in linings. It may lead to
muddy track also.1 They occur generally where the overburden depth is low
and is made of porous material. Presence of underground springs and streams
can also cause such seepage/ leakage. Leakages generally occur at joints in
masonry lining and construction joints in concrete. Seepage over a wide area
should be carefully examined to locate the cause. Functioning of weep holes
should be checked and blocked ones cleared of obstructions, talus etc.. If any
of them cannot be cleaned, another weep hole should be drilled close by.
Another source of leakage is old shafts. The surface of the rock/ lining should
be kept clear of any soot and deposits and it may be preferable to clean and
whitewash the shaft periodically for providing better illumination.
 337

In case the seepage is heavy, as an immediate relief, holes at about 1m

intervals, staggered if more than one row is required, should be drilled
through the lining at a level as near to the side drain as possible and the water
led into the drain by providing proper grooving. The cause of heavy seepage
should be examined and if possible, accumulation of water above the lining
can be drained away by driving horizontal perforated pipes through the side
soil. Construction joints or cracks with seepage should be sealed by cutting
a vee-shaped groove along the crack/joint and sealing it with proper grouting/
guniting and caulking. Where stopping leakage by this method is not
successful at joints or cracks, it will be preferable to attend to the joint by
sealing/ shotcreting but with a recess along, and to let the seeping water out
by drilling a series of holes through in the recessed drain channel upto the
side drain below.

4. Changes in Profile
If any signs of closing in on the walls or settlement in roof is noticed, it
should first be checked whether there is any infringement to moving
dimensions: if so, suitable speed restrictions should be imposed and the same
location monitored by frequent checking. If it is noticed that movement is
not stabilised, but continues, more detailed investigations will need to be
done to study the external movements of the soil/ ground and remedial action
taken with expert advice.

5. Shafts/ Adits
The main task is to keep there the shafts/adits clean and clear and any
structural defect must be attended to, so that they serve the purpose they were
intended to serve.

6. Track and Road pavement

In addition to the normal day to day or periodical attention they receive,
immediate remedial action should be taken to rectify any defect found during
these inspections on a priority basis. Drains should be cleaned periodically
and it is preferable to cover the drains for workmen to walk freely.
Similarly the other utilities like Ventilation, lighting, fire fighting
facilities, water pipe line and communication lines and equipment will need
to be kept in working order and any defects found during these Inspections
should be attended to on priority.
338

12.5 PRACTICE ELSEWHERE

The Inspection and Systematic maintenance of tunnels and Safety aspects is
now being given significant importance in other countries like USA, Japan
etc.. They have brought out Manuals, devoted for the purpose and/ or Safety
Aspects4. Examples are:
(i) USA: Tunnel Management System - brought out jointly by the
Federal Highway Administration and Federal Transit Administration:
containing five chapters viz., Introduction; Tunnel construction &
Systems; Fundamentals of Tunnel Inspection; Inspection Procedures;
General Discussion and Inspection Documentation. (Reference 4
gives more details of the contents.)
(ii) Japan: Japanese Railways had been adopting the traditional manual
methods of inspection in the past. But ‘Smart technology’ tunnel
inspection methods are increasingly being used, such as Image
scanning system of tunnel lining using line-sensor CCD camera,
Image scanning system of tunnel lining using laser beam, Tunnel
lining inspection system Using Multipath array radar, as described in
a Paper on 'Maintenance of railway tunnels with smart technology'
by KIWAMU TSUNO Railway Technical Research Institute
submitted in CSIC/JSPS International Symposium 13 Nov 2012
(iii) German Railways: Guidelines ER1 (1)
(iv) Swiss Railways: Guidelines SIA 197 (11), (12)
(v) UK- One chapter in their Manual for Bridges and Tunnels.
The FHWA Manual is very exhaustive and it covers a chapter on Design
aspects also. It is like 'hands on' guide book for Tunnel Inspection. Chapter
3 in the manual covers exhaustively what to inspect in each major
component, discipline wise (civil/ structural; mechanical; and electrical
components) instructions and formats to be used. Chapter 4 covers frequency
of inspection, what to look for in each component, how to classify defects
and numerical grading of the component concerned and action to be taken.
Two tables have been suggested for grading. Table 4.01 is a General
Condition Code. Table 4.02 is in more detail for covering each type of lining
like cut and cover lining, linings in tunnels in soft ground, linings in tunnels
in rock and timber lined tunnels. They have adopted a 10 point grading o to
9 in both cases. - Grade 9 refers new condition; 8 - Excellent with no defect;
7-Good - with isolated defects; 6 - Shade in between 5 and 7; 5- Fair- minor
repairs required, element functioning as intended; 4- Shade between 3 and
5; 3-Poor - Major repairs required to keep it open; 2 Serious- Major repairs
 339

required to keep it open for traffic; Grade I is for 'Critical condition when
the tunnel is to be closed for traffic and study of feasibility of repairs; Rate
0 refers to a tunnel closed and beyond repairs.
Frequency of detailed inspection specified, apart from daily, weekly,
monthly routine inspections, is once in 5 years for new tunnels and upto once
in two years for older tunnels, depending on the age and condition of tunnel;
for mechanical equipment like fans, pumps, motors, etc. Table 4.03 of the
Manual indicates a frequency of inspection varying from daily, fortnightly,
monthly, quarterly and annual, and going upto ten years. The percentages of
tunnel owners who enforce these inspections are also indicated.
While describing individual defects, they are to be classified as ''Minor',
'Moderate', or 'Severe' according to criteria laid down in the manual for each
component of the tunnel. Though the method of inspection suggested is
visual and non- destructive methods, it gives the inspector freedom to call
for collection of samples (cores for determination of strength, freeze/ thaw
characteristics etc.)4.
For 'track' in Railroad tunnels, it lays down instructions regarding
tolerances in various elements of track geometry and condition of individual
components like 'rail', 'sleeper' etc. For more details, References 4 and 5 may
be referred to.

12.6 RECENT DEVELOPMENTS

Modern practices in many countries abroad are to do non invasive study of
the condition of tunnels and overburden.

12.6.1 Geophysical Techniques

Modern geophysical techniques can be harnessed to determine ground
properties and geometry for heights varying from a few meters to more than
one kilometer above the tunnel. Multichannel seismic reflection methods,
developed for Oil and Gas exploration, can be used to determine the
structural discontinuities in the overburden such as faults, folds or cavities
in the bed rock strata. This will be of great use both in new tunnel projects
and in maintenance of existing tunnels. In the past two decades, Ground
penetrating radar (GPR) is being increasingly used as a non invasive
technique, particularly in masonry and concrete lined tunnels to assess the
condition of the lining, the faults in the overburden or hidden construction
shafts. GPR uses electromagnetic radiation in the microwave band (UHF/
VHF frequencies) of the radio spectrum, and detects the reflected signals
from subsurface structures. The radar survey is conducted by repeatedly
340

profiling an antenna along the tunnel intrados generally using a hydraulic

access platform which can be road or rail mounted.

12.6.2 MOBILE INSPECTION SYSTEM6

A new mobile inspection system for an accurate assessment of the tunnels
has been developed by Euroconsult Group in Spain. Known by the name
"Tunnellings", it is capable of taking 3D and 2D photographs of the visible
tunnel structure as it moves in the tunnel. It basically consists of sensors
comprising a laser light source and a digital camera fixed at an angle to the
light source. See Figure 12.1.The sensors are pointed towards the interior
surface of the tunnel, the light switched on and the digital camera operated.
The distances to each point are calculated by trigonometry and used to
prepare 3-D and 2-D photographs. A maximum of six sensors and cameras
are placed in a frame with adjustable arms to suit the profile of the tunnel
and mounted on a rail or road vehicle. These six sensors are capable of
covering one half of the tunnel perimeter during the forward movement of
the vehicle, the other half being covered during the return run of the vehicle
The camera has a depth accuracy of 0.5 mm and a longitudinal accuracy of
1 mm (adjustable).

Source: Reference 6
Figure 12.1 A road mounted vehicle carrying the sensors
 341

The monitoring and control system consists of an industrial computer for

the sensors' synchronization and a monitor for control and monitoring tasks.
A high resolution odometer is also provided to record the longitudinal
distances. The vehicle is moved along the tunnel at speed of 30 kmph to
record the data of the tunnel surface. The 3-D and 2-D images are captured
and stored in the computer and can be downloaded to a computer in the
central office to have a permanent record of the inspection. Such automation
of inspection is claimed to be very useful in maintenance of very long
tunnels, greatly reducing manpower requirements for manual inspection of
long tunnels. A typical image captured during inspection of a lining is
presented in Figure 12.2. Even 2-D pictures are clear enough to show cracks
and surface defects on the lining.
A comparison of a number of inspections of the same tunnel can be
carried out quickly also. Thus structural defects and evolution of defects in
the lining can be assessed with this facility. This comparison facility can
make it possible progress to assess of any geometric variations like
convergence, segment displacements etc., on the section.

Source: Reference 6.
Figure 12.2 Photograph showing a 3-D reconstruction of the data logged, giving
a clear picture of the health of the tunnel lining, including cracks,
leakage and spalls

The system is also capable of assessing the condition of the permanent

way and other track structure in the tunnel. It includes an assessment of
transverse section (line and level) by means of '3-D geometry,' and detection
flaws like corrosion, defects in fixtures, cracks in sleepers/ plinth of slab
tracks etc..
342

12.7 REFERENCES

1. IRBM (1986) - Indian Railways Bridge Manual - Chapter 10; Railway

Board, Ministry of Railways, New Delhi
2. Brijesh Kumar and Sanjay Mishra (2014), ‘Tunnel Inspection - A Practical
Approach: Key Provisions of RDSO’ National Technical Seminar on
'Management of P.Way Works through Need Based Outsourcing & Design,
Construction and Maintenance of Railway tunnels' Jaipur 2014. (Volume II)-
pp 357-369
3. RDSO, (2012), Guidelines No GE: G-0015. 'Guidelines for Civil Engg.
Inspection, Maintenance and Safety in existing Tunnels' 41P
4. Agarwal, M. and Miglani, K.K. (2014) -'Global Experience of Design,
Construction and Maintenance of Railway Tunnels with Special Reference to
The Indian Railways', National Technical Seminar on 'Management of
P.Way works through Need Based Outsourcing & Design, Construction and
Maintenance of Railway tunnels' Jaipur 2014. (Volume II), Institution
Permanent Way Engineers (India), New Delhi.
5. 'Highway and Rail Transit Tunnel Inspection Manual', US Department of
Transportation, Federal Highway Administration.
6. Gavilán M., Sánchez M, F., Ramos and J.A., Marcos, O., (2013) 'Mobile
inspection system for High-resolution assessment of tunnels by
EUROCONSULT GROUP', 6th International Conference on Structural
Health Monitoring of Intelligent Infrastructure, Hong Kong, December 2013
 Abbreviations
BLT Ballastless Track
CL Centre Line
CMRL Chennai Metro Rail Ltd.
DBK Dandakaranya Bolangir Kiriburu Project
DMRC Delhi Metro rail Corporation
ETBM Earth Balancing type Tunnel Boring Machine
GPR Ground Peneteration Radar
ICJ Indian Concrete Journal
IPWE (I) Institute of Permanent Way Engineers (India)
IR Indian Railways
IRICEN Indian Railways Institute of Civil Engineering
ITA International Tunnelling Association
KRCL Konkan Railway Corporation Ltd..
LEL Lower Explosive Limit
MPBX Multiple Point Borehole Extensometer
NATM New Austrian Tunnelling Method
NGI Nolwegian Geotechnices Institute
NMT Norwegian method of Tunnelling
PSC Prestrssed Concrete
RC, RCC Reinforced Concrete
RDSO Railway Research and Designs Organisation
RMR Rock Mass Rating
RQD Rock Quality Designation
SDA Self Drilling Anchor
344

SOD Schedule of Dimensions

SEM Sequential Excavation
SPBX Single Point Borehole Extensometer
SPL Springing Level
SVJNL Sutluj Vidhyut Jal Nigam Ltd..
TBM Tunnel Boring Machine
tlm Tunnel lane Metre
UCS Ultimate Compressive Strength
UIC International Union of Railways
USBRL Udhampur Srinagar Baramulla Rail Link
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 About the Authors

Dr S. Ponnuswamy is former Additional General Manager, Southern

Railway, Chennai. He took his B E (Civil) from Madras University, M S
(Transportation) from IIT Madras and PhD from Anna University. He is a
Fellow of the Institution of Engineers (India), Fellow of the Chartered
Institute of Logistics and Transportation, London and Member, Institution of
Structural Engineers, London. He gained wide experience on planning,
design, construction and maintenance of Rail and Road way and structures
serving in different parts of the country and in Nigeria. Since his retirement
from Railways, he had been a Guest Faculty in Indian Institute of
Technology Madras and College of Engineering, Guindy teaching
Transportation System and Transport Structures related subjects. He has been
associated as a Consultant on several Transportation and Bridge projects for
RITES, New Delhi. He has authored over 40 papers published in India and
abroad, and authored a book each on 'Bridge Engineering' and 'Railway
Transportation' and co-authored a book on 'Urban Transportation'.
Late Dr David Johnson Victor, former Professor of Civil Engineering
and Head of Transportation Division, Indian Institute of Technology, Madras
had earned his BE (Civil) from Madras University, M.Tech (Structures) from
IIT, Kharagpur and Ph.D. from University of Texas, Austin Texas, USA. He
was a Fellow of the Institution of Engineers (India). He founded and headed
the Transportation Division for over 18 years. He served on invitation as
Professor at Toyohashi University of Technology, Japan. He had long and
wide experience in Teaching, Research and Consultancy in fields of
Transportation Planning and Structures and authored over 75 papers
356

published in India and abroad. He had been awarded medals and prizes for
three of his research papers from the Institution of Engineers (India)
including Railway Board Gold medal and E. P. Nicholaidas prize and
commendation certificate for one from the Indian Roads Congress. He had
participated in a number of Indian and international conferences and chaired
some sessions on Transportation. His book on 'Essentials of Bridge
Engineering', now in sixth edition is adopted as a textbook in most
universities in India and he is the lead author of the book on 'Urban
Transportation'.