13th Australian Tunnelling Conference Proceedings 2008

13th Australian Tunnelling
Conference Proceedings
2008
4 - 7 May 2008
Melbourne, Australia
The Australasian Institute of Mining and Metallurgy

Publication Series No 3/2008
Published by
THE AUSTRALASIAN INSTITUTE OF MINING AND METALLURGY

Level 3, 15 - 31 Pelham Street, Carlton Victoria 3053 Australia
© The Australasian Institute of Mining and Metallurgy 2008
All papers published in this volume were refereed prior to publication.
The Institute is not responsible as a body for the facts and opinions advanced
in any of its publications.
ISBN 978 1 920806 80 4
Desktop published by:

Kristy Pocock, Cassandra Ball and Robert Stove for
The Australasian Institute of Mining and Metallurgy
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Foreword
On behalf of the Australasian Tunnelling Society (ATS) and the Organising Committee, it is my
great pleasure to welcome you to Melbourne and the 13th Australian Tunnelling Conference
(jointly sponsored by The AusIMM and Engineers Australia).
These ATS conferences are a triennial event and the pre-eminent meeting in Australia for
discussion of what is happening in our industry. The theme of this conference – ‘Engineering in a
Changing Environment’ is to reflect the challenges and changes in the way we now work to meet
the expectations of the community and our society. Combined with the very buoyant conditions in
both the civil infrastructure and the mining sectors, which is expected to continue for some time,
this conference is an opportune time to take stock, reflect and discuss and promote our work,
products and learn from others.
The Conference will endeavour to encourage debate and discussion. I hope that all delegates are
able to fully participate and are able to meet and engage with new and old friends in this exciting
industry of ours. I hope that some of the ideas, concepts and solutions will be of benefit.
All papers have been peer reviewed and edited where necessary to ensure the highest quality and
relevance.
I would like to thank all authors, presenters and the keynote speakers for their time and
contributions, the Organising Committee for their hard work and the sponsors and exhibitors for
making the conference an economic reality. I would also like to thank the staff of The AusIMM for
their valuable assistance and contribution in planning and making this conference a great success.
Russell Cuttler
Conference Chair
Contents
Opening Address
Shaping our Future K Mathers 3
Australian Tunnelling Projects
Design and Construction of the City West Cable Tunnel, Sydney J J Ashley 7
Australia
When the Portal is in the Sea – Design of the Marine Risers and J Garnier and W Angerer 21
Tunnel Connections for the Gold Coast Desalination Plant
Tugun Bypass Tunnel Using Top-Down Cut-and-Cover Method J Hsi, S Lambert and M Thomas 29
Perth City Rail Tunnel Project – Overview, Geotechnical E Hudson-Smith and M Grinceri 39
Conditions and Building Protection
The Design and Construction of a ‘Batcave’ D Lees and D Dickson 51
Design Basis and Construction Experience for a Bolt and B Shen and I Chan 55
Shotcrete Lined Tunnel for the Wambo Rail Spur
Traffic and Emission Modelling for Surface Roads near the M Vasilovska 59
Lane Cove Tunnel Corridor
Design and Development of Ground Support
Shotcrete Lining Design for Underground Excavations in Rock – S Barrett, L McQueen and 63
The Current State of Practice B Bendtsen
Use of Shotcrete Arch as Tunnel Support – A Case Study I Chan and B Shen 71
Developments in the Use of Steel Fibre Reinforced Concrete J Greenhalgh, C Roberts and 77
(SFRC) in Precast Segments for Tunnel Linings J Brown
Static Testing of Shotcrete E C Morton, A G Thompson, 83

E Villaescusa and D Howard
Effect of the Patternised Pin Drain on Reduction of Pore Pressure H-S Shin, D-J Youn, Y-S Jung, 89
Behind Waterproof Shotcrete Linings for Tunnelling G-J Bae and J-H Shin
Three-Dimensional Modelling of Construction Tolerance in G Swarbrick and R Bertuzzi 95

Trapezoidal Segments
Developments in Tunnel Lining
Predicting Carbonation of Concrete in Tunnels M L Berndt 101
Microtunnelling Solution for Bulimba Creek Trunk Sewer R Bhargava, C Jewkes and 109
A Domanti
Northern Sewerage Project – Liner Selection in a Corrosive G W Davidson, M E Trim, 115

Environment D G Franklin, J V Myers and
P J Hansen
Design, Inspection and Rehabilitation of the New Croton A Noble, D Roberts and A Fareth 123
Aqueduct, New York City
EastLink Tunnels
Project Overview – EastLink Tunnel J Gardiner 137
EastLink Tunnel – Permanent Concrete Lining and K Assi, F Lebbing and E Taylor 139
Waterproofing Design
Selection of Primary Support in the EastLink Tunnels A Bennett, P Campi and 149
M Dodds
Fire and Life Safety – The EastLink Perspective P S Smith and C MacDonald 157
Fire and Life Safety
Deluge System Operating Effectiveness in Road Tunnels and M Bilson, A Purchase and 167
Impacts on Operating Policy C Stacey
Operational Management of Fire Suppression Systems A Dix 175
Road Tunnel Protection by Water Mist Systems – Implementation S Kratzmeir 181

of Full-Scale Fire Test Results into a Real Project
Results and Experiences with Nitrogen Dioxide (NO2) C Seewald 187

Measurement in Road Tunnels
Geotechnical and Hydrogeological Developments
Analysis of the Creep Behaviour of Tunnels in Sandstone/Shale R Chen and J C Small 197
Prediction of Rock Mass Properties Ahead of Tunnel Face K-Y Kim, K-S Kim, C-Y Kim and 203
Using Drilling Parameters D-G Kim
Tunnel Groundwater Inflow Measurement W Meynink, R Witt and M Lowing 209
Impact of Rock Mass Characteristics on Hard Rock Tunnel A Ramezanzadeh, J Rostami 213
Boring Machine Performance and D Tadic
International Projects
Peanuts and Tunnel Stuffing – The Brightwater Conveyance D N Adams, J J Johnson, 223
System East Contract M E Trim and W Cranston
Recent Advances from the United Kingdom Tunnelling Industry – T Ireland and T Rock 231
The A3 Hindhead Project
Design of Shallow Caverns in an Urban Environment H Lagger, A Amon and S Pollak 239
North Shore Connector Tunnel Project, Pittsburgh, USA A J Miller, M D Boscardin and 247
P A Roy
Aspects of the Design and Construction of the Chong Ming F Ng, B Frew, E Wong and 253
Tunnel Shanghai G Ferguson
The Bosphorus Rail Tunnel Project V Tellioglu and A Unlutepe 265
Lower Lea Valley Cable Tunnels – A Case Study of a Program S Woodrow 273
Critical Project
Landmark Projects
Soft Ground Tunnelling in Melbourne – Investigation and P Clark, M Dixon and 281
Design of the Melbourne Main Reliever T O’Shannessy
Big Diameter Tunnelling Beneath Low Rock Cover D Meyer, F Brodbeck and 297
N McKenzie
Planning and Investigation of the Airport Link Tunnel and D Stewart, A de Aboitiz and 305
Northern Busway, Brisbane T Peglas
Mining Projects
Improving Roadway Development in Underground Coal Mines G Lewis and G Gibson 317
Polymer-Based Alternative to Steel Mesh for Coal Mine Strata C Lukey, G Spinks, E Baafi, 327
Reinforcement I Porter and J Nemcik
Stability of Raise Bored Shafts in Australian Mines W A Peck and M F Lee 331
Geotechnical Shaft Reconciliation at Oyu Tolgoi, Mongolia P Voulgaris, M F Lee, A Purvee 339
and L J Mollison
New Zealand Focus
Excavating a Tunnel in the Foothills of the Southern Alps of J Edwards and E Giles 351
New Zealand
An Appraisal of Tunnelling in the Auckland Region for A Hodgson and and J St George 361
Infrastructure Development
Microtunnelling the Ocean Outfall Pipeline, Christchurch, New J Moore, R Fleming and G Jones 367
Zealand
Design and Construction of Tunnels for Northern Gateway D Sykes, B D Hegan, M Behrens 377
Project, New Zealand and A McPhee
Risk Management in Tunnelling
Creating a Geotechnical Baseline Report for Project Hobson, H Asche, M Sheffield and 387
Auckland M Sheffield
Risk Management Through Design – Experiences from the T Ireland 393

United Kingdom Tunnelling Industry
The Code of Practice for Risk Management of Tunnel Works – H Moll 399
Future Tunnelling Insurance from the Insurer’s Point of View
Recent Developments in Tunnel Fire and Life Safety Standards J Munro 405
and Guidance
The Use of Risk Analysis to Achieve Consistency in the Fire L Poon 413
and Life Safety Design of Road Tunnels
Managing Underground Risks in Singapore Through J Rozek and L N Loganathan 419

Geotechnical Interpretative Baseline Reports
Management of Hydrogeological Risk in Tunnelling Projects K Srivastava 423
Risk ‘Thinking’ for Australian Tunnelling P Standish 429
Tunnel Boring Machine (TMB) Tunnelling
Urban Tunnelling Challenges – Mechanised Tunnelling to M Herrenknecht and U Rehm 439

Improve Life Quality in Cities
Twin Stacked Tunnels – KDB200 Kowloon Southern Link, D R Hake and I P W Chau 445
Hong Kong
Tunnelling for Bogong Hydropower Development R Rooney and A Kindred 453
Workshop – Concrete Segmental Linings for Tunnels and Shafts
Design of Steel Fibre Reinforced Segmental Lining for the Gold W Angerer and M Chappell 463
Coast Desalination Tunnels
Design of a Steel Fibre Reinforced Concrete Segmental Tunnel L Drowley and A Kuras 471
Lining – City West Cable Tunnel Project, Sydney, Australia
Shaping our Future
K Mathers1
ABSTRACT
The presentation will address the following:
• infrastructure trends in Australia,
• learning from experience,
• the challenge of urban congestion,
• how industry can help bring infrastructure projects to fruition, and
• funding models of the future.
1. CEO, Southern and Eastern Integrated Transport Authority (SEITA), Victoria Building 1, Level 1, Brandon Business Park, 540 Springvale Road, Glen
Waverley Vic 3150. Email: ken.mathers@doi.vic.gov.au
13th Australian Tunnelling Conference Melbourne, VIC, 4 - 7 May 2008 3

Design and Construction of the City West Cable Tunnel, Sydney
Australia
J J Ashley1
ABSTRACT 1.7 km long and is aligned approximately north-south along the

western side of the CBD and traverses beneath Darling Harbour
EnergyAustralia is a state-owned corporation in the state of New South
Wales, whose responsibility includes ownership and management of an before aligning with Sussex Street to the north. Three 132 kV
electricity distribution network. Expansion of the high voltage feeder cables will extend from the TransGrid BSP in the south to
distribution network in the Sydney central business district (CBD) the City North Substation with an additional two 132 kV feeder
includes the requirement to run an additional five 132 kV feeders over cables entering the tunnel at the connection to City Central
1.7 km from south of the CBD to a new 132 kV substation in the northern Substation and continuing to the City North Substation. Mary
section of the CBD. A driven tunnel is currently being excavated in Ann Street shaft provides personnel access to the tunnel and safe
Sydney sandstone beneath Darling Harbour to contain the new 132 kV egress in the event of an emergency. Plant and equipment for
feeders. Tunnel construction methods involve both roadheader and tunnel tunnel ventilation and tunnel access and control are also located
boring machine (TBM) excavation. This paper describes the design within the Mary Ann Street shaft.
development of the cable tunnel, discusses the use of a geotechnical
baseline report as an integral part of the contract documentation and The main access to the CWCT both during construction and
provides an update of the current construction works. during subsequent operation of the facility is via the vertical
shaft at the end of Mary Ann Street in Haymarket. Due to the
tunnel access restrictions, two forms of tunnel construction have
INTRODUCTION been adopted, namely:
EnergyAustralia (EA) is a state-owned corporation in the state of • south from the base of the Mary Ann Street shaft, a
New South Wales whose responsibility includes ownership and roadheader tunnel extends about 80 m to basement level B3
management of an electricity distribution network. EA is in the of the TransGrid BSP; and
process of upgrading its 132 kV distribution network within the
Sydney central business district (CBD) and as part of that • extending about 1.6 km north from the Mary Ann Street shaft
upgrade a new 132 kV cable tunnel is being constructed between base to the City North Substation, the tunnel design allows
TransGrid’s Haymarket bulk supply point (BSP) and the for a tunnel boring machine (TBM) excavated bored tunnel
proposed new City North Substation (CNS). The new tunnel is assuming a maximum 4.0 m diameter excavation.
known as the City West 132 kV Cable Tunnel (CWCT). The design of the City West Cable Tunnel has been controlled
The design of the civil works and tunnel services for the principally by the geotechnical conditions existing along the
CWCT has considered EA’s main requirements for the cable proposed tunnel alignment and in particular the variation in
tunnel, which include providing the following: depth to rockhead, the constraints imposed on the alignment by
• an accessible cable tunnel and associated facilities and existing surface and underground infrastructure, the expected
services to enable efficient installation and operation of tunnel construction methodologies, the spatial requirements to
132 kV feeders, install and to accommodate up to five 132 kV feeder cables and
• infrastructure that will accommodate up to five 132 kV associated control cables and the over-riding requirement from
feeders, EnergyAustralia for an essentially dry tunnel. These issues are
discussed in the following sections.
• infrastructure which allows for future connection to the
Dalley Street and City East Substations,
• an essentially dry tunnel with total groundwater inflow TUNNEL DESIGN CONSIDERATIONS
limited to 300 litres per day per 100 m length of tunnel,
Geotechnical and hydrogeological conditions
• a low maintenance environment suitable for continuous
operation of feeders for their design life, The geotechnical studies carried out for the CWCT indicate that
• an environment suitable for personnel access during routine the geology along the tunnel alignment comprises slightly
inspections/maintenance and emergencies, and weathered to fresh Hawkesbury Sandstone overlain by variable
depths of weathered bedrock and in some areas variably
• infrastructure that can be constructed with minimum risk to compacted fill and alluvium. Generally the sandstone has
existing electrical and other infrastructure.
saturated compressive strengths of between 20 and 40 MPa with
This paper provides a general description of the cable tunnel quartz contents from 65 per cent to 80 per cent.
project including the design of the main civil and tunnelling Both massive facies and sheet facies or cross-bedded
works, the ground conditions expected and the tunnel services to sandstones make up what is described as Unit 6 in the
be installed as part of the tunnelling works. The use of a geotechnical definitions of ground types. Major geological
geotechnical baseline report, as part of the construction contract
features identified in the Sydney CBD are summarised in
for the works, is also mentioned.
Figure 2. These comprise a number of near vertical zones of
faulting or closely spaced joints including the GPO Fault Zone,
GENERAL PROJECT DESCRIPTION which is expected to intersect the CWCT south of the connection
The alignment of the CWCT is shown in Figure 1 on an aerial to the City Central Substation. In addition, the tunnel is expected
photo background of the Sydney CBD. The tunnel is about to intersect at least two dolerite dykes; the Pittman LVII Dyke to
the north of the Mary Ann Street shaft, and the Great Sydney
Dyke at about chainage 370 on the western side of Darling
1. Technical Director, Maunsell Australia Pty Ltd, PO Box Q410, QVB Harbour. The CWCT alignment will cross the Pittman LVII dyke
Post Office, Sydney NSW 1230. Email: john.ashley@maunsell.com at an angle of about 45 degrees approximately 55 m north of the

J J ASHLEY
FIG 1 - Tunnel location.
FIG 2 - Geological features.
8 Melbourne, VIC, 4 - 7 May 2008 13th Australian Tunnelling Conference

DESIGN AND CONSTRUCTION OF THE CITY WEST CABLE TUNNEL, SYDNEY AUSTRALIA
Mary Ann Street shaft. To avoid possible complications arising Darling Harbour, passing beneath the monorail and Darling
from extending the TBM assembly cavern into the dyke area, a Drive. The alignment maintains a minimum 5.0 m clearance to
shorter, 25 to 30 m long, TBM cavern was adopted. the boundary of the Entertainment Centre car park and avoids
Groundwater level monitoring data in the area of the CWCT is passing beneath either the main columns or the tie down column
based on boreholes completed specifically for the proposed foundations of the Exhibition Centre. Heading north-east from
tunnel, in boreholes that were monitored during construction of the Exhibition Centre, the alignment passes beneath Tumbalong
the existing EA CBD cable tunnel and on data available from Park, the Western Distributor and the Cross City Motorway
certain boreholes at the western end of the Cross City Tunnel. (CCM) ventilation tunnel before interfacing with the City Central
Based on the groundwater monitoring data, there appears to be at shaft connection. The tunnel continues under Darling Park
least two groundwater systems, a perched system in the recent Towers one and two, before a 300 m radius curve swings the
fill and alluvium and a system in the sandstone that has been alignment under Sussex Street where it continues to the City
drawn down by seepage into deep basements and the Cross City North interface at about chainage 1565.
Tunnel. The vertical alignment of the tunnel has been selected to keep
The mass permeabilities of the bedrock are controlled by the tunnel within the Hawkesbury Sandstone bedrock. For the
joints, faults and bedding planes within the rock. In situ roadheader tunnel south of Mary Ann Street rock cover above
permeability tests indicate that typical lugeon values for the dyke the tunnel crown is maintained at between 6 m and 9 m. By
units are greater than 50. Also permeability test results of 65 and maintaining a constant grade of 1.0 per cent through the TBM
127 lugeons appear to be associated with the GPO Fault Zone. assembly cavern, the base of the access shaft and the TBM
It is therefore expected that during construction, there will be backup area south of the shaft, the maximum grade of the
particular features that will generate most of the groundwater roadheader tunnel increases to 7.1 per cent to tie-in with the
TransGrid BSP basement B3 level.
inflow into the tunnel, these being open joints and faults
associated with the fault zones, dyke areas and open bedding In the TBM tunnel section, rock cover is generally between
planes. 10 m and 30 m. Between the end of the TBM assembly cavern,
north of the Mary Ann Street shaft, and the City Central
A detailed treatment of the geotechnical and hydrogeological Substation (CCS) interface, the tunnel alignment grades down at
conditions applicable to the CWCT are contained in Pells 2.4 per cent to maintain a minimum rock cover of 5.0 m beneath
Sullivan Meynink Reports PSM.R11 and PSM.R12. the depressed rockhead in the paleovalley under Tumbalong Park
and to provide a minimum clearance of 3.5 m where the tunnel
Tunnel alignment passes beneath the ventilation tunnel of the Cross City Motorway
(CCM). The low point in the tunnel alignment is located at the
The 80 m long roadheader section of the tunnel alignment CCS interface, which is about 50 m north of the CCM vent
includes two 30 m radius reverse curves to avoid the existing tunnel crossing so that the sump structure and the interface
TransGrid ventilation shaft and to break into the BSP between cavern structure are combined to minimise the number of
the existing CBD Cable Tunnel and the TransGrid Tunnel as breakout structures through the bored tunnel lining. The CWCT
shown in Figure 3. connects via a side cavern and vertical shaft to the cable
basement of the City Central Substation.
Between the CCS cavern and the City North Substation (CNS)
interface there are four main constraints on the vertical alignment
of the CWCT: the basements to Darling Park Towers one and
two, the possible future Metrowest rail tunnel, the interface with
the CNS and the limiting grade for safe TBM backup operations.
The vertical grade of the tunnel in this section has been limited
to 3.2 per cent to facilitate operation of a rail-based mucking
system for TBM excavation and to interface with the CNS at a
subbasement level of -15.48 m. A short side cavern forms the
connection between the CWCT and the basement of the City
North Substation.
Tunnel cross-section
The minimum internal dimensions for the CWCT have been set
to accommodate:
• a clear working space 1600 mm wide × 2400 mm high,
• up to five feeders supported on brackets with minimum cable
to cable spacing of 450 mm,
• pilot cables,
• joint bay, and
• tunnel services.
The expected groundwater inflows at pressures of up to 40 m
head of water has dictated that in the low cover areas and in the
FIG 3 - Haymarket connection. GPO Fault Zone and dyke zones, either probe drilling is carried
out in advance of the face in conjunction with permeability
To maximise the type and range of mechanical excavation grouting, or a closed face shielded TBM is used to excavate the
options for the TBM tunnel section, a minimum horizontal radius tunnel. Due to the principle design requirement for an essentially
of 300 m was adopted. The initial tunnel alignment is straight to dry tunnel, and based on preliminary construction programming,
accommodate a TBM assembly cavern, which is about 25 m in it was decided that a shielded TBM would be specified to
length. At about 160 m north of the access shaft, a 350 m radius excavate the tunnel north from the Mary Ann Street shaft in
curve steers the alignment toward the Tumbalong Park area of conjunction with installing a precast segmental concrete lining.

J J ASHLEY
The lining is specified to be watertight and designed for the The roadheader tunnel between the Mary Ann Street shaft and
maximum external hydrostatic pressure. With utilisation of the the TransGrid BSP will be subject to a maximum hydrostatic
appropriate tunnelling machine, this is expected to deliver the pressures of up to 10 m head of water. Although a drained tunnel
shortest overall construction period, combined with an could be adopted for this section where the groundwater is
essentially dry tunnel with high-quality finish. Fully sealing the already substantially drawn down by the existing tunnels, the
TBM tunnel will also: design requirement for a dry tunnel had to be satisfied. As a
• preclude the need for a water treatment plant, result, the roadheader tunnel, including the Mary Ann Street
• remove the risk of mobilising pockets of contaminated shaft base and the interfaces with the tunnels heading north and
groundwater, south, are designed to be fully tanked.
• maintain a benign environment within the tunnel to facilitate
the durability of the lining and in-tunnel fixtures, DESCRIPTION OF THE TUNNELS AND SHAFTS
• provide a clean environment within the tunnel for
maintenance and for possible future cable installation, and Roadheader tunnel
• remove the risk of long-term settlement due to groundwater The roadheader section of the CWCT extends from the base of
drawdown. the Mary Ann Street shaft about 80 m to the south to provide a
Figure 4 shows the original concept design for the TBM connection to the existing TransGrid bulk supply point (BSP).
excavated tunnel. The roadheader tunnel is being excavated with a height of 3.6 m
and a width that varies from 4.5 m adjacent to the base of
the shaft to about 3 m at the connection to the TransGrid BSP.
Primary support is provided by pattern rock bolts and shotcrete.
The tunnel has been designed as a fully tanked structure to
provide a dry interior with clearances of 2.3 m (minimum) wide
and 2.7 m high. Tanking is achieved by the use of a full
perimeter waterproof membrane in combination with cast in situ
reinforced concrete permanent lining.
Figure 5 shows the typical sectional layout of the roadheader
tunnel, which provides a minimum internal clear height of about
3 m.
The Initial grade of the roadheader tunnel is up at one per cent
to suit spoil handling associated with the TBM drive. The tunnel
then grades up at 7.1 per cent to match the BSP basement B3
FIG 4 - Concept design for tunnel boring machine (TBM) tunnel level at the tie-in location. The interface of the roadheader tunnel
section. at the TransGrid BSP basement is shown in Figure 6.
FIG 5 - Typical roadheader tunnel.

The overall depth of the shaft is about 22 m to finished floor

level. During construction, the rock cavern formed at the base of
the shaft has minimum clear dimensions of 8.2 m by 6.7 m. The
permanent lining of the shaft will be fully tanked by the use of a
full perimeter waterproof membrane and permanently lined with
cast in situ reinforced concrete. The minimum clear dimensions
of the permanent lining to the shaft will be 7.0 m by 5.5 m. The
permanent shaft structure will house the tunnel control room
including ventilation fans, control panels, switchrooms, air lock
into the tunnel and equipment hoist. Stair access will be provided
FIG 6 - Interface in TransGrid bulk supply point (BSP) basement. to the base of the shaft.
A view at the base of the Mary Ann Street shaft looking
towards the roadheader tunnel section is shown in Figure 8.
Tunnel boring machine (TBM) tunnel
The TBM tunnel will be lined with precast concrete segmental
lining to provide an internal clear diameter of 3.2 m. The 30 per
cent design details of the segmental lining included tapered
trapezoidal segments with six segments to a ring. The segments
were typically 0.2 m thick and formed a 1.2 m wide ring.
Subsequent design development has resulted in the adoption of a
similar ring configuration, utilising 0.2 m thick steel fibre
reinforced segments comprising a 1.0 m wide ring. The design of
the segments includes a full perimeter EPDM gasket for
waterproofing the tunnel.
Figure 7 show the typical sectional layout of the TBM tunnel
in the section between the CCS interface and the CNS
connection.
Mary Ann street shaft

The Mary Ann Street shaft provides the primary point of access
to the CWCT. All tunnelling operations are undertaken via the
shaft during construction. Once in operation, personnel access to
the CWCT will be via the Mary Ann Street shaft. FIG 8 - Base of Mary Ann Street shaft.
FIG 7 - Typical tunnel boring machine (TBM) tunnel.

J J ASHLEY
City central substation interface City North Substation interface

A vertical shaft 2.4 m in diameter will be excavated from Level The CWCT will connect into the basement structure of the City
1 of the City Central Substation, to a depth of about 40 m to North Substation, at a depth of about 25 m. The connecting cavern
connect to the CWCT, located about 10 m to the east of the structure is configured to accommodate the 5 × 132 kV feeders
shaft. The layout of the vertical shaft and tunnel is shown in from the CWCT into the substation. The layout of the proposed
Figure 9. connection to the City North Substation is shown in Figure 10.
The shaft and connecting cavern to the CWCT will be fully
tanked structures. The connection to the City Central TUNNEL SERVICES
Substation will accommodate an additional 2 × 132 kV
feeders, extending from City Central via the CWCT to City The tunnel services for the CWCT have been configured to
North Substation. The connection to the City Central provide functional control of:
Substation will be at the deepest section of the CWCT, where • the environment including air temperature, humidity and
it will be at a depth of about 38 m. lighting;
FIG 9 - Layout of the City Central Substation connection.

FIG 10 - Proposed connection to the City North Substation.
J J ASHLEY
• movement detection in the tunnel; CONSTRUCTION ISSUES

• acoustics; and
• drainage. Contractual arrangements
The tunnel services are also required for life safety including Construction of the CWCT is being undertaken as a part design
occupational health and safety and fire safety. and construct and as part construct-only contract. All the
The ventilation system in the tunnel comprises three axial fans permanent works associated with:
at the Mary Ann Street shaft combined with an open relief vent • the Mary Ann Street shaft,
at Haymarket BSP and City Central connection and an open • the roadheader section of tunnel,
exhaust vent through the City North Substation.
The electrical services include: • the connection to the Haymarket BSP,
• dual independent supplies from EnergyAustralia at Mary • the shaft and connecting cavern at City Central Substation,
Ann Street; and
• main switchboard for ventilation fan, pumps, fire detection • the connecting cavern at the City North Substation,
and alarm, lighting, general power and security; have been designed and documented as construct only sections of
• distribution boards at Mary Ann Street shaft for light and the work. A 30 per cent design for the permanent lining of the
GPOs, which also serves the sump area at the CCS TBM tunnel was included in the tender invitation, with final
connection; design of the segmental lining being the responsibility of the
• distribution boards at City North Substation cable chamber successful contractor. This is expected to achieve design
for lights and GPOs; efficiencies by incorporating the actual TBM machine
characteristics in the final design of the segmental lining.
• GRN radio system (operated from 48 V dc from UPS in City Tenders for the construction of the CWCT were invited in
Central Substation);
August 2006 and the construction contract was awarded to
• low smoke zero halogen cables; and Thiess Contractors in April 2007. Substantial completion of the
• light fittings utilising fire retardant material. main tunnelling and civil works is scheduled to be in November
2008.
The fire detection and alarm system (FDAS) comprises:
The contract price for the works is made up of a combination
• the safety-incident management plan incorporating access at of lump sums and schedule of rates items. Lump sum items
Mary Ann Street and egress at Haymarket and City North, include:
• smoke detection comprising two detection zones in each • contractor’s preliminary items,
alarm zone,
• survey,
• occupant warning system (OWS) with a public address
facility, and • contractor’s design,
• fire indication panel (FIP) located at Mary Ann Street control • supply and installation of facilities and services,
room and repeater/mimic panel at Haymarket and City North • supply and commissioning of all tunnelling equipment,
Substation cable chambers.
• shaft connections,
The Tunnel Monitoring and Control System (TMCS)
comprises: • building works, and
• PLC and workstation at Mary Ann Street control room, and • tunnel services.
• interface to EnergyAustralia SCADA at City Central via RTU. Those items paid for under the schedule of rates items include:
The TMCS interfaces with: • excavation of shafts, connecting caverns and roadheader
• the ventilation and sump pump PLCs, tunnel for typical and adverse ground conditions;
• FIPs, • supply and installation of initial ground support for shaft,
connecting caverns and roadheader tunnel comprising bolts
• SF6 alarms in the Haymarket substation, and shotcrete;
• radio system, and • construction of permanent lining for shafts, connecting
• occupant warning system. caverns and roadheader tunnel;
The drainage system comprises: • TBM segmental lining supply and delivery to the tunnel face;
• a single sump located at the connection with the City Central and
Substation which pumps out via the CWCT and the • excavation and lining of the TBM tunnel section for typical,
Haymarket BSP connection to the Southern CBD Cable dyke zones and adverse ground conditions and materially
Tunnel sump; adverse ground conditions.
• duty/standby pumps which are helical rotor, positive The definitions of typical, dyke zones, adverse ground
displacement type pumps; conditions and materially adverse ground conditions are
• dual supply to the MCC at Mary Ann Street shaft; contained in the geotechnical baseline report, which is included
• HDPE pipe for corrosion protection and minimum surface as part of the contract documentation. For excavation of the
roughness; TBM tunnel, a mechanism is included in the contract to adjust
the total cost of excavation of the TBM tunnel to reflect the
• pump operation to achieve high velocities of flow to actual extents of typical, dyke zones, adverse and materially
minimise sedimentation in the rising main pipe and with the adverse ground conditions encountered where these depart from
facility to drain the pipework after each operation; and the estimated percentages contained in the geotechnical baseline.
• wash down water supply. Further details are provided in the following section.

Geotechnical baselines lineal metre of tunnel. In addition, the contractor also includes in
the schedule of prices its estimate of a ‘relative production
The geotechnical baseline report (GBR) is essentially a summary factor’ and a ‘relative wear factor’ for each of the geotechnical
interpretative geotechnical report that establishes a contractual baseline units listed above.
statement of the geotechnical conditions anticipated to be
These factors reflect the contractor’s assessment of the effects
encountered during underground and subsurface construction.
the different geotechnical units are expected to have on
This contractual statement is referred to as the baseline. Risks
production rates and usage of consumables during TBM
associated with conditions consistent with or less adverse than
excavation. They may also reflect the contractor’s assessment of
the baseline are allocated to the contractor, and those
the risk of encountering more or less unfavourable tunnelling
significantly more adverse than the baseline are accepted by the
conditions other than that defined in the geotechnical baseline.
owner.
During excavation of the TBM tunnel, the relative percentages
Secondary purposes of the GBR include, among others, the
of the geotechnical baseline conditions, namely dyke, typical and
presentation of the geotechnical and construction conditions that
adverse ground conditions, are regularly monitored by a defined
formed the basis of design of the underground components.
testing regime and a ‘weighted production factor’ and ‘weighted
The factual information gathered during the project wear factor’ are calculated. If the percentages of the geotechnical
investigations is summarised in the geotechnical data report baselines estimated in the contract are in fact achieved at the
(GDR). The GDR is included as a contract document; however, completion of construction, then both of the weighted factors
the GBR is clearly indicated as taking precedence over the GDR would be 1.0. If the encountered ground conditions were on
within the contractual documents hierarchy. average worse than the baseline, then the weighted factors may
Excavation of the TBM section of the CWCT will be by a be greater than 1.0, in which case the contractor would be
shielded TBM and will be supported by precast segmental entitled to an additional payment under the contract. The
lining units installed progressively and continuously. Of the payment items relating to tunnel excavation are reproduced in
parameters normally considered to define a geotechnical and/or Table 2 using fictitious figures. Item 10.1 covers tunnel
hydrogeological unit, it was considered for this particular TBM excavation and lining installation for the TBM tunnel where it is
tunnel in Hawkesbury Sandstone that a unit would be defined in excavated in ground conditions identified in the GBR. Similarly,
terms of four parameters, namely: item 10.2 covers wear costs and cost of consumables associated
1. unconfined compressive strength, with excavation of the TBM tunnel in ground conditions
identified in the GBR. The mechanism for payment adjustment
2. quartz content, based on the actual encountered conditions and the departures
3. quartz grain size, and from the expected percentages of the ground conditions defined
in the GBR is included in item 10.3.
4. unconstrained groundwater inflow within 30 m of the face. Where conditions are encountered that fall outside the range of
About 70 per cent of the tunnel is expected to be excavated in parameters defining either typical, adverse or dyke conditions,
Geotechnical Unit 6 comprising slightly weathered and fresh then a materially adverse condition may arise. Upon
Hawkesbury Sandstone which is broadly equivalent to Class I/II confirmation of a materially adverse condition, the contractor is
Sandstone as illustrated by Bertuzzi and Pells (2002). As an entitled to payment of its actual costs for the period that
example, Table 1 lists the discriminating range of parameters that materially adverse conditions exist and may also be entitled to a
define typical and adverse ground conditions applicable for time adjustment to the date for substantial completion.
Unit 6. Tables 3, 4 and 5 present worked examples of time and/or
payment adjustments required at different stages of tunnel
TABLE 1 construction, respectively at 30 per cent complete, 60 per cent
Discriminating parameters … Unit 6 SW …rFHawkesbury complete and 100 per cent complete. Provisional time
Sandstone. adjustments due to encountering materially adverse conditions
are calculated during intermediate stages of tunnel construction.
Ground Unconfirmed Quartz Quartz Unconstrained Final payment and final time adjustments are calculated on
condition compressive content grain size groundwater completion of tunnel construction as shown in Table 5.
strength (mm) inflow (L/s)
(UCS) (MPa)
Typical 20 < UCS < 40 55 - 80% 0.3 < D50 ≤2
Construction update
< 0.7 At the time of preparation of the paper (January 2008), the
Adverse 3< UCS <20 30% < 0.7 < D50 2< <15 contractor had mobilised to site and had completed bulk
or <55% or <1.2 excavation of the Mary Ann Street shaft, the TBM assembly
40< UCS <60 80%< <95% chamber extending 25 m north from the base of the shaft and the
roadheader tunnel back-drive to the tie-in at the Haymarket BSP.
Figure 11 shows the breakthrough of the roadheader tunnel into
Based on a consideration of all the geotechnical units expected the TransGrid BSP basement while Figure 12 shows the
to be encountered by the TBM and the anticipated percentage of roadheader back-drive excavation. Construction of the vertical
typical and adverse conditions in each unit, the baseline for the shaft at the City Central Substation has also been completed.
TBM tunnel was defined as follows, expressed as a percentage of
the total length of the tunnel: Figure 13 shows the TBM assembly cavern extending north
from the base of the Mary Ann Street shaft. The TBM being used
• baseline (dyke) = one per cent, for the CWCT is a Lovat single shield earth pressure balance
• baseline (typical) = 72 per cent, and (EPB) TBM. The tunnelling operation can be carried out in open
mode, by using a belt conveyor from the cutterhead where
• baseline (adverse) = 27 per cent. groundwater inflow will not adversely impact the construction
In the schedule of prices submitted by the contractor, a single operations. Where groundwater inflow adversely impacts tunnel
rate is tendered per lineal metre for excavation of the TBM construction, the belt conveyor can be replaced with a screw
tunnel, including installation and backfill grouting of the conveyor and the TBM operated under the EPB closed mode.
segments, and a separate rate is tendered for wear allowance per The TBM components have been mobilised to site and the cutter

J J ASHLEY
TABLE 2
Payment items for tunnel construction.
Item Item description Unit Qty Rate Price Comments

10.1 Excavate tunnel, install Lineal 1600 $5000.00 $8 000 000 Payment under this item will be made at the average rate per metre of
and backfill grout metre tunnel excavated through a mix of rock types not worse than identified
segments from Mary in the GBR and summarised in item 10.3. The average rate is to
Ann Street shaft vicinity include all indirect (ie time dependent) costs not otherwise included in
to vicinity of City North other schedule items together with all plant labour material and other
Substation, in each of costs other than those identified in item 10.2. Without limitation these
the identified rock zones costs shall include everything not otherwise included in separate
schedule items for operation of all tunnel equipment including the
TBM, advancing the tunnel face through ground of average
characteristics defined by the GBR-Exhibit C, and including
installation of segments, backfilling and grouting of segments, and
spoil removal from the tunnel face into the ultimate transport system
for removal off-site.
10.2 Average wear allowance Lineal 1600 $600.00 $960 000 Payment under this item will be made per metre of tunnel excavated
per metre of tunnel metre through a mix of rock types not worse than identified in the GBR and
summarised in item 10.3. The average rate is to include wear costs for
all equipment associated with the excavation of undisturbed rock at
tunnel face and spoil removal from the tunnel face into the ultimate
transport system for removal off-site.
Item Comments/
Contractor to insert assumptions
10.3 Ground type Equivalent daily Expected % Relative Relative wear Equiv length
grouping production of total production factor assumed (m)
length factor
Dyke zone 7.6 Dyke zone 1% Dyke zone 2.62 0.37 16 Assumed base
production rate
Typical 23.5 Typical 72% Typical 0.85 0.90 1152
after the first 200
Adverse 14.9 Adverse 27% Adverse 1.34 1.29 432 rings is 20 m/
day. Assumed
base production
rate after 200
rings is for
example purpose
only.
Base production Total 100% Weighted 1.00 1.00 Weighted factors
rate after 200 total must equal 1.00
rings (metres per for 100% at the
day) => 20 GBR expected
type %.
(contractor to
insert)
FIG 11 - Breakthrough of roadheader tunnel into TransGrid bulk FIG 12 - Roadheader tunnel looking toward Mary Ann Street shaft.
supply point (BSP).
ACKNOWLEDGEMENTS
head and shield have been lowered down the shaft and erected at
the entrance to the TBM assembly cavern as shown in Figure 14. The author acknowledges Energy Australia for their permission
TBM excavation is expected to commence in February 2008. to publish this paper.

TABLE 3
Worked example for tunnel construction 30 per cent complete.
Actual conditions at 480 m 480 % of ground Comments/assumptions

complete (30%) (m) types to date
Dyke zones (m) 16 Segment 1.2 Dyke zones 3.7% The amount of typical at 30% complete is assumed
width (m) to be calculated as the difference between the total
distance covered less the amount of adverse, dyke
Typical (m) 292 Rings 400 Typical 67.9%
zones and materially adverse ground conditions.
complete
Adverse (m) 122 Adverse 28.4%
Total excluding materially 430
adverse conditions (m)
Materially adverse conditions 50 Materially adverse 10.4% Materially adverse conditions treated in
(m) isolation.
Time to drive through 15 Extra payment for materially adverse conditions
materially averse conditions
(days) Actual cost + margin (as cost reimbursable in
Weighted production factor for 1.0549 Schedule G2.3) for the period of the materially
typical (incl dyke zones) and averse conditions less
adverse
Payment for 50 m (item 10.1 + item 10.2),
Weighted wear factor for typical 0.9909 payable upon invoice approval. For example, let
(inci dyke zones) and adverse extra payment = $20 000
Provisional time adjustment
Refer to Schedule 4 GCD Administration Part 1.3
Time for 30% complete 21.5
(excluding materially adverse) at Time for materially adverse conditions is a straight
average rate after 200 rings add on, adjusted only for the assumed time to cover
(days) the same distance at the deemed average rate.
Provisional adjustment for extra 5.5%
production factor on 30%
complete to date excluding
materially adverse
Provisional time adjustment for 1.2
30% complete to date excluding
materially adverse (days)
Actual time adjustment for 12.5
advance during period of
materially adverse conditions
(days)
FIG 13 - Tunnel boring machine (TBM) assembly cavern. FIG 14 - Tunnel boring machine (TBM) shield at entrance to
assembly cavern.
REFERENCES Pells Sullivan Meynink Pty Ltd, March 2006a. City West Cable Tunnel,
interpretation of geotechnical and hydrogeological conditions, report
Bertuzzi, R and Pells, P J N, 2002. Geotechnical parameters of Sydney PSM828.R12.
sandstone and shale, Geomechanics, 37(5). Pells Sullivan Meynink Pty Ltd, March 2006b. Geotechnical data report,
Essex, R J, 1997. Geotechnical Baseline Reports for Underground City West Cable Tunnel, report PSM828.R11.
Construction, Guidelines and Practices (ASCE: Virginia).

J J ASHLEY
TABLE 4
Actual conditions at 960 m complete 960 % of Comments/assumptions

(60%) (m) ground
types to
date
Dyke zones (m) 16 Rings complete 800 Dyke 1.8% The amount of typical at 60% complete is
zones assumed to be calculated as the difference
between the total distance covered less the
Typical (m) 744 Typical 81.8%
amount of adverse, dyke zones and materially
Adverse (m) 150 Adverse 16.5% adverse ground conditions.
Total excluding materially adverse 910
conditions (m)
Materially adverse conditions (m) 50 Materially adverse 5.2% Materially adverse conditions treated in
isolation.
Time to drive through materially 15
averse conditions (days)
Weighted production factor for typical 0.9619
(incl dyke zones) and adverse
Weighted wear factor for typical 0.9550
(including dyke zones) and adverse
Provisional time adjustment
Time for 60% complete (excluding 45.5 Refer to Schedule 4 GCD Administration Part
materially adverse) at average rate after 1.3.
200 rings (days)
Provisional adjustment for extra 0.0%
production factor on 30% complete to
date excluding materially adverse
Provisional time adjustment for 30% 0.0
complete to date excluding materially
adverse (days)
Actual time adjustment for advance 12.5
during period of materially adverse
conditions (days)

TABLE 5
Actual conditions at 1600 m complete 1600 % of ground Comments/assumptions

(100%) (m) types to date
Dyke zones (m) 16 Rings complete 1330 Dyke zones 1.0% The amount of typical at 100%
complete is assumed to be
Typical (m) 1034 Typical 66.7%
calculated as the difference between
Adverse (m) 500 Adverse 32.3% the total distance covered less the
amount of adverse, dyke zones and
materially adverse ground
conditions.
Total excluding materially adverse 1550
conditions (m)
Materially adverse conditions (m) 50 Materially adverse 3.1% Materially adverse conditions
treated in isolation.
Time to drive through materially 15
averse conditions (days)
Weighted production factor for typical 1.0263
(incl dyke zones) and adverse
Weighted wear factor for typical 1.0203
(including dyke zones) and adverse
Final payment adjustment
% extra payments to date for item 10.1 2.6%
% extra payments to date for item 10.2 2.0%
Extra payments on item 10.1 $210 683.87
Extra payments on item 10.2 $19 522.06
Total extra payment $230 205.93 Total extra payment for ground
conditions encountered other than
materially adverse conditions. Time
costs included.
Plus actual costs + materially adverse $20 000.00
conditions
Total, adjusted for actual costs + $250 205.93
margin for materially adverse
conditions
Final time adjustment
Time for 100% complete (excluding 77.5 Refer to Schedule 4 GCD
materially adverse) at average rate after Administration Part 1.3.
200 rings (days)
Final adjustment for extra production 2.6%
factor on 100% complete typical (incl
dyke zones) and adverse
Actual time adjustment for 100% 2.0
complete in typical (incl dyke zones)
and adverse (days)
Actual time adjustment for advance 12.5
during period of materially adverse
conditions (days)
Total time adjustment at 100% 14.5
complete (days)

When the Portal is in the Sea – Design of the Marine Risers and
Tunnel Connections for the Gold Coast Desalination Plant
J Garnier1 and W Angerer2
ABSTRACT The intake tunnel draws sea water via its marine riser, to the
plant, where it undergoes reverse osmosis desalination. This
This paper describes the design of the marine riser structures, including
the design measures for sealing and protection from flooding, dewatering
process involves pushing sea water under high pressure through a
and connection to the main tunnels, for the Gold Coast desalination plant semi-permeable membrane that traps the salt and other
in Queensland. The risers connect the intake and discharge tunnels to the impurities. The saline feed-water is then separated into the
ocean. Construction commenced on both in April 2007. product water and a saline concentrate. The concentrate is then
The paper describes the key design criteria for the risers, the construction returned to the ocean via the discharge tunnel and riser. The
constraints that influenced the design and the design of the main elements discharge riser is located approximately 250 m north of the
of the risers and the connections to the tunnels. intake riser. The distance between the two risers coupled with the
seabed depth and existing currents will allow for the concentrate
to be dispersed efficiently without affecting the quality of the
THE PROJECT intake water or the marine environment.
The Gold Coast desalination plant is to supply water to the Gold
Coast and south-east Queensland and is currently under MARINE RISER DESIGN CRITERIA
construction. Located in Tugun, adjacent to the Gold Coast The two marine risers provide the hydraulic connection between
airport, the 125 ML/day facility is being constructed by the GCD the ocean and the tunnels that carry flow to and from the
Alliance, comprising Gold Coast Water, John Holland, Veolia desalination plant. The design brief requires that both risers have
Water Australia, Sinclair Knight Merz and Cardno. The Alliance a design life of 100 years. It also requires that the risers can be
will also operate the plant for ten years following commissioning sealed at any time in their life to allow the tunnels to be
in November 2008. The tunnelling and marine riser design was dewatered for maintenance access.
carried out by Halcrow Pacific Pty Ltd. The position identified for the risers is approximately 1.5 km
The plant features two tunnels, the intake tunnel and the off the shoreline in 20 m depth of water. This is a result of
discharge tunnel being 2.2 km and 2.0 km long respectively. studies into the intake feed water requirements and the
Both are being built with slurry-shield tunnel boring machines. environmental requirements for the brine discharge plume. The
The system also consists of two 10 m diameter onshore shafts of environmental requirements for the project also require
70 m depth and two 2.1 m internal diameter offshore risers (see containment of any excavated material.
Figure 1). The risers connect to the seabed structures that screen the
intake or diffuse the discharge brine. The geology of the area in
the position of the risers dictated the tunnels being approximately
1. Project Manager, Halcrow Pacific Pty Ltd, 68 Pitt Street, Sydney 44 m below the seabed. The GCD Alliance outline design states
NSW 2000. Email: garnierj@halcrow.com
that the risers are to connect to the tunnels via a horizontal adit
2. Senior Tunnel Engineer, Halcrow Pacific Pty Ltd, 68 Pitt Street, connection. This overcomes the challenge of making a vertical
Sydney NSW 2000. Email: angererw@halcrow.com connection directly onto the tunnel.
FIG 1 - Schematic long section and plan of tunnels and risers (courtesy of GCD Alliance).

J GARNIER and W ANGERER
GEOLOGY the tunnels. The construction of the risers will be carried out in
20 m depth of water with the connection adit safely constructed
from within each tunnel.
Geological overview
The design also necessitates a method of sealing the tunnels to
The rock strata below the soft alluvial soils belongs to the allow them to be dewatered for future access.
Neranleigh Fernvale Group (NFG) and consists of alternating The geotechnical investigations indicated that the construction
beds of arenite and argillite, a typically folded and faulted rock of the horizontal connections from the tunnels to the risers could
mass. The deposits include rock types from fine-grained experience high volumes of water ingress at pressures of up to
laminated argillite to less distinctively foliated arenite and seven bar. The investigations also indicated that rock cover above
potentially, quartzite. It was expected that argillite would be the the tunnels was limited, whilst the majority of subsea excavation
predominant rock type encountered. for the construction of the risers would be in soft ground.
The site investigation for the marine risers comprised a series At an early stage in the design process the design team decided
of marine boreholes and a continuous seismic profiling survey of that the best way to approach the challenges was to incorporate
the seabed. The seismic reflection survey identified up to six the permanent and temporary works whilst recognising the
major subseafloor reflectors, indicating the presence of variable construction methods that would be employed. To enable this,
soft soil deposits above the rock head. The seismic survey was the design team had to work closely with the John Holland
also used to establish a seabed survey for the riser area. construction team and GRP suppliers to ensure the design was
The soft soils identified in the boreholes have a thickness of robust and could be constructed efficiently. Weekly design
32 m in the area identified for the intake riser and 23 m for the meetings were held where all aspects of the design and
discharge riser. They are predominantly sands with several clay construction were discussed and agreed by the team.
layers. One minor gravelley layer was intercepted at the intake To enable excavation of the risers in the seabed a casing is
riser location. required to support the excavation through the soft ground strata.
By ensuring that the top of the casing remains above the sea level
Intake riser location geology it provides the supplementary role of a contained route for all
excavated material. This helps the project meet the
The seabed level in the area of the intake riser was surveyed as environmental requirements.
-21.7 mRL. The borehole in that area indicates that the strata
The casing is driven vertically into the seabed through the soft
below this layer consists of a 10 m layer of sand overlaying 16 m strata until it reaches the rock head. The material inside is then
of predominantly clay with some clayey sand. The underlying excavated and removed. The excavation extends beyond the
strata varies from heavily jointed arenite, sandy gravely clay to a bottom of the casing to the level the tunnels will be driven to.
4 m thick distinctly laminated argillite until the level of the This section will be open excavation.
crown of the intake tunnel at -56.9 mRL.
On completion of excavation, a smaller diameter GRP
The ground through which the adit connection to the tunnel permanent riser liner is lowered in to form the permanent liner of
will be constructed is mainly argillite with a UCS of 8 MPa to the riser. The liner extends through the casing and unsupported
32.0 MPa. RQD ranges from 15 to 100 but two layers of RQD 0 excavation to tunnel level. The base of the liner is designed with
exist between levels 55.0 - 56.0 mRL and 60.0 - 61.0 mRL. The a horizontal stub pipe that forms the opening for the horizontal
RMR values range from 20 to 30. The minimum constant rock connection to the tunnel. The top of the permanent liner extends
cover to the crown of the intake tunnel is anticipated to be 4.0 m 1.6 m above the seabed, which allows connection to the seabed
thick. structures (see Figure 2).
It is expected that the adit construction will encounter Once in position the permanent liner is fixed and sealed into
fractured rock during excavation, giving a large potential for position by grouting the excavation annulus. The finished level of
local overbreak. However, the general stability of the ground is the grout is 1 m above seabed level within the casing, just below
assisted by the limited depth of the heavily jointed layer. the top of the permanent liner. This allows the casing to be cut at
Borehole water pressure tests indicate an expected rock this level and removed to the barge.
permeability of 3 - 30 lugeons. A horizontal connection is required between the tunnel and the
riser stub pipe. The adit length is kept to a minimum and the
Discharge riser location geology surrounding strata is sealed and supported by consolidation
grouting from within the tunnel.
The seabed level in the area of the discharge riser was surveyed To make the final connection to the riser as safely as possible,
as -18.7 mRL. The results from the borehole in that area indicate the riser liner is sealed and emptied. The design team decided
that the strata below is mainly soft soils, mainly sands, that for additional safety a series of layers of protection from
alternating with up to 3 m thick layers of clay and thin layers of flooding would be required. The team also designed a system to
sandy clay or clayey sand. Results indicate the rock head starts at dewater the liner to aid the construction team in making the final
-42.0 mRL. connection.
The argillite is described as very low strength, highly
weathered with general improvement to slightly weathered and CONSTRUCTION ISSUES
medium strength rock to -52.0 mRL. Borehole samples indicate
that the bedding/lamination at the tunnel level is horizontal and The construction program for the project dictates that the risers
joints and beds are tight with a smooth surface. had to be constructed before the tunnels reach their location. A
Rock excavation for the adit construction is expected to take self-elevating platform (SEP) will be used as the construction
place in competent, thinly laminated argillite with good stability. platform from which to construct the risers. It was recognised
Borehole water pressure tests showed a rock permeability of that construction from the SEP places limitations on the activities
5 - 27 lugeons is to be expected. that can be carried out and consequently on the design. All the
construction materials and equipment must also be transported to
the SEP by barge, a further limiting factor on the design due to
THE CONCEPT OF THE DESIGN
the transit time and capacity limits. To overcome this, the design
The riser design criteria pose several construction challenges for team worked closely with the construction team to ensure that
the design team. These were that two 44 m long large bore the design was optimised to allow for these construction and
vertical risers are to be constructed from the seabed to connect to delivery issues (see Figure 3).

WHEN THE PORTAL IS IN THE SEA
FIG 3 - Riser liner being lowered into the steel casing from the
self-elevating platform (SEP) with the delivery barge in the
background (courtesy of GCD Alliance).
During the excavation inside the casing, the water level in the
casing is surcharged above sea level to prevent flow paths
forming around the toe of the casing and destabilising the
excavation. This surcharged water level is also maintained during
the annulus grouting until the grout reaches 4 m inside the casing
for the same reason.
To ensure that the liner is correctly positioned within the
excavation before grouting the annulus, a temporary orientation
tube was designed to be fitted to the top of each liner. This
ensures that there is a positive connection between the working
platform and the top of the riser liner at seabed level.
The annulus grout is introduced into the bottom of the
excavation by steel tremmie tubes, which are in guides around
the outside of the GRP liner. The tubes are gradually lifted as the
pour is carried out. The liner and grouting is designed to
minimise and resist the uplift generated by the liner displacing
the wet grout. Once the level of grout extended 4 m into the steel
casing, the casing is dewatered and the grouting continued to the
finished level. This provides a better grout finish.
To construct the horizontal adit connection between the riser
stub pipe and the tunnel, the construction team chose to use hand
excavation techniques. Information from the boreholes indicates
that the anticipated ground will need stabilising and a reduction
in permeability. To achieve this, the team designed a rock
consolidation grouting regime. The grouting work required for
this is carried out from within the confines of the tunnel, which
will be strengthened to withstand the additional loads generated
by the grouting.
DETAILED DESIGN OF THE DIFFERENT

ELEMENTS
Steel casing design

FIG 2 - Cross-section of installed GRP riser in steel casing with The choice of a 3 m diameter steel casing for the excavation
orientation tube for annulus grouting (courtesy of GCD Alliance). support through the soft ground was determined by construction
practicalities and constraints. The casing is designed in 3 m long
For several reasons the team chose steel as the casing material. sections to be welded together on the SEP.
This is based on cost and delivery times and that conveniently The casings are considered as temporary works as they serve
sized sections can be shipped out to the SEP and welded on site no purpose in the permanent works. However, they are designed
to form the full length of casing. The diameter of the casing is to conform to AS4100, the Australian Structural Steel Code, to
optimised at 3 m to suit available rolled steel and the available ensure that the design considered the loads imposed by waves,
auger size for the excavation within it. After driving it to rock lifting and dynamic impact loads on each section. Wave data
head, the top level of the casing remains above sea level to provided by the client showed that the casings would have to
contain the riser construction activities from the ocean. withstand a worst case wave loading of 10 m at 14 second

intervals. No form of corrosion protection is provided. Following The design specifies two strengths of grout for filling the
the grouting of the GRP liner, the steel casings are cut off 1 m annulus. Each is used for different sections of the liners. Over the
above seabed level by divers. majority of the length a 40 MPa grout is used. However, part of
the grouted area around the stub pipe on the liner is to be
GRP riser liner design excavated for the tunnel connection. Hence a weaker 15 MPa
mix is specified for this section. This weaker mix also contains a
The two permanent GRP riser liners were designed and dye to aid identification during the back flushing of the
manufactured by RPC Technologies. GRP was chosen as it meets consolidation grout drilling from the tunnel. Both grouts are
the 100 year design life required by the project. GRP also allows specified with high flow characteristics, low wash out and low
the liners to be manufactured in one piece so they can be lifted shrinkage.
into the excavation in a single operation as the liner is light
During the annulus grouting operation the liner displacement
enough to be lifted by the equipment on the SEP.
of the wet grout generates an uplift force on the liner. The liner
The 2.02 m internal diameter of the GRP liners is determined remains sea water filled during the grouting operation but the
by the closest mandrel size for manufacture that meets the difference in the densities between sea water and grout results in
hydraulic design requirements. Using an existing mandrel an imbalance between the vertical forces. To determine a
reduces the cost of the GRP liner. The length of the liners varies
practical grouting operation, grout trials were instigated to
from 42 m for the intake and 44 m for the discharge. The lengths
observe the initial set of the grout. From this the pour rates for
are determined by the vertical distance between the tunnel
the annulus grouting were calculated to minimise the uplift
horizon and the seabed. RPC technologies used finite element
analysis to design the liner wall thickness required to withstand generated. For added security a GRP leg was added to the base of
the different installation and dewatering loads. As a result the the liner. This leg is grouted in place prior to the main annulus
wall thickness on the liners varies from 40 mm to 80 mm at grouting and helps to resist the uplift generated by the wet grout.
different points along their length depending upon the loads that Using both of these methods the uplift force generated by the
are experienced. displacement of the wet grout is fully restrained, ensuring the
liner stays in place.
Each liner is designed with a flange at the top. This is to fit a
temporary dome to seal the liner for dewatering (see Figure 4).
The liners are designed so that the bottom of each is sealed in a Adit grouting
dome shape to catch sediment and withstand the dewatering A rock consolidation regime was designed to ensure that the rock
pressures. A 2.5 m length of horizontal, 1.65 m diameter stub is stable for the hand excavation of the adit connection by
pipe is fitted 3 m above the bottom of each GRP liner. The stub minimising water ingress. The regime is based on carrying out
pipe forms the start of the horizontal connection between the GRP the grouting procedure from the tunnel.
liner and the tunnel length is governed by the clearance available
The aim of the grouting operation is to minimise potential
when it is lowered in the casing. For installation each stub pipe is
risks during construction of the connection. This is achieved by:
temporarily sealed with a GRP hemispherical bulkhead.
• enhancing the self-supporting capacity of the rock mass,
• minimising overbreak during excavation, and
• minimising groundwater inflow by reducing the rock mass
permeability to one to five.
Figure 5 defines the decision-making criteria for the grouting
procedure in the form of a flow chart.
Control of the rock permeability is to be achieved by drilling
from the tunnel, followed by consolidation grouting of the rock
mass to establish an impervious zone around the tunnel
periphery.
In addition, consolidation grouting has the effect of improving
the stability of the rock mass within the grouted zone. This is
important where poor rock conditions are expected, coupled with
shallow rock cover in the area of the intake riser. The grouting
process increases the joint properties, which are reflected in an
expectation that the RMR value will rise by ten.
The adit construction is not commenced until the rock
permeability criteria are met. It is expected that more than one
FIG 4 - A top sealing cap, with orientation tubes stacked behind. round of grouting will be needed. Hence a primary and
secondary grouting system was developed for the adit works (see
Figure 6).
The design loadings for the GRP liners are dominated by the
installation and dewatering processes they will be subject to. The design arrangement of the grouting drill holes allows for
During installation the liners are subject to pressure from annulus penetration of the area between the tunnel and riser by assuming
grouting and rock consolidation grouting pressures of up to an effective grout injection take of 1.0 to 1.5 m diameter around
15 bar. Additionally during dewatering the liners, the top flanges each hole. The design length of the grout holes varies from 2.5 to
and temporary sealing domes are subject to internal compressed 8 m to create a grouted zone around the tunnel, adit and riser.
air pressures and external water pressures of up to 8 bar. These Primary grouting is designed to be carried out with ultra-fine
are discussed later. Portland cement (UPC). The cement is made of Portland cement
clinker ground to ultra-fine particle size. The particle distribution
Annulus grouting is defined as Blaine fineness >900 m2/kg or BET fineness
≥2000 m2/kg with d98 <15 µm, d50 <3 µm and d10 <1 µm.
The annulus between the steel casing, the unsupported A water : total cementitious binder ratio (w:c) in the range 0.4 to
excavation and the GRP liner on each riser is filled with grout. 3.0 is defined. Secondary grouting will use this mix or a
This seals the excavation and holds the liners in place. chemical grout depending upon the conditions encountered.

the grouting is carried out through the stuffing boxes, which can
be sealed during and after the drilling and grouting.
An initial design was produced to support the SFRC segments
temporarily during grouting and opening works using steel sets.
However, this design reduces the available cross-section in
an already restricted area and more importantly increased the
construction program.
To save construction time, several alternatives to improve
available cross-section and meet the requirements for grouting
were investigated by the team.
A fabricated steel liner design was developed to allow a cost
versus time saving comparison. The steel liner is segmented to
allow it to be constructed with the TBM erection system.
However, quotes for manufacture were considerably higher than
expected so the solution unfortunately had to be discarded.
An alternative composite segment solution with a steel plate
on the intrados of the concrete segment was developed.
The design is cost effective due to the flexibility of using the
existing SFRC concrete mix and moulds and enhancing the
segment design with a slim steel structure. The fabrication of the
steel components is reduced to rolling and cutting. The shear
studs necessary for the transfer of shear forces from the steel
plate into the concrete also provide the segment with an
increased bending capacity.
The increased shear capacity required at the circumferential
joint is provided via steel straps welded after erection of the
composite segments. This provides the flexibility and
contingency needed in locating the adit opening.
The steel plate on the segments provides the ability to attach
and position stuffing boxes. The rebar reinforcement in the
segment, which became necessary due to the shear studs, is
arranged so as to not interfere with the core drilling that is
required through the segment.
The team were unable to find a suitable stuffing box for the
potential groundwater pressures of up to 7 bar. Therefore, the
design team produced a concept design shown in Figure 7.
The concept stuffing box consists of two main parts. A three
inch valve provides the main seal. A hinged sleeve is fitted
FIG 5 - Grouting regime flow chart. around the drill rod, containing a steel spacer as a guide, and a
one inch valve for the back flush during the drilling operation.
The design of the GRP riser liners put a 15 bar restriction on The gasket inserts act as an emergency seal and would prevent
the maximum grouting pressure. Increases in grout pressure water ingress through the steel spacer around the drill rod if the
beyond 15 bar would require the liner walls to be unreasonably three inch valve cannot be closed.
thick over a greater area of the liner. This pressure also governs
the design of the additional support required in the tunnel. ADIT CONSTRUCTION
Following installation of the riser and completion of the grouting
Tunnel segments for the adit connection and rock the adit connection between the tunnel and the riser is excavated
consolidation grouting by hand. The adit is designed to be 3 m long and connect to the
The steel fibre reinforced concrete (SFRC) tunnel segments in GRP stub pipe of the riser.
the area where the adit connection is to be constructed are Steel arches at 750 mm spacing are designed to take the
subject to loads beyond their capacity. These loads are a result temporary rock load for the adit. The space between the steel
of: beams is supported by timbers in the crown and shoulder. The
• grouting pressures of up to 15 bar for ground consolidation, arches provide protection against rock wedge failure. Timber
lagging was chosen for its flexibility and overcomes the
• additional loads due to the formation of the opening for the logistical problems of a shotcrete support solution.
adit connection, and
The design team identified a saving in construction time by
• groundwater control. forming the permanent adit lining with a GRP-pipe. The tunnel
The SFRC segmental lining cannot withstand these grout system is used to backfill the liner.
exceptional loads on the interface of the circumferential joint. Once the stub pipe on the riser is exposed, a purpose-designed
The dowels at the joint are not designed to resist the increased GRP liner is connected to the stub pipe. After the liner is secured
shear forces. In addition the concrete cannot resist the increased in position the annulus of the excavation is then backfilled with
tensile forces resulting from the consolidation grouting grout. Before withdrawing from the tunnel the hemispherical
pressures. bulkhead in the stub pipe is cut out and the edges sealed. The
To carry out the rock consolidation grouting the drilling must riser and the tunnel are then ready to be commissioned and filled
take place from within the confines of the tunnel. The drilling for from the ocean.

EXTENT OF PREINJECTION ZONE

(APPROXIMATE)
Ø45 DIA HOLES FOR PROBING

AND PREINJECTION GROUTING
(LENGTH REFER TO DRILLING RISER SHAFT (SEE NOTE 3)
SCHEDULE)
GROUTED GRP ANNULUS WITH
FLUORESCENE DYE
COMPOSITE SEGMENTAL
LINING WITH STEEL
STRAPS INSTALLED
NE
TLI
OU
T BM
SEGMENTAL LINING
(SEE NOTE 4)
FIG 6 - Grouting arrangement.
FIG 7 - Concept of stuffing box.
SEALING AND DEWATERING has an outside diameter of 1.95 m, leaving a narrow gap between
it and the inside of the liner. The concept is that in the event of a
The project requires that the risers can be sealed to allow the catastrophic failure of the top cap, the plug will restrict the flow
tunnels to be dewatered. To ensure the connection could be made of water to the stub pipe, and so limit the flow into the tunnel. To
safely the design team also decided that the riser would be prevent the plug from moving if this occurs, the plug remains full
empty. However, the riser liner needs to be full of water to install of water.
it. Hence a method of dewatering the liner after installation was The protection afforded by the plug is enhanced by the
developed.
addition of an inflatable seal around the outside of it at the top.
To minimise risk the riser is designed with three layers of This prevents any flow around the plug and forms the third layer
sealing for the dewatered state. To allow the riser to be sealed of protection. The seal is activated by a control line leading to a
and dewatered safely, temporary items are required. The primary small valve on the top cap.
layer is a domed cap bolted to the top flange of the GRP liner.
The second layer is a removable 5.7 m long, hollow GRP plug, To dewater the liner, a rigid dewatering pipe was designed
which fits into the bottom of the riser liner. The plug is which extends down from a valve in the top cap into the open top
hemispherical at the bottom and open at the top. When it is of the sealing plug in the bottom of the liner.
lowered into the bottom of the riser it extends up above the stub The dewatering operation is commenced by opening the
pipe opening which forms the connection to the tunnel. The plug dewatering valve on the top cap and introducing compressed air

FIG 8 - The dewatered riser liner with plug in place and excavation for the adit connection to the stub pipe.
into the top of the riser liner via another valve. As the top of the To commission the tunnel, the seal on the plug is deflated and
liner is filled with compressed air, the water in the liner is forced the valves on the top cap of the liner are opened. Air is purged
out from the bottom of the liner via the dewatering pipe. The from the tunnel by service lines and also escapes from the valves
loads introduced by this operation are the dominant load cases in the top cap. Once the tunnel and riser are flooded the top cap
for the liner design. The bottom of the dewatering pipe is can be removed and the plug and dewatering lines extracted.
approximately 60 m below sea level so a compressed air pressure
of approximately seven atmospheres is required to force the ACKNOWLEDGEMENTS
water out of the liner. When all the water has been purged from
the liner both valves are shut, sealing the liner. The seal on the Halcrow wants to take this opportunity to thank the Gold Coast
plug is then activated, leaving a dewatered and sealed liner. Prior Alliance, RPC Technologies, and in particular the John Holland
to cutting out the bulkhead in the stub pipe the air pressure in the Marine and Tunnelling team under Tony Bermingham, for the
liner is reduced to atmospheric pressure (see Figure 8). very productive and open minded working environment. During
If the tunnel is required to be dewatered in the future, the riser the entire project, the focus was on delivering safe, technically
can be sealed using the same equipment. The plug with the seal sound and innovative engineering solutions to ensure that the
is lowered into the liner and the top cap is fitted to the liner. The final product met the client requirements in a high performance
tunnel is then dewatered by pumping water out from the onshore construction environment.
shafts. Once the tunnel is dewatered the seal on the plug is
activated to complete the three layers of protection from
flooding.

Tugun Bypass Tunnel Using Top-Down Cut-and-Cover Method
J Hsi1, S Lambert2 and M Thomas3
ABSTRACT South Wales, Australia. The highway deviates off the existing
The Tugun Bypass Tunnel in Gold Coast, Australia was constructed using
Pacific Motorway at Stewart Road, traverses hilly terrain
diaphragm walls with the top-down cut-and-cover method to allow through Tugun Hills and floodplains adjacent to the Gold Coast
simultaneous construction of an airport runway extension above the Airport, and merges with Pacific Highway at Kennedy Drive.
tunnel, whilst excavation of the tunnel continued underneath. The tunnel The key feature of the project is the tunnel of 334 m in length
was built in an environment of high groundwater table and deep deposits (Ch5588 to Ch5922.4), with approach ramps to the north and
of alluvial and estuarine soils with the toes of the walls founded in soil south of the tunnel. The project also involves cuttings of up to
deposits. There was a potential risk for differential settlements to occur 30 m in depth, five bridges, four soil nail walls and a large
between the diaphragm wall panels, caused by the runway fill placed over quantity of earthworks. The bypass caters for potential
the tunnel roof during excavation. Dewatering within the diaphragm walls expansion to a six lane motorway subject to future traffic
was required to facilitate the construction of the tunnel. The tunnel was volume. Figure 1 shows the project route plan.
also built in an area where environmental considerations were of great
importance. Three-dimensional numerical modelling was undertaken to
CH100
CH100
predict the differential settlements of the tunnel with considerations
of varying subsurface profile, staged excavation and dewatering, non-
uniform surface loading and complex soil-structure interaction. Field
instrumentation and monitoring was implemented to confirm numerical
predictions.
INTRODUCTION
The Tugun Bypass is a new four-lane motorway of
approximately 7 km in length, connecting south-east Queensland
and north-east New South Wales, Australia. One of the main
features of the project is a tunnel of about 334 m in length,
constructed near one end of the Gold Coast Airport runway.
The tunnel was constructed using the top-down cut-and-cover
construction method with diaphragm walls installed to support
temporary excavation and form permanent walls of the tunnel.
As the tunnel was constructed near one end of the runway, there
was a height restriction on the construction plant and equipment.
Twin low headroom cutters and a hydraulic grab were selected CH5588
for the construction of the diaphragm walls. These walls were

CH5922.4
CH5922.4
constructed in alluvial and estuarine deposits comprising sands
and clays with the groundwater table close to the surface.
During excavation of the tunnel, the airport runway was to be
extended above the tunnel, which involved filling over the tunnel CH7200
CH7200
roof. The loads acting on the roof were carried by the diaphragm
walls, which were located entirely within the alluvial and FIG 1 - Project route plan.
estuarine deposits. Some settlements would occur, resulting from
the additional loading of the runway extension and loss of roof
slab bearing and wall skin friction due to excavation. To maintain The Tugun Bypass project was awarded to the PacificLink
the wall and roof structural integrity, differential settlements in Alliance (PLA) in January 2006 under an alliance style contract
the longitudinal and transverse direction of the tunnel needed to following a competitive tendering process. The alliance team,
be minimised. consisting of Department of Main Roads Queensland, Abigroup
Contractors and SMEC Australia, was responsible for the design
This paper also discusses other key features of the tunnel,
and construction of the project. A suballiance, consisting of
including environmental management in sensitive areas,
Piling Contractors Bauer Joint Venture (PCBJV), was engaged to
dewatering and recharging of the groundwater during excavation,
construct the tunnel diaphragm walls. The estimated value of the
diaphragm wall construction methods, waterproofing of the
project was approximately A$500 million. The project met the
tunnel, challenges of working under the obstacle limitation
deadline of November 2006 for the surface handover to the Gold
surface (OLS), and cathodic protection of the reinforcement.
Coast Airport Authority for construction of the runway
extension. The remaining construction works continued,
PROJECT OVERVIEW targeting the scheduled contract completion date of December
The 7 km long Tugun Bypass is a four-lane motorway 2008. Following commissioning of the road, there is a ten year
connecting Currumbin in Queensland to Tweed Heads in New maintenance period as part of the alliance contract.
1. Chief Technical Principal, SMEC Australia Pty Ltd, Level 6, 76 GEOLOGY AND GEOTECHNICAL
Berry Street, North Sydney NSW 2060. Email: jeff.hsi@smec.com.au CHARACTERISTICS
2. Project Manager, Abigroup Ltd, 924 Pacific Highway, Gordon NSW
2072. Email: steve.lambert@pacificlinkalliance.com Geology
3. Senior Tunnel Engineer, SMEC Australia Pty Ltd, Level 2, 60 The Tugun Bypass alignment is characterised by two geological
Leichhardt Street, Spring Hill Qld 4000. settings. In the northern section, the alignment traverses hilly
Email mike.thomas@smec.com.au terrain consisting of Neranleigh Fernvale Beds of the Beenleigh

J HSI, S LAMBERT and M THOMAS
block comprising lithic sandstone (referred to as greywacke), • Dune sands – a sequence of generally loose to very loose
slate, metasiltstone (argillite) and chert. The rocks developed in sands of up to about 8 to 10 m in thickness, fine- to medium-
these zones have been subjected to varying degrees of grained sands.
deformation and typically identified by coherent strata being
discontinued by a tectonic mélange. Highly sheared material up • ‘Coffee rock’ – a sequence of medium dense to very dense
to 10 m wide, which contains varying size blocks of country cemented silty sands of about 7 to 10 m in thickness with
rock (eg chert, greenstone, siltstone and sandstone) bounding the occasional loose consistency.
mélange zone, are typical. Groundwater is not usually • Estuarine – a sequence of about 15 m thickness comprising
encountered in the northern section. shell fragments, sand and silty sand, clay and sandy clay, silt
The tunnel is situated in the southern flood plain, which is and clayey silt, clayey silty sand and gravels. Relative
subject to periodical flooding. The geology in the southern density varied from very loose to dense, and consistency
section comprises Neranleigh Fernvale Beds overlain by varied from firm to very stiff.
Cenozoic estuarine and coastal deposits. These deposits are up to • Residual soil – comprising clay and silty clay with some
35 m in thickness, comprising river gravels, sand and clay and sands, and with residual fragments of extremely weathered
flood plain and tidal delta muds and silts. At the tunnel location, and extremely low strength interbedded argillite and
the subsurface horizons consist of dune sands, ‘Coffee Rock’ greywacke of the Neranleigh Fernvale Beds. The thickness
(local term given to cemented silty sands), estuarine interbedded ranged between about 1 m and 6 m.
clays and sands and residual soils derived from the weathered
bedrock. Groundwater is slightly saline due to the close • Bedrock – comprising extremely weathered to moderately
proximity to the ocean. The water table is influenced by both weathered and extremely low to low strength interbedded
tidal movements and rainfall events recharging Cobaki argillite and greywacke, having an irregular contact with the
Broadwater. Due to low-lying ground surfaces ranging from overlain residual material at a depth of approximately 30 to
RL 0.5 m to RL 4.0 m (AHD), potential exists for acid sulfate 35 m.
soils. The subsurface profile based on the boreholes along the centre
line of the tunnel under the runway extension is presented in
Subsurface profile Figure 3.
As the subsurface conditions varied spatially along the length Geotechnical parameters
and width of the tunnel, extensive site investigations using
boreholes (BH) and piezocones (CPTU) were undertaken at the The geotechnical parameters for each of the units were
wall and barrette locations. Within the footprint of the runway determined from interpretation of the field and laboratory test
extension, the investigations were done at a spacing of results, and based on local experience. The key parameters
approximately 20 m intervals. The plan of the site investigation included stiffness and strength parameters. As undisturbed
is shown in Figure 2. samples for sandy soils were nearly impossible to obtain, their
Based on the probe hole information, the subsurface was parameters had to be estimated based on published values for
divided into discrete soil units, classified according to material similar conditions. Oedometer tests on clay samples were
type and consistency or density. There was ‘Coffee Rock’ (CR) undertaken to derive compressibility of the clay. ‘Coffee Rock’
found in the tunnel areas. ‘Coffee Rock’ is a local term used to was assumed to be permeable despite its cementation nature.
describe a layer of cemented silty sand having dark brown Also, as ‘Coffee Rock’ had higher silt content compared to dune
coffee-like colour. Contrary to its name, this material has soil sand, it was assumed to have lower strength compared to sands
characteristics, and its relative densities are typically medium of similar relative densities. Based on the interpretation of the
dense or better, although loose ‘Coffee Rocks’ were also geotechnical data, the geotechnical parameters assumed at
encountered occasionally. Geotechnical stratigraphy at the tunnel approximately Ch5750 are shown in Table 1. The table also
site is summarised as follows (top down): shows the indicative reduced level (RL) at the top of each of the
• Topsoil – thin skinned (<1 m) comprising peaty sandy layers, and the corresponding range of thickness. The ground
organic topsoil, having loose consistency. The ground surface surface level was approximately at RL 0.5 m and the groundwater
was marshy and generally untrafficable. table was at surface.
FIG 2 - Site investigation plan.

TUGUN BYPASS TUNNEL USING TOP-DOWN CUT-AND-COVER METHOD
FIG 3 - Subsurface profile.
TABLE 1
Geotechnical parameters.
Average RL Thickness Material Consistency/ sat ' ' k E50ref and Eurref
at top (m) range (m) type density (kN/m3) ( (°) (m/day) Eoedref (MPa) (MPa)
0.5 3.3 - 5.5 Sand Very loose 18 30 0 1.0 10 30
-4.0 4.8 - 11.0 CR Medium 19 32 2 0.1 50 150
dense
-11.2 1.5 - 3.0 CR Dense 20 34 4 0.1 80 240
-13.5 1.2 - 5.8 Sand Loose 18 32 2 1.0 30 90
-17.5 0.0 - 6.5 Clay Stiff 18 28 0 1 × 10- 4 10 30
-21.1 0.5 - 3.3 Sand Loose 18 32 2 1.0 30 90
-23.0 3.2 - 7.2 Clay Firm 18 24 0 1 × 10- 4 7 21
-28.6 1.3 - 3.0 Clay Very stiff 19 29 0 1 × 10 -4 25 75
-30.8 - Bedrock - - - - - - -
Note: γsat is saturated unit weight; φ' is drained friction angle; ψ' is drained dilatation angle; k is saturated permeability; E50 is secant Young’s modulus at
ref
a reference pressure of 100 kPa; Eoedref is tangent Young’s modulus for primary odometer loading at a reference pressure of 100 kPa; Eurref is
unloading/reloading Young’s modulus at a reference pressure of 100 kPa; cohesion c’= 0 kPa for all soil types; Poisson’s ratio ν’ = 0.3 and ν’ur = 0.2
(unloading/reloading) for all soil types; power ‘m’ used in hardening soil model for stress level dependency is 1.0 for clay and 0.5 for ‘Coffee Rock’
and sand.
ISSUES AND CONSTRAINTS This required all construction activities to be undertaken

within a headroom of as low as 8 m. Use of cranes or
Construction of a tunnel in soft ground at shallow depths is heavy-lifting equipment was only allowed outside the airport
conventionally undertaken using the ‘cut-and-cover’ method. operating hours.
However, to allow for construction of the runway extension that
occurred concurrently with the tunnel excavation, the top-down • High groundwater level – due to its close proximity to the sea
construction method was employed. Diaphragm walls and cast and Cobaki Broadwater. The groundwater was practically at
the ground surface level. A reliable dewatering system was
in situ tunnel roof slabs were chosen to facilitate the construction
essential during excavation.
requirements and time constraints. Figure 2 shows the footprint
of the runway extension oblique to the tunnel alignment. • Environmental requirements – strict environmental controls
Following the handover of ground surface, up to 2 to 3 m of were enforced such that drawdown of the groundwater table
fill for the airport runway extension was placed above the tunnel outside the diaphragm walls was minimised. All acidic
roof. Loads acting over the entire width of the roof slabs were sulfate soils excavated from the tunnel had to be dried and
transferred directly to the diaphragm walls and the barrettes. The neutralised with lime prior to placement as fill in
embankments. The existing ecological conditions also
site investigations revealed presence of estuarine deposits
needed to be enhanced.
consisting of loose materials below the toe of the walls.
Therefore, there was a potential for the tunnel to settle during
excavation. One of the critical issues was the differential CONSTRUCTION METHODS
settlements between the walls and the central barrettes, and along Suitable construction methods were chosen to address the issues
the walls. These differential settlements could potentially induce and constraints mentioned above. In order to adhere to the OLS
significant stresses in the roof structures and in the walls. Other requirements, special low headroom hydraulic grab (Leibherr
issues in relation to the tunnel construction are listed below: HS852HD) and 2.8 m wide trench cutter (CBC25) were used.
• ‘Obstacle limitation surface’ (OLS) – applied at both ends of The guide walls were built first followed by construction of the
the runway to provide safe airspace for approaching aircraft. 6 m wide primary panels (steps one to five of Figure 4) and 2.8 m

FIG 4 - Diaphragm wall construction sequence (courtesy of Piling Contractors Bauer Joint Venture).
wide secondary panels (steps six to eight of Figure 4). The open slabs were cast in situ structures connected to the diaphragm
trench was supported by bentonite slurry, when the cutter walls by reinforcement couplers in a typical moment connection.
undertook full excavation (steps two to three and six). A steel The clear height was 6.1 m with minimum vehicular headroom
reinforcement cage was lowered when the panel was excavated of 5.3 m within the carriageway envelope. A series of three
to full depth (steps four and seven). Concreting of the panels was niches, where the roof slab was slightly elevated, were
then achieved by the tremie method (steps five and eight). constructed in the roof for mechanical jet fan provision. Niche
Figure 4 presents the construction sequence of the diaphragm dimensions were in plan view 23 m long across the full width of
wall. the tunnel and were evenly spaced along the length of the tunnel.
Following completion of the diaphragm walls and barrettes, The thickness of the overburden including the runway pavement
dewatering and excavation commenced inside the walls. was up to 4 m and decreased to 1 m at the tunnel portals.
Excavation was initially undertaken to depths of up to about RL The base slab was 1 m thick with a founding level ranging
-2 m to allow construction of the roof slab. A watertight from RL -5.5 m to RL -9.5 m. The base slab had all drainage
membrane was installed as part of the waterproofing system. provision cast monolithically within the slab to mitigate potential
When the roof slab was completed, it was backfilled and the site for pipe breakages caused by differential movement and buoyancy
was cleared for handover to the Gold Coast Airport. These forces. Figure 5 shows the typical cross-section of the tunnel.
activities commenced in April 2006 after environmental Cathodic protection provision, sheet and joint waterproofing,
approvals were granted and were completed by November 2006, mechanical/electrical service provision and monitoring
which was the scheduled date of the site surface handover. instrumentation were also cast into the tunnel structure.
Excavation below the runway extension and construction of the
tunnel continued thereafter. Approach ramps
The north and south approach ramps were both constructed by
STRUCTURAL DETAILS the bottom-up construction method. The south ramp was 281 m
long and 24 m wide at the portal tapering out to 44 m at the top
Tunnel box of the ramp to accommodate a slip lane. The north ramp was
The tunnel structure consisted of diaphragm walls forming the 271 m long and 28 m wide.
outer walls and barrettes along the centre line of the tunnel. The Diaphragm walls were used to form part of the permanent
diaphragm walls were 1 m in thickness and extended from the ramp structures within 32 m from the portal, followed by
Northern Portal (Ch5588) to the Southern Portal (Ch5922.4). The temporary sheetpiles to allow construction of the ramps in the
walls were installed to the depth of RL -17 m from the top of the narrow corridor. The extended diaphragm walls were 27 m deep
guide wall at RL 2 m. The internal width between the diaphragm and made up one wall of the deep sumps, which were located at
walls ranged from about 25.7 m at the northern portal to 28 m at each portal. Sump dimensions were 31 m long (longitudinal) and
the southern portal. Barrettes were 0.8 m thick and 2.8 m wide 16 m wide (transverse) with an average depth of 5.5 m below the
(longitudinal) with a clear spacing of 2.8 m throughout the base slab and were cast in situ elements. One side of the sump
central axis of the tunnel, extending to RL -17 m in depth. was coupler connected to the extended diaphragm walls.
These structures had a 100 year design life, using N-grade The walls and ramp slabs were cast in situ elements with
reinforcing steels and 50 MPa high strength concrete. There were provision for cathodic protection, waterproofing, monolithic
no mechanical ‘joints’ at the interface of the primary and drainage, mechanical/electrical services and tension screwpiles
secondary panels in the longitudinal direction. The roof and base in the sump and ramp slabs.

Screw piles A sacrificial thickness of 4 mm was incorporated to allow for

corrosion over the 100 year design life. The working load was in
Tension piles were required to prevent flotation of the approach the range of 300 to 350 kN and typical pile lengths were 9.0 to
ramps. The piles were designed for loads from the one in 100 13.5 m, with rows of eight to ten piles placed at spacings varying
year flood and a design life of 100 years. Maximum upward from 2.4 to 4.0 m. A typical cross section of screw pile
movement under long-term load was limited to 25 mm to ensure arrangement is shown in Figure 6. Installation torques were used
that the interface stresses between the ramp and tunnel portal did to control pile founding depths based on results from preliminary
not exceed allowable values. test piles where a correlation was derived between torque and
Steel screw piles were selected due to the tight site constraints, SPT values in various ground conditions.
the least noise impact on neighbouring properties and the Corrosion monitoring elements were installed at 12 locations
significant cost advantages resulting from being a very efficient throughout each ramp, set within 0.5 to 1 m of the piles and
pile in resisting tension. Piling could be carried out day and night at varying depths of up to 7 m. At three locations additional
with simple equipment (excavator rig and hydraulic motor), sacrificial piles were installed each side of the ramp with a
which provided flexibility to the construction program. detailed, accurate recording of pile section thickness. These piles
Site trials were performed to determine the most appropriate could later be extracted for measurement as part of the overall
parameters for the pile. The typical configuration adopted was a corrosion monitoring system. Bonding bars connected the
shaft of diameter 219 mm and thickness 8.2 mm, fitted with a reinforcement at the top of each pile (which was isolated from
helix of a diameter of 600 mm and a thickness of 32 mm. In the ramp slab reinforcement) to allow for future use of cathodic
weaker ground the helix was increased to 700 mm diameter and protection if required.
preboring was required in areas where dense or very dense sand
were encountered in order to overcome the installation limits. Waterproofing
For longer piles where preboring was not possible the shaft
thickness was increased to 12.7 mm for increased installation The approach ramps and tunnel were made watertight by a fully
torque capacity. bonded membrane system applied to the permanent structure
Roof Slab
Diaphragm Wall Waterproof Membrane
Base Slab
Waterproof Membrane
Barrette
FIG 5 - Typical tunnel cross-section.
Base Slab
Screw Pile
FIG 6 - Screw piles under approach ramp.

externally (see Figure 5). The diaphragm walls did not receive an Cathodic protection
external membrane, but rather a watertight joint between the
primary and secondary panels was achieved through the joint The tunnel diaphragm walls and barrettes were protected against
treatment (ie tongue and groove) from the CBC25 low headroom corrosion by an impressed current cathodic protection (ICCP)
diaphragm wall cutter, as shown in Figure 7. system using anodes connected to a dc power source. The system
adopted a total of 58 vertical anode wells extending to 30 m
depth. The Wenner Method of measuring soil resistivities was
cutter
adopted to gather the necessary design parameters of depth,
thickness and resistivity of soil layers. The positive dc output
terminal was connected via cables to the anode array while the
negative output was connected to the diaphragm wall and
barrette reinforcing steel bars. For typical arrangement of the
ICCP system refer to Figure 8.
A corrosion monitoring system was implemented for the
approach ramps and tunnel slabs utilising a Moncor Corrosion
Monitoring unit. The system was capable of providing information
to assess the level of corrosion of steel reinforcement and early
detection of chloride contamination. The monitoring units were
imbedded within the concrete at representative locations in the
structure and took measurements of the relative degree of chloride
secondary panel ingress into the concrete, the corrosion rate and the corrosion
activity potential of the steel reinforcement. The levels of relative
primary panel primary panel chloride ingress and corrosion rate were measured at a junction
box using a specialised external instrument.
H - beam to be removed A monitoring system was also installed to the approach ramp
during concreting screwed piles, with provision made for the future connection of
the screw piles to an ICCP system. The monitoring system
FIG 7 - Joints between diaphragm wall panels (courtesy of Piling located a corrosion probe, zinc reference, silver/silver chloride
Contractors Bauer Joint Venture). reference and titanium reference electrode at depth beneath the
permanent structure. Electrical continuity was maintained via the
The 1.5 mm thick membrane Bituthene 3000, manufactured by steel reinforcement within the concrete structures with a negative
Grace Construction Products, was cold applied in two layers. connection welded to the steel screw piles. The probes,
The self-adhesive membrane, with 100 micron cross-laminated electrodes and negative connections terminated at junction boxes
HDPE film and rubber bitumen compound, was applied to for monitoring using special equipment for corrosion rate
75 mm thick blinding concrete beneath slabs, or directly to monitoring and reference electrodes potential.
external face of approach ramp walls. The membrane in the wall
application was protected by protection board placed prior to the DEWATERING SYSTEM
backfilling operations.
The dewatering system for the tunnel works consisted of
All joints within the structure received a hydrophilic waterstop, dewatering wells, a chemical treatment system, settling ponds
with a volumetric increase of greater than 200 per cent when in and recharge wells. The system was required to allow
contact with water. In addition, an injection tube system capable construction of the tunnel, which at its deepest was more than
of reuse and through which both grout and resin injection could 10 m below sea level and at its closest point was only 60 m from
take place was located adjacent to the waterstop. the Cobaki estuary system.
FIG 8 - Cathodic protection arrangement.

The dewatering system was installed in stages to suit the GEOTECHNICAL ANALYSIS
complex nature of the tunnel construction. The initial dewatering
wells were installed to permit excavation for roof construction.
Design considerations
The dewatering pipe work for the main tunnel excavation was
installed under the roof slab such that in the next stage of works Geotechnical design of the tunnel was required to address the
the dewatering pipe work would be suspended from the roof slab. following three key issues:
This enabled dewatering of the main tunnel zone ahead of the • Excavation support during construction – the diaphragm wall
excavation works and allowed the excavation works to progress structures were designed to ensure stability of the excavation.
without disruption to the dewatering system. A total of Issues included structural design of the walls, base heave,
21 dewatering wells were installed with the deepest wells hydraulic uplift, piping and liquefaction.
installed to RL -25 m, approximately 10 m below the deepest
tunnel excavation level. • Structural integrity due to settlement of the tunnel during
The extraction wells consisted of an outer screened casing, construction – the tunnel was subjected to loading from
coarse sand filter and an inner extraction pipe. Air pumps at the airport runway fill, which resulted in settlements. The
base of each well lifted the groundwater to the surface where it influences of differential settlements on structural capacity
was piped to one of the two treatment plants at either end of the were assessed.
tunnel. Electric and diesel compressors at each of the treatment • Long-term stability and serviceability of the tunnel –
plants provided the compressed air to run the pumps. Air pumps buoyancy of the tunnel when the groundwater table was close
were chosen because of their simplicity. They had no moving to the surface or the flood level.
parts and as such were very reliable and essentially maintenance
free. Two-dimensional numerical modelling
The extracted water was high in iron (40 to 60 mg/L) and if
left untreated would quickly clog the recharge wells with iron Design of the tunnel was initially undertaken using the finite
precipitates. The pH and iron levels were also unsuitable for element software PLAXIS (Version 8.4) at selected sections.
direct surface discharge, so that treatment was essential. In the This numerical package was used to analyse two-dimensional
treatment plant the pH of the groundwater was raised to 8.0 to plane-strain conditions involving complex soil-structure
9.0 by injection of a caustic soda (NaOH) solution. At the interaction for the design of the structural members. Structural
elevated pH the iron began to precipitate out of the solution. The beam elements were used to simulate the diaphragm walls.
reaction was relatively fast, so after a short contact time the pH Global factor of safety during each of the construction stages was
was brought back down to 6.5 to 7.5 using hydrochloric acid calculated based on the c’-φ’ reduction method to ensure the
(HCl). This halted the process of iron precipitation and also minimum FoS was achieved. The software allowed modelling of
reacted with the caustic soda to form common salt (NaCl). At construction sequence, changing groundwater levels and varying
this stage the iron had come out of the solution and was a subsurface conditions across the width of the tunnel.
suspended solid.
The processed groundwater was then pumped to a series of Three-dimensional numerical modelling
settlement ponds where the iron floc was allowed to settle out.
Additional treatment could be conducted in the ponds to improve A three-dimensional numerical modelling package, PLAXIS 3D
turbidity or to adjust the pH to meet the discharge criteria. The Foundation (Version 1.6), was employed to predict the
treated water was then pumped to the recharge system. settlements of the tunnel caused by runway fill loading and
excavation. Due to the limitation of the program, settlement
The recharge system consisted of a storage tank, used to limit analyses were undertaken in sections, each of approximately 40 -
and maintain a constant head to the recharge wells, and a bank of 60 m in length. The major advantages of the three- dimensional
recharge wells connected by a system of pipe work, both air and modelling were as follows:
water. There were two separate recharge systems for each end of
the tunnel. The treated water was gravity fed from the header • Ability to model the physical dimensions of the wall and
tank to the recharge wells. These consisted of a screened casing barrette structures. This improved the accuracy of settlement
surrounded by a gravel pack installed to a depth of around 20 m. prediction as it accounted for longitudinal stiffness of
The top of the well used unscreened casing and a bentonite plug the tunnel, which assisted in load redistribution and toe
to allow the well to be pressurised. The pressure was limited to resistance of the structures.
1 - 2 m of head as the natural ground consisted mainly of • Ability to simulate three-dimensional load distribution where
remnant dune sands and under high pressures the sand tended to the runway fill was placed oblique to the longitudinal axis of
liquefy and could blow out at the surface. Recharge flows were the tunnel.
generally in the range of 1 - 1.5 L/s per well. Excess water from
the recharge system was discharged as surface water at • Ability to model three-dimensional subsurface profile based
designated discharge points. on probe holes at discrete locations.
Although most of the iron was removed in the treatment • Ability to simulate dewatering within the tunnel excavation
process and in the settling ponds the recharge wells needed to be area.
back flushed at regular intervals to remove iron build-up on the The hardening soil (HS) model was considered most
screens and in the gravel packs. This was done using compressed appropriate to simulate soil behaviour in an excavation. The HS
air, which was fed to the bottom of the well by an internal air model took into account unloading and reloading behaviour and
line. The iron-rich water, which was back flushed to the surface, irreversible plastic strains of soil. The HS stiffness parameters
was then returned to the dewatering system. The air used to back were defined with respect to a reference pressure of 100 kPa. The
flush the wells was supplied from the same compressors that key parameters included E50ref, Eoedref and Eurref as shown in
powered the air pumps for the dewatering system. Table 1. The published data indicated the ratio of Eoedref to E50ref
As the tunnel works progressed and sections became fully is about 0.7 to 1.4 and the ratio of Eurref to E50ref varied from two
sealed the dewatering wells were decommissioned by cutting the to four. The analysis adopted E50ref = Eoedref and Eurref = 3E50ref.
discharge pipe at the top of the tunnel base slab, the air pump Presented here is a 41.2 m long section of the tunnel between
was extracted, the conduit sealed with an expandable bladder and Ch5728.8 and Ch5770. This section of the tunnel was at the
the hole grouted back to slab level. ‘deepest’ location of the tunnel, beneath the thickest layer of the

runway fill and underlain by sloping bedrock level and changing 4. dewatering and excavation to underside of the roof slab;
clay thickness. A jet fan niche of approximately 12 m long
(longitudinal) also lay within the centre of this section, which 5. installation of the roof slab (and jet fan niche), and backfill
was also incorporated in the three-dimensional model. Within to existing ground surface;
this chainage range, there were seven boreholes. Due to the 6. placement of runway fill to design heights (simulated as
capacity of the program, four representative boreholes, which pressures) with 10 kPa live load above the runway;
were evenly distributed spatially, were selected for the analysis.
The assumed subsurface profiles are shown in Table 2. 7. staged dewatering and excavation within the diaphragm
walls to underside of the base slab;
TABLE 2 8. casting of the base slab and completion of the tunnel
Subsurface profiles. structure; and
9. return of the groundwater table to the ground surface and
Borehole #1 #2 #3 #4 Soil type removal of 10 kPa surface loads.
(density/
Location LHS RHS LHS Centre
consistency) The settlement-induced impact was assessed for the above
Chainage 5730 5737 5757 5768 stage seven, which was considered most critical with maximum
Unit RL at top of each layer excavation under full runway loading.
1 0.5 0.5 0.5 0.5 Sand (VL) The assumed levels within the modelled chainage range are
summarised in Table 3.
2 -4.8 -3.4 -5.0 -2.8 CR (MD)
3 -10.8 -14.4 -9.8 -9.7 CR (D) Results of analysis
4 -13.8 -15.9 -12.6 -11.7 Sand (L)
The deformed mesh of the three-dimensional finite element
5 -17.8 -17.1 -17.5 -17.5 Clay (St) analysis under the full runway loading and at the final stage of
6 -24.3 -21.8 -20.8 -17.5 Sand (L) the excavation is shown in Figure 9. The predicted settlement
7 -27.3 -25.1 -21.8 -18.0 Clay (F) profiles (Class A prediction) at the top of the roof slab along the
diaphragm walls and barrettes prior to casting of the base slab
8 -33.3 -30.8 -25.0 -25.2 Clay (VSt)
are presented in Figure 10.
9 -36.3 -32.0 -27.4 -27.4 Bedrock The predicted settlement (Class A) of the tunnel during
excavation was about 45 mm on the left-hand side (LHS), 43 mm
Note: LHS is left-hand side of tunnel facing increasing chainage direction;
RHS is right-hand side of tunnel; centre is centre line of tunnel. on the right-hand side (RHS) and 35 mm along the central
barrettes. The maximum differential settlement was predicted to
be 12 mm between the walls and the barrettes. To allow for
Assumptions of analysis uncertainties, the tunnel was designed for a maximum
differential settlement of 25 mm. The structural analysis showed
The construction sequence was considered in the analysis to
that the longitudinal in-plane stiffness of the tunnel would
simulate the load transfer from the runway fill to the diaphragm
smooth out differential settlements along the tunnel alignment,
walls and barrettes. The assumed construction sequence is
described below: with the presence of the jet fan niche and variability of the
subsurface conditions.
1. application of loads exerted on the virgin ground from the
working platform built to RL 2 m (for construction of the Field performance
guide walls) and construction load of 10 kPa;
The performance of tunnel during construction was assessed
2. installation of diaphragm walls and barrettes to RL -17 m; based on the field monitoring results. This was a means to
3. removal of the working platform and application of 10 kPa confirm that the structural integrity of the diaphragm walls and
construction load on the ground surface; barrettes were not adversely affected by differential settlements.
TABLE 3
Assumed geometry during construction.
Chainage range 5728.8 to 5737.6 5737.6 to 5743.6 5743.6 to 5755.2 5755.2 to 5761.2 5761.2 to 5770.0
Feature RL (m)
Natural ground level 0.5 0.5 0.5 0.5 0.5
Top of roof slab -0.8 -0.25 +0.4 -0.25 -0.8
Bottom of roof slab -1.8 -1.25 -0.6 -1.25 -1.8
Initial excavation -2.8 -2.8 -2.8 -2.8 -2.8
Initial dewatering -3.8 -3.8 -3.8 -3.8 -3.8
Intermediate excavation -6.0 -6.0 -6.0 -6.0 -6.0
Intermediate dewatering -7.0 -7.0 -7.0 -7.0 -7.0
Top of base slab -8.4 -8.4 -8.4 -8.4 -8.4
Bottom of base slab -9.4 -9.4 -9.4 -9.4 -9.4
Final excavation -9.7 -9.7 -9.7 -9.7 -9.7
Final dewatering -11.7 -11.7 -11.7 -11.7 -11.7
Toe of diaphragm wall -17.0 -17.0 -17.0 -17.0 -17.0

Three instrumentation arrays were set up at Ch5655, Ch5718 and

Ch5770, corresponding to locations of the runway fill (see
Figure 11).
Each array consisted of three settlement plates placed above
the LHS and RHS diaphragm walls and the central barrettes (see
Figure 12). These were installed prior to runway fill placement
and excavation of the tunnel in order to capture all construction-
induced movements. In addition to the settlement plates, survey
targets were also installed at inner walls to the tunnel to record
tunnel movement during excavation. This information was
calibrated against the settlement plate measurements as the initial
tunnel movement record was not available.
Figure 13 shows a summary of construction activities,
recorded settlements and the predicted settlements at diaphragm
wall and barrette locations at Ch5718. The settlement prediction
adopted here is the result of analysis between Ch5728.8 and
Ch5770. Monitoring commenced at the beginning of November
FIG 9 - Deformed three-dimensional finite element mesh. 2006. Excavation of the tunnel commenced in mid December
Distance along Centre Line (m)

0 -5 -10 -15 -20 -25 -30 -35 -40 -45
-30
-35
Settlement (mm)
-40
-45
-50
Central Barrettes
CH5728.8 RHS Diaphragm Wall CH5770
LHS Diaphragm Wall

-55
FIG 10 - Predicted settlement profiles at top of roof (Class A prediction).
FIG 11 - Plan of instrumentation arrays.

licensed disposal facility. The remedial works minimised the

potential migration of groundwater pollution from the area and
groundwater monitoring was undertaken quarterly to confirm
that ongoing contaminant migration did not occur.
A total of 12 500 m2 of concrete paving was dug up, crushed
and reused on site within culverts as an anti-erosion measure and
as general fill throughout the site. Approximately 200 m3 of
construction waste was taken off site every month and sent to a
recycling depot where 80 per cent of it was recycled. Up to one
million litres of water a day was required during hot summer
months for dust control on site. Where possible this water was
sourced from sediment basins where site run-off was collected.
All mulched vegetation was reused on site for the landscaping
and revegetation and also for the stabilisation of exposed topsoil
and substrate.
Vegetation clearing along the alignment was undertaken in a
controlled and methodical manner, with very few breaches of the
FIG 12 - Typical instrumentation section. delineated clearing limit. A combination of well signposted
clearing limits and ongoing education of staff ensured that all
2006 from the Northern Portal at Ch5588. The excavation were aware of the environmental significance of the surrounding
process reached Ch5718 in early January. Placement of runway vegetation and fauna habitat. Environmental management
fill above CH5718 followed in mid January, which had resulted measures were implemented prior to any clearing works and
in visible settlements of the tunnel. The settlements appeared to these included the provision of a professional fauna handler to
have ceased after the excavation reached final depth in mid deal with any fauna found during the clearing.
February. The monitoring data showed that the field performance Treatment of the groundwater associated with the tunnel works
of the tunnel was consistent with the predictions obtained from is described above in the Dewatering System section.
the PLAXIS 3D foundation modelling. Maximum differential
settlements between the barrettes and the diaphragm walls were CONCLUSIONS
less than 25 mm at all stages of construction.
The Tugun Bypass tunnel was constructed under many strict
constraints, including the obstacle limitation surface (OLS), thick
ENVIRONMENTAL MANAGEMENT alluvial and estuarine soil deposits, groundwater table at shallow
depths, sensitive environment, early handover of site surface for
The Tugun Bypass was regulated by a number of complex runway extension, etc. Diaphragm walls with the top-down
Commonwealth, state and local government environmental laws. construction techniques were adopted for the construction of the
The environmental impact assessment required prior to approval tunnel structure. Detailed geotechnical investigations and
involved extensive environmental surveys and subsequent route numerical modelling were undertaken for design optimisation and
option analysis. Surveys included assessment of meteorological, risk minimisation. A dewatering and recharge system was
hydrological, geological and biological aspects of the implemented to lower the groundwater table within the excavation
environment. Ecologically sustainable development was achieved area and minimise the water table drawdown outside the tunnel.
by avoiding, minimising, mitigating, and/or compensating for Waterproofing and cathodic protection of the tunnel structure were
environmental impacts, in that order of precedence. undertaken to meet the long-term serviceability and durability
Three former landfill sites had to be remediated before requirements. Screw piles were used under the approach ramps to
construction commenced. As the sites straddled the boundary of resist buoyancy from the groundwater. Strict environmental
the road corridor, remedial works were undertaken in management was employed to manage waste material and
conjunction with the Gold Coast Airport. On-site containment of contaminants and maintain the ecological environment.
the waste was deemed impractical and waste removal involved Instrumentation and monitoring during tunnel construction had
excavation and transportation of 11 190 tonnes of material to a demonstrated satisfactory performance of the tunnel.
Date
26/11/2006 16/12/2006 5/01/2007 25/01/2007 14/02/2007 6/03/2007 26/03/2007 15/04/2007
10 4
RL of Excavation and Top of Fill (m)
0 2
Measured at LHS
Measured at Centre
-10 0
Masured at RHS
Settlement (mm)
RL of Excavation
-20 RL of Top of Fill -2
-30 -4
Predicted 35 mm (Centre)
-40 -6
Predicted 43 mm (RHS)
Predicted 45 mm (LHS)
-50 -8
-60 -10
FIG 13 - Settlement monitoring results at Ch5718.

Perth City Rail Tunnel Project – Overview, Geotechnical
Conditions and Building Protection
E Hudson-Smith1 and M Grinceri2
ABSTRACT works budget of more than A$1.6 billion. The work was
undertaken by the Public Transport Authority (PTA) on behalf
The New MetroRail City Project was completed in 2007 in Perth,
Western Australia. The project included construction of two underground
of the Government of Western Australia. The 72 km long Perth
stations, twin bored rail tunnels of 1.4 km combined length and cut-and- to Mandurah Southern Suburbs Railway (SSR) was part of the
cover tunnels and dive structures of about 1 km total length. It is the first overall New MetroRail Project, linking the rapidly growing
major underground construction project within the Perth central business South-West Corridor with the CBD and the existing rail
district (CBD). This paper provides an introduction to the project and network.
describes the geology and hydrogeology of the area. Ground conditions The City Project was the northern section of the SSR and was
varied significantly along the alignment from soft estuarine muds in an constructed by the Leighton Kumagai Joint Venture (LKJV)
area of reclamation to very dense cemented sands and very stiff to hard under a A$334 million design, construct and maintain contract
clays. Deep foundations for the project extend down into the bedrock with PTA. The City Project included construction of two
below the CBD, a Tertiary siltstone/sandstone. Key geotechnical hazards
encountered during the project are discussed. The building protection
underground stations, twin bored tunnels, cut-and-cover tunnels
methodology on the project is described, including damage assessment, and dive structures. The City Project built approximately 2.7 km
condition surveys, monitoring and protection of key structures. of new railway from Roe Street to the Narrows Bridge, as shown
in Figure 1. It was the first major underground construction
project within the Perth CBD, apart from multi-level basements
INTRODUCTION for high-rise structures.
The New MetroRail Project was completed in 2007 in Perth, City Project permanent works were designed by Maunsell-GHD
Western Australia and involved a major upgrade and expansion with independent verification of these designs by SKM-SMEC.
of the city’s electrified rail network. The project doubled the Specialist advice, in the development of geotechnical design
length of Perth’s railway system, included 11 new stations and parameters and seismic modelling was provided by Coffey.
added 93 new railcars onto the network, involving a total capital Temporary works were designed by Geoconsult (Singapore) and
BG & E, with independent verification of these designs by Golder
1. Previously: Public Transport Authority, Perth. Currently: Principal, and van der Meer Group. Specialist design advice was obtained by
Geosite Pty Ltd, 84 Williams Road, Nedlands WA 6009. PTA from WorleyParsons and Connell Wagner.
Email: emhsmith@bigpond.com Further details on technical aspects of the project are
2. Previously: Leighton Kumagai Joint Venture, Perth. Currently: summarised in a series of 11 papers presented at a seminar on the
Senior Engineering Geologist, WorleyParsons, Level 1, 49 Woods New MetroRail City Project, Tunnelling and Underground
Street, Darwin NT 0800. Structures, held at the University Club, Western Australia on 12
Email: michael.grinceri@worleyparsons.com September, 2007 (available from Engineers Australia, Perth).
Perth Yard Po rtal
William Street Station

Bored Tunnel
Esplanade Station
Cut and Cover/

Dive Structures
FIG 1 - City Project site layout.

E HUDSON-SMITH and M GRINCERI
PROJECT BACKGROUND Chainages along the route are referenced to chainage zero (Ch 0)
in the centre of the William Street Station, with increasing
Route selection chainages to the south expressed as Perth to Mandurah (eg Ch
850PM) and increasing chainages to the north as Perth to Butler
Although earlier planning studies had recommended the (eg Ch 220PB).
Southern Suburbs Railway should link in to the existing The significant underground features of the project include:
Joondalup Line by passing in tunnel under Perth’s central
business district (CBD), by year 2000 the planned route bypassed • William Street Station, extending over a length of 139 m and
the CBD via Thornlie and the Armadale Line. In 2001 and 2002 with rail level located approximately 17 m below ground.
extensive studies and public consultation were undertaken to The station is linked to the existing central Perth train station
confirm the optimum route for linking the SSR into the existing by an underground concourse beneath Wellington Street. The
rail network. Alternative tunnel routes into and under the CBD as station was formed using diaphragm walls and top-down
shown in Figure 2 were considered. For many reasons, the in situ concrete construction methods.
central city tunnel route (Route 1D in Figure 2) became the final • The Esplanade Station, extending over a length of 138 m and
route. with rail level located approximately 9 m below ground. This
station was constructed bottom-up using in situ concrete
Project description constructed within temporary sheet pile walls.
As shown on Figure 1, the northern end of the route commences • Roe Street cut-and-cover tunnel and open dive structure,
extending over a length of about 300 m. At its deepest point,
within the Perth Railway Yard adjacent to Roe Street. It then
the rail level is approximately 9 m below the ground surface.
extends eastward within the rail reserve and the adjacent Roe
The Roe Street structures were built of in situ concrete inside
Street road reserve before turning to the south in a 135 m radius
temporary and permanent sheet pile walls, generally using
curve and passing beneath the existing rail tracks and the bottom up methods. In the deeper, strutted section of the
heritage-listed Horseshoe Bridge that carries William Street over Perth Yard Dive structure a semi-top down construction
the rail tracks. South of Wellington Street, the alignment is located method was used.
initially to the east of the William Street road reserve in land that
was purchased by the State Government to facilitate project • Twin bored tunnels extending from the eastern end of the Roe
development, and has since been on-sold to a private developer to Street cut-and-cover section to the William Street Station and
develop as high rise towers above and adjacent to the William from there through to the northern end of the Esplanade
Street underground station. The project alignment then passes Station. Within the bored tunnels, the rails are between about
beneath the Murray Street mall and four city buildings ranging 9 and 21 m below ground surface. The total length of bored
from two to five storeys in height, which are supported on shallow tunnels is approximately 1.5 km. The 6.16 m internal diameter
footings, generally with one basement. The tunnels are then bored tunnels have a 275 mm thick segmental lining.
located beneath the road reserve until reaching Mounts Bay Road. • Foreshore cut-and-cover tunnel, open box structure and dive
The alignment then turns to the west beneath the William Street structure, extending from the southern end of the Esplanade
road overbridge (since demolished) and passes through the Station until the rail track rises to ground surface between the
Narrows Interchange towards the Narrows Bridges. The route two carriageways of the existing Kwinana Freeway. These
passes beneath the southbound Kwinana Freeway carriageway and structures were nearly all formed of in situ concrete within
approaches the Swan River between the two Narrows Bridges. temporary retaining walls.
FIG 2 - City Project tunnel route options considered in 2001/2002.

PERTH CITY RAIL TUNNEL PROJECT – OVERVIEW, GEOTECHNICAL CONDITIONS AND BUILDING PROTECTION
Major components of the project were required to be designed Old Northbridge lake system
for a design life of 120 years. Particular durability requirements
were specified in the City Project scope of work and technical The extent of lakes in the vicinity of the northern section of the
criteria. Limits on long-term seepage into the underground project alignment taken from a plan dated 1838 is shown in
structures were specified, requiring care with design and Figure 3. Lake Kingsford is seen to cover much of what is now
construction of waterproofing details. Limits were specified on the Perth central train station. In particular, a section of the new
long-term rail movements, requiring substantial quantities of rail alignment adjacent to Roe Street is within the original lake
piles to resist vertical loading (including compression due to area, covered by Lakes Kingsford, Sutherland and Irwin.
ongoing ground subsidence in the reclamation), tension forces In some old lake areas thicknesses of 1 to 2 m of organic peaty
(buoyancy forces on underground structures) and lateral loads material formed. The organic materials were generally at shallow
(lateral movements of reclamation fills). Elements of risk sharing depth (1 to 2 m maximum) since the lakes were formed by
were incorporated into the project deed, including payment groundwater exposed in shallow interdunal swales. Filling of
provisions for issues such as contaminated materials and these lakes to eliminate mosquito problems and create more land
underground obstructions. As for similar projects in a built-up for development in the mid 1800s resulted in variable ground
city area, existing buried services were identified, with payment conditions. Subsequent land use as railway yards for the past 150
mechanisms included to cover a range of eventualities. Minimum years has caused the old lake infilling to generally comprise sand
monitoring requirements were specified in the contract by PTA with traces of organic matter, occasional zones of peat and
to measure movements of buildings, infrastructure and services, railway ballast, cinders and timber sleepers.
and ground and groundwater levels. Limits were placed on
changes to groundwater levels. A conceptual design of the Foreshore reclamation area
project by PTA was finalised after project award by LKJV in
consultation with relevant stakeholders. Over a period of about 150 years, a substantial part of the Perth
Topography along the route ranges from ground levels at about foreshore was reclaimed from a large tidal estuary known as
2 m above sea level in the foreshore area to about 15 m above sea Perth Water. The Esplanade Station and foreshore cut-and-cover
level in the CBD where the bored tunnels are at their deepest, to sections of the project are located within this reclaimed area.
about 11 m above sea level in Perth Rail Yard where the project Early development of this area during the mid to late 1800s
rejoins the existing rail network. included the construction of a filled causeway leading to a timber
jetty. A channel was later dredged and formed to improve
navigation to the jetty. By about 1900, filling of the Swan River
HISTORICAL DEVELOPMENT ALONG THE
had extended out about 100 m south of the original shoreline and
ROUTE on both sides of the original causeway. These features are shown
European settlement of the Swan River Colony, which later in Figure 4. This area was used for a number of purposes,
became the City of Perth, occurred progressively during the including for the support of military aircraft during World War II.
1800s. Several major developments associated with the growth of In 1954, reclamation of an area of about 29 hectares was
the city had the potential to impact on the project and are commenced to enable construction of the Narrows Bridge.
described in this section. Reclamation was carried out by placing sand hydraulically behind
FIG 3 - Old lakes near project alignment.

FIG 4 - Historical development in foreshore area.
a perimeter bund. It is understood that the bund was formed by deeper excavations. It was reported that the anchors were
first dredging oyster shells as lightweight fill and then covering destressed as basement construction progressed; however, this
this with about 2 m of sand. This bund was subsequently practice may not have been followed in all cases.
penetrated by timber sheet piling breastwork. This so-called ‘old’
reclamation was essentially completed by January 1958. A large SITE INVESTIGATIONS
proportion of the hydraulically placed fill comprised estuarine
mud capped by a layer of sand at about RL 2.5 m. Six phases of site investigation were carried out for the project as
summarised in Table 1. Phases 1 to 4 were managed by the PTA.
A ‘new’ reclamation of an additional eight hectares area
Phases 2 and 3 involved input from tendering consortia. Phases 5
followed the ‘old’ stage in order to accommodate the Narrows
and 6 were managed by LKJV. A substantial geotechnical
Interchange road works. The ‘new’ reclamation continued until
interpretive report was prepared by LKJV at the completion
about 1970. To accelerate the large settlements expected across
of the Phase 5 investigations, summarising all findings and
this area from embankment loading, the compressible foundation
recommendations for design at that stage.
soils were surcharged. Some 43 000 vertical sand drains, each
of about 450 mm diameter, were installed in 1964/1965 to
accomplish this. TABLE 1
Parts of the original riverbed were observed to have settled up Phases of site investigation.
to 7 m under surcharge loads, contributed by filling about 5 m
above final design levels. The total depth of fill including Phase Timing Details
surcharge since reclamation commenced, in some places, 1 Prior to calling for Scoped and commissioned by
exceeded 20 m. Residual (secondary) settlements of up to 0.7 m expressions of interest PTA
or more were expected over a long period of time following 2 During expression of Scope proposed by five EOI
construction. This magnitude of estimated settlement is interest (EOI) stage participants and commissioned
consistent with the results of subsequent settlement monitoring. by PTA
3 During the tender design Scope proposed by two
Old ground anchors stage Proponents. Partial scope
commissioned by PTA
More than 150 ground anchors were known to exist beneath
William Street along the alignment of the proposed bored 4 During tender evaluation Scoped in consultation with
stage Preferred Proponent. Partial
tunnels. The anchors were installed for temporary support of scope commissioned by PTA
basement retaining walls for possibly six buildings. Anchors
typically comprised twisted strands of high tensile steel wire 5 Immediately following Scoped and commissioned by
grouted with cement (over fixed lengths of 6 to 10 m) within award of contract LKJV
holes of about 80 mm diameter and with free lengths of about 6 During construction Scoped and commissioned by
8 to 10 m. More than one row of anchors was employed on LKJV

Separate investigations were conducted by environmental Laboratory testing

consultants into the occurrence and characteristics of acid sulfate
soils and contaminated materials and groundwater along the Laboratory testing included the following types of tests:
route. This work is not discussed further in this paper. • soil classification,
• organic content,
Field investigations • density and moisture content,
By the end of the Phase 5 investigations, the following field work • consolidation and compression characteristics,
had been completed: • strength characteristics,
• 84 electric friction-cone penetrometer tests, including • abrasion,
standard friction-cone, piezocone and seismic cone testing;
• clay mineral dispersion,
• 15 profiles of Marchetti dilatometer tests;
• chemical characteristics of soil and groundwater relating to
• 94 geotechnical boreholes with standard penetration testing, corrosion,
thin-walled tube sampling and HQ diamond coring;
• chemical characteristics of groundwater relating to water
• nine borehole profiles of field vane shear strength testing; quality, and
• self-boring pressuremeter testing within five boreholes; • X-ray diffraction and scanning electron microscopy (SEM)
• spectral analysis of surface waves testing at three locations; photomicrographs.
• 20 groundwater monitoring and sampling bores;
GEOLOGICAL MODEL
• field permeability tests within five boreholes;
The historical borehole records, six phases of site investigation
• three 48-hour pump tests of production bores; and construction boreholes resulted in a total of approximately
• 13 backhoe test pits and 12 hand auger boreholes; and 900 locations that were test pitted, drilled or probed to provide
geological, geotechnical and/or hydrological information for the
• gas monitoring in ten boreholes. project. This total figure includes approximately 200 historical
A borehole database was maintained for the project, using drill holes and CPT probes.
software gINT. Seismic profiling was used to attempt to define During the Phase 1 to 5 investigations the geological model of
bedrock levels and identify buried objects. Groundwater levels the site was subdivided into six to eight units (depending on
were monitored in boreholes for up to 12 months prior to design investigation phase). These engineering geology units with an
in some locations. In addition to the fieldwork, desk studies were assigned symbol (eg SS, Spearwood Sand) were used throughout
conducted along the project alignment to obtain records on the project for design and construction purposes. An example of
previous site investigations by others, existing foundations, old a geological section produced during the project is shown in
drains, windmills and wells, historical settlements recorded Figure 5.
within the Narrows Reclamation, potential locations of buried During the construction period several variations to the
ground anchors beneath William Street and buried structures geological model were created in response to observations made
within the reclamation area. A seismic risk assessment was during excavation and for construction requirements. These later
conducted for the project. variants identified up to 18 separate geological units and
FIG 5 - Typical geological long-section prepared prior to construction, showing anticipated ground conditions around Esplanade Station.

interpreted several new geological systems. An example of a shown in the figure. The approximate position of the tunnel
section generated during construction is shown given in Figure 6. invert to the geological units is shown. The geological units as
This section was from the tunnel boring machine (TBM) launch shown on the right side of the figure continue in similar fashion
zone and initial (southern) section of the bored tunnel. These later through to the Narrows Bridge. The main geological units are
interpretations were developed from bored tunnel spoil logs and discussed in further detail below.
observations made during excavation of the TBM launch box.
The refined geological models were used for back analysis and Fill (MG1, MG2, MG3)
predictive work. Refined geological models were not continuous
across the project with separate models created for the Esplanade, Fill material (Made Ground, MG) varied both in composition and
bored tunnels, William Street Station and Perth Rail Yard. The thickness depending on the area of placement. The three main
development of an updated geological model for the Perth CBD is divisions were the Esplanade (MG1), the Bored Tunnel (MG2)
the subject of a current Masters Thesis at University of Western and the Perth Rail Yard (MG3). Most of the fill comprised sand
Australia by M Grinceri, being further research as part of a joint with varying amounts of refuse and other materials.
LKJV/UWA/Australian Research Council grant. These later The Esplanade fill (MG1) comprised three components: sand,
geological models will not be discussed further. historical refuse and recent refuse. The sand fill was placed as
A schematic diagram showing the relationship of seven of the part of reclamation of the river. Drilling indicated that limestone
main geological units identified and their relation to the main roads had been constructed within the sand fill, particularly along
project elements are given in Figure 7. The thin fill through the the foreshore. These roads now occur well below the river level
city and the thin fill and the Lake System Alluvium (LSA) found due to settlement of the fill. Furthermore, it appears that the
in the Perth Rail Yard at the left side of the diagram are not underlying Swan River Alluvium (SRA) became interbedded
Bored Tunnel
FIG 6 - Geological section hand drawn during construction, Eastern bored tunnel Ch 540 to 490PM.
FIG 7 - Schematic geology of the project and approximate location of principal features.

with the sand fill in places during the filling operation. Historical was noted that a layer of silty sand occurs within the lower part
refuse comprised bottles, concrete, metal, timber, clothing, shells of the formation; however, the nature and extent of this layer was
and food scraps that had been dumped into the river from the never resolved.
former causeways and jetties that were placed along the
foreshore. This material was mixed with the SRA material. This Swan River Alluvium (SRA)
fill included sections of the William Street jetty that had been left
in place during filling. Recent refuse comprised small pockets of This material comprised a black, organic silty clay to clayey silt
buried building rubble, formwork and abandoned services. with minor thin bands of quartz sand that underlay all the areas
that were previously part of the Swan River. The original bank of
The sand fill along the foreshore varied in thickness depending the Swan River was in the vicinity of the Esplanade but has
on the thickness of the underlying SRA. CPT probe P23 pushed progressively moved southwards during reclamation to its
during Phase 1 appears to be the only investigation point to current position.
correspond with one of the sand drains. This probe identifies
sand being 23 m thick when surrounding holes indicated the The Noongar people describe the original bank of the Swan
sandy fill was 5 m to 7 m thick. River as a hunter and gatherers’ ‘supermarket’, comprising a reed
filled shallow swamp leading out onto shallow estuarine flats.
During the site investigation a yellow sandy fill (MG2) was The Swan River Alluvium would have been the estuarine
identified throughout the city to a depth of up to 3 m. This fill sediment that covered the bottom of the swamp and extended to
material overlies light brown to white sand from the Spearwood the river. In most places this material varied from 2 - 4 m thick
Sand (SS). During construction it was identified that although and directly overlies the Guildford Formation.
there were localised patches of deep fill, the yellow sand was
naturally occurring and the fill material was generally less than At the southern end of the Esplanade Station the SRA fills an
0.3 m deep. 18 m deep incision in the Guildford Formation. Gozzard (2005)
indicates that this palaeochannel is filled with Holocene age
Sandy and refuse fill (MG3) to a couple of metres thickness material and that the remaining material is Quaternary to Recent.
occurred as infill in the former lakes (Figure 3). The fill Fossils within the palaeochannel are of similar type to those
commenced on the northern side of Wellington Street and invertebrates that occur within the present Swan River, indicating
extended north and west to the Milligan Street footbridge a similar environment of deposition.
becoming thickest near Roe Street. The material was generally The SRA is characterised by high liquid limits, an organic
sand with minor detrital material, with coal dust, ash and metal content of 20 - 40 per cent; material in the lower parts of the
refuse in the vicinity of the former locomotive sheds in the Perth palaeochannel are fissured in places and the material was highly
Rail Yard. This fill material was placed directly over organic acid sulfate, with a strong hydrogen sulfide smell. Within a year
soils of the LSA. of drilling all samples of this material had oxidised and
commenced ‘sweating’ elemental sulfur. Piezometers installed
Lake System Alluvium (LSA) into the material recorded subartesian to artesian pressures
indicating that this material is still undergoing consolidation.
This material comprised thin layers of dark brown to black,
organic silty sand, clay and silt. The layers were typically less In situ the material had very low strength; often an SPT
than 1 m thick overlain with fill and underlain by the Spearwood hammer would sink to full depth under either self weight or a
Sand. This material comprised the organic sediment at the base single blow. When this material was being excavated it had the
of the lakes shown in Figure 3. The lower boundary was typically consistency of jelly including the wobble. During construction
sharp, although the underlying sand was typically grey for the extent and thickness was found to be greater than identified
several metres before reverting to the typical colouration of the during the earlier site investigations.
Spearwood Sand.
This alluvium was typically highly acid sulfate and appeared Guildford Formation Undifferentiated (GFU)
to have accumulated pollutants during the time that the area In some of the project documentation the clayey subunits of the
hosted the Railway Workshops. Guildford Formation were referred to as UGU and LGU, while
the sandy components were referred to as GFU. For the purpose
Spearwood Sand (SS) of this description the sandy components have been included
within the relevant upper clayey unit.
The Spearwood Sand comprises a quartz aeolian sand that forms
a ridge in the CBD with a maximum thickness of approximately
8 m, with the highest point between Hay and Murray Streets. The Upper Guildford Formation (UGU)
formation extends for some distance to the west and north and This material is one of three subdivisions of the Guildford
east to East Perth. The southern boundary is approximately near Formation in the project area. During the site investigations it
the northern boundary of the Quadrant and Wesfarmers was found to comprise a clayey upper section underlain by sandy
Buildings some 25 to 30 m north of the William Street and material. This material was the main section of the Guildford
Esplanade intersection. Formation encountered in excavations.
The upper facies comprises a yellow to dark yellow poorly The clayey component appeared as typical Guildford
graded sand with a trace of silt; this section of the formation is Formation blue-green-grey clay grading downwards through
approximately 3 m thick at the highest point and thins to the clayey, silty and sandy admixture soils to orange-brown-grey
north and south. During the site investigation this section of the sand and minor gravel. The sand comprised a subrounded to
formation was often logged as fill; however, excavations showed rounded quartz sand with fine gravel. In the Perth Rail Yard the
that this was an in situ material. This section of the formation sand designated as part of the UGU comprised a coarse-grained,
appeared to be very thin or absent within the Perth Rail Yard, angular to subangular quartz and feldspar sand with trace non-
particularly where the SS was overlain with LSA material. plastic to low plasticity silt. During excavation for the stations
The lower facies comprises a white to light brown, poorly large depositional structures became apparent within this
graded quartz sand. This material makes up the majority of the material.
formation. CPT traces show that the formation is medium dense Intermittent acid sulfate soil presence within the sandy
to dense but also shows looser zones. These may correspond to component of this unit was due to the presence of pyritic clay
different generations of sand deposition. During the project it bands that appeared to line palaeochannels in the sand.

Lower Guildford Formation (LGU) be glauconitic, have a high plasticity and low strength. The
boundaries between the weathering zones on the KPF tended to
This material also comprised a clayey upper section overlying a be gradational.
sandy to gravelly lower section. The clayey upper part was
Some of the core recovered from William Street Station
typified by a high plasticity, microfissured, grey clay that was
showed reworked pieces of Kings Park formation as rounded
mottled red, orange and brown in the upper half of the clay. This
gravel to 30 mm diameter. The presence of this material may
mottled and fissured clay appeared to occur as a marker unit
indicate areas of higher energy during deposition.
throughout the project area. The remainder of the unit comprised
interbedded sand, silt and clay admixtures overlying a basal, high Bored piling records showed that a 20 m deep by
permeability sandy and gravelly material. The basal sands/gravels approximately 100 m wide palaeochannel cut through the KPF
were clean, with no fines and contained subrounded quartz gravels under the Esplanade Station and continued westward under the
up to 20 mm size. This layer of 1.5 - 2 m thickness was found in Perth Convention and Exhibition Centre. This channel was filled
all boreholes throughout the CBD length of the project and formed with LGM material. The channel was identified to have a flat
a highly permeable aquifer overlying the KPF. base and steep sides.
The deep palaeochannel in the SRA was incised into the upper
clayey section of the LGU. Mottling of the clay in the vicinity of Hydrogeology
this palaeochannel was less developed compared to elsewhere. The simple hydrogeological model proposed for the project
Where the LGU was present over the LGM filled identified that aquifers occur within the SS, UGU and LGU
palaeochannel (see below) distortion of the level of the upper units. The hydrostatic pressure profiles of all three aquifers were
clay and the development of slickensided structures indicated common in the vicinity of Northbridge.
post depositional deformation of the LGU due to consolidation
The SS unit contains an unconfined aquifer perched on the
of the underlying LGM.
clayey upper part of the UGU, this appeared to discharge into the
Difficulties were encountered during the installation of sheet fill on the Esplanade. The UGU showed a similar hydrostatic
piles. Drilling to identify the cause of the driving problems found profile to the SS unit. This could have been caused by
several discontinuous moderately cemented layers approximately interconnection through probe and drilling locations or may have
0.1 m thick within the basal sand. The cause of cementation, been a natural effect. The LGU showed a depressed hydrostatic
stratigraphic position and extent of these layers were never profile compared to other aquifers. This was thought to be due to
determined. the high permeability of the basal sand and gravel layer on top of
the KPF.
Lower Marine Guildford Formation (LGM)
The LGM comprised black, dark green and blue-black organic GEOTECHNICAL HAZARDS
silty clay with basal organic silty sand. This material appears as a A number of geotechnical hazards relating to uncertainty and
more consolidated version of the SRA and comprised two unknowns were identified in the earlier phases of investigations,
distinct facies. The upper facies was fissured but had no fossils which were not able to be directly quantified within the
present. The lower facies contained fossils consistent with an geotechnical recommendations. These were all managed by
estuarine environment. The marine unit filled the lower two further investigations and analysis during construction, and were
thirds of a 20 m deep palaeochannel incised into the Kings Park subsequently encountered and managed during construction.
Formation passing beneath the Esplanade Station box in a Broadly they fell into the categories of unforeseen ground
NE-SW direction. Interestingly material of similar character to conditions or materials and unexpected variability in
the upper facies of the LGM was identified in the base of geotechnical or hydrogeological parameters. These included:
boreholes near the eastern side of the William Street Station site
and in a borehole near the Horseshoe Bridge, suggesting other • Existing disused ground anchors in the William Street road
similar paleaochannels may exist elsewhere under the CBD. reserve that may be encountered during tunnel boring. In the
event, the vertical and horizontal alignment of the bored
Kings Park Formation tunnels was successfully adjusted during the design process
to pass beneath these obstructions, and the TBM tunnelled up
The Kings Park Formation within the project area comprised two William Street twice without incident, but the William Street
different facies. In the vicinity of William Street Station the compensation grout construction shaft encountered a number
Formation mainly comprises argillaceous sandstone with of anchors in front of a building that had not been previously
rounded clear quartz sand in a dark grey-brown shaly matrix. identified as having basement anchors. Temporary sheet pile
With depth the sand content decreased and was replaced with wall construction was successfully completed for this 6 m
horizontally bedded shelly material. This material appears to be deep shaft.
similar to that in the type section for the Mullaloo Sandstone
(Quilty, 1974). • Ground movements due to excavation and dewatering could
have potentially caused damage to buildings and other
Elsewhere the Kings Park Formation comprised dark grey to infrastructure. Considerable effort was put into managing
black, clayey to sandy siltstone. The in situ material is very low
these risks during the project as discussed later in this paper.
to low strength, with indistinct horizontal bedding. Within the
dark grey to black section of the formation the strength did not • Ground conditions were expected to be variable in terms of
significantly increase with depth. Furthermore, with access to both material types and material strengths, particularly in
large samples from bored piling operations it was shown that the certain areas along the alignment. In the foreshore,
weathering profile terminated higher within the KPF than paleochannels incised into older formations were known to
previously identified. Previously the grey-black material was have subsequently filled with younger sediments, the more
believed to be moderately to highly weathered, but this material problematic infilling being the SRA, the lesser problematic
is actually the fresh form of the rock. being the GFU. Design of foundation systems considered
The top of the weathered KPF comprises a brown to light future long-term 100 year settlements (up to 250 mm) and
brown silty sand; this material appeared to have been reworked lateral movements (up to 70 mm) in foreshore paleochannels
in places with thin bands of preserved organic matter. The and overlying ground. Over 350 bored piles of 750 mm
thickness of the upper weathered KPF layer varied from 1 - 3 m diameter socketed into the KPF were used to support
thick. The lower weathered zone comprised a 1 - 1.5 m thick Esplanade Station, cut-and-cover and open dive tunnel
band of dark green and black silty clay. This material appeared to structures through the foreshore reclamation.

• The highly variable GFU and SS were known to contain between dissimilar walling such as sheet piles and grouted
cemented zones with strengths equivalent to very low to low soil masses). No such events were experienced during TBM
strength rock although higher strengths can also occur. tunnelling. Sinkholes were repaired by backfilling and
Cemented zones are generally less than 1 m thick and could cement grouting.
have affected diaphragm wall and sheet pile installation. • Contaminated materials and acid sulfate soils (ASS) were
Occasional driving difficulties were experienced with sheet identified on site. Significant construction efforts were
piles. Preboring or predriving was used to assist penetration required to manage these issues.
in such conditions.
• Damage to older buildings founded on relatively poorly BUILDING PROTECTION
compacted ground or poorly constructed footings along or
near the alignment could have occurred due to vibrations The City Project tunnels and underground structures were built in
induced during construction or subsequent operation of close proximity to and underneath a wide range of city buildings,
the railway. Significant investigation, monitoring and infrastructure and underground services. It was recognised that
management of such risks were incorporated in the project as elimination of ground movements and damage to adjacent
discussed later in this paper. facilities was not possible. However, state-of-the-art practices
existed for design and construction whereby such ground
• The presence of old structures buried within the foreshore movements and damage could be minimised within tolerable
reclamation and possibly elsewhere was identified. Buried limits that would be acceptable to project stakeholders including
structures included: building, infrastructure and service owners, the PTA and the
• sheet piles or other steel or concrete parts of former project insurers. A risk sharing approach was adopted in the
building foundations and retaining structures, Project Deed, whereby a defined low level of incremental
• retaining structures associated with previous Swan River building damage caused by the project was allowed, rigorous
foreshore reclamations and rubble used as reclamation pre-and post-construction condition surveys of nearby facilities
material (also within Lake Kingsford), were used to assess any incremental damage and repairs were
carried out to reinstate facilities to their pre-existing condition,
• abandoned old wells, and with cost sharing for repairs between LKJV and PTA under
• drill rods from site investigations. certain circumstances. Monitoring and protection of vulnerable
facilities as determined from preconstruction assessments was
Relatively minor old buried structures were encountered required to manage the associated risks.
during the project. Old timber jetty piles in the foreshore
required removal during excavation of cut-and-cover tunnel Building protection was undertaken as follows:
works and a 24 mm diameter steel bar was encountered by • prepare schedules of all existing buildings, infrastructure and
the TBM in Perth Rail Yard and had to be removed from the services within or partly within predefined monitoring/
screw conveyor within the TBM. assessment zones;
• Difficulties were anticipated with grout takes and extent of • estimate likely ground movements due to cut-and-cover
permeation within variable or interbedded soils. Grout set excavations and bored tunnelling;
may be inhibited by relatively small organic contents in the • estimate construction impacts on buildings, infrastructure
host soil. Later laboratory trials indicated this was unlikely to and services;
be a concern and it did not eventuate on site, during the
considerable grouting and deep soil mixing activities • identify critical areas or structures where damage may
undertaken. exceed defined allowable levels;
• Variability in groundwater conditions was anticipated. It was • design and install required protective works to limit degree of
considered that a number of confined aquifers existed within damage in critical locations;
the Guildford Formation. The continuity of these aquifers • design and install arrays of building, surface and subsurface
could not be quantified with any certainty until construction instrumentation and management systems (McGough and
dewatering commenced. This was further complicated by Williams, 2007);
evidence that existing drained or pumped basements and
irrigation bores had an effect on the natural groundwater • manage a system of pre- and post-construction condition
environment. This variability meant that predictions of surveys on nearby facilities; and
construction inflows and drawdowns, as well as long-term • undertake repairs to damaged buildings, infrastructure or
groundwater levels contained uncertainties. services.
• Discharge of pumped dewatering groundwater to sewer or The management system required for building protection
stormwater system was required. Discharge water quality included the following documents:
may be a significant practical issue. Water treatment plants
were established around the site. Wherever possible,
• geotechnical interpretive report;
groundwater was returned to aquifers as recharge, but on • ground settlement, building protection and repair plan;
occasions excess groundwater was discharged to sewer or • instrumentation and monitoring plan;
stormwater systems as appropriate.
• building protection management plan;
• Previous slope failures and resulting disturbed, lower
strength ground zones around the edges of the reclamation • property condition surveys;
were identified, particularly where deeper SRA deposits • building protection assessments; and
existed. Design of temporary and permanent works
considered these possibilities. No additional issues arose • various method statements and safe work methods.
during construction.
Management summary schedules
• Running sands below the water table in MG, GF and SS units
were identified as a construction risk. Several sinkholes Management schedules were prepared listing all existing
formed up to 2.5 m in diameter in sands at locations of buildings, services and infrastructure within or partly within
ground loss (eg minor breaches in sheet pile walls, joins monitoring/assessment zones nominated by PTA. Information in

the schedules included size, construction details, age, foundation In addition to the damage classification of Table 4 and in order
details, general existing condition in accordance with Tables 2, 3 to address a building’s current condition and its ability to
and 4, cross referenced to preconstruction condition surveys, sustain additional strains and damage caused by differential
category of damage expected, requirements for protective works settlements, the term ‘vulnerability’ was introduced. The
and noting structures of heritage value. following vulnerability classes were used in the descriptive
Formal property condition surveys were produced for a wide conclusions of the property condition surveys:
range of facilities along the route: • Low – essentially modern buildings of concrete or steel
framed structure founded at or outside the zone of influence of
• 88 buildings, ranging in height from single storey to the 50 the TBM operations. For this type of building, differential
storey Bankwest tower; relative movement of 1:600 was not expected to cause
• five bridges and footbridges, including the heritage-listed damage.
Horseshoe Bridge; • Medium – buildings of concrete framed structure
• sections of roads and associated furniture along and adjacent incorporating masonry walls. For this type of building,
to William and Roe Streets; and differential relative movement of 1:600 could be expected to
cause very slight damage (Table 4, Risk Category 1).
• around 30 water and sewer services using a CCTV camera.
• High – heritage buildings and old buildings constructed using
About 40 per cent of building owners signed off on their load-bearing brick walls. For this type of building, differential
property condition survey. This unexpectedly high proportion relative movement of 1:600 could be expected to cause slight
was considered indicative of the thoroughness of this phase of damage (Table 4, Risk Category 2), if no underpinning or
the work. other soil or foundation improvement was installed.
TABLE 2
Damage classification for road pavements, kerbs and footpaths.
Category of damage Maximum slope and settlement induced Maximum induced slip (mm) Description of potential damage
or strain (mm/m)
U-0 <1/500 Road pavements: 5 mm/m Negligible effects, superficial
Settlement 10 mm Kerbs and footpaths: 5 mm/m damage unlikely.
U-I 1/500 to 1/150 Road pavements: 10 mm/m Possible superficial damage, which is
Settlement 15 mm Kerbs and footpaths: 10 mm/m unlikely to have significant effect on
the structure.
U-II 1/150 to 1/50 Road pavements: 20 mm/m Expected superficial damage to
Settlement 25 mm Kerbs and footpaths: 20 mm/m structures, possible structural damage
to structures.
U-III >1/50 Road pavements: 30 mm/m Expected structural damage to
Settlement 50 mm Kerbs and footpaths: 30 mm/m structure.
TABLE 3
Damage classification for utilities.
Category of damage Maximum slope induced Maximum induced slip (mm) or Description of potential damage
strain (mm/m)
U-0 <1/500 Concrete pipe/culvert: 10 mm Negligible effects, superficial damage
Water steel and iron: 10 mm unlikely.
Cable in PVC duct: 2 mm/m
Cable buried in ground: 1 mm/m
Gas pipes PVC: 5 mm
Gas iron and steel: 5 mm
U-I 1/500 to 1/150 Concrete pipe/culvert: 15 mm Possible superficial damage, which is
Cable in PVC duct: 4 mm/m unlikely to have a significant effect on the
Cable buried in ground: 2 mm/m structure or function of the utility.
Gas pipes PVC: 10 mm
1/500 to 1/250 Water steel and iron: 15 mm
U-II 1/150 to 1/50 Concrete pipe/culvert: 25 mm Expected superficial damage to structures,
Cable in PVC duct: 6 mm/m possible structural damage to structures,
Cable buried in ground: 3 mm/m possible damage to rigid utilities.
1/250 to 1/130 Water steel and iron: 25 mm
U-III >1/50 Concrete pipe/culvert: 30 mm Expected structural damage to structure and
Cable in PVC duct: 8 mm/m function of utility.
Cable buried in ground: 4 mm/m
>1/130 Water steel and iron: 30 mm

TABLE 4
Damage classification for buildings (after Burland, Broms and de Mello (1977), Boscardin and Cording, (1989) and AS 2870-1996,
Appendix C).
Risk category Description of Description of typical damage and likely forms of repair Approximate Maximum tensile
degree of damage crack width (mm) strain (%)
0 Negligible Hairline cracks Less than 0.1 mm Less than 0.05
1 Very slight Fine cracks easily treated during normal redecoration. Damage 0.1 to 1 mm 0.05 to 0.075
generally restricted to internal wall finishes. Perhaps isolated slight
fracture in buildings. Cracks in exterior brickwork visible upon
close inspection.
2 Slight Cracks easily filled. Redecoration probably required. Recurrent 1.0 to 5mm 0.075 to 0.15
cracks can be masked by suitable linings. Exterior cracks visible:
some repainting may be required for weather tightness. Doors and
windows may stick slightly.
3 Moderate Cracks may require cutting and patching. Tuck pointing and 5 to 15 mm or a 0.15 to 0.3
possibly replacement of a small amount of exterior brickwork may number of cracks
be required. Doors and windows sticking. Services may be greater than 3 mm
interrupted. Weather tightness often impaired.
4 Severe Extensive repair involving removal and replacement of sections of 15 to 25 mm but Greater than 0.3
walls, especially over doors and windows required. Windows and also depends on
door frames distorted. Floor slopes noticeably. Walls lean or bulge number of cracks
noticeably. Some loss of bearing in beams. Services disrupted.
5 Very severe Major repairs required involving partial or complete reconstruction. Usually greater Greater than 0.3
Beams lose bearing. Walls lean badly and require shoring. than 25 mm but
Windows broken by distortion. Danger of instability. depends on number
of cracks
Estimation of likely ground movements • combination of temporary steel sheet pile walls with soldier
piles and struts,
Greenfield ground surface movements were estimated using
current theory for excavations and bored tunnels. Analysis • soil mixed wall (SMW), and
included the effects of subsurface conditions, geometry of • diaphragm walls.
structure to be built, type of excavation support, method and
sequence of construction and any ongoing background ground Numerical software packages (such as FLAC, PLAXIS,
settlements unrelated to the project works. Where appropriate, WALLAP, SEEP/w and MODFlow) were used for the
superposition of construction effects was used to determine assessment of wall deflections and seepage analyses associated
overall likely ground movements. This included, for example, the with excavations and support systems. Where appropriate,
undrained behaviour of soils was considered in the analysis.
construction of the second bored tunnel adjacent to the first
Additional analyses took into consideration the effects of
bored tunnel, or at interfaces between bored tunnels and open
groundwater dewatering and recharging measures. The type and
excavations.
scale of excavations as undertaken in the project had not been
The transverse surface settlement profile due to bored carried out in Perth before and correlation of analytical studies to
tunnelling was assumed to have the form of an inverse Gaussian actual case studies was not readily available. A semi-empirical
normal distribution curve (Mair, Taylor and Burland, 1996; approach was used to derive surface settlements from
O’Reilly and New, 1982, 1991; Peck, 1969). The maximum numerically calculated deflections of retaining walls. There are a
surface settlement that would occur along the tunnel centreline variety of methods for predicting the magnitude and distribution
was assumed to be directly related to volume loss and inversely of ground movements caused by braced open cut excavations.
related to horizontal distance of the inflection point of the The semi-empirical method adopted for settlement analysis was
settlement trough from the tunnel centreline. Based on the mainly based on that proposed by Caspe (1966) and modified by
maximum surface settlement, the vertical and horizontal ground Bowles (1997). Using this approach, additional deformations due
movements at arbitrary points in space were calculated using the to installation/removal of retaining walls can also be considered.
methods described by O’Reilly and New (1991). The The analysis assumed good workmanship and early placement of
longitudinal settlement trough was assumed to correspond to a strutting. The approach included an allowance to increase the
cumulative probability curve as described by Attewell and settlement to model the extraction of sheet piles.
Woodman (1982). The likelihood of settlements exceeding predicted values was
Volume loss parameters for design, volume loss requirements considered. Construction methods and sequences have a
for building protection, and additional volume loss due to tunnel significant influence on ground surface settlements for both
curved alignment were assessed. These volume loss parameters bored tunnels and cut-and-cover excavations such as tunnels and
were supported by the results of numerical analyses. The results stations. For example, if construction methods or sequences
considered ground movement analysis for a regular design case, change, wall deflections would probably change from the design
a ground treatment case for areas where building protection was estimates. The effects of changed construction procedures were
required, and an exceptional case which involved a large volume reviewed in relation to previously estimated ground movements.
loss value to allow for an accidental drop of TBM face pressure The results of ground movement monitoring were also
to 50 per cent of target pressure. continuously reviewed in relation to earlier estimates of ground
movements due to construction. A hierarchy of management
Excavations were supported by the following retaining wall procedures and emergency actions were put in place to manage
systems: and control unexpected exceedances of predicted ground
• temporary steel sheet pile walls with struts, movements by construction related changes.

Assessment of construction impacts Post-construction condition reports were conducted on over 30

buildings where either complaints of alleged damage due to
Construction impacts on road surfaces, footpaths and kerb lines construction were made, or minor damage was known/suspected
were assessed based on anticipated surface settlements and related to have occurred. At the time of writing, repairs were being
horizontal movements in terms of the definitions in Table 2.
undertaken to several facilities and owner sign-off on
The project aimed to limit construction impacts to within post-construction reports was progressing.
damage categories U-0 and U-I. A damage category greater than
U-I was considered significant, probably requiring repair during It is considered that the building protection program on the
construction. project achieved its primary goals of minimising the effects of
construction on the CBD environment, within reasonable bounds
The assessment of potential damage to services and utilities
was based on calculated ground displacements and, for rigid and applying best practice.
utilities such as pipes, on the sectional forces derived from
the respective greenfield settlement profile. The methods of REFERENCES
Attewell, Yeates and Selby (1986) and Bracegirdle et al (1996)
Attewell, P B and Woodman, J P, 1982. Predicting the dynamics of
were used. The project aimed to limit construction impacts to ground settlement and its derivatives caused by tunnelling in soil,
within damage categories U-0 and U-I of Table 3. For damage Ground Engineering, 15(8):13-22, 36.
category greater than U-1, services protection measures (or Attewell, P B, Yeates, J and Selby, A R, 1986. Soil Movements Induced
services relocation) were implemented to reduce construction by Tunnelling and their Effects on Pipelines and Structures (Blackie:
impacts to less than the U-1 damage category. London).
The methodology for building damage assessment was based Bjerrum, L, 1973. Problems of soil mechanics and construction on soft
on limiting tensile strains using the approaches of Mair, Taylor clays and structurally unstable soils, state-of-the-art report, in
and Burland (1996). For each property, a building protection Proceedings Eighth International Conference on Soil Mechanics and
assessment was undertaken that considered the summation of Found Engineering, Moscow, Ch 3, pp 111-159.
damage impacts from the: Boscardin, M D and Cording, E G, 1989. Building response to excavation
induced settlement, Geotechnical Engineering, 115(1):1-21.
• initial damage category (taken from the preconstruction
Bowles, J E, 1997. Foundation Analysis and Design, fifth edition,
report), plus pp 803-806 (McGraw-Hill Book Co: Singapore).
• predicted maximum damage due to construction. Bracegirdle, A, Mair, R J, Nyren, R J and Taylor, R N, 1996. A
methodology for evaluating potential damage to cast iron pipes
The result was the maximum damage category that could be
induced by tunnelling, in Geotechnical Aspects of Underground
expected. Building protection was required if the ‘incremental’ Construction in Soft Ground (Balkema: Rotterdam).
damage due to construction exceeded the following limits: Burland, J B, Broms, B and de Mello, V F B, 1977. Behaviour of
• for heritage structures – very slight (up to 1 mm crack width), foundations and structures, SOA report, in Proceedings Ninth
and International Conference on SMFE, Tokyo, Ch 2, pp 495-546.
Caspe, M S, 1966. Surface settlement adjacent to braced open cuts,
• for other structures – slight (up to 5 mm crack width). Journal of SMFD, 92(4):51-59.
The building protection assessments also provided further Gozzard, 2005. A reinterpretation of the Guildford Formation, Geological
structure-specific recommendations on monitoring. Survey of Western Australia, Perth (unpublished).
The main structures that required protective measures were: Mair, R J, Taylor, R N and Burland, J B, 1996. Prediction of ground
movements and assessment of risk of building damage due to bored
• Wellington Building (McLaughlin and Moore, 2007); tunneling, in Geotechnical Aspects of Underground Construction in
Soft Ground (Balkema: Rotterdam).
• Mitchell’s Façade (sawn into nine pieces and temporarily
removed and stored off-site); McGough, P and Williams, M, 2007. Geotechnical instrumentation and
monitoring, in Proceedings Seminar on New MetroRail City Project,
• Horseshoe Bridge (timber propping under brick arches); Tunnelling and Underground Structures, Perth.
• the four buildings under which the TBM passed – Walsh’s, McLaughlin, V and Moore, B, 2007. Structural design of Esplanade and
Hungry Jacks/KFC, HBF and Friendlies Chemist; William Street Stations, in Proceedings Seminar on New MetroRail
City Project, Tunnelling and Underground Structures, Perth.
• Perth Station western concourse footbridge (portal frame knee O’Reilly, M P and New, B M, 1982. Settlements above tunnels in the
joints temporarily released to give rotational freedom); and United Kingdom – Their magnitude and prediction, in Proceedings
• Claisebrook Main Sewer (new plastic lining inserted along Tunnelling ’82 (ed: M J Jones), pp 173-181 (Institution of Mining
length considered potentially ‘at risk’). and Metallurgy: London).
O’Reilly, M P and New, B M, 1991. Tunneling induced ground
Despite the project damage performance criteria being based movements: Predicting their magnitude and effect, presented to
on ‘incremental’ damage, some buildings already had damage in Fourth International Conference on Ground Movements and
the ‘severe’ category of Table 4, prior to the project works Structures, Cardiff.
commencing. In these cases the relevant property manager was Peck, R B, 1969. Deep excavations and tunneling in soft ground –
notified and remedial works recommended. State-of-the-art report, presented to Seventh International Conference
on SMFE, Mexico.
Post-construction condition reports and repairs Quilty, P G, 1974. Cainozoic stratigraphy in the Perth area, Journal of the
Royal Society of Western Australia, 57:16-31.
No major (catastrophic) problems were encountered with damage Standards Australia, 1996. AS 2870-1996, Australian Standard,
to buildings, infrastructure or services due to the construction Residential Slabs and Footings-Construction, Appendix C,
works. Ground and structure movements adjacent or above the Classification of Damage Due to Foundation Movements, 60 p.
works were typically in the range 0 to 5 mm, with some buildings Walker, B F and Pells, P J N, 1998. The construction of bored piles
observed to move 5 to 20 mm and several structures were socketed into shale and sandstone, in Australian Geomechanics,
observed to move 20 to 30 mm. Observed building damage due to pp 31-36.
the works ranged generally from negligible to slight in a few
isolated cases.

The Design and Construction of a ‘Batcave’
D Lees1 and D Dickson2
ABSTRACT Current access is by several flights of stairs from street level

The properties along Ida Avenue in Mosman stand 10 m above the road
up the front face of the property. A single car space garage has
on an outcrop of Sydney sandstone. Access to the houses is generally via been constructed at street level at the toe of the cliff in the north
a long steep staircase. The owner of 22 Ida Avenue identified an west corner of the site. This single storey garage consists of a
opportunity to use the natural strength of the rock beneath his property to concrete rendered structure with a small excavation into the rock
excavate an underground garage and to provide access to the basement of face (Figure 2).
his property via a 10 m elevator shaft from the back of the garage.
This paper will describe the design and construction of this unique and
innovative urban development.
CONCEPT
The Batcave is the secret headquarters of Batman, alias Bruce
Wayne beneath his residence at Wayne Manor. It is essentially a
large garage for the Batmobile and is accessed by a fireman’s
pole from the study. However, the idea of utilising subterranean
parts of a property is not unique and indeed Melbourne
University have been promoting the development of underground
housing for many years.
The property at 22 Ida Avenue is located on Beauty Point off
Military Road on Sydney’s North Shore overlooking Middle
Harbour. It is located on a north facing hillside overlooking Pearl
Bay (Figure 1).
The property is a large two storey brick family house at the top
of a rock bluff some 10 m above the road access of Ida Avenue.
The front of the yard of the property consists of two terraces with
small sandstone block walls.
1. Director, Grouting and Foundation Works Australia Pty Ltd, PO Box

7073, Alexandria NSW 2015. Email: dlees@gfwa.com.au
2. Principal, D F Dickson and Associates Pty Ltd, Lot 3, No 46 Lane FIG 2 - Existing structure at 22 Ida Avenue.
Cove, Ingleside NSW 2101.
The proposal is to excavate a double car space garage into the
rock at street level and extend this excavation back to a lift shaft
up to a basement area beneath the existing living quarters of the
house (Figure 3).
The existing development is about 30 years old and the rock
exposure is now becoming less stable. The existing garage
construction consists of blockwork walls and concrete slab roof
at the portal but little support has been provided to the excavated
rock which has started to fret. A small brick pier has been
installed under an exposed rock ledge (Figure 4).
DESIGN
The 1:100000 Geological Map of Sydney shows the site to be
underlain by Hawkesbury Sandstone. The exposed rock face is
weathered Hawkesbury Sandstone of medium to high strength
with extensive jointing and subhorizontal partings 0.5 to 1.5 m
apart. A single borehole was carried out by Jeffery and
Katauskas at the top of the cliff in front of the house using a
portable Melvelle rig (Figure 5).
The initial hole was bored to a refusal depth of 0.9 m using a
hand-held auger. Dynamic cone penetration was then carried out
to a depth of 1.4 m. The hole was then extended using rotary core
techniques to a final depth of 10.9 m. The ground profile
consisted of silty-clayey sand above bedrock at a depth of 0.9 m.
The sandstone was very weathered to a depth of about 3.7 m
(Class V), then good quality, high strength (Class 1) (Pells,
Mostyn and Walker, 1998) sandstone to the base of the borehole
FIG 1 - Ida Avenue, Beauty Point. (Figure 6).

D LEES and D DICKSON
FIG 3 - Cross-section of proposed development.
THE DESIGN AND CONSTRUCTION OF A ‘BATCAVE’
FIG 6 - Recovered core.

FIG 4 - Front elevation of property showing existing stair access.
The portal of the garage requires a frame to provide stability
for the 6.5 m span. The analysis was carried out using a two-
dimensional frame computer model.
There is a series of subhorizontal joints directly above the
proposed roof level of the garage excavation. This indicated that
a flat roof would not be appropriate. A reinforced arched profile
was therefore selected with rock bolts mesh and shotcrete
support (Figure 7).
CONSTRUCTION
The first task is to excavate the basement area beneath the house.
Access to this area consists of a small doorway on the western
side of the house. The requirement is to excavate about 1 m
depth over the entire floor and excavate the rock slope beneath
the northern 10 m section of the house. This requires the removal
of 120 m3 of rock. This area of the house is founded on brick
piers at 1.5 m centres and therefore this entire section had to be
underpinned with the installation of major cross beams.
On completion of the basement excavation the top of the lift
shaft can commence, with the construction of a shaft collar down
to bedrock.
The existing garage needs to be carefully demolished before
installing the portal frame and commencing excavation works.
The garage excavation will be carried out using a 16 t excavator.
The roof and sidewalls will be precut using a diamond saw, the
crown of the excavation will be removed using rotating heads
before excavating the bench with hydraulic hammers. Support of
FIG 5 - Hand-held rotary core drilling. the crown will be by 1.5 m Tiger bolts at 2 m centres.
FIG 7 - Proposed development front profile.

D LEES and D DICKSON
On completion of the garage excavation the shaft will be is particularly true in Sydney where the presence of good quality
excavated by hand-held rock hammers using the broken rock as sandstone at shallow depths beneath the foundation provides an
an access platform for the excavation. excellent medium for underground development.
CONCLUSIONS REFERENCES
This project shows how underground space can enhance urban Pells, P J N, Mostyn, G and Walker, B F, 1998. Foundations on sandstone
living space and improve both the living environment and and shale in the Sydney region, Australian Geomechanics Journal,
commercial value of residential properties in the inner city. This 33(3).

Design Basis and Construction Experience for a Bolt and
Shotcrete Lined Tunnel for the Wambo Rail Spur
B Shen1 and I Chan2
ABSTRACT The design of the tunnel and construction methodology is

based on a 100 year design life required by Wambo Coal while
The Wambo Rail Spur located near Singleton, New South Wales,
Australia, runs for 14 km linking the Mt Thorley rail loop and running satisfying settlement and vibration limits imposed on Jerrys Plain
north-west alongside Jerrys Plain Road to the Wambo Coal Mine at Road by the Roads and Traffic Authority.
Warkworth. A portion of the project is a 260 m long tunnel located where
the rail line passes under Jerrys Plain Road. The tunnel has a low cover GEOTECHNICAL MODEL
and is mostly within highly weathered to fresh laminated siltstone
interbedded with coal seams, sandstone and conglomerate. This paper The tunnel intercepts the Jerrys Plain Subgroup of the
presents the design basis and construction methods used to achieve the Wittingham Coal Measures. This subgroup comprises cyclic coal
100 year design life of the tunnel required by Wambo Coal while also seam sequence with dark-grey to black laminate shale and
satisfying settlement and vibration limits imposed on Jerrys Plain Road. siltstone at the top and conglomerate lenses. The sequence is
gently folded, characterised by a series of north-south trending
INTRODUCTION synclines and anticlines, with occasional north-south faulting.
The tunnel is along a westerly dipping limb of an anticline.
The 14 km long Wambo Rail Spur links the Mt Thorley rail loop
to the Wambo Coal Mine at Warkworth. The tunnel portion of The tunnel was excavated in highly weathered to fresh
the project consists of a 260 m long (chainage CH10600 m to laminated siltstone with bedding thickness from 0.02 m to 1.0 m,
CH10860 m), 6.8 m span low cover tunnel, excavated under interbedded with sandstone, typically 1.0 to 3.0 m thick, coal
Jerrys Plain Road. seams and conglomerate. The geotechnical model is presented in
Figure 1.
1. Geotechnical Engineer, Pells Sullivan Meynink Pty Ltd, G3, 56
Delhi Road, North Ryde NSW 2113. Email: b.shen@psmsyd.com.au DESIGN
2. Senior Geotechnical Engineer, Pells Sullivan Meynink Pty Ltd, G3, The design envelope required a tunnel of at least 6.6 m high and
56 Delhi Road, North Ryde NSW 2113. 5 m wide to fit the transit space diagram, as shown in Figure 2,
Email: i.chan@psmsyd.com.au for the relevant train gauge as well as an inspection walkway.
FIG 1 - Geotechnical model.

B SHEN and I CHAN
The tunnel was designed to be excavated in two separate Rock bolt support was assessed to be appropriate for the
headings. The upper heading is 3.8 m in height and the lower majority of the tunnel, the assessment comprised of a review of
heading is 2.8 m in height. ground reaction curves, and a review of rock bolt design based on:
A series of crown and wall support types was designed to • Q classification system,
account for varying ground conditions. The various support types
are presented in Tables 1 and 2. • precedence from other tunnelling projects,
• ground reaction curve,
TABLE 1 • block size analysis, and
Crown support types. • voussoir-beam analysis.
Type Support The required shotcrete thickness is based on requirements for
A 2.4 m long CT bolts spaced at 1.5 m centres and 50 mm thick adhesion, direct shear and flexure.
steel fibre reinforced shotcrete. As stress relief and displacements occur ahead of the tunnel
B 2.4 m long CT bolts with spider plates spaced at 1.2 m centres face, no installed support would attract 100 per cent of the
and 100 mm thick steel fibre reinforced shotcrete. overburden. The amount of overburden that the support attracts is
C Steel sets spaced at 1.2 m and steel fibre reinforced shotcrete. dependent on the timing and method of installation, and the
relative strengths and stiffnesses of the excavation and the
D 300 mm thick steel fibre reinforced shotcrete arch. support.
For this project, it was calculated using the ground reaction
TABLE 2 curve approach that in good ground conditions at least
50 per cent of the overburden is required to be carried by the
Wall support types.
rock bolts and shotcrete support. In poorer ground conditions, a
Type Support steel set and shotcrete or shotcrete alone would support at least
1 Spot bolts and localised shotcrete. 60 per cent of the overburden.
2 Steel set and steel fibre reinforced shotcrete for underpinning Analysis of the impact of the rock bolt and shotcrete support,
steel sets in crown. and their relevant construction sequencing, was undertaken at
3 300 mm thick steel fibre reinforced shotcrete for underpinning
several cross-sections, using a two-dimensional finite element
shotcrete arch or steel sets in crown. analysis software, Phase2 by Rocscience Inc. In particular, an
analysis under Jerrys Plain Road was undertaken, where it was
assessed that 4 mm of crown sag may be anticipated.
Two tunnel geometries, ledged arch and full arch, were
designed. Both tunnel geometries have common top headings, Three types of support along the tunnel wall were designed,
and the geometry of the bottom heading is dependent on the based on the crown support and the rock conditions on the wall.
anticipated rock conditions at and below the ledge. In areas of For a ledged arch tunnel with rock bolts in the crown, the vertical
competent rock at and below the ledge, a vertical tunnel wall is walls would be spot bolted and shotcreted where appropriate
acceptable. In other areas, a more rounded and curved wall is (eg shale bands for durability). For a full arch tunnel with a
used to distribute the stresses evenly. The tunnel geometries are shotcrete arch or steel set on the crown, shotcrete would be
presented in Figure 2. continued to the floor for underpinning.
FIG 2 - Tunnel geometries.

DESIGN BASIS AND CONSTRUCTION EXPERIENCE FOR A BOLT AND SHOTCRETE LINED TUNNEL
CONSTRUCTION The bottom heading was excavated in 18 work days, and was
excavated entirely in the ledged arch geometry, as the rock
Excavation sequence conditions were favourable.
The upper heading was first excavated and supported, and the
MONITORING
partially completed tunnel was used for two weeks for the
transport of materials for rail works. This was then followed by Monitoring was undertaken with various techniques to provide
excavation and support of the lower heading. The direction of information on the performance of the tunnel during the
excavation for both headings was from the South-East Portal construction phase. The following section discusses these
(chainage CH10600 m) to the North-West Portal (chainage techniques and observed movements.
CH10860 m). The selected direction of excavation ran along the
dip of the beds and as such did not allow exposure of the beds in Wire extensometers
the floor of the tunnel prior to them being positioned in the
crown. This is not the preferred direction of tunnelling; however, Wire extensometers or ‘tell-tales’ are a fairly cheap and simple
access restrictions and the anticipated poor rock conditions at the tensioned wire extensometer. Anchors are installed in a hole in
North-West Portal dictated the direction of excavation. the crown, drilled similarly to a rock bolt hole. Two spring
anchors are inserted in the borehole using lengths of PVC
conduit, with a small notch in the top. One anchor will be located
Construction sequence at the bolt length and another at 3 m above the bolt. Sufficient
Bolt and shotcrete crown support was adopted for the majority of drill rods will need to be available to the bolting crew for this
the tunnel with a full shotcrete arch for the remainder. The longer hole.
adopted tunnel support was based on assessments made on site Comparison of the baseline reading with subsequent
according to the encountered geotechnical conditions. measurements provides information on the separation of the rock
Particular attention was given to the construction sequence so near the crown from overlying rock beds. The reading dials are
as to reduce the risk to personnel in the tunnel. In poor rock visible to workers in the tunnel. Movement of the dial indicates
conditions, the maximum length of unsupported tunnel at any movement in the rock above the crown, and should be considered
time was one bolt spacing measured from the last row of bolts from the point of view of safety.
with shotcrete to the excavation face. In better rock conditions, Four wire extensometers were installed along the length of the
up to two bolt spacing was excavated before tunnel support was tunnel. Readings were checked daily and no movement was
installed. observed over the duration of the construction period.
Construction changes Convergence monitoring

Some of the original support design was modified during Convergence monitoring involves installing eye-bolts in each of
construction, due to practical reasons. A 15 m long passing bay the walls and in the crown. Measurements are taken using a tape
on the top heading was added mid-way in the tunnel to park the extensometer between each of the pins in a triangle. The
roadheader to allow access for other machinery. That required installation and baseline reading should be performed as close to
over-excavation of 1.2 m on the left-hand side. As a result, crown the face as practical. The location is a compromise between good
support Type E (a modification of crown support Type B), which data and the practicality of preventing their destruction due to
involved 2.4 m bolts at 1.2 m centres, and 100 mm shotcrete, was further excavation. Protection of pins is provided to allow
introduced. Essentially it involved an additional bolt to be subsequent readings.
installed on the left-hand side. Comparison of the initial measurements with subsequent
Another design change was due to the better-than-anticipated readings provides information on movement of the rock mass
geological conditions encountered in the later stage of the after excavation. This can be used to check the performance of
excavation. The implementation of crown support Type D, the full the support, and can also be used to calculate the in situ stresses
shotcrete arch, meant that the excavation rate would be slowed in the rock mass.
down as compared to a rock bolt and thin shotcrete support type. Less than 10 mm of movement was expected and the readings
Crown support Type H was introduced to address this issue. taken along three different chainages in the tunnel ranged from
While crown support Type H necessitated the installation of 2 to 8 mm.
both rock bolts at 1.2 m spacing and the installation of a full
300 mm thick shotcrete arch, which on face value was more Inspection holes
support than crown support Type D, the construction sequence
Inspection holes were drilled into the crown to the length of the
allowed a quicker advance rate allowing up to 8 m face advance
bolts plus 3 m and inspected with an up-hole endoscope camera.
without the full 300 mm shotcrete support. It will be seen in the
next section that a high advance rate was possible with this The function of these holes includes inspection of the geology
support type, while allowing adequate permanent support for the above the crown and to check if bolts may be subject to shearing.
poorer rock. This was particularly useful in anticipating the coal seams and
carbonaceous siltstones dipping into the crown.
Excavation rate Four holes were inspected as the tunnel approached the
North-West Portal. It was expected that two coal seams would be
The top heading of the full 260 m tunnel was excavated in 60 dipping into the crown at some stage. From the inspections
work days; 49 work days were in crown support Types A, B and before exposure of the coal seams, the coal seams were identified
E (rock bolting), and the rest in crown support Types D and H and the height of the seams above the crown of the tunnel was
(full shotcrete arch). recorded. The geotechnical model was subsequently updated
The average daily advance rate while rock bolting was 4.7 m based on these observations. With the inspection holes spaced
per day, while the advance in the shotcrete arch (crown support approximately 20 to 30 m apart, the dip angle could be
Type D) was 2.2 m per day. However, for the tunnel length in approximated, resulting in a better idea of when to expect
crown support Type H, which involved both rock bolting and a exposure of the coal seams in the crown.
full shotcrete arch, the advance rate was 4.7 m per day, the same The inspection holes were also able to indicate the rock
as that of only rock bolting. condition into which the rock bolts are anchored.

B SHEN and I CHAN
Surface monitoring Twenty-nine bolts were tested across the length of the tunnel
with a target test frequency of ten per cent of the first 100 bolts
Eight surface survey prisms were installed along Jerrys Plain installed and five per cent of the remaining bolts. The bolts were
Road where the tunnel route passes under the road. A baseline
pull tested to a minimum of 150 kN and displacements were
reading was taken prior to commencing excavation of the tunnel.
Surveys were conducted on a daily basis when the tunnel typically between 15 mm and 25 mm. None of the bolts tested
excavation was within 50 m of the road and on a weekly basis were deemed to have failed.
during all other times for the duration of the excavation period.
Based on the design analyses, less than 4 mm of surface Steel fibre reinforced shotcrete
settlement was expected.
The applied shotcrete was assessed for thickness as excavation
The survey monitoring for the excavation period indicated a
and support construction progressed. The thickness was assessed
maximum settlement of 3 mm.
by a series of 12 mm drill holes in the crown along the length of
the tunnel. This gave an indication of where the shotcrete
TESTING thickness was not to design. Such areas were identified and a
Testing was undertaken on various components of the tunnel further coat of shotcrete was applied.
support to ensure that the design requirements were achieved Shotcrete core samples were taken from the completed tunnel
on site. Tests were undertaken on the following support support for compressive strength testing in the laboratory. Three
components: samples were initially tested and they did not satisfy the design
• permanent CT bolts with full cement grout encapsulation, and compressive strength of 40 MPa. This was either due to the poor
quality of core taken, the technique at which it was applied or
• steel fibre reinforced shotcrete. that the shotcrete mix used was not satisfactory. A further four
samples were taken and the results indicated a minimum
Permanent CT bolts compressive strength of 53 MPa, suggesting that the first three
A series of bolt pull tests were performed on the completely samples taken were of a poor quality as the shotcrete mix and
installed CT bolts with full grout encapsulation. The tests were application technique was the same for both lots of samples.
performed with a calibrated axial tensioning jack, capable of
tensioning up to the ultimate tensile capacity of the bolt. The test CONCLUSIONS
load was increased in increments of 20 kN to 50 kN until the
failure test load of 200 kN (approximately 70 per cent of bolt Even though the Wambo tunnel is relatively short (260 m),
yield strength) was achieved. The displacement at each load mapping and monitoring, particularly the use of an endoscope
increment was then recorded. Failure was deemed to have camera, allowed the designed support to be modified during
occurred if the failure load was not achieved or the total construction. This allowed the advance rate to double over the
displacement measured at the bolt head exceeds 50 mm. last 30 m of the tunnel.

Traffic and Emission Modelling for Surface Roads near the Lane
Cove Tunnel Corridor
M Vasilovska1
ABSTRACT
The Lane Cove Tunnel (LCT) is an important infrastructure link in New South Wales (NSW)
and runs from the end of the Gore Hill Freeway at Artarmon at its eastern extremity, to the end
of the M2 at North Ryde at its western extremity. The LCT is 3.6 km long and generally
consists of twin two/three lane unidirectional tunnels running largely under Epping Road from
just east of Mowbray Road, west to the western end of the Gore Hill Freeway. The tunnel
opened in early 2007.
The presentation will provide a summary of the traffic and emission modelling performed for
selected representative surface road sections in the vicinity of the Lane Cove Tunnel. An
assessment of the predicted impact of vehicle emissions on ambient air quality in the corridor as
a result of changed traffic conditions due to the tunnel opening will be presented.
The traffic modelling and emission calculations were undertaken for the following two
scenarios:
• Year 2006 – Lane Cove Tunnel no-build option, and
• Year 2006 – Lane Cove Tunnel build option.
Vehicle emission calculations for the four main pollutants from vehicles: CO, VOC, NOx and
PM10 on the surface roads in the vicinity of the Lane Cove Tunnel were performed using the
predicted daily traffic for the two cases (no-build and build).
The analyses indicated that the vehicle emissions for all pollutants are expected to
significantly reduce in the corridor with the building of the Lane Cove Tunnel, including the
areas in the vicinity of all tunnel portals, when compared to vehicle emissions for the no-build
case. As a result of the decreased vehicle emissions on the surface roads, the study concluded
that the actual ambient air quality is expected to improve in the corridor including the tunnel
portal areas after the Lane Cove Tunnel opening.
1. Principal Mechanical Engineer, Parsons Brinckerhoff Australia, Level 27, 680 George Street, Sydney NSW 2000. Email: mvasilovska@pb.com.au

Shotcrete Lining Design for Underground Excavations in Rock –
The Current State of Practice
S Barrett1, L McQueen2 and B Bendtsen3
ABSTRACT and depend on rock quality, the excavation’s span and its intended
end use. Both rock mass classification systems have undergone a
The use of shotcrete as an efficient means of both temporary and
permanent ground support has continued to grow over the last 30 years, number of revisions since they were first developed, with the latest
with its use underground now commonplace around the world. However, editions of the classification systems contained with Bieniawski
the development of analytical design methods has lagged advances in (1989) and Barton (2002). Papworth (2002) has subsequently
material and application technologies. Historically, part of the reason for modified Barton’s Q-system support design chart to incorporate
this was a lack of understanding of how shotcrete linings actually worked. the concept of shotcrete toughness (Figure 1).
Considerable progress has been made in this area in recent years and this While providing a useful starting point for shotcrete support
paper attempts to summarise the current state of practice with respect to design, empirical rules suffer from the inherent problem of
shotcrete lining design. It then concludes by summarising areas where the providing no indication of the factor of safety of the design. For
authors consider future research and development is still required.
cases where the design is found to be stable, the degree to which
the support was over-designed is unknown, with the factor of
EMPIRICAL DESIGN safety somewhere above one. In instances where the shotcrete
design fails, the additional thickness required for stability is
Early shotcrete design tools were largely empirically based and again unknown, with the factor of safety somewhere below one.
related to either ‘rules of thumb’ or rock mass classification Over the last 30 years attempts have therefore been made to
systems. Two empirical design guidelines still used today are the overcome this limitation, by developing analytical methods to
support recommendations associated with the rock mass rating predict lining performance, based on an understanding of
(RMR) and tunnelling quality (Q) rock mass classification systems potential failure mechanisms. Calculated stresses can then be
originally proposed by Bieniawski (1973) and Barton, Lien and compared against material strengths to determine a factor of
Lunde (1974). Bieniawski’s recommendations are specifically safety for the design.
for a ten metre wide horseshoe-shaped tunnel in various rock
qualities, whereas Barton’s recommendations are more generalised
ANALYTICAL DESIGN APPROACH
1. Associate, Golder Associates Pty Ltd, Level 3, 50 Burwood Road, Mode of failure
Hawthorn Vic 3122. Email: sbarrett@golder.com.au
Prior to starting an analytical design, it is important to develop an
2. Principal, Golder Associates Pty Ltd, 88 Chandos Street, St Leonards understanding of the potential ground conditions the tunnel will
NSW 2065. Email: lmcqueen@golder.com.au be driven through and the rock mass and ground support failure
3. Senior Structural Engineer, Dimon Consultants Pty Ltd, 28 Fraser mechanisms which will need to be considered. An understanding
Street, Diamond Creek Vic 3089. Email: bb@dimon.com.au of the potential rock mass failure mechanisms is important as this
FIG 1 - Modified Barton Q support chart after Papworth (2002). Round determinate panel (RDP) energy absorption values are based
on 40 mm of panel deflection.

S BARRETT, L McQUEEN and B BENDTSEN
determines how load is likely to be shed to the ground support classification schemes, with some examples provided in Table 1.
system. Load can be shed from localised ground falls, in situ As with empirical rock support design charts, these methods are
stress, groundwater and induced stress from the construction of useful for providing an initial indication of the potential support
adjacent excavations. pressures, which may be applied to an excavation. However, it is
Structurally controlled rock mass failure mechanisms are important to check that the empirical correlations are applicable
normally associated with strong, blocky rock masses and result for the rock mass failure mechanisms, tunnel shape and
in discrete blocks or wedges loading the lining system. Falling excavation span being considered, through an understanding of
block tests indicate that under these conditions, shotcrete linings how they were derived.
tend to fail in direct shear when adhesion to the rock mass is
good, while flexural and punching shear failure tend to occur Structurally controlled rock mass failure mechanisms
when adhesion is poor and the lining has debonded from the rock
mass (Figure 2). Potential wedge loads can be estimated by determining which
block geometries may be free to move into an excavation based
Stress controlled rock mass failure mechanisms occur when on the orientation and spacing of joint sets, relative to the
the applied stresses exceed the strength of the rock mass, orientation and shape of the proposed opening. Shi and Goodman
resulting in the development of localised spalling, plastic (1981) formalised this concept through key block theory and
squeezing or tensile splitting of the rock mass. Under these these principals have been incorporated into various computer
conditions, shotcrete linings will also spall or crack if the codes to allow parametric assessments of lining load
induced stresses exceed the lining’s strength. Here the lining distributions to be undertaken. Recently, Rogers, Moffitt and
shape and the time at which the load is applied can have a Kennard (2006) have developed probabilistic techniques to look
significant influence on the stress regime induced in both the at potential wedge load distributions on tunnel linings using
rock mass and the shotcrete. In deep mining or tunnelling discrete fracture networks (DFNs) to model the rock mass fabric
environments, the potential for dynamic loading due to rock (Figure 3). Wedge loads can also be modelled using discrete
bursting also needs to be considered. element programs or by using joint elements in finite element
programs to simulate block fallouts.
Determination of rock support pressures
Stress controlled rock mass failure mechanisms
Empirical methods
For stress-related rock mass failure mechanisms, rock support
A number of empirical methods have been developed to estimate interaction analyses are normally undertaken to determine rock
rock support pressures for use in the design of underground support pressures using either closed form solutions or numerical
excavations. These methods are again related to rock mass methods to derive the ground reaction and support reaction
FIG 2 - Six potential modes of shotcrete failure described by Barrett and McCreath (1995).

SHOTCRETE LINING DESIGN FOR UNDERGROUND EXCAVATIONS IN ROCK – THE CURRENT STATE OF PRACTICE
TABLE 1
Examples of empirical methods for rock support load estimation.
Method Reference Comments

Terzaghi’s Rock Load Classification Terzaghi (1946) Developed to estimate the rock loads to be supported by steel sets in tunnels. Estimates
based on experience gained with railway tunnels in the European Alps. Load cases
provided for a range of rock mass conditions ranging from intact rock to squeezing and
swelling ground. Rock loads derived from method are generally considered to be
conservative.
Rock Mass Number Goel, Jethwa and Presented empirical correlations for estimating rock support pressure for
Dhar (1996) non-squeezing and squeezing ground conditions in arched roof tunnels based on
experience in India. For arched roofed tunnels, support pressure is predicted to be
largely independent of span in non-squeezing conditions, while it increases
significantly with span in squeezing conditions.
Q Rock Support Pressure Correlation Barton (2002) Presented an empirical correlation for estimating rock support pressure in arched
tunnel and cavern roofs in non-squeezing and squeezing rock conditions. Correlation is
independent of tunnel span.
FIG 3 - Discrete fracture network (DFN) wedge analysis in a flat roofed tunnel drive after Rogers, Moffitt and Kennard (2006). Left-hand side
shows realisations of the DFN model and right-hand side shows folded out joint trace maps of the tunnel roof, floor and walls. Kinematically
unstable blocks are shown in red in the trace maps.
curves (Figure 4). Closed form analytical solutions for these uniform radial support pressure to the full excavation periphery,
curves usually require a set of simplifying assumptions to be in response to the excavation-induced ground deformation.
made to allow the equations to be derived. This typically limits Examples of closed form solutions for ground and support
the closed form analyses to circular openings in homogeneous reaction curves are provided in Hoek (1999) for a range of
rock mass conditions within hydrostatic stress fields. In these different support types, including shotcrete linings at various
analyses, the installed support system is also assumed to apply a thicknesses, ages and strengths.

FIG 4 - Characteristic line analysis for a 10 m diameter circular tunnel at 150 m depth in squeezing ground, after Hoek (1999)
(po = initial in situ rock pressure, pi = internal support pressure).
Various finite element, finite difference and discrete element shotcrete-rock interface, whereas a lining which extends to the
computer codes now exist which can be used to model the invert may transfer a portion of this load via its footings to the
ground and support reaction curves for complex excavation tunnel floor. In the latter case, the proportion of load which is
geometries, staging sequences, geological conditions, external transferred to the footings will depend on the strength and
loads and support systems. The resultant files from these stiffness of the interface. The potential for changes to design
programs can then be interrogated to determine the support loads due to the construction of future developments or adjacent
pressure distributions being applied to the shotcrete at various excavations also needs to be considered when developing design
excavation stages and distances from the excavation face. While load cases.
the sophistication of these models allows tremendous flexibility
in the types of analyses which can be conducted, the accuracy of Shotcrete strength properties
the results is influenced by the initial simplifying assumptions
made and the potential variability of the input parameters. Many advances have been made in the development of test
Sufficient analyses therefore need to be undertaken to allow the methods and standards over the last 30 years to determine the
designer to understand the sensitivity of the design to the input required material input parameters for design. These have
parameters chosen, and because of the limitations of each included the development of new methods to determine early age
method of analysis, a variety of analytical methods should compressive strength gain (Bernard and Geltinger, 2007) and
be used during the design proces. post-crack energy absorption or toughness (Bernard, 2003). Test
methods are now also available to measure adhesion and shear
Determination of shotcrete design loads strength (Clements, Jenkins and Malmgren, 2004; Bernard and
Harkin, 2001), although little published data exists on the
Once an understanding of the magnitude and distribution of the strength gain of these properties with time. Bae et al (2004) have
potential rock support pressures is developed, the next question also used experimental studies to provide an initial indication of
to be addressed is what percentage of this load is going to be representative shotcrete-rock interface properties as shotcrete
carried by the shotcrete lining system? For temporary linings, ages. Typical performance requirements for each of these
only a portion of the load is usually assigned to the shotcrete, parameters are provided in Table 2.
with the remainder carried by the other support elements. For Examples of compressive strength gain curves for mixes dosed
permanent linings, it is normally assumed that the shotcrete will with various concentrations of accelerator are shown in Figure 5,
have to carry the full support pressure, unless the other support while a similar strength gain curve for toughness is shown in
elements have been designed for the full design life of the Figure 6. Advancements in the development of admixtures are
structure. allowing these early age strength gain curves to be continually
For structurally controlled rock mass failure mechanisms, the improved. It is therefore now possible to design mixes whose
temporary shotcrete design loads can be relatively small, as early age strength over the first 24 hours exceeds the OBV J3
larger blocks are typically supported by other support elements curve shown in Figure 5, while still also achieving acceptable
such as rock or cable bolts, with the shotcrete only supporting long-term strength development at 28 days.
any loose rock between the bolts. Design loads can also When determining appropriate strength properties for use in
be relatively small for stress-controlled rock mass failure design, the age at which the shotcrete will be loaded is an
mechanisms, when the anticipated ground deformations are small. important consideration. Initially, before it is safe to allow
This is why relatively thin shotcrete linings, in combination with personnel to work beneath the freshly sprayed lining, the
other support elements, can provide effective ground support in shotcrete needs to have gained sufficient strength to be able to
fair to good quality rock mass conditions. support its own self weight and any loose rock which has
When assessing design loads, it is also important to consider developed between the other support elements. A minimum
the likely excavation shape and how far the lining will extend compressive strength therefore needs to be specified, at which
around the excavation periphery, as all of these variables will point it is safe for personnel to work beneath the lining prior to
influence the stresses within the lining system. For example, an taking the next advance. This minimum strength then needs to be
arched shape shotcrete lining which tapers out in the sidewalls of translated into a minimum curing time, by testing the shotcrete’s
a tunnel will transfer axial loads to the rock in shear via the early age strength gain during construction.

TABLE 2
Standards and test methods for shotcrete material testing.
Property Standard/reference Test method Typical performance requirements

Early age compressive strength ASTM C116 Beam end test 4 hours 1 - 3 MPa
8 hours 4 - 6 MPa
Uniaxial compressive strength AS1012 Part 14 Test panel cores 3 days 20 - 25 MPa
7 days 25 - 35 MPa
28 days 30 - 50 MPa
Adhesion Clements, Jenkins and Malmgren (2004) Core pull out test 8 hours 0.1 - 0.15 MPa
Shear strength Bernard and Harkin (2001) Punching shear test 8 hours 0.5 - 1.0 MPa
Flexural strength RTA T374 Beam test 7 days 4 MPa
28 days 6 MPa
Toughness ASTM C1550 Round panel determinate test 28 days
40 mm 200 - 600 J
Abbreviations: AS – Australian Standard; ASTM – American Society for Testing and Materials; RTA – Road Traffic Authority (New South Wales).
FIG 5 - Shotcrete strength gain curves for different accelerator dosages based on Austrian Concrete Society Guidelines
(Osterreichischer Beton Verein, 1999).
3
FIG 6 - Example of toughness gain in a steel fibre reinforced shotcrete mix (Bernard and Hanke, 2002). Mix reinforced with 60 kg/m of
Dramix RC 65/35 fibres. Accelerator was Gecedral F2000St at dosage rate of four per cent by weight of
cementitious content.
In addition to a requirement for personnel access, a minimum the advance is taken. Depending on the rate of load increase as
strength is also normally required before it is safe to take the next subsequent advances are taken, it may also be possible to
advance. This minimum strength will depend on the anticipated construct a thick lining in a series of stages, with the lining
forces and moments which will be generated in the lining after progressively thickened after each advance until the final design

thickness is achieved. When making such an assessment, design codes. Diamantidis and Bernard (2004) question the
consideration needs to be given to both potential staged strength appropriateness of this and suggest specific factors be developed
and staged load increases. for shotcrete lining design using a probabilistic approach. They
also acknowledge a considerable amount of research and
development is needed to achieve this goal, given the present
Limit state design load and resistance factors number of poorly defined material, design and quality control
Historically, working stress methods have been used for tunnel variables.
lining design which aim to achieve an overall factor of safety for
the temporary and permanent lining systems. More recently limit Design methods for flat roofed tunnels
state design methods have become more widespread in their use,
Flat roof tunnels are common in bedded sedimentary sequences,
with the following limit states normally evaluated:
where individual beds above the tunnel roof can be bolted
• ultimate limit state (ULS) – structural stability checks for together to form a stable structure in the form of a Voussoir
temporary and permanent load cases; Beam. As the shotcrete can not act as a structural arch in these
• serviceability limit state (SLS) – deformation checks to limit situations, its primary role is to support rock which loosens
convergence and settlement to acceptable levels, as well as to between the bolts over time. Barrett and McCreath (1995)
maintain system durability and watertightness; and developed a ‘worse case’ loading scenario for this case assuming
the roof was primarily supported by a square bolting pattern and
• accidental limit state (ALS) – structural stability checks the rock within each bolt’s zone of compression was stable.
under extreme loading conditions such as a tunnel fire. However, other loading cases can be developed for site-specific
For each of these limit states different load factors and load rock mass conditions and alternative bolting patterns using
combinations are applicable. However, because of the rock similar principles.
structure interaction issues associated with a tunnel lining design, Design checks are then made for each potential mode of
load factors are normally applied to action effects (induced failure using analytical models to determine the shotcrete lining’s
internal forces and bending moments within the lining) rather capacity in adhesion, direct shear, flexure and punching shear. As
than to the actions themselves. With this approach it is not mentioned previously, adhesion plays a key role in defining the
possible to determine what portion of an effect is due to a limiting failure mechanism, as failure in bending can only
particular action, so one averaged load effect factor is normally occur once adhesion is lost. Using numerical simulations of a
applied (Institution of Civil Engineers, 1996). The factored triangular-shaped block falling from a flat roofed tunnel, Kuchta,
Hustralid and Lorig (2003) demonstrated how adhesion failure
effects at the point under consideration are then compared with
can be overcome by increased shotcrete thickness in cases of
the lining’s factored strength or resistance. With limit state
poor shotcrete-rock bond, but also noted that significantly thicker
design methods it is important that characteristic values are
linings are required to carry the same design load in these cases.
used for the geotechnical input parameters to avoid overly When assessing a lining’s ability to adhere to the rock, the
conservative designs. Characteristic values are considered to be potential for the rock to separate along existing joints, weakness
cautious estimates of mean values as defined in BS-EN planes or stress induced fractures also needs to be considered, as
1997:2004. the tensile strength of these discontinuities can be considerably
Typical values for load and resistance factors used for less than the shotcrete-rock bond strength.
shotcrete lining design are provided in Table 3. However, there is In flat roofed tunnels where adhesion loss is a possibility,
no Australian standard which specifies these values, so the values shotcrete should be structurally connected to the bolts. The
shown in Table 3 are largely based on reinforced concrete
structural connection can be accomplished by either bolting
through the shotcrete or by welding ‘spider’ or ‘D’ bars to the
bolt’s face plates if they are to be installed before the shotcrete is
TABLE 3 applied. Asche and Bernard (2004) used this general approach
Typical load and resistance factors for shotcrete lining design. for the design of the flat span rock support classes for the Cross
City Tunnel in Sydney, with the DBV design method (DBV,
Action effect factors
1994) used to analyse the stability of the lining in bending, as
Temporary linings well as to determine the steel fibre reinforcement requirements.
Limit state Action effect factor However, the ASTM C-1550 Round Panel Test was substituted
as the means of verifying shotcrete toughness, due to improved
Ultimate limit state (ULS) 1.0 to 1.5
test result repeatability over the DIN 1048 Part 1 Beam Test.
Permanent linings
Limit state Action effect factor Design methods for arched roofed tunnels
Ultimate limit state (ULS) 1.2 to 1.5
For tunnels with arched roofs, shotcrete linings are usually
Serviceability limit state (SLS) 1.0 designed as structural arches. Assessment of the induced forces
Accidental limit state (ALS) 1.0 and moments within the arch has traditionally been done using
bedded beam, continuum or structural shell numerical models,
Resistance factors
with shotcrete strength and reinforcement requirements assessed
Material property Resistance factor based on the calculated stresses developing within the lining
Axial compression without bending 0.6 system. If heavy loads are anticipated to be applied at early ages,
Bending with axial compression 0.6
the temporary lining is typically strengthened by embedding
lattice girders or steel sets within the shotcrete. The lattice
Shear 0.7 girders and steel sets also provide shape control for the structural
Bearing 0.6 arch in these conditions.
Temporary design 0.6 to 1.0 In drill and blast tunnels the validity of this assumption is
sometimes questioned, as the irregular excavation profile
Note: For temporary lining design care needs to be taken when selecting frequently limits a thin shotcrete lining’s ability to form an arch
load and resistance factors that the overall factor of safety of the under these conditions. Windsor and Thompson (1999) present a
system is appropriate for the design being considered. method for assessing the ‘shotcrete cover’ in such a situation, by

taking account of excavation irregularities in the design process. • development of a better understanding of how shotcrete’s
In tunnels excavated by roadheader this is normally not an issue, adhesive and shear strength increases with age and how this
as smooth arches can now be efficiently cut in abrasive rocks correlates with compressive strength gain;
with uniaxial compressive strengths over 100 MPa.
Where a smooth arch profile can be cut, the structural analysis • development of a better understanding of how shotcrete-rock
of the lining typically finds that axial thrust is the dominant interface strength and stiffness influences stress transfer in
action effect, with bending moments relatively small, unless the and out of a lining;
arch is flat or differential ground movements are anticipated. • continued improvement and standardisation of test methods
Significant bending moments can also be generated in arch legs, to measure adhesion, shear and flexural capacity both in the
at sharp corners in the lining cross- section or at tunnel laboratory and underground; and
intersections, especially in squeezing ground conditions.
Thrust moment diagrams are a convenient means for assessing • ongoing refinement of analytical design methods based on
the structural analysis results with the shape of the factored observed lining performance and back analysis of
capacity curves dependent on the shotcrete compressive strength instrumentation monitoring results.
at a given age, the type and dosage of steel fibres within the mix The overall objective of this research should be to advance our
and the presence of any additional steel reinforcing in the form understanding of how shotcrete actually works, so design practices
of lattice girders, sets or bars. Examples of the use of this method can be further optimised and refined in the future.
are given in Hoek et al (2008), with equations provided in the
paper for deriving these capacity curves for various lining REFERENCES
systems. Some fibre manufacturers have also provided tools for
obtaining thrust moment capacity envelopes for different fibre American Society for Testing and Materials (ASTM), 1997. Standard
C116 – Standard Test Method for Compressive Strength of Concrete
types and dosages to which design forces can be compared. Using Portions of Beam Broken in Flexure.
Comparison of these curves to plain shotcrete indicates only American Society for Testing and Materials (ASTM), 2003. Standard
marginal capacity improvement, which suggests that the primary C1550 – Standard Test Method for Flexural Toughness of Fibre
structural benefit of adding steel or synthetic fibre to a mix is to Reinforced Concrete (Using a Centrally Loaded Round Panel).
improve its post fracture toughness or residual flexural strength. Asche, H R and Bernard, E S, 2004. Shotcrete design and specification
One of the critical elements not fully considered in structural for the Cross City Tunnel Sydney, in Shotcrete: More Engineering
models is the role of the shotcrete-rock interface stiffness and Developments (ed: Bernard), pp 27-38 (Taylor and Francis: Oxford).
strength in transferring load from the lining to the rock. As a Bae, G, Chang, S, Lee, S and Park, H, 2004. Evaluation of interface
result, these analyses typically assume that the loads within the properties between rock mass and shotcrete, International Journal of
Rock Mechanics and Mining Sciences, 41(3):373.
lining have to be transferred to footings rather than to the
sidewalls. While this is representative of cases where the Barrett, S V L and McCreath, D R, 1995. Shotcrete support design in
blocky ground: Towards a deterministic approach, Tunnelling and
interface strength is poor, it ignores a significant potential Underground Space Technology, 10(1):79-89.
economic benefit where the interface strength is good, as linings Barton, N, 2002. Some new Q-value correlations to assist in site
can be designed to be thinner and taper out in the sidewalls. characterisation and tunnel design, International Journal of Rock
Sensitivity analyses of progressive transfer of axial force to the Mechanics and Mining Sciences, 39:185-216.
rock show that even low interface strength capacities can have a Barton, N, Lien, R and Lunde, J, 1974. Engineering classification of rock
significant beneficial effect. If adhesion of the shotcrete to the masses for the design of tunnel support, Rock Mechanics,
rock is good, this stress transfer mechanism should be effective 6(4):189-236.
at all contact interfaces and therefore be present from the crown Bernard, E S, 2007. Release of new ASTM round panel test, Shotcrete,
down to the level at which the designer chooses to terminate the Spring, pp 20-23.
lining, which may be some distance above the invert. Bernard, E S and Geltinger, C, 2007. Determination of early-age
In addition to structural capacity, other issues such as ground- compressive strength for FRS, Shotcrete, Fall, pp 22-27.
water drainage, durability, fire resistance and instrumentation Bernard, E S and Hanke, S A, 2002. Age-dependent behaviour in fibre
reinforced shotcrete, in Proceedings Fourth International Symposium
and monitoring requirements also need to be considered as part
on Sprayed Concrete, Davos, 22 - 26 September, pp 11-25.
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Bernard, E S and Harkin, S, 2001. Punching a rock bolt assembly through
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Developments (ed: Bernard), pp 65-70 (Swets and Zeitlinger).
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AND DEVELOPMENT The Civil Engineer in South Africa, 15(12):335-344.
Bieniawski, Z T, 1989. Engineering rock mass classifications: A
While there have been many developments in the engineering complete manual for engineers and geologists in mining, in Civil and
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areas where further research and development is required. From British Tunnelling Society/Institution of Civil Engineers, 2004. Tunnel
the authors’ perspective the following are areas where future Lining Design Guide, 184 p (Thomas Telford: London).
research needs to be focused: BS-EN 1997-1:2004 Eurocode 7. Geotechnical Design – Part 1: General
Rules.
• development of more user-friendly three-dimensional
Clements, M J K, Jenkins, P A and Malmgren, L, 2004. Hydro-scaling –
computer codes for the geotechnical and structural design of An overview of a young technology, in Shotcrete: More Engineering
ground support; Developments (ed: Bernard), pp 27-38 (Taylor and Francis).
• development of a better understanding of how face support DBV Recommendation, 1994. Design principles of steel fibre reinforced
such as spiles and canopy tubes work in terms of reinforcing concrete for tunnelling works, Deutscher Beton-Verein.
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influence the subsequent load transfer onto the shotcrete design of FRS tunnel linings, in Shotcrete: More Engineering
lining system; Developments (ed: Bernard), pp 109-126 (Taylor and Francis:
Oxford).
• development of tunnel lining design standards, including the Goel, R K, Jethwa, J L and Dhar, B B, 1996. Effect of tunnel size on
specification of acceptable load and resistance factors for support pressure, International Journal of Rock Mechanics and
limit state design based on international best practice; Mining Sciences, 33(7):749-755.

Hoek, E, 1999. Support for very weak rock associated with faults and shear Rogers, S F, Moffitt, K M and Kennard, D T, 2006. Probabilistic slope
zones, presented to International Symposium on Rock Support and and tunnel block stability analysis using realistic fracture network
Reinforcement Practice in Mining, Kalgoorlie, 14 - 19 March. models, presented to 41st US Symposium on Rock Mechanics,
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design in tunneling, in Proceedings University of Minnesota 56th underground and surface excavations in discontinuous rocks based on
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Kuchta, M, Hustralid, W and Lorig, L, 2003. The importance of rock Hardened Concrete for Compressive Strength.
surface preparation in shotcreting operations, presented to Third Terzaghi, K, 1946. Rock defects and loads in tunnel supports, in Rock
International Seminar on Surface Support Liners, Quebec City, 25 - Tunnelling with Steel Supports (eds: Proctor and White), pp 17-99
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Roads and Traffic Authority, New South Wales, 2000. Specification T374
– centrally loaded beam test.

Use of Shotcrete Arch as Tunnel Support – A Case Study
I Chan1 and B Shen2
ABSTRACT • a thin tuff layer (about 100 mm thick), and

The Wambo Rail Spur located near Singleton, New South Wales, • the contact between the interbedded coarse-grained sandstone/
Australia, runs for approximately 14 km linking the Mt Thorley rail loop conglomerate and the overlying interbedded fine- to
and the Wambo Coal Mine. The project involves a 260 m long tunnel in medium-grained sandstone/siltstone.
weathered sedimentary and intrusive materials. The tunnel has a low
cover and runs under a main highway. The strength and deformation parameters for the different
This second paper on the project looks into one aspect of the tunnel in geotechnical units adopted for design are presented in Table 1.
detail: the use of shotcrete arch as the primary support for part of the
tunnel excavation. The use of shotcrete instead of steel arch, formulation
of the material specification, construction sequencing, installation at the Tunnel design requirements
excavated face and material testing for verification related to this facet of
the project will be discussed in this paper.
The tunnel was designed based on a 100 year design life. The
tunnel envelope required a tunnel at least 6.4 m high with a 5 m
The tunnel opened in April 2006, and two years on, we briefly reflect
on the impact of this design decision on the overall project. span, to fit the transit space diagram for the relevant train gauge
as well as an inspection walkway.
Preliminary design had the majority of the tunnel supported by
PROJECT BACKGROUND
bolts and a relatively thin shotcrete lining, and the rest, roughly
The Wambo Rail Spur located near Singleton, New South Wales, 55 m in length in poorer quality rock, with steel set and
Australia, runs for approximately 14 km linking the Mt Thorley shotcrete. This paper shall concentrate on the portion of the
rail loop and the Wambo Coal Mine. The project involved a tunnel requiring steel sets and shotcrete.
260 m long tunnel in weathered sedimentary and intrusive The tunnel was designed to be excavated in a heading and
materials. The tunnel had a low cover and ran under Golden
bench operation, by a low profile roadheader such as Mitsui
Highway, a major regional arterial road.
S300. The top heading was 3.8 m in height, and the bottom
Design of the tunnel was completed in October 2005, the heading was similar, at 3.6 m. Once the top heading was
proposed construction involved excavation of the tunnel by two excavated and supported, the partially completed tunnel was to
separate headings, separated by a ten-day period where rail be used for two weeks for transport of materials for rail works.
equipment was transported through the initial heading.
Excavation of the top heading commenced in November,
commencement of the bottom heading in February 2006 and all ‘Steel set and shotcrete’ versus ‘shotcrete only’
excavation was completed by the end of March 2006. support
A ‘steel set and shotcrete’ support solution was initially proposed
Geology and designed for part of the tunnel. It involved sets made from
The regional geology consists of the Jerrys Plains Subgroup of 150UC37.2, spanning the crown at 1.2 m spacing, and where
the Wittingham Coal Measures. This subgroup comprises cyclic appropriate, spanning the walls to the floor of the tunnel. At least
coal seam sequence with dark-grey to black laminate shale and 70 mm cover shotcrete from the outside flange, and 45 mm cover
siltstone at the top and conglomerate lenses. from the inside flange, ie 277 mm of shotcrete in total, was
required for durability requirements.
The sequence is gently folded, characterised by a series of
north-south trending synclines and anticlines, with occasional This ‘steel set and shotcrete’ design met with several design
north-south faulting. At the tunnel location, the regional dip of and practical difficulties, which led to the preference of the
the beds is oriented towards west-south-west. Interpretation of ‘shotcrete only’ approach. These difficulties included:
the aerial photographs was undertaken and there were no obvious • Long order time for steel set manufacture – the tight
lineaments that crossed the tunnel route that may indicate the construction scheduling would have been delayed should the
presence of a major structure. steel set support have been adopted.
• Longer excavation down time for preparation and installation
Geotechnical model of steel set – reducing the efficiency of the roadheader and
Figure 1 presents the interpreted geotechnical model along the the overall construction.
tunnel alignment. Correlation of geotechnical units along the The ‘steel set and shotcrete’ option involved spot excavation
tunnel alignment identified the following distinct geological to prepare flat bases for the steel set legs, the installation of
marker horizons, which presented some challenges in terms of each steel set, plus the application of shotcrete both behind
tunnel support design: and in front of the set. On the other hand, the ‘shotcrete
• two carbonaceous siltstone/coal seams (varying in thickness only’ option involved positioning the spraying equipment
from 0.5 to 3 m), and spraying the shotcrete, which was a much quicker
operation.
1. Senior Geotechnical Engineer, Pells Sullivan Meynink Pty Ltd, G3, • Design durability issues – in order to provide adequate
56 Delhi Road, North Ryde NSW 2113. corrosion protection of the steel set for a 100 year design life,
Email: i.chan@psmsyd.com.au the set was required to be ‘wrapped’ by a shotcrete layer. In
2. Senior Geotechnical Engineer, Pells Sullivan Meynink Pty Ltd, G3, essence, the amount of shotcrete required for corrosion
56 Delhi Road, North Ryde NSW 2113. protection would be similar to the amount of structural
Email: b.shen@psmsyd.com.au shotcrete for a ‘shotcrete only’ support.

I CHAN and B SHEN
FIG 1 - Geological long section.
TABLE 1
Geotechnical strength and stiffness parameters.
Geotechnical unit Unit weight Strength parameters

UCS Cohesion Friction Young•s Poisson•s
angle modulus ratio
γ qu c' φ' E' υ'
(kN/m3) (MPa) (kPa) (degrees) (MPa)
Residual soil 22 0.4 5 25 35 0.35
1. Interbedded siltstone and sandstone 24 1 50 25 200 0.3
Interbedded coal and carbonaceous siltstone 22 1 20 30 40 0.3
Interbedded coal and carbonaceous siltstone – lower band 22 8 80 30 150 0.3
Interbedded sandstone and conglomerate 24 20 435 40 1200 0.25
Tuff 22 0.4 5 25 35 0.35
• Safety of personnel at the tunnel face – the sequence of • Structural integrity – the ‘shotcrete only’ support required
construction was of great importance for reducing the risk to reinforcement with steel fibre. The amount of fibres required
personnel inside and outside the tunnel. Reducing the time at needed to be quantified both during design stage and with
the face where support was installed was a priority, especially trial testing.
in poorer ground conditions. Therefore, eliminating steel sets, • Material quality assurance – the properties of shotcrete are
which require manual installation with personnel right at the dependent on its material composition, its manufacturing
face, and replacing them with the application of shotcrete by process and its application. To overcome these shortcomings,
personnel under supported ground some distance away, is a stringent material and performance specification with trial
preferred. testing was put in place.
Concerns regarding use of •shotcrete only• • Construction quality assurance – the quality of the finished
shotcrete arch was determined not only by the quality of the
support materials delivered to site, but also the timing of that delivery
Some legitimate concerns regarding the use of the ‘shotcrete and application, as well as the skill and experience of the
only’ arch support included: operator.

USE OF SHOTCRETE ARCH AS TUNNEL SUPPORT – A CASE STUDY
Many of these concerns were addressed by a strict material Figure 2 shows the microSTRAN output for the analysis at the
specification with rigorous testing. south-eastern portal for the final case, where approximately
6 mm vertical displacement is predicted; for the temporary load
DESIGN OF THE SHOTCRETE ARCH case a reduced vertical displacement of 4 mm is predicted.
Structural design
The structural design (dimensions and composition) for a
shotcrete arch support was designed based on both structural
engineering principles, and MicroSTRAN modelling.
Several load cases were analysed including:
• Half overburden and full self weight, and shotcrete strength
of 10 MPa. This case represented the temporary condition
before the shotcrete gained its permanent strength. This load
case gives an approximation of the temporary condition and
provided the designer with an indication of how the support
would behave as it gained stiffness and in turn attracted more
load.
• Full overburden and full self weight. This case represented
the permanent condition, with full loads and final shotcrete
strength of 40 MPa.
The geotechnical conditions at two cross-sections (worst-case
scenario) were analysed: FIG 2 - Southeast Portal cross-section; displacement shape due
• at the south-eastern portal, with the crown in competent to temporary load.
interbedded siltstone and sandstone (slightly weathered to
fresh); and
• at the north-western portal, with the crown in competent Figures 3 and 4 show the capacity limit diagrams for structural
interbedded siltstone and sandstone (moderately weathered design at that location, for the temporary and permanent
to fresh) and carbonaceous siltstone. condition. Figure 5 shows the shotcrete arch support.
FIG 3 - Southeast Portal cross-section; capacity limit diagram, temporary load condition.

I CHAN and B SHEN
FIG 4 - Southeast Portal cross-section; capacity limit diagram, permanent load condition.
TABLE 2
Base mix proportions.
Cementitious content Type SL + fly ash

Both with silica fume
Minimum cementitious content 410 kg/m3 up to a
maximum 450 kg/m3
Fly ash as percentage of cementitious Maximum 15% by weight
content†
Microsilica content as percentage of 5 - 12% by weight
cementitious content (4 - 8% when in
combination with fly ash)
FIG 5 - Shotcrete arch support type.
Limits of water/cementitious content ratio 0.45 by weight
Fibre – minimum content 40 kg/m3
Material specification Slump prior to adding synthetic fibres >50 mm and <120 mm
† High PFA content may impact on initial setting time and curing.
Requirements for structural integrity and material
composition
The material specification gave requirements for the composition Construction requirements
of the shotcrete, in terms of its cementitious component (cement, Requirements during construction included:
fly ash, silica fumes), aggregate, admixtures, steel and synthetic
fibres. Other requirements included: • shotcrete shall be built up in successive layers, with layer
thickness governed by the requirement that the material shall
• water content requirement, given both as a water:cement not slump or sag;
ratio and a slump; and
• each successive layer would be applied after the original
• performance-based strength requirement, at various ages. surface be allowed to stiffen; all laitance and loose material
Table 2 summarises the requirements for structural integrity removed and the surface wetted using a strong blast of air
and material composition. and water – assisting with bonding between layers; and

USE OF SHOTCRETE ARCH AS TUNNEL SUPPORT – A CASE STUDY
• alignment and profile control by means of devices such as shotcrete arch support was required, excavation would progress
guide wires, guide stripes, depth gauges (nails), pencil rods at 1.2 m (one bolt spacing) followed by crown support
or forms – assisting with minimum shotcrete thickness installation. Typical daily advance in this area was 2.2 m, or
requirements. roughly two bolt spacings (one per shift). This was roughly half
the rate of that of the bolted sections.
QA requirements
Changes to the support design
Two stages of material testing, preconstruction and production
testing, were implemented. During construction, in order to improve on the advance rate, the
design and construction sequencing of the full shotcrete arch
The trial mixes were sprayed in a similar fashion to site support was modified. Crown support involved typically the
conditions, and preconstruction tests included: installation of two rows of bolts and spraying of 100 mm
• cylinder compressive strength, shotcrete. The shotcrete arch would be built up to the required
• slump test, 300 mm thickness with each cycle of support installation.
While this modified support necessitated the installation of
• compressive and density testing, and both rock bolts at 1.2 m spacings and the installation of a full
• flexural strength. 300 mm thick shotcrete arch, which provided more final support
than the full shotcrete arch, the construction sequence allowed a
Acceptance criteria included requirements for:
quicker advance rate, with a ‘cut two, bolt two’ sequencing, and
• average compressive strength of all tests, allowing up to 8 m face advance without the full 300 mm
• minimum strength and density requirements for any single shotcrete support.
test, and A higher advance rate (on average 4.7 m per day, or roughly
four bolt spacings) was possible with this support type, while
• minimum strength requirements for the trial mix. allowing adequate permanent support for the poorer rock.
Production testing involved quality control documentation of Figure 6 illustrates a typical excavation and support
all materials delivered to site and shotcrete cores taken at installation sequence for this modified shotcrete arch support.
locations within the tunnel for compressive strength, density and
steel fibre count testing. Core holes were also required to be
restored to the specified concrete quality.
Table 3 summarises the performance requirements for the
structural shotcrete for the material specification.
TABLE 3
Performance requirements.
Parameter Test method

Characteristic compressive 24 hours AS 1012.9 10 MPa
strength of core cylinders 3 days 20 MPa
28 days 40 MPa
Flexural strength 28 days EFNARC beam† 3.5 MPa
Residual flexural strength: 28 days EFNARC beam†
0.5 mm deflection
4 mm deflection 3.5 MPa
1.7 MPa
Residual flexural strength: 28 days RTA T373
0.75 mm deflection Round determinate
7.50 mm deflection panel 26.6 kN
14.8 kN
Durability/ 28 days DIN 1048 Part 5 25 mm
permeability test
Density 28 days AS 1012.12 2250 kg/m3
Maximum drying 56 days AS 1012.13 800 µε
shrinkage
† 75 × 125 × 600 beam with third point loading. The RTA T373 panel
could be used as a substitute for the EFNARC beam.
CONSTRUCTION
The shotcrete arch support was applied to some 54 m of the FIG 6 - Construction sequence for modified shotcrete arch
tunnel. The following section details the construction aspects of support type.
this support. Monitoring of the shotcrete arch section, comprising
wire extensometers and endoscope holes, indicated that the Construction supervision
installed support performed satisfactorily.
A geotechnical engineer was present full time on site during the
excavation of the tunnel, observing field tests and the recovery of
Excavation rate samples for laboratory testing. The engineer mapped the
The excavation and support installation progressed on a day and observed excavated tunnel faces, recommended ground support
night shift of 12 hours per shift. In locations where a full and was present at site meetings.

I CHAN and B SHEN
QA results The original tunnel support design, which included steel sets
with a thick shotcrete arch, was modified both preconstruction
and during construction.
Preproduction test results
The preconstruction modification involved the elimination of
Testing of the trial mix as well as preproduction tests was the steel set, and the use of a full reinforced shotcrete arch.
undertaken by the concrete supplier. Compared to the steel set solution, this was found to be a
Grading of the aggregates was found to be satisfactory. structurally satisfactory, safe and efficient design, enabling
Two trial mixes were used: 186EE fibres and Dramix 35 mm. excavation to progress at a moderate rate.
Dramix was a conforming mix, while 186EE was not. Both Further improvements to this support during construction,
mixes achieved adequate compressive (minimum 50 MPa) and which involved the addition of rock bolts as temporary support,
flexural strength (minimum 5.1 MPa) at 28 days. and the application of the full shotcrete arch over several shifts,
Preproduction tests for seven day and 28 day density and allowed the advance rate to double. This was achieved through a
compressive strength were also satisfactory. good understanding of the geology and rock behaviour, as well
No residual flexural strength testing was performed; however, as good communication and cooperation between design,
previous residual flexural test results of the same mix, used in construction and project client.
other tunnels in Sydney, were used to verify the suitability of the This case study describes the design philosophy, design
trial mix. changes and construction of a portion of the Wambo tunnel, and
demonstrates that improvement to any project is always possible,
Shotcrete thicknesses through good cooperation and understanding between all
interested parties.
Depth gauges (ie nails) were installed on the excavated faces as a
guide for the shotcreting crew, to achieve 50 mm individual layer
thicknesses. REFERENCES
The applied shotcrete was assessed for thickness as excavation British Standards Institution, 2004. EN 1992-1-1:2004. Eurocode 2:
and support construction progressed. The thickness was assessed Design of Concrete Structures, General Rules and Rules for
by a series of 12 mm drill holes in the crown along the length of Buildings, 230 p (British Standards Institution).
the tunnel. This gave an indication of where the shotcrete Deutsher Beton-Verein (DBV), 1992. Technology of Steel Fibre
thickness was not to design. Such areas were identified and a Reinforced Concrete and Shotcrete, Merkblatter Faserbeton (in
further coat of shotcrete was applied. German).
Deutsches Institut für Normung (DIN), 1991. DIN1048-5:1991. Testing
concrete; testing of hardened concrete (specimens prepared in
Core sample testing mould).
A total of seven shotcrete core samples were taken from various RTA T373, 2001. Determination of the toughness of a fibre reinforced
locations along the tunnel for density and compressive strength shotcrete mix – Round determinate panel test, p 7 (RTA).
testing. There were issues with the first three samples tested, Standards Australia, 1986. AS1012.12-1986. Methods of Testing
where the core samples were cracked from the coring process, Concrete – Method 12: Determination of mass per unit volume of
hardened concrete (Standards Australia).
resulting in a low compressive strength. More core samples were
recovered, and these tests gave a minimum compressive strength Standards Australia, 1992. AS1012.13-1992. Methods of Testing
Concrete – Method 13: Determination of the drying shrinkage of
of 53 MPa, which was satisfactory. The average core density was concrete for samples prepared in the field or in the laboratory, p 13
2180 kg/m3 (minimum 2150 kg/m3), which was 97 per cent of (Standards Australia).
the required density. Standards Australia, 1999. AS1012.9-1999. Methods of Testing Concrete
– Method 9: Determination of the compressive strength of concrete
CONCLUSIONS specimens, p 12 (Standards Australia).
This paper presents a case study of a rail tunnel in the Hunter

Valley, New South Wales.

Developments in the Use of Steel Fibre Reinforced Concrete
(SFRC) in Precast Segments for Tunnel Linings
J Greenhalgh1, C Roberts2 and J Brown3
ABSTRACT (1931 - 1935). This first project was then closely followed by
part of what is now referred to as ‘The London Underground’,
The scope of this paper is to recount the development of segmental
linings used in tunnel construction, starting with its inception as an
where a precast concrete lining was designed and developed for
improvement to the brick-lined tunnel approach of Brunel in England and the Ilford tube project between Redbridge and Newbury Park in
moving through the history and development to the present day, before East London. Some 4.4 km long with 9700 rings in total, it
finishing with a few insights into what the future might hold. formed part of the Eastern extension to the Central Line. Each
The paper also discusses the motivation for the relatively recent move precast ring had an internal diameter of 3.74 m, a width of
towards replacing conventional steel reinforcing cages with steel fibres 508 mm and consisted of six plates plus a key, 240 mm thick.
and the reasons why steel fibre reinforced concrete (SFRC) is rapidly The concrete quality was checked at 41.4 N/mm2 at 28 days with
becoming the material of choice for manufacturing precast concrete each complete ring weighing 1.37 t.
segmental linings. This design was tested and compared with cast iron in an
experimental tunnel at Wood Lane, where the ground cover was
HISTORY only 0.762 m. The construction was such that the upper half
was in made-up ground and the lower half in soft clay.
Today the use of precast concrete segmental linings in tunnel A superimposed load of 187 kN/m2 was subsequently applied.
construction is almost taken for granted. However, recent It was reported that two of the three cast iron rings cracked, with
research (Chudleigh, 2007) in the United Kingdom (UK) only a fine crack in one of the concrete rings being observed. The
suggests that in fact the use of precast concrete segmental linings savings in construction costs at the time were shown to be in the
is only around 80 years old. order of 25 per cent when compared to the cast iron lining.
Prior to this the most common method of lining a tunnel was The precast concrete ring followed the traditional cast iron
to use cast iron segments. A method introduced by Peter Barlow, linings in design size and shape, although the weight was a little
when in 1869 (Howson, 1967) he was given the task of driving a less at 1.39 t per ring compared to 1.66 t for the cast iron ring.
second tunnel, is now known as the Tower Gateway Tunnel, There were savings in material and segment production costs but
under the River Thames. At the time Barlow was the city no real savings in construction time.
engineer for London, with responsibility for building bridges During World War II precast concrete was primarily used due
over the River Thames, where he was familiar with using cast to an ongoing lack of the raw materials needed to manufacture
iron segments to form caisson rings in the construction of a the traditional cast iron linings, with precast concrete linings
bridge’s foundations. He assumed, quite rightly as it turned out, being used at selected London transport sites. A 5.03 m internal
that as a cast iron ring adequately resisted the water pressure diameter ring and a 3.85 m internal diameter bolted reinforced
from the river, it should also be equally able to carry the imposed ring, 600 mm long, was designed by Sir William Halcrow and
ground loads if built on the horizontal. Barlow was joined in his Partners for the Jubilee line stage two.
endeavours by a young South African engineer called Henry In the early 1950s tunnel designers began to look at precast
Greathead, who later developed the Greathead tunnelling shield concrete in more detail and looked to use unbolted and plain
and cast iron lining method, subsequently used on the ‘City and unreinforced concrete for the linings. The first of these, produced
South London Railway’ project. by H J Donovan, was a ring named the Don-Seg lining for the
The use of cast iron segments to line tunnels in the UK, and Metropolitan Water Board’s new water main in East London. The
London in particular, continued as the method of choice until the ring was based on a trapezoidal-shaped segment with tapering
1930s. In fact the London Underground and the London Water longitudinal sides, having an internal diameter of 1.98 m with
Authority have continued to make considerable and very ten segments each 530 mm long. The concrete used was a 3:1.5:1
mix by volume with a W/C ratio of 0.42. The concrete
successful use of this system right up to the present day, albeit
constituents were 10 mm shingle, sand and Portland cement. The
with its use today typically being limited to cross passages
segments were vibrated and crushing strengths ranged between
between the main tunnels in some projects. 30 and 50 N/mm2 at seven and 28 days respectively.
The search for an alternative to cast iron segments was This type of segment was used successfully on a number of
prompted by a shortage in the supply of raw material feed to the contracts in London over a period of 20 years or so, most
iron foundries, in turn brought about by the need to re-arm in the notably:
years leading up to World War II.
In response to this raw material shortage the London • Metropolitan Water,
Metropolitan Water Board adopted precast concrete (PCC) as the • Thames Lee Experimental Tunnel (1950 - 1951) 2.029 m i/d,
primary lining on the West Middlesex Main Drainage Scheme • Ashfield Common Tunnel (1952) 2.53 m i/d,
• Thames Lee Tunnel (1955 - 1959) 2.6 m and 2.29 m i/d,
1. Bekaert UK, Unit 7, Gateway Business Centre, 5 Leeds Road,
Sheffield, South Yorkshire S9 3TY, United Kingdom. • Post Office Cable Tunnel (1969) 2.29 m i/d, and
Email: John.Greenhalgh@bekaert.com • Ministry of Defence Tunnel (1970 - 1972) 1.37 m i/d.
2. Business Development Manager Queensland, Bekaert OneSteel There were some friction problems with this lining type and
Fibres Australasia, 5 Telopia Court, Cashmere Qld 4500. while grease and bitumen were used with some degree of success
Email: Craig@bosfa.com it wasn’t the best solution. This was finally addressed and
3. Business Development Manager New South Wales, Bekaert overcome by the introduction of the wedge block lining, which
OneSteel Fibres Australasia, 61 Milperra Road, Revesby NSW 2212. used a key to close the ring, somewhat similar to what is seen
Email: john@bosfa.com today.

J GREENHALGH, C ROBERTS and J BROWN
With new ambitious projects come new ideas and innovations, There are huge durability benefits that must be mentioned.
as in 1963, when at the planning stages of the Victoria Line it Steel fibres are protected by the natural alkalinity of concrete
was decided to develop a flexible lining that had been developed (pH >12) in the same way as conventional reinforcement but
for the British Rail Potters Bar Tunnel. This new flexible lining perform better for the following reasons:
would be built directly against the London clay, thus saving • Ca (OH)2 deposited at the steel surface offers more protection
grouting time and enabling faster drive times with the new due to the high surface area of fibres,
mechanised shields that were coming onto the market.
It is understood that in the 1960s a section of the Mexico City • fibres are discreet and too small to develop corrosion driving
metro had a precast concrete section of line constructed and in galvanic cells, and
the 1970s the first precast concrete segmental linings came to the • steel fibres of diameter <1 mm have insufficient mass of
North American market. One of the first projects was the corrosion and hence do not increase carbonation and chloride
Thunder Bay Sewer Project in Ontario built by Mole penetration rates.
Construction of Solon OH, designed by RV Anders from Toronto
and the segments were manufactured by Precon who was based Hence:
in Bampton. • steel fibres at the surface will corrode and may cause local
One of the first transit tunnels to be built in a precast concrete rust staining only, and
lining in the USA was the Lexington Market Project in • steel fibres beneath the carbonated surface zone and bridging
Baltimore, which was sponsored by the Urban Mass Transit cracks <0.25 mm wide have very low corrosion rates in even
Authority (UMTA). The UMTA actually paid for a precast very aggressive environments and offer long-term durability.
concrete lining to be installed to run parallel to the steel lining.
The concrete segments were manufactured by Jerry Levy, who at The traditional method of using internal cages to reinforce
this time represented Buchan Concrete from the UK and the line precast concrete segments didn’t change until 1982, when, in
was built by Traylor Brothers. Southern Italy and Sicily, water tunnels incorporating SFRC
segments were built to distribute drinking and irrigation water to
Generally these early precast segments were reinforced with 45 villages in the regions of Agrigento-Calanissetta and Palermo.
traditional steel cages and whilst the cage design provided for
temporary loads imposed during the demoulding, transportation, Subsequent to construction of these tunnels several Italian
handling and construction processes, damage would always engineers and clients investigated the steel fibre solution,
occur to some degree to the cover zone over the reinforcement. culminating in Metrosud deciding to use SFRC segments for the
The reason being that the cover zone, which is required to protect extension of the Naples metro, known as Lotto 3 Salvatore Rosa
the reinforcing cage against corrosion, remains as brittle plain – Vanvitelli, in the early 1990s. This was the first transportation
concrete and hence is at risk during these various stages of the tunnel built using SFRC segments anywhere in the world. A fibre
construction process. Repairs were required to reinstate the cover with a high aspect ratio (length/diameter) of 100 was used at
to the traditional steel rebar in an attempt to prevent long-term 40 kg/m3, replacing the traditional reinforcing cage that was
durability issues for the client. These repairs were often originally proposed and weighed in at 106 kg/m3.
undertaken at the precast factory prior to dispatch with there still From this point on the UK market became aware of the steel
being a good chance that further repairs would need to be fibre solution with the first project to incorporate it being the
undertaken after the ring was built. Such in situ repairs imposed baggage conveyance tunnel between terminal four and terminal
significant cost penalties and tended to be problematic in terms one at London’s Heathrow International Airport. This project
of reinstating long-term durability to the segments. was designed and constructed by Miller Tunnelling, now Morgan
EST.
DEVELOPMENTS OF STEEL FIBRE REINFORCED The tunnel was 1.4 km in length with an internal diameter of
CONCRETE (SFRC) IN SEGMENTS 4.52 m and at 15 cm thick it was the thinnest segmental lining
ever built in London clay. The 30 kg/m3 of steel fibres, with an
With commercial pressures in mind and the need to increase aspect ratio of 80 replaced completely the 100 kg/m3 of
efficiencies in production and handling, as well as construction,
traditional reinforcement and provided a very robust ductile
the concept of steel fibre reinforced concrete (SFRC) segments
element that was very resistant to cracking and spalling during
was born. The concept of putting steel fibres into a brittle
all phases of production, transportation and construction. At the
concrete matrix is to transform the concrete into a more ductile,
tougher material with the associated benefits of impact time it was stated that the savings in the production costs of the
resistance, crack width control and load redistribution, making segments was in the region of 40 per cent.
each individual ring segment a more robust unit, which is more At around the same time there were a number of other tunnel
than suitable for the underground construction industry. projects in design and from this point on the industry took note
There are many practical advantages in using steel fibres to of the technical and commercial benefits that a SFRC segment
either partially or completely replace the more conventional steel design could offer. The major transportation project during this
reinforcing cage. SFRC is very robust with enhanced load- period was the Jubilee Line Extension (JLE) with Contract 103
carrying capacity. This robustness makes SFRC very resistant to being for the tunnel running from London Bridge to Southwark.
cracking and spalling when demoulding, storing, transporting Aoki-Soletanche installed the first running tunnels for the
and installing them during the ring building process. It also London Underground using SFRC segments under this contract.
enhances the ability of the segments to resist the splitting and The tunnel was 4.35 m o/d and 1.2 km in length with a wall
spalling stresses that are imposed when the tunnel boring thickness of 20 cm.
machine’s (TBM’s) rams apply the high jacking loads required to This project is considered by some to be the forerunner to the
drive the TBM forward during the tunnel boring process. An much publicised Channel Tunnel Rail Link Project (CTRL),
enhanced ability to cope with these bursting and spalling stresses Section two, where SFRC segments were used throughout the
can give a very significant reduction in the amount and cost of whole 42 km of the project.
segment repair required as recognised on the Channel Tunnel The CTRL project, now known as High Speed One, was
Rail Link (CTRL) project (Woods, 2006). officially opened on 14 November 2007 and completes the rail
There are commercial advantages also, mainly to do with the link between London and Paris. Section two of the link
production of precast segments with cost savings in production comprised four main running tunnels with a total length of over
volume, labour, time and factory space. 40 km, a 7.15 m internal diameter and lining thickness of 350 mm.

DEVELOPMENTS IN THE USE OF STEEL FIBRE REINFORCED CONCRETE (SFRC) IN PRECAST SEGMENTS FOR TUNNEL LININGS
The rings consisted of nine segments plus a key. One of the Three water and sewer tunnel projects quickly followed along
governing factors in achieving a 120 year design life was the in 2006 and 2007 after the successful BWOAS project. In all of
long-term durability of the reinforcement, which was one of these projects, the steel fibre reinforced segments were proposed
the main reasons for choosing steel fibres over conventional by the contractor or precast manufacturer to replace the
reinforcing cages. conventionally reinforced segments as a value engineered
The segments were manufactured at three purpose-built plants. change; these three projects detailed below total some 57 km.
Contracts 320 and 250 used static plants whilst contracts 220 and The San Vicente Pipeline is a raw water transmission pipeline
240 were supplied from a single carousel type plant comprising that is part of the San Diego County Water Authority’s
four lines. While this particular plant had a higher capital cost Emergency Storage Project. The pipeline links San Vicente
compared to the other two, at its maximum rate of production it Reservoir located on the east side of the county and the Water
turned out one segment every two minutes, completing its task Authority’s second aqueduct located on the west side of the
ahead of schedule. county. The project involves the construction of a 17.7 km long
A significant benefit of using SFRC was realised from the lack 2.6 m diameter water tunnel. For the expanded ring tunnel lining
of damage to the segments during production and installation. Of the manufacturer, Traylor Shea Ghazi Precast, proposed to
the 260 000 segments produced only 0.8 per cent were rejected redesign the segments to utilise steel fibre reinforcement.
and 2.8 per cent repaired during manufacture. During construction Halcrow provided the design, eliminating the entire rebar cage
2.2 per cent suffered minor damage with no repair being and used 30 kg/m3 of high performing steel fibre reinforcement
required, 0.3 per cent had minor damage that required repair and with an aspect ratio of 80. Also, since the liner did not have to be
only one segment or 0.0004 per cent required a major repair. gasketed, vertical moulds were used with self compacting steel
None of the installed segments were required to be removed or fibre reinforced concrete (Figure 2). Segments were produced at
replaced (Woods, 2006). an existing twin carousel plant in Littlerock, California and
While the CTRL project was under construction many more completed in 2006.
projects were under construction in mainland Europe and the
UK. One of the most important projects to the London area was
the construction of the tunnel extensions to the Piccadilly Line
and the Heathrow Express Rail service that would provide links
to the new terminal five at London Heathrow International
Airport. These were two tunnels totalling some 6 km, with
diameters of 4.52 m i/d and 5.6 m i/d respectively.
Steel fibre reinforced concrete (SFRC) segments

in the USA
In the USA steel fibre shotcrete for tunnelling and steel fibre
concrete for industrial applications is well established. However,
the steel fibre solution for segmental linings had never been used
until recently. After completion of the CTRL project many US
tunnel designers and contractors began to explore the merits of
steel fibre reinforcement. The first segmental lining project to
use steel fibres was the Big Walnut Outfall Augmentation Sewer FIG 2 - Finishing the vertically cast segments on
(BWOAS) – Part 2, which commenced in 2005 and was
the San Vicente project.
constructed by the McNally/Kiewit Joint Venture. This is the
second part of a project to upgrade the sewer system for
Columbus, Ohio. The tunnel includes 4.8 km of 3.7 m diameter The Portland Eastside Combined Sewer Overflow (CSO)
bolted and gasketed lining and uses a combination of steel fibre project is a combined sewer overflow project under construction
reinforced concrete and a small rebar cage. Designer Hatch Mott by the Kiewit/Bilfinger Berger Joint Venture. The tunnel is
MacDonald used a conservative approach and retained a small 19.3 km long and 7.7 m diameter using bolted and gasketed
rebar cage that was less than half the amount of the original cage, segments. KBB is self performing the segment manufacture in
as shown in Figure 1. static moulds and started production in late 2006. The project
was structured as a design/build contract. This allowed the
contractor to be hired during the final stage of design. After the
contractor was brought on board, discussions of using steel fibres
in place of the rebar cage began. Parsons Brinckerhoff provided
the final design of the segments, which was based on the use of
structural plain concrete. The steel fibres were considered to
provide ductility and robustness during manufacture and
installation. Due to geology and high ground water pressures,
approximately 15 per cent of the segmental tunnel lining will use
conventional rebar reinforcement. The remaining 85 per cent of
the tunnel will use only steel fibres for reinforcement. After mix
design development was completed it was decided to use
30 kg/m3 of high performing steel fibre reinforcement with an
aspect ratio of 80.
The Brightwater conveyance system is part of a new regional
wastewater treatment system for the suburbs of Seattle,
Washington. Included are 20.4 km of tunnels that vary in
diameter from 4.0 to 5.1 m. The tunnels are being constructed
under three separate contracts. The east contract is awarded to
FIG 1 - Reduced steel cage on Big Walnut Outfall Augmentation Kenny/Shea/Traylor Joint Venture, the central contract awarded
Sewer (BWOAS) project. to Vinci/Parsons/Frontier-Kemper Joint Venture and the west

contract awarded to Jay Dee/Coluccio/Taisei Joint Venture. The Another major infrastructure tunnel to adopt a precast
segments for the three individual construction contracts are being segmental lining design is the North-South Bypass Tunnel in
produced by the CSI-Hanson Brightwater Joint Venture using Brisbane built by LBBJV. These twin tunnels have a diameter of
a state-of-the-art carousel system supplied by CLECO 12.4 m with some very large precast concrete segments. These
Manufacturing. The segments were originally designed by huge segments, each 240 mm in thickness and 12 segments per
Jacobs Associates using conventional rebar cages but an option ring, have been designed with heavy steel reinforcing cages plus
for the use of steel fibres was included in the bid documents. a micro polypropylene fibre added to the concrete mix for fire
CSI-Hanson chose to produce steel fibre reinforced segments. resistance.
Hatch Mott MacDonald prepared the segment design for Since these projects started, the desalination plant at Kernel in
CSI-Hanson, which resulted in using steel fibre dosages of Sydney has also commenced. Operated by the Blue Water Joint
36 kg/m3 for the east and west contracts and 42 kg/m3 for the Venture and currently being built by John Holland/Veolia, this
central contract. Production commenced in early 2007. tunnelling project is very similar to the Gold Coast project, with
Currently there are numerous tunnel projects under design and two tunnels each 2.5 km in length, with an internal diameter of
out for bid in the US. Some are being designed with steel fibres 3.4 m. Utilising six trapezoidal precast segments, each 225 mm
and some are not. One thing is certain; contractors will be thick, per ring, it was designed to have the SFRC segments
considering steel fibres in the upcoming projects because clearly reinforced with 35 kg/m3 of high performance 80 aspect ratio,
they are seeing the benefits of fibre reinforced concrete. hooked end, steel wire fibres. These segments are being
produced in Sydney by Georgio Group from Malaga in Western
Steel fibre reinforced concrete (SFRC) segments Australia using a static mould system.
in Australia The City West Cable Tunnel, stretching from the south to the
north of the Sydney CBD, is to be constructed by Thiess
Over the last 12 years or so in Australia the use of precast Contractors. This tunnel is 1.4 km in length, 3.2 m inner
concrete segments in tunnel linings has not been as common as diameter and the segmental lining was designed by SMEC to
the use of shotcrete or cast in situ concrete. This is most probably have six 200 mm thick segments per ring. The precast segments
due to the bulk of Australia’s tunnels over this period being are being produced by Structural Concrete Industries Australia
constructed in Sydney sandstone. Pty Ltd, Teralba, New South Wales and are reinforced with
However, in the mid-1990s one of the largest tunnels to SFRC at 35 kg/m3 of high performance 80 aspect ratio steel wire
incorporate a segmental design was the new Southern Rail Link fibres.
Tunnel to Sydney Airport. Prior to this Melbourne’s old Northern
Sewer had a PCC segment design and following on from this so SEGMENT DESIGN
did the S1 Sewer tunnel in Brisbane. The segments for all of Segmental tunnel linings are unique structures to design because
these projects were traditionally reinforced with steel cages, of the many different loads they must resist. The segments are
mainly due to a lack of knowledge and experience in the high exposed to bending within a few hours of casting when they are
performance SFRC market by designers and contractors alike. removed from the production moulds and stacked in curing
This is not the case today; with more and more tunnelling chambers. Within 24 hours after curing, the segments are stacked
activity over the last 12 years has come an increase in knowledge in matched rings on top of each other for storage. Double ring
and experience in the use and application of SFRC and SFRS stacks can include as many as 14 individual segments weighing
(shotcrete), resulting in their use in various types of tunnels, more than 25 000 kg (Figure 3). The segments are then
including road, rail, communications and water or electrical transported to the job site, lowered into the tunnel and placed
reticulation. There have also been advances around the world in into position with the TBM. Once in place the TBM pushes off
the availability and performance of TBM equipment that has the segments to advance the tunnel, creating very high localised
made it more commercially viable and available for engineers to spalling and splitting forces. The final step is to inject grout into
consider when looking at the construction options. In the last the annular space around the segments to ensure full contact with
18 months there has consequently been a significant increase in the surrounding earth. The segments are then left to hold open
the number of tunnel designs coming to fruition utilising a the hole that was bored into the ground, which imposes high
precast concrete segmental design with the available benefits, compressive stresses and moderate bending stresses in the lining.
outlined earlier, effectively bringing the option of using SFRC The loads applied to the segment in each step must be
into consideration by contractors, owners and designers alike. considered in design. It can be argued that the segment design
The first tunnel in Australia to adopt a SFRC segment is the must meet the demands of four distinct customers, each with
Gold Coast desalination plant at Tugun. Owned by the Gold their own set of expectations. The precast manufacturer wants to
Coast City Council and the Queensland Government, the produce segments as quickly and efficiently as possible,
desalination plant is being built by the GCD Alliance, made up requiring high early flexural strength. The tunnelling contractor
of Veolia Water Australia, John Holland, Sinclair Knight Merz wants to install segments that are robust and will not spall during
and Cardno. handling, installing and tunnel advance, requiring high splitting
tensile strength. The engineer wants segments that will carry the
The design is for twin water tunnels with a 2.2 km intake and ground, hydrostatic and potential seismic loads, requiring long-
2 km outlet. Each tunnel will be 3.4 m in diameter, incorporating term compressive and flexural properties. And the owner wants
six segment rings 200 mm thick. The production of the 21 000 segments that will last a long time and require little maintenance.
segments was carried out by Precast Concrete in Brisbane. Steel fibre reinforced concrete can be designed to meet these
These segments were designed to be reinforced with 35 kg/m3 demands.
of hooked end, drawn wire fibres with an aspect ratio of 80. One Generally stress calculation methodology follows the
of the main drivers for using SFRC in these segments was the principles for unreinforced concrete with slight adjustments to
requirement for long-term durability with a well distributed steel material factors to account for the fibres. However, the
wire fibre creating increased load carrying capacity with performance of the composite steel fibre concrete is what most
significantly enhanced durability in chloride environments. designers do not understand. Steel fibres provide ductility to
SFRC was considered to effectively eliminate spalling of the concrete. The amount or quantity of this ductility relates directly
concrete surface, even though fibres located in a thin surface to a particular fibre type, the dosage rate of the fibre and the
zone can be actively corroding. concrete flexural strength. Therefore, the designer should

DEVELOPMENTS IN THE USE OF STEEL FIBRE REINFORCED CONCRETE (SFRC) IN PRECAST SEGMENTS FOR TUNNEL LININGS
FIG 4 - Beam testing on the Big Walnut Outfall Augmentation

Sewer (BWOAS) project.
CONCLUSIONS
It is clear that the use of SFRC in tunnel segments in the right
geologic conditions offers many technical and commercial
advantages over conventional reinforcement cages. Crack control
and the lack of spalling due to corrosion are key to the long-term
durability of tunnel segments, properties that steel fibre concrete
has demonstrated in projects for over 25 years. Steel fibres in
precast elements have been shown to be robust, highly ductile
products that withstand the rigours of production, transportation
and placement. This provides owners with long-term durable
FIG 3 - Double stack of segments on the Big Walnut Outfall structures for which they have paid. Since design lives are in the
Augmentation Sewer (BWOAS) project. 75 to 120 year time horizon repairs are a concern. Who can know
how long a repaired segment will last?
determine the required stress level needed to resist factored The reinforcement of segmental linings with steel fibres is a
design loads and specify the performance required for the technology that has been successfully transferred from its
composite steel fibre concrete. This is done by specifying an European roots to markets all over the world. This represents a
equivalent flexural strength (EFS) value, in MPa. quantum leap in the prevailing attitude of tunnel designers
During mix design development the precast manufacturer around the world, claiming that steel fibre reinforced tunnel
decides on the concrete mix proportions to meet compressive and liners can not be used because there is no design code. But
flexural strength requirements. Once these parameters are design codes follow innovation rather than lead. In the near
confirmed, the type and quantity of steel fibres is chosen to future undoubtedly there will be building codes around the world
provide the specified EFS value. Confirmation of the EFS value that will incorporate the various benefits of steel fibre concrete.
is achieved by conducting bending tests (Figure 4) on beams in Until then the use of steel fibre segmental linings will be left to
accordance with standard test methods. The designer should pay the innovative individuals who see the value added by using steel
close attention to the test reports attesting to the performance of fibres and are willing to accept some risk for operating outside
the mix design. This is the means of controlling the performance the strict boundaries of codes. But how much risk is there in
of the segment reinforcement. using a solution that has been proven to work for over 25 years?
Paramount to a sound design process is specification of a The future for SFRC precast panels for tunnel linings
quality control regime. The designer needs to determine the level clearly shows without doubt that the benefits in production,
of quality to be required of the fibre material and the quantity of transportation, construction and durability will fuel the demand
tests conducted throughout the project to ensure it is achieved for this type of innovation, resulting in more efficiently
and maintained. This is done to ensure the same performance is constructed TBM driven tunnels all over the world.
provided throughout the project as was achieved in mix design
development. The tests recommended are material tests such as
ASTM A820 or EN 14489-1 to ensure fibre dimensional and REFERENCES
tensile properties are maintained and beam tests such as ASTM Adamson-Scott, P, 1952. A 75 inch diameter water main in Tunnel: A
C1609, EN14651 or JSCE SF-4 to ensure specified EFS values new method of tunnelling in London clay (Don-Seg Segments),
are maintained. Also, since tunnel projects often run for several Proceedings of The Institution of Civil Engineers, paper no 584,
years, consideration should be given to specifying a minimum 1 (May), 4 (March and July).
operational history of the steel fibre manufacturing source, which Chudleigh, I, 2007. Tubelines Ltd, personal communication, London.
is an indication of their ability to supply quality material over a Craig, R N and Muir Wood, A M, 1978. A review of tunnel lining
long period of time. practice in the United Kingdom, TRL supplementary report SR335.

Cuthbert, E W and Wood, F, 1962. The Thames-Lee tunnel water main, Lance, G, A, 1981. Precast concrete tunnel linings – A review of current
Proceedings of The Institution of Civil Engineers, paper no 6578, 21. procedures, technical note 104, vol 78 (CIRIA).
Davis, H, R, 1999. Design and construction of the Jubilee Line extension Muir-Wood, A M and Gibbs, F R, 1971. Design and construction of the
tunnels, Proceedings of the Institution of Civil Engineers: Jubilee Cargo Tunnel at Heathrow Airport, Proceedings of The Institution of
Line Extension, paper no 11901, 132:26-32. Civil Engineer, 48(January).
Eckert, L, 2007. Consultant, Lachel Felice and Associates Inc and Sabine, G and Skelton, E, 1985. Extensions of the Piccadilly Line to
Tatnall, personal communication, October. Terminal 4 Heathrow, Proceedings of The Institutions of Civil
Eves, R E and Curtis, D J, 1985. Tunnel lining and design and Engineers, Part 1278, paper no 8945, 78(1):1261.
procurement, Proceedings of The Institution of Civil Engineers, Part Széchy, K, 1973. The Art of Tunnelling (Akadémiai Kiadó: Budapest).
1, 1985, Channel Tunnel Part 1: Tunnels 1992, paper no 100456, Tattersall, F, Wakeling, W H and Ward, W H, 1955. Investigation into the
pp 127-143. design of pressure tunnels in London clay, Proceedings of The
Follenfant, H G, et al, 1969. The Victoria Line, Proceedings of The Institution of Civil Engineers, paper no 6027, 4 (March and July).
Institution of Civil Engineers, paper no 7270 S, supplementary Terris, A K and Morgan, H D, 1961. New tunnels near Potters Bar in the
volume and 1970 supplement (xiii). eastern region of British railways, Proceedings of The Institution of
Groves, G L, 1942 - 1943. Tunnel linings with special reference to a new Civil Engineers, 18 (April), pp 289-304, Discussion 1962, 21 (April),
form of reinforced concrete lining, Journal of The Institution of Civil pp 852-866.
Engineers, paper no 5304, no 5. Woods, E, 2006. Focusing on fibres: CTRL experience, Tunnels and
Howson, H F, 1967. London’s Underground, 4:24 (Ian Allan Ltd). Tunnelling International, pp 29-32.
ICE, 1996. Sprayed Concrete Linings (NATM) for Tunnels in Soft Ground
(Thomas Telford: London).
Jobling, D G and Lyons, A C, 1976. Extension of the Piccadilly Line
from Hounslow West to Heathrow Central, Proceedings of The
Institute of Civil Engineers, Vol 60, Part 1, May, Discussion, Vol 60,
Part 1, November.

Static Testing of Shotcrete
E C Morton1, A G Thompson2, E Villaescusa3 and D Howard4
ABSTRACT comprise of several mechanisms that are generally not well

understood. Stacey (2001) went some way to explaining some
The Western Australian School of Mines (WASM) has developed a facility
for the static testing of full-scale ground support elements (Morton et al, individual mechanisms. He suggested that shotcrete provides
2007). The test facility consists of several stiff steel frames used to support support to the rock mass through the promotion of block
the sample and a screw feed jack is used to load the sample. interlock, the reduction of rock mass degradation by sealing
A large-scale punch test method has been developed to load various dilated joints and the creation of an arching effect which
shotcrete configurations. The shotcrete is sprayed on to a rock substrate transfers loads back to bolts installed through the layer into the
containing a centrally located circular disc. The rock and shotcrete rock mass. These mechanisms generally rely on good adhesion
sample is placed on to the sample frame and restrained on all sides. The between the shotcrete and the rock mass. It is necessary for the
circular disc is displaced at a constant rate by the screw feed jack which shotcrete to have high shear strength to provide effective areal
in turn loads the sample. Instrumentation measures the displacement and support between the bolts installed around an excavation. It is
the load being applied to the sample through the loading disc. worth noting that the performance of shotcrete, particularly post
The testing method is described in detail and the results from the cracking, can be improved by the addition of internal fibre
testing program are presented. The results show that it is possible through reinforcement.
laboratory testing to simulate some of the mechanisms of shotcrete
support reactions better than conventional beam and panel tests. Studies by Holmgren (1976) and Fernandez-Delgado, Mahar
and Parker (1976) showed that adhesion loss and flexural
strength were the primary modes of shotcrete failure. A further
INTRODUCTION review conducted by Barrett and McCreath (1995) identified that
The principle of sprayed concrete was developed in the early shotcrete capacity in blocky ground, under static conditions, is
1900s for civil engineering construction applications. It was governed by four mechanisms: namely, adhesion loss, direct
adapted to tunnelling applications in the mid 1950s and to shear, flexure or punching shear. These mechanisms are shown in
mining applications in the early 1960s. Figure 1. The authors propose slightly different descriptions for
There have been significant technological advances associated direct shear and punching shear. The direct shear mechanism
with shotcrete materials and their placement over the last 20 shown in Figure 1 is commonly referred to, within the mining
years. These advances include improved mix design (eg the use industry, as punching shear. This mechanism occurs when an
of silica fume to improve cohesiveness), chemical admixtures (eg area pushes through the layer causing direct shear failure at the
the development of alkali free accelerators), the development of edges of the plate. The punching shear mechanism shown in
steel and plastic fibres for internal reinforcement and advances in Figure 1 is considered to be a function of the flexure and shear
the equipment used for placement. mechanisms and thus will be referred to as flexural shear failure.
The author’s alternative descriptions are shown in Figure 1 in
Shotcrete usage in mining applications has increased brackets below the original descriptions.
significantly in recent years. Shotcrete provides a strong,
continuous areal support for an excavation and therefore has the
potential to improve production rates and lower ground support
costs compared with the placement of mesh. It is possible with
shotcrete to have rock bolt patterns with wider spacings than
those that are governed by the requirement to restrain mesh. It
has been estimated that up to 40 per cent more bolts are installed
to restrain mesh than experience has shown are required to Adhesion Loss Flexural Failure
adequately reinforce the rock mass.
The Western Australian School of Mines has recently
undertaken a shotcrete test program at its recently developed
Static Test Facility (Morton et al, 2007). The aim of the program
was to develop a more realistic test method to enable the testing
of the actual product sprayed at the actual thicknesses specified
by site engineers. The results will enable the evaluation and
comparison of shotcrete layers with different thicknesses and Direct Shear Failure Punching Shear Failure
mix designs at various curing times. (Punching Shear) (Flexural Shear)
SHOTCRETE SUPPORT MECHANISMS FIG 1 - Shotcrete failure mechanisms (Barrett and McCreath, 1995).
The interactions between a deforming rock mass and shotcrete

support are very complex. The failure of a shotcrete layer usually Compressive failure, direct tensile failure and buckling are
also mechanisms of shotcrete failure but will not be discussed in
this paper.
1. Masters Student, CRC Mining/Western Australian School of Mines,
Locked Bag 22, Kalgoorlie WA 6433. Shotcrete failure mechanisms are complex and are often not
Email: E.Morton@curtin.edu.au discrete. Often failure is associated with more than one
mechanism.
2. MAusIMM, CRC Mining/Western Australian School of Mines,
Locked Bag 22, Kalgoorlie WA 6433. Adhesion loss may be associated with shrinkage (not
discussed) and may also be associated with flexural failure.
3. CRC Mining/Western Australian School of Mines, Locked Bag 22, Punching shear (author’s definitions) generally only occurs at
Kalgoorlie WA 6433.
early ages of curing when the shotcrete material strengths are
4. Shotcrete Manager, Barminco Shotcrete Division. low (Bernard, 2007).

E C MORTON et al
SHOTCRETE USE IN THE MINING INDUSTRY

Shotcrete support in mining is applied to a variety of ground
conditions ranging from good rock masses, where minor scat
control is required, to highly stressed environments where the
shotcrete must attempt to improve the inherent rock mass
strength by providing confinement at the boundary of the
excavation. Each of these applications requires a different level
of surface support. Where shotcrete is being used only as a scat
control, 25 mm of shotcrete applied from shoulder to shoulder
may be specified. In high stress environments, full arches of
shotcrete up to 150 mm thick with mesh reinforcement may be
specified. Should the shotcrete confinement be insufficient to
prevent failure, then high deformability and toughness are
required to retain the rock mass after failure occurs.
Shotcrete is often used in good ground conditions to improve
development rates. In order to achieve faster development rates,
re-entry to headings is often required within a few hours of the
shotcrete being sprayed. In some cases mines are specifying
re-entry to headings one hour after spraying. This requires FIG 2 - Static test facility.
specific mix designs which have high early strength and these are
often only possible with high accelerator dosages.
Concrete was initially considered as the substrate because it is
inexpensive, easily sourced and the isolated disc could easily be
STANDARD TESTING IN THE MINING INDUSTRY formed during casting. After further investigations it was decided
Accepted standard protocols for shotcrete testing have been that concrete would potentially affect the curing of the sprayed
developed primarily in Europe and the United States and adopted product and thus bias the results.
throughout the rest of the world. The most common standard test Sandstone was selected as the most appropriate substrate due
methods are UCS cylinders, the EFNARC test (beams and to its ready availability in slab form of various uniform
panels) and the round determinate panel (RDP) test. thicknesses (20 - 70 mm) with the dimensions 1.5 m × 1.5 m.
The UCS test method is a quality control test that does not aid The natural rough surface texture would ensure adhesion of the
the understanding of shotcrete performance in mining shotcrete to the substrate. To prepare the substrate, the centre of
applications. The cylinders are usually poured from the hopper each slab is marked and then a 500 mm diameter disc is formed
and do not contain the accelerator that is added at the nozzle by drilling through the slab with a large diameter coring bit. The
during spraying. disc is left in place and is free moving to enable the load to be
The EFNARC beam test and the RDP test methods only test transferred from the steel plate to the sample. Figure 3 shows the
materials at 75 - 100 mm thickness. These tests are difficult to substrate after the completion of drilling.
conduct on the actual sprayed product and, furthermore, the
mechanisms of loading and failure for these tests do not
represent realistic loading conditions and responses for mining
applications.
TEST FACILITY
In 2005, the Western Australian School of Mines designed, built
and commissioned a large-scale static testing facility (Morton et
al, 2007) to complement the WASM Dynamic Test Facility
(Player, Villaescusa and Thompson, 2004). This new static
testing facility, shown in Figure 2, comprises two steel frames; a
load bearing, upper steel frame used to provide a loading
reaction for the screw feed jack and a lower frame used to
support the sample. The screw feed jack is driven at a constant
displacement rate of 4 mm per minute. Load is applied to the
sample through a spherical seat to a 300 mm square, 35 mm
thick hardened steel plate. The use of a displacement controlled FIG 3 - Sandstone substrate prepared for spraying.
loading enables the post peak force and displacement responses
to be measured. This is not generally the case when force is A transport plate is attached to the 50 mm thick substrate and
provided by a hydraulic cylinder.
the assembly is then taken to site for spraying of the shotcrete
layer. The substrate is rotated to the steepest possible angle
TEST PROCESS (given site restrictions and safety considerations) to prevent
rebound build-up and to provide more realistic spraying
Sample preparation conditions.
The Western Australian School of Mines has developed a large- The substrates are sprayed with water and then sprayed with
scale punch test method to investigate the combined reaction of the shotcrete. The aim of the spraying is to place a product that
adhesion and flexural strength. The method involves spraying a represents what is being created underground. The standard
shotcrete layer over a thin substrate prepared with a centrally accelerator dosage for the site is applied. The spraying area of
located disc that is cut and isolated from the surrounding 1.5 m × 1.5 m cannot be sprayed without moving the nozzle and
substrate. After a specified time curing, the shotcrete sample is as such a realistic sprayed result can be achieved. Due to the
placed on the test frame and load is applied to the sample by nature of the spraying process some unevenness in the thickness
causing displacement of the disc. occurs. Typically most mine sites specify a tolerance of ±25 mm.

STATIC TESTING OF SHOTCRETE
This tolerance has been adopted for the test method. Where TESTING RESULTS
significant variations in thickness occur, the sample edges are
levelled over a distance of 150 mm from the edge as shown in A total of ten tests were conducted using the test method described
Figure 4. This action is taken to ensure the sample can be evenly above. Four of these tests were commissioning tests and though
supported on the boundaries. The central portion of the sample they provided interesting observations, did not provide relevant
(1.25 m × 1.25 m) is not disturbed so as not to cause changes in results. A summary of the results from six valid tests on samples
the compaction of the sprayed shotcrete surface. from two separate sites is provided in Table 1. All six tests were
conducted on fibre reinforced shotcrete that used six kilograms of
plastic fibres per cubic metre. The mix designs for the sites were
similar; however, slightly different materials were used at the two
sites. All tests from Site 1 occurred after seven days of curing.
Different curing times were used at Site 2; the curing times were
in line with site requirements.
TABLE 1
Test statistics.
Site Test Average Age First peak First peak

number thickness load displacement
(mm) (kN) (mm)
1 004 60 7 days 16.12 4
1 005 60 7 days 21.92 4
1 007 80 7 days 40.89 4
2 008 35 4 hours 13.20 8
2 009 35 5 days 6.52 4
2 010 60 7 days 25.11 5
FIG 4 - Shotcrete sample after levelling of the boundary edges.
First peak load is defined by ASTM C1609 06 as the load at

Once the samples have been sprayed they are placed in a sea
the first point on the load deflection curve where the slope is
container specifically modified to enable a temperature and
zero. First peak load generally occurred after approximately
humidity-controlled environment for the curing. The samples are
specifically not water cured as this may increase the hydration of 2 - 3 mm of central displacement.
the cement and result in a strength increase that would not Peak load is the maximum load on the load deflection curve.
normally be associated with mining applications. Peak load was not always consistent with the first crack load and
The time period between spraying and storage varied between is potentially influenced by other factors discussed later in this
two and 12 hours as a result of transporting samples from site paper.
back to the laboratory. This is likely to have an effect on the Modulus of rupture is usually calculated for beam tests but
sprayed product but cannot be avoided. Samples are wrapped in cannot be applied to the tests described herein that involve both
plastic to avoid excessive moisture loss. adhesion and bending.
The temperature and humidity within the sea container are set The force-displacement responses for Sites 1 and 2 are shown in
to reflect conditions at the site where the sample was sprayed. Figure 5 and Figure 6, respectively. Test 005 (Site 1) and Test 010
This information is obtained from the site ventilation officer. (Site 2) have been used to compare the mix designs between the
Various curing times were applied and are specified in the two sites (Figure 7). The mix designs for both sites were very
results. Future tests will be conducted within hour(s) of spraying similar and the results show the same consistencies. Both these
to assess early strength performance. tests were conducted at seven days on 60 mm thick linings.
Test procedure Observations

Immediately prior to testing the sample is removed from the A number of critical observations were made during the testing.
curing chamber and the central axes are marked up. The sample The first peak corresponds to the breaking of the matrix of the
is turned over so that the substrate is in the top position. The shotcrete as indicated by audible cracking sounds. Visible cracks
sample is placed centrally on the test frame so that the cored disc are not discernable on the face of the sample at the time of first
is aligned with the loading jack. The steel loading plate is placed peak load.
on the substrate loading disc and the jack is lowered to connect
The failure mode for all tests was a combination of flexural
with the loading plate. Four linear voltage displacement
failure and adhesion loss. In most cases adhesion loss occurred
transducers (LVDTs) are attached to the substrate to enable the
some time after initial cracking.
measurement of the deformation of the sandstone slab. The
central displacement is measured using a laser transducer. The The LVDT results provided information regarding the
loading displacement rate is set to approximately 4 mm per deformation of the substrate. In all tests significant deflection (up
minute. The actual rate is measured and recorded by the data to 35 mm) occurred in the sandstone substrate. Generally the
acquisition system. The resistance force is measured using a load sandstone substrate began to crack after 4 - 6 mm of deflection of
cell mounted on the shaft behind the loading point. A video the substrate at the position of the LVTDs. This amount of
recorder is used under the test frame to record the sample deflection usually occurs between 10 mm and 15 mm of central
behaviour. Testing is stopped once the sample has developed displacement, which is beyond the first crack displacement and
cracks approximately 20 mm wide. After completion of the test, thus only influences the post peak results of the sample. Post
the crack pattern is drawn and the thickness of the shotcrete is peak analysis including energy calculations have not been
recorded at the position of the cracks. undertaken due to this influence.

E C MORTON et al
7days 60mm 7 days 60mm 7days 80mm Site 1 - 7 days 60mm Site 2 - 7 days 60mm
70 30
60
25
50
20
Force (kN)
40
Force (kN)
15
30
20 10
10
5
0
0 20 40 60 80
Displacement at Load Point (mm)
0
0 20 40 60
FIG 5 - Site 1 force-displacement responses.
FIG 7 - Comparison of force-displacement responses at the

two sites.
4 hrs 35mm 5 days 35mm 7 days 60mm
30 Load Displacement Curve LVDT 1 LVDT 3 LVDT 4
14 14
25
12 12
20
LVDT Displacement change (mm)

Force (kN)
10 10
15
8 8
Force (kN)
10
6 6
5
4 4
0
2 2
0 20 40 60
0 0
0 10 20 30 40
FIG 6 - Site 2 force-displacement responses.
Information on the adhesion state of the sample can also be FIG 8 - Linear voltage displacement transducer (LVDT) results
gained from the LVDT results. Figure 8 is an example of the showing deformation of the substrate.
comparison of the force-displacement response of the sample
and the deflection of the LVDTs. The results clearly show
significant deformation of the substrate during testing. At
approximately 25 mm of central displacement the LVDTs stop
displacing. This indicates that some adhesion loss has occurred
and the shotcrete layer is reacting independently of the substrate.
The reduction of the force capacity of the shotcrete indicates that
it has failed.
Crack patterns were mapped at the completion of the tests.
True yield line crack patterns were not evident in the tests. A
typical crack pattern generated by this test method is shown in
Figure 9. Comparison of the test crack patterns with actual
underground crack patterns (eg Figure 10) show that the patterns
are more realistic than traditional yield line patterns. FIG 9 - Crack patterns from testing.

STATIC TESTING OF SHOTCRETE
ACKNOWLEDGEMENTS
The direct assistance of Barminco site personnel and the
financial support and encouragement provided by the Australian
mining industry for research at the Western Australian School of
Mines are gratefully acknowledged.
REFERENCES
ASTM C 1609, 2006. ASTM C 1609/C 1609M – 06. Standard test
method for flexural performance of fibre reinforced concrete (using
beam with third point loading).
Barrett, S and McCreath, D, 1995. Shotcrete support design in blocky
ground: Towards a deterministic approach, Tunnelling and
Underground Space Technology, 10(1):79-89.
Bernard, E S, 2007. Early-age load resistance of fibre reinforced shotcrete
linings, Tunnelling and Underground Space Technology, in print.
EFNARC, 1996. European specification for sprayed concrete.
Fernandez-Delgado, G, Mahar, J and Parker, H, 1976. Structural
behaviour of thin shotcrete liners obtained from large scale tests, in
Shotcrete for Ground Support – Proceedings Engineering Foundation
Conference, October, pp 399-442 (ACI).
FIG 10 - Typical crack patterns observed underground. Holmgren, J, 1976. Thin shotcrete layers subject to punch loads, in
Shotcrete for Ground Support – Proceedings Engineering Foundation
Conference, October, pp 443-459 (ACI).
Holmgren, J, 1998. Shotcrete linings in hard rock, Australian Shotcrete
CONCLUDING REMARKS Conference, session 6 (ed: S Bernard).
The WASM large-scale punch test method is in the early stages Morton, E, Thompson, A, Villaescusa, E and Roth, A, 2007. Testing and
analysis of steel wire mesh for mining applications of rock surface
of development but shows some promising results. Force-
support, in Proceedings 11th Congress of the International Society
displacement responses from different sites can be used to gain for Rock Mechanics (eds: Ribeiro e Sousa, Olalla and Grossman),
comparisons of performance. The LVDT measurements provide July, vol 2, pp 1061-1064.
some indication of the effects of progressive adhesion loss that Player, J R, Thompson, A G and Villaescusa, E, 2004. Dynamic testing of
occurs during testing and the influence on the post peak rock reinforcement using the momentum transfer concept, in Ground
force-displacement response. Support in Mining and Underground Construction, pp 327-340
Crack patterns do not follow traditional yield line patterns but (Balkema: Leiden).
do represent crack patterns similar to those commonly observed Stacey, T, 2001. Review of membrane support mechanisms, loading
in shotcrete linings placed underground. mechanisms, desired membrane performance, and appropriate test
methods, J S Afr Inst Min Metall, October, pp 343-351.
The flexure and resulting cracking of the sandstone substrate
complicates the post peak behaviour and needs to be considered
in the data analysis to improve the test method.

Effect of the Patternised Pin Drain on Reduction of Pore
Pressure Behind Waterproof Shotcrete Linings for Tunnelling
H-S Shin1, D-J Youn2, Y-S Jung3, G-J Bae4 and J-H Shin5
ABSTRACT MODEL GEOMETRY

This research is to grope for a method to reduce high pore pressure taking As shown in Figure 1, a tunnel model with 10 m diameter was
place on tunnel shotcrete lining, especially in underwater tunnels, involved in modelling of ground and tunnel for this study, and
effectively by utilising a new concept of patternised pin drain. the rock bed, of which the difference in coefficient of
Accordingly, the patternised pin drain system is investigated numerically permeability, k, from lining is big, was considered as the target
in order to confirm to the effect of reduction of pore pressure by the pin of analysis. That is, it was assumed that the upper part consists of
drain and its effective application. Installation of pin drain shows 5 m strata of alluvium and reclamation of silt, with 45 m
considerable reduction in the figure of pore pressure. It is found through
thickness of soft rock located in the lower part. Shotcrete with
2D numerical modelling that the change of pore pressure, according to
the shape and the location of pin drain, is sensitive by the sequences of
30 cm thickness is constructed as the main supporting material.
the change of location > the change of length > the change of angle Additionally, the waterproof membrane to be attached to the
degree. In the results of investigation in 3D modelling, the pore pressure tunnel lining is planned to form with thickness of 3 mm on the
is the largest in the centre of the interval among pin drains, and it is surface of shotcrete lining in the way that the coefficient of
possible to obtain an ideal degree of longitudinal angle and an interval by permeability of the membrane approaches nearly zero. Only the
investigating pore pressure taking place on the lining. right side of section was considered since the tunnel is supposed
to be circular and symmetrical. Shotcrete lining and waterproof
membrane were not applied in the portion of 30° from the centre
INTRODUCTION of the tunnel invert (refer Figure 2). Modelling was undertaken
Recently, construction of tunnels is not limited to mountains, but using MIDAS-GTS version 200, which is a commercial finite
it is distributed over various locations such as downtowns, elements analysis program.
underwater, etc (Lee, Park and Reddi, 2002). Accordingly, the
problems involved with excessive underground water or high 5m
water pressure take place frequently in construction and
operation of tunnels. The ways of dealing with underground Alluvial and Reclamation Layer (k=2.6 ×10 -6 m/s)
water in tunnels are divided largely by adopting either a drainage 20 m
system or not. In case of a drained tunnel, high pore pressure
behind tunnel lining, sometime, takes place by high level of
water table or deterioration of drainage system. It could damage Rock(k=1×10 -7 m/s)
the lining or bring water leakage out for a long time (Lee et al,
1999; Shin, Addenbrooke and Potts, 2002). Non-drainage tunnel
is similar to the drainage one so that it is concerned about the 25 m -
damage of the lining caused by high pore pressure taking place Shotcrete (k =1×10 8 m/s)
for a long time. Therefore, attempt is made to find an optimum
way of applying pin drain to lining by patternising it as a regular
interval for the efficient mitigation of pore pressure and effective 80 m
conservation of drainage system. The best fitted scale and type of
a patternised pin drain system are given by carrying out 2D and FIG 1 - Description of ground composition.
3D finite element analyses, and high possibility of application of
a patternised pin drain system are examined.
1. Senior Researcher, Underground Structure Research Division, Korea

Institute of Construction Technology, 2311 Daewha-Dong,
Water Proof Membrane
ilsanseo-Gu, Goyang-Si, Gyeonggi-Do 411-712, Republic of Korea. (k =1×10 -15 m/s) Pin drain (D = 10 cm)
Email: hyushin@kict.re.kr 10 m
2. Research Student, Underground Structure Research Division, Korea
ilsanseo-Gu, Goyang-Si, Gyeonggi-Do 411-712, Republic of Korea. -
Email: okebary@kict.re.kr 30° Shotcrete (k=1× 10 8 m/s)
3. Research Student, Underground Structure Research Division, Korea
ilsanseo-Gu, Goyang-Si, Gyeonggi-Do 411-712, Republic of Korea. FIG 2 - Description of model geometry.
Email: ilovholi@kict.re.kr
4. Research Fellow, Underground Structure Research Division, Korea
BOUNDARY CONDITION
ilsanseo-Gu, Goyang-Si, Gyeonggi-Do 411-712, Republic of Korea. First of all, shotcrete will be installed up to 30° of the lower part
Email: gjbae@kict.re.kr of the tunnel with the presence of pin drains. At the next stage,
5. Assistant Professor, Geosystem Lab, Konkuk University, waterproof membrane is attached. Free surface is formed and
Whayang-Dong, Kwangjin-Gu, Seoul-Si 143-701, Republic of located outside of the surface of each step (shotcrete at the front
Korea. Email: jhshin@konkuk.ac.kr stage and waterproof membrane at the next stage). Regardless of

H-S SHIN et al
analysis stages, the total head was specified as 50 m, which is the TABLE 1
same height as the height of the ground, on the lower part of the
Model cases in length of pin drain.
ground and on the right surface. A free surface was specified at
the pin drains (Figure 3). Dimension 2D
Variable factor Length(L)
2m 3m 4m
Model code 2DL1 2DL2 2DL3
FIG 3 - Hydraulic boundary condition (left: at ground,

right: at pin drain).
L
MODEL CASES AND RESULTS
Criteria
Prior to the analysis with pin drain, a preliminary analysis is
carried out without any pin drain in order to set up a level of
pressure, which can be suggested as a criterion for safety
300
evaluation (Figure 4). Based on the analysis result, 52.65 kPa, 2D00(without Pin drain and with waterproof)
0°
which is the maximum pressure occurring in the case that 2D01(without Pin drain and waterproof)
waterproof lining does not exist (2D01 model), is set as a 250 2DL1-length of Pin drain = 2 m
2DL2-length of Pin drain = 3 m
pressure criterion. Pin drain system is to drill a hole on tunnel 2DL1-length of Pin drain = 4 m 150°
Pore Pressure (kPa)
wall and then bring groundwater out for releasing a pore pressure
200
behind tunnel lining. The details of the system considered are as
shown in Table 1.
150
250
2D00(without Pin drain and with waterproof) 0°
2D01(without Pin drain and waterproof)
100
200
150°
50
Pore Pressure (kPa)
150
0
0 20 40 60 80 100 120 140
100 Location (degree)
FIG 5 - Pore pressure distribution depending on length of pin drain.

50
Transverse angle of pin drain

0 Pin drains were changed by 10° from horizontal as given in
0 20 40 60 80 100 120 140 Table 2. The change of pore pressure through the angle change in
Location (degree) the transverse direction of the pin is negligible in each model and
its magnitude is minimal as shown in Figure 6. Accordingly,
FIG 4 - Pore pressure distribution from the case of non-existence since angle changes of pin drain in tunnel transverse direction do
of pin drain. not influence the magnitude of pore pressure, it is found possible
to construct the pin drains by installing them arbitrarily
Length of pin drain according to the site conditions.
The length of the pin drain was measured from the external side
of the shotcrete lining. The length of the pin drain was taken as Direction of pin drain
4 m, which is the maximum boring length of a jumbo drill used Analysis was carried out with 4 m length and an angle of 0° in
in installing pin drains at site (refer Table 1). It was found that transverse direction as shown in Table 3. As shown in Figure 7,
the pore pressure influencing shotcrete lining was decreasing location of pin drain is the most sensitive variable. It shows an
when pin drain was installed. The result of comparison with the aspect that the distance between a pin drain and tunnel crown,
pressure criterion shows that the pressure reducing effect is not and reduction of maximum pore pressure are proportional to
achievable through the adjustment of length, and the effect of each other. The result of reviewing maximum pore pressure of
adjusting the length of pin drain influencing pore pressure is each model shows that the 2DD5 model, which is the pin drain
comparatively low (refer Figure 5). Subsequent modelling was located in the horizontal direction, exhibits the most ideal results.
carried out with 4 m maximum length of pin drains based on the However, a section with pore pressure exceeding the test criteria
pore pressure reduction effect on the length of pin drain and extra also exists in 2DD5. An additional analysis was carried out with
digging according to the circumstances of the site. a conclusion that the number of pin drains should be increased.

EFFECT OF THE PATTERNISED PIN DRAIN ON REDUCTION OF PORE PRESSURE BEHIND WATERPROOF SHOTCRETE LININGS
TABLE 2 300
2D00(without Pin drain and with waterproof)
0°
Model cases in transverse angle of pin drain. 2D01(without Pin drain and waterproof)
o
250 2DD1-direction of Pin drain = 0

o
Dimension 2D 2DD2-direction of Pin drain = 20

o
2DD3-direction of Pin drain = 40 150°
Pore Pressure (kPa)

Variable factor Transverse angle(A) 2DD4-direction of Pin drain = 65
o
200 o
0° 10° 20° 30° 2DD5-direction of Pin drain = 90
Model code 2DA1 2DA2 2DA3 2DA4 150
100
50
A 0
0 20 40 60 80 100 120 140
Location (degree)
FIG 7 - Pore pressure distribution in variation of direction of

pin drain.
In all analyses, an additional row of pin drains, with the same

dimension, was installed where maximum pore pressure of each
model is located (Table 4). As shown in Figure 8, it is possible to
300 lower pore pressure additionally by increasing the number of pin
2D00(without Pin drain and with waterproof) 0° drains. It is found that 2DT3 with the lowest maximum pore
250
2D01(without Pin drain and waterproof)
o
pressure and the smallest deviation in pore pressure is an ideal
2DA1-angle of Pin drain = 0
o model. It is possible to make simple corrections of the location of
150° pin drains according to the circumstances of the site, since the
Pore pressure (kPa)
o
200 o
pore pressure distributions of 2DT2 and 2DT4 are not
significantly different from 2DT3 model. It is noted that the
150 downward inclining pin drains are not practical but adopted in
modelling as the effect of the gravity flow may not be significant
in finite element (FE) simulation.
100
50 TABLE 4
Model cases in direction of two pin drains.
0
Dimension 2D
0 20 40 60 80 100 120 140
Location (degree) Variable Direction (B, C)
factor
0°, 100° 20°, 105° 40°, 110° 65°, 120° 90°, 130°
FIG 6 - Pore pressure distribution depending on transverse angle
Model code 2DT1 2DT2 2DT3 2DT4 2DT5
of pin drain.
TABLE 3
Model cases in direction of pin drain.
Dimension 2D C
Variable factor Direction (B) B
0° 20° 40° 65° 90°
Model code 2DD1 2DD2 2DD3 2DD4 2DD5
Number of pin drain = 2
B Distance between pin drains in longitudinal

direction
Two-dimensional modelling enables the length and the number
of pin drains to be optimised (direction: 40°, 110° from the
Number of pin drain = 1 tunnel crown, length: 4 m, number: four pin drain holes). In
modelling, the longitudinal width of the FE model is the same as
the longitudinal width of the pin drains (Table 5 and Figure 9).
Considering efficiency of analyses, distribution of pore pressure
of pin drain on the upper part (location of 40° from the top edge)

H-S SHIN et al
100 120
2D01(without Pin drain and waterproof) 0° 3DB1-distance of Pin drain = 2 m
2DT1-direction of Pin drain = 0o,100o 3DB2-distance of Pin drain = 3 m
2DT2-direction of Pin drain = 20o,105o 3DB3-distance of Pin drain = 4 m
80 100
2DT3-direction of Pin drain = 40o,110 o 3DB4-distance of Pin drain = 5 m
o
2DT4-direction of Pin drain = 65 ,120
o 150°
3DB5-distance of Pin drain = 6 m
Pore Pressure (kPa)
Pore pressure (kPa)

2DT5-direction of Pin drain = 90o,130o
80
60
60
40
40
20
20
0
0 20 40 60 80 100 120 140 0
0 1 2 3 4 5 6
Location (degree)
Location (m)
FIG 8 - Pore pressure distribution in variation of direction of two 120
pin drains. 3DB1-distance of Pin drain = 2 m
100 3DB3-distance of Pin drain = 4 m
TABLE 5 3DB5-distance of Pin drain = 6 m
Pore pressure (kPa)

Model cases in width of pin drains in transverse direction. 80
Dimension 3D
60
Variable Width in the longitudinal direction (m)
factor
2m 3m 4m 5m 6m
40
Model code 3DB1 3DB2 3DB3 3DB4 3DB5
20
0
0 1 2 3 4 5 6
Location (m)
FIG 10 - Distribution of pore pressure on lining in variation of

Shape of pin drain distance between pin drains (upper: upper pin drain, lower: lower
(half section) pin drain).
120
0°
Width of modelling 100 3DB3-distance of Pin drain = 4 m
3DB5-distance of Pin drain = 6 m 150°
Pore Pressure (kPa)
80
60
52.6 5kPa
FIG 9 - Arrangement of pin drains for 3D modelling. 40
is obtained. The distribution of pore pressure in Figure 10 shows 20
that the pore pressure decreases through pin drains, and reaches
the maximum in pin drains. It also shows similar trend and pore 0
pressure with the pin drains installed on the lower part. 3DB4 0 20 40 60 80 100 120 140
Location (degree)
and 3DB5 models show the pore pressure on the lower part of the
lining is greater than the upper part by 10 ~ 20 per cent. It is
FIG 11 - Distribution of pore pressure on lining in variation of
found that the efficiency of the pin drains diminished with
longitudinal interval of pin drains.
widening the distance between each other more than 5 m. In the
next stage, a pore pressure on shotcrete lining is measured at the
middle of pin drains in the longitudinal direction, where pore
pressure is maximum. With regard to the distribution of pore Longitudinal angle of pin drain
pressure of each model, the effect of pore pressure reduction is With the direction, length, number and interval of the pin drain
significantly lower compared to existing 2D modelling. When optimised through the existing modelling (direction: from the
comparing 3DB2 model with a 3 m interval to the pressure crown, 40°, 110°, length: 4 m, number: 4, interval: 3 m), pin
criterion (52.65 kPa), a slightly smaller pore pressure is found, as drains are inclined to the direction of tunnel advancement with
shown in Figure 11. the angle from the normal of the lining (Figure 12 and Table 6).

EFFECT OF THE PATTERNISED PIN DRAIN ON REDUCTION OF PORE PRESSURE BEHIND WATERPROOF SHOTCRETE LININGS
60
Longitudinal angle 3DA!-angle of Pin drain = 40
o
o
o
50 3DA3-angle of Pin drain = 60
o
o
No inclination, angle = 0
Pore pressure (kPa)

Transparency 40
Magnified
model
Whole model 30
20
10
Width of modeling
0
0.0 0.5 1.0 1.5 2.0 2.5 3.0
FIG 12 - Schematic diagram of inclined pin drains.
Location (m)
60
o
3DA!-angle of Pin drain = 40
TABLE 6 3DA2-angle of Pin drain = 50
o
Model cases of pin drains in variation of longitudinal angle.

o
50 3DA3-angle of Pin drain = 60
o
o
Dimension 3D No inclination, angle = 0
Pore pressure (kPa) 40
Variable factor Longitudinal angle (d°)
40° 50° 60° 70°
30
Model Code 3DA1 3DA2 3DA3 3DA4
20
Distribution of pore pressure working between the pin drains
appears to have been slanted, instead of sustaining a horizontal
balance as indicated in Figure 13, as the pin drains become 10
steeper. By putting more inclines to the pin drains, such a result

is likely attributable to the fact that the facing surface between 0
soft rock and shotcrete, which is the actual part of measuring the 0.0 0.5 1.0 1.5 2.0 2.5 3.0
pore pressure, is getting closer to the pin drains set as a free Location (m)
surface. In a 1.3 ~ 3.0 m section, the shorter section than others, a
pore pressure is revealed to have been reduced by 20 to 50 per FIG 13 - Distribution of pore pressure in lining in variation of
cent compared to the pin drains aligned vertically. The maximum longitudinal angle of pin drains (upper: upper pin drain, lower:
value of the pore pressure of each model is commonly indicated lower pin drain).
at 1 m, and the reduction effect reaches at the peak with 3DA4,
which is set at a 70° angle. As the longitudinal angle of pin drains
120
increases, the pore pressure at 40° and 110° is significantly o
0°
reduced. The pore pressure at this section remains almost 3DA1-angle of Pin drain = 40
o
unchanged at 0° till 50°, but it begins to drop drastically after that 100
o
level. On the contrary, the pore pressure at the points distanced 3DA4-angle of Pin drain = 70
o
150°
Pore pressure (kPa)
from pin drains tends to increase as the longitudinal angle of pin 80 3DB2-angle of Pin drain = 0
drains is getting larger. When it comes to 3DA4 model, it climbs

up to 77.40 kPa, which is equivalent to 147 per cent of 52.65 kPa, 60
which is the test criterion. Such a result is attributable to 52.65 kPa
decreased volume ratio of soft rock in line with enlarging the
40
angle of pin drains, which causes the increase in the pressure on
lining. Given the target of not to exceed 52.65 kPa, it is
confirmed that the longitudinal angle of pin drains should be 20
maintained at right angles to the lining, without exceeding 30° at
the most (refer Figure 14). 0
0 20 40 60 80 100 120 140
Location (degree)
CONCLUSIONS
The study was intended to identify the type and pattern of pin FIG 14 - Distribution of pore pressure on lining depending on
drains that will effectively reduce the pore pressure affecting vertical angle of pin drains.
tunnel waterproof shotcrete lining. The result is highlighted as
below: therefore, a single pin drain installation in half section in
• the variation of pore pressure depending on type and location most cases seems to be insufficient;
of pin drain was sensitive to the interrelations in such a • when designed with two rows of pin drains (four rows on
pattern of variation to location > length > angle; complete section), the pressures were dependent on location,
• when designed with one row of pin drains (two rows on and the ideal result of average value, max value and
complete section), a part of the section with a higher pore deviation value were found when pin drains were positioned
pressure than the pore pressure criterion was found; at 40° and 110° from the tunnel crown section;

H-S SHIN et al
• in patternising the pin drain, an optimised longitudinal interval REFERENCES

was found to be 3 m, and with the interval exceeding 3 m, the
Lee, I M, Park, Y J and Reddi, L N, 2002. Particle transport
effective pressure reduction could not be expected; and characteristics and filtration of granitic soils from the Korean
• a longitudinal angle of pin drain was found to be effective in peninsula, Canadian Geotechnical Journal, 39:472-482.
reducing the pore pressure and for equal distribution of pore Lee, I M, Yu, S H, Park, K J, Lee, S W and Kim, H T, 1999. Clogging
pressure when it was getting closer to vertical. phenomenon and drainage capacity of tunnel filters, Journal of the
Geological Society of Korea, 15(5):3-18.
The ideal pin drain system developed throughout this research Shin, J H, Addenbrooke, T I and Potts, D M, 2002. A numerical study of
can have a reduction effect of pore pressure at lining as that of the effect of groundwater movement on long-term tunnel behaviour,
existing drainage system. Geotechnique, 52(6):391-403.

Three-Dimensional Modelling of Construction Tolerance in
Trapezoidal Segments
G Swarbrick1 and R Bertuzzi2
ABSTRACT
This paper presents a three-dimensional analysis of a trapezoidal-shaped
segmental tunnel lining for a recent tunnelling project in Sydney. Two-
dimensional analyses, hand calculations and equipment selection defined
the lining geometry and loads. The analysis, which was undertaken using
3DEC (Itasca), included a complete ring of six segments bolted together
to assess the impact of imperfectly built rings. Asymmetry was induced
in the analysis by unfavourable positioning of segments within
construction tolerances. Model output includes displacement and stress
within the entire ring and normal, shear and bending moments at the
joints. For the case analysed, the results suggest a 10 mm construction
tolerance increases normal and shear stresses along the radial joints by
approximately 25 per cent and 15 per cent, respectively and up to a
doubling of the induced moments.
INTRODUCTION
Permanent linings are required in many tunnels for structural or
operational purposes. The chosen lining must be capable of safe
and economic construction and in most cases be adaptable to
varying conditions encountered during the works. Segmental
precast liner systems are in common use in TBM tunnels due to
their strength, durability and constructability. They offer an
economic and efficient method of constructing tunnel linings,
especially in soils and weak rocks.
The constructability of segmental systems is affected by the FIG 1 - Photo of a completed tunnel lined with trapezoidal
segment shape, dimensional tolerances and installation sequence. segments (after Buchan Concrete Solutions, 2007).
Damage, segment connections and incorrect ring erection are
important risk factors when deciding upon segment geometry. A paper, was the impact of asymmetric loading caused by
relatively new segmental liner system using trapezoidal-shaped imperfectly aligned segments. This can really only be done by
segments was considered for a recent tunnelling project in analysing the problem in three dimensions. Asymmetry was
Sydney, Australia (Figure 1). Similar systems using trapezoidal induced in the analysis by unfavourable positioning of segments
and parallelogram-shaped segments in the United States was within the construction tolerances.
reported by Kramer et al (2003) to result in rapid, accurate ring
erection, minimised gasket damage and avoided cruciform joints, This paper presents a three-dimensional analysis of a complete
ie where the corners of four segments meet. ring of six trapezoidal segments bolted together. The segment
The trapezoidal segment offered the contractor a potentially and ring dimensions were optimised as part of the two-
faster build time and a simpler overall methodology, as tapering dimensional analyses, hand-calculations and TBM selection. The
across the ring allows the tunnel to be driven in a straight line or main features of the lining are as follows (see Figures 2 and 3):
around a curve without changing segment types. • Six parallelogram-shaped segments with 60° angles.
The design of the trapezoidal segments included assessment of • Joint connectors at the circumferential joint (ring-to-ring)
the lining to various static and dynamic loads. One of the key and bolted connections at the radial joints (segment-to-
issues though was the effect of loading eccentricity on the segment).
trapezoidal segments. Three-dimensional numerical modelling
was carried out to address this issue. • The ring is tapered to provide alignment adjustment. The
taper of the rings was approximately 16 mm to allow 350 m
minimum radius of TBM drive.
SEGMENTAL LININGS
• 4.1 m external ring diameter and 3.6 m internal ring diameter.
Two-dimensional finite element (Phase2) and finite difference
(FLAC) analyses were carried out to assess the response of the • 4100 mm and 3600 mm long, 1350 mm wide, 250 mm thick
lining to the ground relaxation, groundwater pressures, segment size.
back-grouting pressures and internal water pressures. Hand • A 10 mm construction tolerance was assessed to be a
calculations were also done to assess de-moulding, handling and practical limit for the TBM selected. The step between
erection forces, bursting and radial joint (segment-to-segment) adjacent segments could therefore be 20 mm.
stresses. However, of particular interest, and the topic of this • The TBM jacking loads could be up to 5 mm off the centre
of the segment.
1. Associate, Pells Sullivan Meynink Pty Ltd, G3, 56 Delhi Road, Normal forces and bending moments in the segmental ring are
North Ryde NSW 2113. Email: mailbox@psmsyd.com.au usually analysed by using a bedded beam calculation, such as
2. MAusIMM, Principal, Pells Sullivan Meynink Pty Ltd, G3, 56 Delhi that shown in Figure 4 which has been modified from Gruebl
Road, North Ryde NSW 2113. Email: mailbox@psmsyd.com.au (2006).

G SWARBRICK and R BERTUZZI
The focus of this research was to assess the potential for

increased loading post construction, particularly when the
segment system was in operation under ultimate limit states.
ANALYSIS METHOD
The three-dimensional distinct element code 3DEC produced by
Itasca was used to model a complete ring of six trapezoidal
segments bolted together. The model included (Figure 5):
• Six discrete segments forming a 1350 mm wide ring. The
lining was restrained from displacement along the tunnel
axis.
• An external rock boundary to model reaction in response to
deformation of the tunnel section.
• A 150 mm thick grout filled annulus between segments and
rock boundary.
• Twelve (two per segment join) 24 mm diameter, 400 mm
long pretension bolts.
• The segment to segment contacts was modelled as simple
planar surfaces. In addition all segments were modelled as
FIG 2 - Six segments make up the tunnel lining. The invert identical blocks and so invert thickening was not included.
segment is of the same shape as the other five but is
thickened to provide a level floor.
FIG 3 - Plan, sections and developed plan of the trapezoidal

segment. FIG 5 - Three-dimensional geometry showing segment
nomenclature and prescribed offsets.
Lining segments and the external rock boundary were modelled

elastically while the grout and segment joints were modelled
elasto-plastically using a Mohr-Coulomb plasticity boundary.
Bolts were modelled elasto-plastically with a prescribed yield
strength. Material properties are shown in Table 1.
Gravity was not included in the model and all loads on the
tunnel section were applied as external loads on the liner surface.
FIG 4 - Schematic showing the offsets that are likely to occur and Bolt prestressing was included in the analysis.
the typical means of analysing their effect (modified from Gruebl, External loads comprised 60 m of groundwater head and a
2006). proportion of the 92 m overburden as calculated from the two-
dimensional Phase2 and FLAC analyses. Load factors of 1.2 and
The advantage of three-dimensional analyses is twofold: 1.4 were applied to groundwater and overburden pressure
respectively. Parametric studies included mesh size and
1. the impact of construction eccentricity and jacking loads geometric eccentricity. Further details of the applied
can be explicitly assessed; and misalignment follow. Results are shown for model runs using an
2. the combination of ground reaction, water pressures and average mesh size of 50 mm and a rock relaxation factor of
other static forces can be assessed on an imperfectly built 90 per cent. 3DEC run times on a 3 GHz Intel Duo processor
ring. were approximately six hours for this mesh size.

THREE-DIMENSIONAL MODELLING OF CONSTRUCTION TOLERANCE IN TRAPEZOIDAL SEGMENTS
TABLE 1
Material properties used in 3DEC modelling.
Component Young’s modulus Poisson’s ratio Cohesion Friction angle Tensile strength
(GPa) (MPa) (°) (MPa)
Concrete segments 360 0.2 - - -
Rock 1.2 0.35 - - -
Grout 7.0 0.35 1.0 45 0
Segment joints - - 0 45 0
Liner-grout interface - - 0 45 0
Bolts 200 - - - 200
Geometric misalignment
The application of geometric misalignment using 3DEC proved
to be a challenge. After much experimentation, the six segments
were created by trimming a perfectly formed oversize ring.
Initially a tunnel section whose external diameter, thickness and
length were oversize by the maximum construction tolerance was
created. Individual segments were then formed by carefully
trimming back to their design geometry. This ‘skinning’
procedure was used to prescribe an offset or misalignment for
any segment in any direction. In the example shown in Figure 5,
a construction tolerance of 10 mm was prescribed to segments 1,
4 and 5 to create a least favourable combination:
• Segment 1: 20 mm vertical offset,
• Segment 4: 20 mm inward offset and 20 mm downtunnel
offset, and
• Segment 5: 20 mm outward offset and 20 mm uptunnel offset.
RESULTS
Figures 6 and 7 present the major and minor principal stresses
induced in the concrete segments and at the radial joints, which
are within the capacity of 50 MPa concrete (see Figure 8). FIG 7 - Minor principal stresses (σ3) induced in the concrete
Normal stresses acting on the radial joints typically increase by segments typically range between 3 MPa compressive to
25 per cent and shear stresses increase by about 15 per cent 1 MPa tensile.
above those calculated for perfectly aligned segments.
Biaxial Strength of Plain Concrete

Characteristic compressive strength (MPa) 50
-80 -70 -60 -50 -40 -30 -20 -10 0 10

10
-10
-20
3f
-30
1f,
-40
-50
-60
-70
-80
3f , 2f
FIG 8 - The major and minor principal stresses induced in the

concrete segments are within the capacity of 50 MPa concrete.
FIG 6 - Major principal stresses (σ1) induced in the concrete Figure 9 presents the normal and shear displacements
segments typically range between 10 and 17.5 MPa with the predicted at the radial joints. Joint opening of less than 0.1 mm is
exception of some thin sections where the σ1 decreases to indicated under external rock and groundwater loads, while the
2.5 to 10 MPa. whole joint displaces approximately 1 mm.

G SWARBRICK and R BERTUZZI
FIG 9 - Relative shear displacement (left) and relative normal displacement (right) across the radial joints of the lining. The images just
show the locations of the radial joints when looking along the tunnel axis. Relative shear displacements are in the order of 0.03 mm;
relative normal displacements are in the order up to 0.07 mm; suggesting an opening between adjacent segments of less than 0.1 mm.
For comparison the typical radial movement of the joint is approximately 1 mm.
Longitudinal and transverse moments on joints were estimated of the induced moments above those calculated for perfectly
from the distribution of normal stress on the joint faces. A aligned segments.
two-stage geometrical transform is required to transpose The analysis demonstrates the capability that exists to model
coordinates on the joint face to facilitate moment determination. 3D effects in segmental lining design. This procedure can
Moment redistribution was observed on all joint faces due to incorporate the effects of misalignment in combination with
misalignment and generally increased and in some cases more other design actions such as asymmetrical loading rock reaction
than doubled, compared to those calculated for perfectly aligned and prestressing. This approach can be an effective means of
segments. predicting complex 3D behaviour under various design
conditions.
CONCLUSIONS
The results of analyses presented in this paper show the impact REFERENCES
that a 10 mm construction tolerance has on stresses induced in Buchan Concrete Solutions, 2007. Buchan Concrete Solutions web site.
a segmental tunnel lining. This analysis indicates that Available from: <http://www.cvbuchan.com>.
misalignment can potentially result in significant additional [Accessed: 1 November 2007].
stress on segmental joints. The potential for increase should be Gruebl, F, 2006. Modern design aspects of segmental lining, presented to
considered as part of the design process. For the tunnel example International Seminar on Tunnels and Underground Works, Lisbon.
presented, the 10 mm construction tolerance results in increased Kramer, G J E, Gregor, T, Ghazi, M and Hebert, C D, 2003. Segment
normal and shear stresses along the radial joints of approximately design for tunnelling productivity, in Proceedings Rapid Excavation
25 per cent and 15 per cent, respectively, and (up to) doubling and Tunnelling Conference, pp 697-710.

Predicting Carbonation of Concrete in Tunnels
M L Berndt1
ABSTRACT Tunnel linings are susceptible to carbonation, particularly if

the carbon dioxide concentration is elevated in the exposure
Carbonation of reinforced concrete is a potential durability issue for
vehicular tunnels. This is particularly the case where elevated carbon
environment. The normal concentration of carbon dioxide in
dioxide concentrations exist and when the design life is 100 years or the atmosphere is approximately 0.038 per cent by volume
more. The process of carbonation can result in loss of passive protection (380 ppm). Increased atmospheric carbon dioxide levels
to embedded steel reinforcement and initiation of corrosion. Therefore, associated with fossil fuel burning and other human-related
tunnel design needs to consider the potential for carbonation on internal activities are another concern with regard to carbonation and the
surfaces and how design life can be achieved in severe environments. effect on concrete durability. In a vehicular tunnel environment
This paper examines methods for predicting carbonation and how the carbon dioxide concentration may be in the range of 0.05 -
deterioration can be mitigated through appropriate concrete mix design 0.10 per cent or possibly higher, depending on operating and
and construction practices. ventilation systems. Choo et al (2006) investigated the effect of
ventilation systems on carbonation of concrete liners in vehicular
INTRODUCTION tunnels. It was determined that carbonation in semi-transverse
and transverse tunnels was higher at the tunnel exits and in the
A durability risk for reinforced concrete exposed to atmospheric upper duct slabs. Natural ventilation tunnels showed uniform
conditions is the process of carbonation. This process occurs carbonation throughout the length.
when carbon dioxide in the atmosphere dissolves in concrete
pore water and reacts to form carbonic acid. The carbonic acid
MEASURING CARBONATION
then reacts with calcium hydroxide in cement paste to produce
calcium carbonate and water. The reactions are as follows: The depth of carbonation is typically estimated by spraying a
phenolphthalein indicator solution on the fresh fracture surfaces
CO2(g) + H2O(I) → H2CO3(aq) (1) of concrete core samples. Phenolphthalein turns magenta where
the pH is greater than 9.2 and remains uncoloured at lower pH
values. Since carbonation causes reduction of pH to 8.3, the
H2CO3 (aq) + Ca(OH)2(aq) → CaCO3(s) + 2H2O(I) (2) phenolphthalein test does not define the carbonation front
exactly. This may be a few millimetres ahead of the transition
Pore water in uncarbonated concrete has a pH value around line indicated by phenolphthalein. The measured depth of
12.6 to 13.5. However, when the concrete becomes carbonated carbonation can then be compared with the depth of cover to
the pH can be reduced to approximately 8.3. The carbonation reinforcement to determine whether loss of alkalinity has caused
front of reduced pH progresses from the surface through the corrosion or is likely to in the future. Figure 2 shows an example
depth of the cover concrete. of a core sample that has been sprayed with phenolphthalein and
The passive iron oxide layer, which protects reinforcement show the approximate depth of carbonation. This core was from
from corrosion in concrete structures, is only maintained at the same structure shown in Figure 1. Note that embedded
higher pH levels. Hence, if the concrete becomes carbonated to reinforcement on the right-hand side of the core is located in the
the depth of reinforcement, the passive iron oxide layer is no carbonated zone. Corrosion has not yet propagated to the degree
longer stable and corrosion can occur in the presence of required to cause cracking and spalling of cover concrete.
sufficient water and oxygen. An example of corrosion of
reinforcement caused by carbonation is shown in Figure 1.
1. Principal Engineer, Maunsell Australia Pty Ltd, Level 9, 8 Exhibition

Street, Melbourne Vic 3000. Email: marita.berndt@maunsell.com
FIG 2 - Phenolphathlein test on concrete core showing

approximate depth of carbonation indicated by vertical lines.
Note reinforcement (arrowed) in carbonated zone.
FACTORS CONTROLLING CARBONATION

The rate of carbonation of concrete is related to a combination of
factors. These include CO2 concentration, moisture content of the
concrete and diffusivity of hardened cement paste. The
diffusivity in turn depends on mix design (cementitious content,
FIG 1 - Example of reinforcement corrosion and spalling caused by presence and proportion of supplementary cementing materials,
concrete carbonation. water/cementitious material resize and distribution within the

M L BERNDT
concrete and connectivity of pores. The presence of cracks prolonged moist curing. Supplementary cementitious materials
permits local ingress of CO2 and can result in carbonation and such as fly ash and blast furnace slag generally increase the rate
subsequent corrosion ahead of the main carbonation front in of carbonation. Hence, it is important that concrete mix designs
sound concrete. using these materials have low w/cm and are adequately cured.
Carbonation rates are highest when the relative humidity of the Table 1 summarises published carbonation coefficients for
atmosphere in equilibrium with the concrete is 50 - 90 per cent. concrete mixes similar to those that may be considered for tunnel
linings. Information on the mix design and curing are included.
In contrast, carbonation rates in dry or completely saturated
The per cent fly ash (FA) and blast furnace slag (BFS), length of
concrete are very low. As a result, sheltered or air conditioned curing and the water/cementitious material ratio (w/cm) are
environments have higher rates of carbonation than those which indicated. For comparison, Tables 2 and 3 present estimated
are exposed to rain. Consequently, tunnel environments can be carbonation coefficients and correction factors for supplementary
expected to be prone to carbonation due to optimal humidity cementitious materials based on research in Nordic countries by
conditions, in addition to elevated carbon dioxide levels. Lagerblad (2005). Further details on factors controlling
Field and laboratory studies of carbonation have documented carbonation are presented by Ho and Lewis (1987); Bertolini et
the reduction in carbonation rate that can be achieved with al (2004); Russell et al (2001); Khan and Lynsdale (2002);
minimisation of water/cementitious material ratio (w/cm) and Papadakis (2000) and Lagerblad (2005).
TABLE 1
Published carbonation coefficients for concrete mixes.
Concrete Curing Carbonation Test method Source

(days) coefficient
(mm/yr0.5)
OPC, 46 MPa, w/cm = 0.41 7 2.0 Accelerated (4% CO2, 23°C, 50% RH) Ho and Lewis (1987)
OPC, 42 - 50 MPa, w/cm = 0.41 - 0.45 7 1.0 - 2.2 Accelerated (4% CO2, 23°C, 50% RH) Ho and Lewis (1987)
20% FA, 46 MPa 1 8.5 Laboratory 23°C, 50% RH Ho and Lewis (1987)
20% FA, 46 MPa 1 4.5 Outdoors Melbourne, N vertical Ho and Lewis (1987)
20% FA, 46 MPa 1 3.0 Outdoors Melbourne, S inclined Ho and Lewis (1987)
40% FA, 43 MPa 7 5.0 Accelerated (4% CO2, 23°C, 50% RH) Ho and Lewis (1987)
20% FA, 42 - 50 MPa, w/cm = 0.41 - 0.45 7 2.5 - 3.8 Accelerated (4% CO2, 23°C, 50% RH) Ho and Lewis (1987)
25% FA, 41 MPa 7 2.8 Accelerated (4% CO2, 23°C, 50% RH) Ho and Lewis (1987)
OPC, w/cm = 0.5 1 6.0 Outdoors sheltered, Canada Burden (2006)
30% FA, w/cm = 0.5 1 8.0 Outdoors sheltered, Canada Burden (2006)
OPC, w/cm = 0.4 1 5.0 Indoors Burden (2006)
30% FA, w/cm = 0.4 1 8.0 Indoors Burden (2006)
OPC, w/cm = 0.4 28 1 Laboratory 20°C, 60% RH Collepardi et al (2004)
OPC, w/cm = 0.5 28 4 Laboratory 20°C, 60% RH Collepardi et al (2004)
25% FA, w/cm = 0.4 28 3.0 Laboratory 20°C, 60% RH Collepardi et al (2004)
25% FA, w/cm = 0.5 28 5.9 Laboratory 20°C, 60% RH Collepardi et al (2004)
15% BFS, w/cm = 0.4 28 0.7 Laboratory 20°C, 60% RH Collepardi et al (2004)
Note: FA = fly ash, BFS = blast furnace slag, OPC = ordinary Portland cement.

PREDICTING CARBONATION OF CONCRETE IN TUNNELS
TABLE 2 where:
Estimated carbonation coefficients for European type CEM I x = depth of carbonation (m)
concrete under different exposure conditions and strength
grades after Lagerblad (2005). Dc = effective carbon dioxide diffusion coefficient (m2/yr)
Cs = surface concentration of carbon dioxide (kg CO2/m3)
Exposure Carbonation coefficient (mm/yr0.5)
condition t = time (years)
<15 MPa 15 - 20 MPa 23 - 35 MPa >35 MPa
Exposed 5 2.5 1.5 1 a = binding capacity for carbon dioxide (kg CO2/m3)
Sheltered 10 6 4 2.5 Equation 3 is simplified as:
Indoors 15 8 6 3.5
x = K . t 0 .5 (4)
Wet 2 1 0.75 0.5
Buried 3 1.5 1 0.75 where:
x = depth of carbonation (mm)
K = carbonation coefficient or rate (mm/yr0.5)
TABLE 3
Correction factors for carbonation coefficients in Table 2 after t = time (years)
Lagerblad (2005).
The carbonation depth can be expressed as a function of the
Supplementary Correction factor controlling factors and these are described by Lay, Schiessl and
cementitious Cairns (2003) and Maage and Smeplass (2001). Other more
Cement replacement (%)
material sophisticated models of carbonation have also been developed
0 - 10 10 - 20 20 - 30 30 - 40 40 - 60 60 - 80 (eg Saetta et al, 1993, 1995; CEB, 1997; Saetta and Vitaliani,
Fly ash 1.05 1.10 2004; Steffens et al, 2002; Schiessl, Gehlen, Kapteina, 2004).
Blast furnace slag 1.05 1.10 1.15 1.20 1.25 1.30 When predicting carbonation depth for concrete tunnel linings
Silica fume 1.05 1.10
it is important to account for the increased atmospheric carbon
dioxide concentration. Thus, a selected model should include this
variable. It is also important that the model is practical and that
Whilst many construction projects focus on concrete mix the input parameters are readily obtained or estimated. In this
design, the impact of curing on durability is frequently paper the CEB (1997) model has been chosen to model
overlooked. The effect of curing on carbonation is discussed carbonation and predict the influence of carbon dioxide
further by Al-Khayat, Haque and Fattuhi (2002); Parrott (1996); concentration, curing and concrete mix design. The model is
Balayssac, Détriché and Grandet (1995) and Ewertson and given by Equation 5:
Petersson (1993). Curing compounds have been found to have 0 .5 n
a strong influence on carbonation rate of concrete with  2 k1. k 2. k 3C s . Dc . t  t 
x =  . 0  (5)
50 per cent fly ash and water/cementitious material ratio = 0.5  a   t
(Burden, 2006). Two coats of an ASTM C309 Type 2 Class B
(white pigment, resin based) were found to give better results where:
than one coat or a Type 1 Class B (clear, resin based)
compound. The tests by Burden (2006) also demonstrated that k1 = environment parameter describing effect of mean
the carbonation rate for 50 per cent fly ash concrete cured with moisture content of concrete on Dc
a curing compound could be approximately equivalent to three k2 = curing parameter
to 28 days wet curing, depending on the compound type and
number of coats. Carbonation rates of concrete cured with resin k3 = water/cementitious material ratio parameter
and wax based emulsion compounds were determined to be Cs = surface concentration of carbon dioxide (assumed to
lower than rates for concrete that was not cured and higher than equal concentration in atmosphere) (kg CO2/m3)
concrete wet cured for 28 days (Al-Khayat, Haque and Fattuhi,
Dc = effective carbon dioxide diffusion coefficient of dry
2002). For the curing compounds and concrete mixes tested by concrete (T = 20°C, RH = 65 per cent) (m2/yr)
Al-Khayat, Haque and Fattuhi (2002), the curing compounds
gave equivalent carbonation rates to concrete wet cured for two a = binding capacity for carbon dioxide (kg CO2/m3)
days. t0 = age of concrete when testing was performed (yr)
Steam curing of precast concrete elements is regarded as
relatively poor in terms of durability. Although steam curing t = exposure time (yr)
results in high early strength, long-term strength and durability n = age factor describing influence of time and environment
are adversely affected due to formation of a coarser pore on Dc
structure. Hence, precast tunnel linings that are steam cured can The binding capacity for carbon dioxide can be determined
be expected to have a higher carbonation rate than wet cured from Equation 6 and can take into account the influence of
concreted. Verification of concrete quality is discussed below. supplementary cementitious materials:
MODELLING CARBONATION mCO2

a = 0.75.C CaO .C C .α h . (6)
mCaO
The depth of carbonation in concrete is commonly based on
Fick’s law of diffusion and is expressed by Equation 3:
where:
0 .5
 2 D .C t  CCaO = calcium oxide content of cementitious material (per cent)
χ= c s  (3)
 a  CC = cementitious content in concrete (kg/m3)

M L BERNDT
αh = degree of hydration
mCO2 = molar mass of carbon dioxide
mCaO = molar mass of calcium oxide
Equation 5 can be simplified as follows:
0 .5 n
 2 k1. k 2.C s . Dc . t  t 
x =  ⋅  0 (7)
 a   t
n
0 .5  t 
= K (k1. k 2. t) .  0  (8)
 t
Input parameters for Equation 8 are presented in Tables 4 and 5.

The simplified CEB model presented in Equation 7 is used to
compare the predicted depth of carbonation for different concrete
mix designs and curing conditions in a sheltered tunnel
environment with an age factor n = 0. The effect of carbon dioxide FIG 3 - Predicted depth of carbonation versus time for 40 MPa
concentration is also examined. The concrete mix designs concrete without fly ash.
considered are summarised in Table 6. The input parameters are
given in Table 7 and the results are presented in Figures 3 - 6. The
assumed carbonation coefficients were based on published
results at current ambient concentrations and the assumed CO2
density was 1.9 × 10-3 kg/m3 at an average temperature of 11°C.
TABLE 4
Environment and curing input parameters for CEB carbonation
model.
Exposure Curing k1.k2

Indoor Good 1.0
Indoor Poor 2.0
Outdoor Good 0.5
TABLE 5
Age factor for CEB carbonation model.
FIG 4 - Predicted depth of carbonation versus time for 40 MPa
Exposure Age factor, n
concrete with 25 per cent fly ash.
Indoor 0
Outdoor, sheltered 0.1
Outdoor, exposed 0.4
TABLE 6
Concrete mix designs for carbonation prediction.
Mix Nominal compressive strength and mix design

1 40 MPa, 390 kg/m3 cementitious material,
w/cm = 0.46, no fly ash
w/cm = 0.46, 25% fly ash
w/cm = 0.4, no fly ash
w/cm = 0.4, 25% fly ash

The plots of predicted depth of carbonation versus time in concrete without fly ash.
Figures 3 - 6 show the significant detrimental effect of poor
curing. In all cases considered the predicted depth of carbonation
in poorly cured concrete exceeds realistic depths of cover for factors modelled (25 per cent fly ash, carbon dioxide
service lives in the range of 50 - 100 years. Hence, initiation of concentration, cementitious content and water/cementitious
reinforcement corrosion would be predicted in these types of material ratio).
concretes at the carbon dioxide concentrations assumed. The The figures also demonstrate the increased depth of
impact of poor curing has a greater magnitude than the other carbonation when fly ash is incorporated in the concrete mix and

TABLE 7
Input parameters for carbonation modelling in tunnel environments.
Case Assumed carbonation Estimated diffusion CO2 concentration, Binding capacity, a Curing k1.k2
coefficient (mm/yr0.5) coefficient, Dc (m2/yr) Cs (kg/m3) (%) (kg/m3)
1 3.0 0.36 9.9 × 10-4 (0.05) 60 Good 1
1 3.0 0.36 9.9 × 10 (0.05)
-4 60 Poor 2
1 3.0 0.36 1.9 × 10-3 (0.10) 60 Good 1
1 3.0 0.36 1.9 × 10-3 (0.10) 60 Poor 2
2 4.5 0.46 9.9 × 10-4 (0.05) 45 Good 1
2 4.5 0.46 9.9 × 10 (0.05)
-4 45 Poor 2
2 4.5 0.46 1.9 × 10-3 (0.10) 45 Good 1
2 4.5 0.46 1.9 × 10-3 (0.10) 45 Poor 2
3 1.0 0.04 9.9 × 10-4 (0.05) 64 Good 1
3 1.0 0.04 9.9 × 10 (0.05)
-4 64 Poor 2
3 1.0 0.04 1.9 × 10-3 (0.10) 64 Good 1
3 1.0 0.04 1.9 × 10-3 (0.10) 64 Poor 2
4 3.0 0.29 9.9 × 10-4 (0.05) 48 Good 1
4 3.0 0.29 9.9 × 10 (0.05)
-4 48 Poor 2
4 3.0 0.29 1.9 × 10-3 (0.10) 48 Good 1
4 3.0 0.29 1.9 × 10-3 (0.10) 48 Poor 2
TABLE 8
Predicted minimum depth of cover for 100 years to carbonation
induced corrosion.
Mix Curing CO2 (%) Minimum

cover (mm)
1 (40 MPa, no fly ash) Good 0.05 40
1 (40 MPa, no fly ash) Poor 0.05 55
2 (40 MPa, 25% fly ash) Good 0.05 50
2 (40 MPa, 25% fly ash) Poor 0.05 70
2 (40 MPa, 25% fly ash) Good 0.10 70
2 (40 MPa, 25% fly ash) Poor 0.10 95
concrete with 25 per cent fly ash. 3 (50 MPa, no fly ash) Good 0.10 30
the improvement that can be achieved by upgrading from a 4 (50 MPa, 25% fly ash) Good 0.05 40
nominal 40 to 50 MPa mix design. Although the effect of carbon 4 (50 MPa, 25% fly ash) Poor 0.05 55
dioxide concentration is not as great as that of curing, it is
4 (50 MPa, 25% fly ash) Good 0.10 55
important that the likely concentration in a vehicular tunnel is
considered during the design process and that appropriate 4 (50 MPa, 25% fly ash) Poor 0.10 75
modelling is performed to ensure that this factor is adequately
taken into account. Use of AS3600 or AS5100 atmospheric
exposure classifications to determine concrete mix design and
cover requirements is inappropriate for tunnel environments The results in Table 8 show that in cases where a 100 year time
since the codes do not allow for elevated carbon dioxide to corrosion initiation is required, well cured concrete is a
concentrations. Such requirements can be ascertained from necessity if the cover is to be kept to <55 mm. For the assumed
Equation 7 and the requirements for the assumed mix designs input parameters the cover requirements for 40 MPa concrete
and input parameters considered in this paper for a 100 year without fly ash and 50 MPa concrete with 25 per cent fly ash
service life are summarised in Table 8. In this summary the are equivalent. The progress of a carbonation front can be
required depth of cover to prevent a carbonation front reaching slowed down by the application of acrylic or methacrylic ‘anti-
the reinforcement is given. The minimum cover has been carbonation’ protective coatings. However, such coatings would
rounded up to the nearest 5 mm increment. For cases where the require ongoing maintenance and periodic replacement throughout
predicted required depth of cover is <30 mm, a minimum cover the life of a structure and it is preferable to use appropriate quality
of 30 mm is given. and cured concrete rather than compensate with coatings.

M L BERNDT
LIMITATIONS OF CARBONATION MODELLING slight increase in corrosion resistance compared with mild steel
since the zinc layer on these fibres is typically thin. Any loss of
As with all models, it is important that the validity is verified. In tensile strength as a result of fibre corrosion is predicted to be
addition, the input parameters need to be verified. Hence, limited to the surface carbonated zone.
proposed concrete mix designs should be tested to determine the
actual carbonation rate. Accelerated carbonation tests can be
performed for this purpose. It is important that the test concrete OTHER EFFECTS OF CARBONATION
is cured in the same manner as that to be used during construction In addition to pH reduction, carbonation of concrete can result in
in order to achieve a realistic result. Testing of exposed concrete reduced surface porosity and permeability and increased surface
for actual depth of carbonation at specified increments of, say, hardness and strength (Neville, 1996). These changes are side
every five to ten years, is recommended to determine the in situ benefits of carbonation. However, carbonation may also result in
behaviour and predict future carbonation penetration. shrinkage and crazing of concrete surfaces (Neville, 1996). It is
The above CEB model is deterministic in nature. Concrete also well documented that carbonation increases the chloride
properties are inherently variable and this needs to be considered. diffusion coefficient of concrete, particularly if fly ash or blast
Furthermore, depth of cover in structures also shows a statistical furnace slag are in the mix (Ngala and Page, 1997). Hence,
distribution and microclimate effects may result in variable reinforced concrete exposed to both chlorides and carbonation is
carbonation throughout a structure. Hence, a probabilistic at greater risk of reduced service life. Carbonation of
approach to carbonation modelling is recommended. An example unreinforced concrete is not a major durability concern, apart
of such an approach is presented by Lay, Schiessl and Cairns from surface crazing.
(2003).
USE OF DURABILITY INDEXES TO VERIFY
EFFECT OF CARBONATION ON DURABILITY OF CONCRETE QUALITY
STEEL FIBRE REINFORCED CONCRETE AND
The data in Table 1 clearly demonstrates the importance of
SHOTCRETE adequate curing to achieve low carbonation rates. This raises the
The above sections considered concrete reinforced with steel bar. issue of verifying the in situ quality of concrete or shotcrete used
It is also necessary to consider carbonation in concrete or in tunnel construction. Procedures are required for testing
shotcrete reinforced with steel fibres since such materials are materials to provide a measure of quality and carbonation
often used for tunnel linings. Steel fibre reinforced concrete resistance. Accelerated carbonation tests on core samples involve
(SFRC) has been reported to show excellent durability in marine lengthy testing and are not considered practical except for
or other chloride-bearing environments (Hoff, 1987; Mangat and preliminary screening and qualification of concrete or shotcrete
Gurusamy, 1988; Raupach and Dauberschmidt, 2002). SFRC mix designs and curing regimes. Therefore, it is necessary to
exposed to sea water typically exhibits corrosion that is confined examine suitable tests that can either be performed in situ or on
to fibres close to the concrete surface. Spalling associated with cores produced at the time of construction and correlated with
steel bar reinforcement is not an issue with SFRC due to the carbonation resistance.
smaller amount of corrosion products generated for any single Of the available test methods and correlation studies, it is
fibre. It has been proposed by Mangat and Molloy (2000) that the apparent that two candidates are oxygen permeability coefficient
superior corrosion resistance of fibres in concrete as compared and water sorptivity. Oxygen permeability coefficient of concrete
with rebar is due to surface homogeneity. Studies by Kosa and is measured using a falling head gas permeameter. This method
Naaman (1990) showed that reduction of direct tensile strength does not appear to be widely used in Australia, particularly for
of steel fibre reinforced mortar could occur if corrosion is non-research applications. Water sorptivity is a more commonly
significant and results in reduction of fibre diameter. used and specified parameter and a test method is described in
Some research has also been performed to investigate RTA Test Method T362. This method measures the depth of
carbonation of SFRC and associated fibre corrosion. Cangiano et penetration of a concrete specimen placed in a water bath. An
al (2005) performed accelerated carbonation and other durability alternative to this particular method involves measurement of
tests on two grades of concrete with and without 35 mm hooked weight gain versus time of concrete exposed on one face to
end steel fibres. The carbonation rate was found to increase from water. Both oxygen permeability coefficient and sorptivity have
7 to 8 mm/yr0.5 when fibres were included at a volume fraction of been shown to generally have a correlation with carbonation
0.51 per cent in concrete with 340 kg/m3 and water/cementitious resistance and are discussed further as ‘Durability Indexes’ by
material ratio = 0.49. Better quality concrete with 450 kg/m3, Alexander, Ballim and Stanish (in press). Examples of other
25 kg/m3 silica fume and water/cementitious material = 0.32 had similar transport-type quality tests include the initial surface
a carbonation rate of 0 mm/yr0.5 both with and without fibres. absorption test (ISAT) and DIN 1048 absorption test. The
Cangiano et al (2005) concluded that addition of steel fibres was relationship between carbonation rate and oxygen permeability,
not detrimental to durability. Carbonation and fibre corrosion sorptivity or other property for a given mix should be established
was examined by Nemegeer, Vanbranbrant and Stang (2003). prior to construction and used to set appropriate acceptance
Precracked concrete specimens reinforced with either mild steel limits.
or galvanised fibres were subjected to wetting and drying cycles
in a CO2 atmosphere for 18 months. The concrete had 350 kg/m3
and water/cementitious material ratio = 0.45. The depth of CONCLUSIONS
carbonation was 1 - 2 mm. Microstructural examination revealed Reinforcement corrosion due to carbonation is a potential
mild steel corrosion at the surface of uncracked concrete in the durability issue in vehicular tunnel linings. Therefore, design
carbonated zone and that corrosion did not travel along the fibres should include prediction of likely carbonation depths and
into uncarbonated concrete. Galvanised fibres were not corroded means of preventing a carbonation front reaching embedded
during the exposure period. reinforcement during the service life. Carbonation depth versus
It is predicted that corrosion of steel fibres in carbonated time can be predicted using a relatively simple model that
concrete is likely and will result in surface staining. However, accounts for concrete mix design, curing conditions, exposure
this is more of a cosmetic issue rather than structural. If surface conditions and carbon dioxide concentration. This can be used to
staining is a concern then stainless steel fibres can be substituted provide guidelines on minimum depth of cover requirements for
for mild steel. Galvanised steel fibres are predicted to have only a a given set of conditions. Prequalification of concrete mixes and

establishing a testing protocol to verify concrete quality during Lay, S, Schiessl, P and Cairns, J, 2003. LIFECON deliverable 3.2, service
construction by measuring sorptivity or another transport life models.
property that can be correlated with carbonation rate is Maage, M and Smeplass, S, 2001. Carbonation: A probabilistic approach
recommended. Since actual service conditions and performance to derive provisions for EN 206-1, Duranet.
may vary from those predicted by any model, in situ monitoring Mangat, P S and Gurusamy, K, 1998. Corrosion resistance of steel fibres
of carbonation throughout the service life of a structure is in concrete under marine exposure, Cement and Concrete Research,
advisable. Carbonation may also cause corrosion of embedded 18(1):44-54.
fibres in steel fibre reinforced concrete or shotcrete. This is more Mangat, P S and Molloy, B T, 2000. Size effect of reinforcement on
corrosion initiation, in Proceedings Fifth International RILEM
of an aesthetic issue associated with surface staining than loss of
Symposium (eds: P Rossi and G Chanvillard), pp 691-701 (RILEM:
structural integrity. Cachan).
Nemegeer, D, Vanbranbrant, J and Stang, H, 2003. Brite Euram program
REFERENCES on steel fibre concrete-subtask durability: Corrosion resistance of
cracked fibre reinforced concrete, in test and design methods for
Alexander, M G, Ballim, Y and Stanish, K, in press. A framework for use
steel fibre reinforced concrete-background and experiences, in
of durability indexes in performance-based design and specifications
Proceedings RILEM TC162-TDF Workshop (eds: B Schnütgen and L
for reinforced concrete structures, Materials and Structures.
Vandewalle), pp 47-66 (RILEM: Cachan).
Al-Khayat, H, Haque, M N and Fattuhi, N I, 2002. Concrete carbonation
Neville, A M, 1996. Properties of Concrete (John Wiley and Sons: New
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Balayssac, J P, Détriché, C H and Grandet, J, 1995. Effects of curing
Ngala, V T and Page C L, 1997. Effects of carbonation on pore structure
upon carbonation of concrete, Construction and Building Materials,
and diffusional properties of hydrated cement pastes, Cement and
9(2):91-95.
Concrete Research, 27(7):995-1007.
Bertolini, L, Elsener, B, Pedeferri, P and Polder, RP, 2004. Corrosion of
Papadakis, V G, 2000. Effect of supplementary cementing materials on
Steel in Concrete (Wiley-VCH: Weinheim).
concrete resistance against carbonation and chloride ingress, Cement
Burden, D, 2006. The durability of concrete containing high levels of fly and Concrete Research, 30(2):291-299.
ash, PCA R&D serial no 2989 (Portland Cement Association).
Parrott, L J, 1996. Some effects of cement and curing upon carbonation
Cangiano, S, Plizzari, G A, Cadoni, E, Frigeri, G and Teruzzi, T, 2005. and reinforcement corrosion in concrete, Materials and Structures,
On durability of steel fibre reinforced concrete, in Proceedings 29(187):164-173.
International Conference on Cement Combinations for Durable
Concrete, pp 477-486 (Thomas Telford: London). Raupach, M and Dauberschmidt, C, 2002. Investigations into the critical
corrosion-inducing chloride content of steel fibres in artificial
CEB, 1997. New approach to durability design – An example for concrete pore solution, Materials and Corrosion, 53(6):408-416.
carbonation induced corrosion, Bulletin No 238 (Comité-Euro-
International du Béton: Lausanne). Russell, D, Basheer, P A M, Rankin, G I B and Long, A E, 2001. Effect
of relative humidity and air permeability on prediction of the rate of
Choo, J, Maeng, D, Ryu, H and Ahn, S, 2006. A study on the carbonation carbonation of concrete, Proceedings Institution of Civil Engineers,
of the lining of vehicular tunnel based on ventilation system, Structures and Buildings, 146(3):319-326.
Tunnelling and Underground Space Technology, 21(3-4):324-327.
Saetta, A V, Schrefler, B A and Vitaliani, R V, 1993. The carbonation of
Collepardi, M, Collepardi, J J, Olagot, J J O and Simonelli, F, 2004. The concrete and the mechanism of moisture, heat and carbon dioxide
influence of slag and fly ash on the carbonation of concretes, in flow through porous materials, Cement and Concrete Research,
Proceedings ACI SP-221: Eighth CANMET/ACI International 23(4):761-772.
Conference on Fly Ash, Silica Fume, Slag, and Natural Pozzolans in
Concrete (ed: V Malhotra) (Taylor and Francis Group: London). Saetta, A V, Schrefler, B A and Vitaliani, R V, 1995. 2-D model for
carbonation and moisture/heat flow in porous materials, Cement and
Ewertson, C and Petersson, P E, 1993. The influence of curing conditions Concrete Research, 25(8):1703-1712.
on the permeability and durability of concrete: Results from a field
exposure test, Cement and Concrete Research, 23(3):683-692. Saetta, A V and Vitaliani, R V, 2004. Experimental investigation and
numerical modelling of carbonation process in reinforced concrete
Ho, D W S and Lewis, R K, 1987. Carbonation of concrete and its structures: Part I: Theoretical formulation, Cement and Concrete
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Hoff, G C, 1987, Durability of fiber reinforced concrete in severe marine Schiessl, P, Gehlen, C and Kapteina, G, 2004. Assessment and service
environment, in ACI SP-100: Concrete Durability – Katherine and life updating of existing tunnels, in Proceedings Safe and Reliable
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State of the art, CBI report 2 (Swedish Cement and Concrete
Research Institute).

Microtunnelling Solution for Bulimba Creek Trunk Sewer
R Bhargava1, C Jewkes2 and A Domanti3
ABSTRACT The ‘Scrub Road’ option can be seen to bypass much of the
alignment of the existing trunk sewer. This allows the bulk of the
This paper describes the design and constructability issues investigated in
the selection of a trenchless solution in comparison to trenched over-capacity flows currently causing overflow events to be
construction options as part of a scoping study for the augmentation of the conveyed away from the trunk sewer, and also is considerably
existing Bulimba Creek Trunk Sewer in Brisbane. Initial work involved (750 m) shorter.
the planning of alignment options vis-à-vis ground geology, geotechnical MOUSE modelling of the two options, incorporating the
conditions, location and depth of shafts considering potential construction existing infrastructure both upstream and downstream of the
technology, flotation and stability of the tunnel, availability of construction affected section of trunk sewer indicated that at DN1200 mm,
sites and the influence of construction works on neighbourhood properties both the Lateral Control and Scrub Road options would satisfy
and the immediate environment.
Brisbane Water’s current operational requirements, and hence
Two design pipe sizes, DN1200 and DN1500, were considered, and option selection should be made on factors including
factors including jacking forces, specification of product pipes, pipe joints,
pipe jacking methods and the associated impacts of ground settlement
environmental impact, safety, cost, future operation and
were carried out. Of particular interest was research on suitable lubricating maintenance and risk. A DN1500 mm solution for the Scrub
fluids with the potential to minimise jacking forces and maximise the Road option was also considered, as the larger pipes can
length of pipeline between launch and reception shafts. withstand higher jacking forces, and so sustain greater drive
distances. DN1500 mm pipelines would also offer benefits in
terms of future capacity; consistency with some upstream and
INTRODUCTION downstream sections of recently renewed sewer, and improved
A scoping study was carried out for Brisbane Water to investigate OH&S issues for long tunnels over DN1200 mm. DN1500 mm
the most suitable alignment and construction methods for the was not an option for the Lateral Control alignment, as it would
augmentation of a section of the Bulimba Creek Trunk Sewer in lead to clashes with the existing sewer.
Brisbane, as the current section of sewer was operating close to The review of ground conditions was based upon the regional
design capacity and would become overloaded in the near future as geological map, along with assessments of similar ground
supply was forecasted to exceed capacity in the near future. Two conditions in the same lithological units elsewhere in Brisbane.
principal construction methods were considered: conventional No specific site investigations for the project have been
trenched excavation and trenchless excavation by microtunnelling. undertaken to date.
A comprehensive review of geology, comparative pipeline lengths, Along the Lateral Control alignment, relatively shallow
volume of excavated spoil, extent of temporary works, availability trenched excavations would be mainly within saturated soft
of suitable construction work sites and the impacts of construction alluvium along Bulimba Creek itself. Excavation would generally
on the local environment was undertaken. After initial options were be supported by braced sheet piles 8 to 10 m deep, and technical
discarded, two primary alignments, known as ‘Lateral Control’ and considerations included toe stability, base heave and pipeline
‘Scrub Road’ were selected for detailed study. A multi-criteria flotation. Approximately half of this alignment is located in
competent rock (sandstone and tuff), or compacted sands, and
analysis was used to select the preferred option. This paper
was identified as suitable for microtunnelling, in the form of
discusses the issues of design and constructability which pipe-jacking.
determined the ultimate selection of microtunnelling as the
preferred solution over conventional sheeted trenched construction. In contrast, along the Scrub Road alignment, competent ground
conditions and hilly topography favoured trenchless construction
using microtunnelling over most of the alignment, with only
ASSESSMENT OF FACTORS DETERMINING around 600 m of trenching in areas of saturated sediments in
CONSTRUCTION METHODOLOGY shallow cover.
Topography and ground conditions Launch and reception shafts

The suitability and ultimate success of any selected construction Each microtunnelling option required the construction of launch
method will be significantly influenced by the topographical, and reception shafts of varying depths, which are dictated by the
geotechnical and hydrological conditions encountered. The two local topography and the vertical alignment of the sewer pipeline.
selected alignments are shown in Figure 1. A review undertaken of the required launch shaft dimensions
considered factors including length of tunnel boring machines
The ‘Lateral Control’ option is so-named as it largely follows
(TBMs), jacking assembly arrangements and thrust frames,
the alignment of the existing 900 mm diameter trunk sewer, and
ventilation, material haulage and health and safety clearances for
so is able to pick up all of the existing sewer laterals. This would deep confined space working. A rectangular shaft of 8 m × 5 m
allow the Lateral Control option to completely replace the was found suitable for 1800 mm TBMs, which would be used to
existing sewer upon completion, or allow it to be taken off-line construct linings of DN1500 mm. Rectangular section shafts
and refurbished. were deemed suitable due to the competent rock conditions
anticipated. In order to reduce the number of shafts required, all
shafts except the last one will be dual use, ie for jacking and
1. Senior Tunnel Designer, Parsons Brinckerhoff, GPO Box 2907,
Brisbane Qld 4001. Email: rbhargava@pb.com.au
retrieval functions.
The number of shafts was further optimised considering the
2. Executive Tunnels, Parsons Brinckerhoff, GPO Box 2907, Brisbane maximum attainable jacking distances between each pair of
Qld 4001. Email: cjewkes@pb.com.au shafts. As some shafts were of significant depth (up to 30 m), a
3. Senior Water Engineer, Parsons Brinckerhoff, GPO Box 2907, significant proportion of the cost and program time required for
Brisbane Qld 4001. Email: adomanti@pb.com.au construction is represented by the shafts. By minimising the

R BHARGAVA, C JEWKES and A DOMANTI
FIG 1 - Two shortlisted alignments.
number of shafts, and maximising the length of tunnel drives Design of jacking pipes
between shafts, costs and program can be minimised. By
planning the use of suitable lubricants to reduce jacking forces, There is currently no Australian Standard for design of precast
and the appropriate use of hydraulic interjack stations, the concrete jacking pipes. Common practice is to use other existing
attainable distance between shafts was maximised. This is standards which deal with some of the aspects of their design and
discussed further in the next section. manufacture. These include:
The upper section of each shaft in soil and/or weathered rock • AS4058 for minimum pipe load classes, in accordance with
is planned to be either presupported by soldier piles or secant AS3725 and AS4799;
piles or excavated by the use of the caisson or underpinned shaft • maximum allowable jacking forces and joint deflections in
lining methods, depending on the ground conditions in place at accordance with Concrete Pipe Association of Australasia
each shaft location. For sections of shaft excavated in rock, steel (CPAA) 1990;
fibre reinforced shotcrete with rock bolts appropriate to the rock
mass structure and strength was recommended. • durability requirements in accordance with specific
The vertical section of the Scrub Road alignment, with shaft groundwater analysis; and
locations and depths indicated, is shown in Figure 2. • other constructability-based requirements.

MICROTUNNELLING SOLUTION FOR BULIMBA CREEK TRUNK SEWER
FIG 2 - Pipe jacking … vertical alignment.
TABLE 1
Summary of jacking forces and joint deflections.
Pipe diameter Pipe length Pipe mass Allowable jacking forces Interjack station spacing Maximum joint
(mm) (m) (t) (t) (m) deflection
(°)
Scrub Road Lateral Control
alignment alignment
DN 1200 2.4 1.98 265 180 100 0.25
DN 1500 2.4 2.79 375 190 120 0.30
The design for the calculation of the maximum working Design of pipe joints
jacking forces considered the effect of eccentric loadings on the
pipe collars due to the rotation and/or deflection of joints as per The joints of the jacking pipe are designed to transfer the axial
the recommendations of the CPAA. Assessment of the permanent thrust required to mobilise the pipe string, while considering
loads, including ground load, water, traffic impact and other allowances for vertical and horizontal deflections within the
surcharge loadings was undertaken. specified tolerances. The design requirement is a joint with the
Two sets of jacking force calculations were undertaken, one ability to retain an effective seal in the fully deflected position,
for the section of pipe string between the TBM and the first whilst subjected to external water or lubrication fluid pressure as
interjack station, which involved calculation of maximum forces well as the unbalanced stresses from the jacking operation, and
arising from the friction forces between the pipe extrados and overburden loads. This needs to be carefully considered with
ground; and those required to thrust the TBM during launching respect to the compatibility with the selected microtunnelling
or ground excavation. The second set of calculations was for equipment.
each section of pipe between each interjack station. Until relatively recently reinforced concrete jacking pipes have
The effect of suitable pipe lubrication is discussed later in this generally been modified versions of traditional trenching pipes.
paper. Due to the likely presence of competent rock along the The traditional pipe joints used in these applications (either
majority of the Scrub Road alignment, and making effective use butt-joints, or in-wall rubber joints) do not perform well in
of a suitable lubricant, expected jacking forces are in the range of situations where articulation, deflection or uneven loadings are
100 to 175 t in comparison to the calculated 250 to 300 t through anticipated, and hence can often fail at the pipe collar during
the soft soil and saturated sediment conditions along the Lateral installation in a pipe-jacking application. In order to achieve
Control alignment. A summary of the calculated jacking forces is waterproofing under these conditions, a joint profile with seal
shown in Table 1. located in a deep recess on the pipe spigot protected under a steel
The anticipated durability requirements with respect to the collar cast on interlocking pipe bell is a more suitable option. The
aggressivity of groundwater with respect to concrete and service life of the joint must be equal to that of the concrete pipe
reinforcement, and the requirement for suitable internal linings to and to maintain water tightness throughout the service life,
withstand attack from the foul water conveyed, will need to be particularly for sewer pipes, stainless steel type SS304 is
considered during detailed design when appropriate data has recommended for the collar of the joint. This is obviously not
been gathered. necessary if the concrete pipes are acting as sleeves for an

internal product pipe. A typical suitable joint arrangement, as While a microtunnelling fluid is not designed to carry spoil or
produced by Humes for their J-Series jacking pipes, is shown in cuttings.
Figure 3. A fluid with higher viscosity may appear appealing for the fact
that it will adhere to the pipe surface better. In the mixing pan it
‘looks and feels’ good, but it will not travel and fill the annular
void as uniformly as a low viscosity fluid. A lower viscosity fluid
has increased flow properties but could have higher losses into
the surrounding formation, or form a less effective filter cake on
the tunnel annulus.
Because there is significant non-production time during
microtunnelling works, such as disconnection of power cables,
slurry lines before next product pipe is placed in the jacking
frame, as well as the resetting of jacking frame to drive a full
pipe, a high gel and high yield point fluid can cause increases in
jacking forces as gel strength needs to be overcome. The impacts
will be much more significant if microtunnelling need to be shut
down for a few days say over public holidays or during
equipment failures.
Another consideration is the stability of the lubricating fluid in
aggressive chemical environments. Some polymer additives which
increase fluid viscosity (ie partially hydrolysed polyacrylamides –
FIG 3 - Typical pipe joint detail. PHPA) can be susceptible to degradation by high shear forces, or
the presence of calcium or chloride ions in groundwater. This
LUBRICATION AND INTERJACK SPACING progressive or sudden degradation in lubricity can lead to rapid
increases in jacking stresses and pipe failures or jamming of the
Lubricants and lubrication system pipe string.
Recent research (International Association of Rock Mechanics,
A suitable lubricant fluid and injection system to maintain 2005; Oliver et al, 2006) has shown that a new generation of
jacking pressures within acceptable limits has a number of lubricating fluids utilising materials such as deflocculated
tangible benefits to the pipe-jacking operation: bentonite and polyanionic cellulose polymer, with Marsh funnel
• the length of individual jacking sections can be maximised, viscosities around 90 seconds, as opposed to traditional fluids
reducing the number of launch and reception shafts required; with Marsh viscosities around 180 seconds, can, in the
• the number of interjack stations can be minimised, improving appropriate conditions, provide benefits including:
productivity of the jacking operation; • lower fluid loss leading to more effective filter cake
• axial loads on the pipes are reduced, lowering the risk of formation;
damage during jacking; • decreased gel strength and yield point, reducing pipe string
• jacking rig and thrust frame capacity is reduced, with the reactivation forces;
potential to reduce the cross-sectional area of launch shafts; • lower viscosity leading to a more uniform effective
and lubricating layer; and
• the likelihood of overthrusting in weak ground, leading to • improved chemical resistance.
surface heave is reduced.
The net result of which is that a given pipe string can be jacked
Bentonite-based lubrication has been historically used as the further at the defined jacking force limit, and thus achieve the
pipe jack lubricant. These fluids were historically developed benefits outlined at the start of this section.
from oil field technology, and were more recently developed for
use in the horizontal directional drilling (HDD) industry.
However, the parameters for successful application in HDD are Interjack station spacings
substantially different to those for application in microtunnelling. Interjack station units are increasingly used to increase the length
HDD requires the lubrication fluid to carry out a number of of microtunnelled drives between launch and reception shafts.
purposes: These units are placed between two jacking pipes in the pipe
• to support the hole in weak ground, string, and consist of a pair of steel jacking collars which bear on
• to reduce friction in the drill string, the two adjacent pipe collars, which can be jacked apart by
activating a ring of hydraulic rams, thus separating the two
• to be sufficiently dense and viscous to carry the drill cuttings, jacking pipes. An outer steel sleeve, which overlaps the two pipe
• to be stable for a period typically of hours or days, collars (by typically 250 mm) connected to the rear-ward jacking
collars maintains the seal between the pipe string and the
• to support advance rates which may exceed 1 m/min, and
surrounding ground, groundwater and jacking fluid.
• to have limited non-productive downtime. By activating the interjack station (which can typically operate
Whereas by comparison a good microtunnelling fluid is through a stroke of 750 mm to 1500 mm), the pipe string in
generally required: advance of the station can be advanced through the stroke length
of the unit. When the full stroke length has been advanced, the
• to support the hole in weak ground,
rams can be closed, leaving a gap between the two adjacent
• to reduce friction on the pipe string, jacking pipes, protected by the outer steel sleeve. By jacking the
• to be stable for periods of weeks or months, string behind the interjack station forwards (using either the
jacking units at the launch shaft, or the next interjack station to
• to support advance rates as low as 100 mm/min, and the rear), the gap is closed, and the next section of the pipe string
• to remain stable during periods of long downtime. is advanced.

MICROTUNNELLING SOLUTION FOR BULIMBA CREEK TRUNK SEWER
Using this process, the pipe string can be separated into For tunnel excavation, changes in ground stresses due to the
sections, the length of which is controlled by the maximum removal of material were calculated, and the resulting
jacking force, which can be applied to an individual pipe. Each displacements based on the anticipated stiffness properties of the
section is then advanced in sequence until sufficient cumulative ground were determined.
advance has been achieved to add another pipe at the launch Ground movements due to sheeted trench excavation were
shaft, and then the process repeats. calculated considering the cumulative effect of:
This operation has inherent inefficiencies. Jacking from the • the installation of the sheet piles,
launch shaft is through the full stroke of an individual pipe
length (typically 2.4 m), and involves one stroke sequence. Each • the deflection resulting from the removal of material on the
interjack station adds another stroke sequence, which is generally excavation side, and
less than a full pipe length. If an interjack station stroke is half a • the effect of the removal of sheeting.
pipe length, then two stroke sequences are required to advance a
An assumption was made that the retained soil follows the
full pipe length from the interjack station, and two from the
deflected profile of the sheet piles, which is representative of a
launch shaft, so one stroke sequence becomes four as soon as one
flexible retaining wall in soft sandy and clayey ground, as
interjack station is added. Each additional interjack station adds
interpreted to exist along the trenched excavation alignments.
another two stroke sequences, so by the time say three interjack
stations are in use, eight stroke sequences are required, so The summary of the calculated ground settlement and width of
productivity of the operation will drop considerably. settlement trough due to the tunnelling and trenched excavations
is presented in Table 2.
However, interjack stations can be considered as insurance
measures. An interjack station may be inserted at the mid-point
of a drive, but if jacking forces never reach the design limit of the MULTI-CRITERIA ANALYSIS
pipe string, then it will not need to be used. Once a drive has
reached its reception shaft, then the interjack stations can be In order to assess the three options identified, a multicriteria
dismantled (whether used or unused) within the pipe string and analysis was undertaken. A range of issues was considered, and
removed, leaving just the outer sacrificial sleeves in place outside the following criteria agreed with Brisbane Water as the
the pipe string. assessment criteria and percentage weightings:
Hence, by considering the maximum jacking forces calculated • drivers:
(see Table 1), the maximum jacking force which the pipes can • meets objectives/drivers 10
withstand (typically around 375 tonnes at DN1500), and an
appropriate load factor, a judgement as to whether each drive is
• technical risk:
likely to require the use of interjacks can be made. • in construction 15
The longest planned drive for the Scrub Road alignment is • in service 5
around 550 m. This section is anticipated to be in competent rock,
• environment:
so pipe string friction is limited to skin friction, as there is not
expected to be significant ground load on the pipe string. • in construction 10
Maximum allowable jacking force is expected to be around 375 t. • in service 10
Therefore, assuming that ground investigations confirm the
expected ground conditions, then the maximum jacking force is • community/social:
expected to be reached around 190 m (for DN1500 – see Table 1) • in construction 15
at which point an interjack station should be planned to be placed. • long-term risk 5
Once jacking forces at the launch shaft again approach 375 t, a
• financial:
second interjack should be installed, and so on. Hence allowance
should be made for the use of a total of three interjack stations at • capital cost 20
190 m intervals for the 550 m DN1500 drive. If jacking forces in • life cycle cost 0
practice turn out to be higher than planned, then the use of three
interjacks will cover spacings as low as 140 m (ie 26 per cent • operation and maintenance:
higher forces than planned), and of course if jacking forces are • operability 10
lower, then spacings can be increased as required during the The three options were considered as:
drive, and less interjacks may be required.
• DN1200 Lateral Control alignment,
GROUND MOVEMENT ANALYSES • DN1500 Lateral Control alignment, and
An assessment of ground movements induced by tunnelled and • DN1500 Scrub Road alignment.
trenched excavations was undertaken to evaluate their impacts on The final scoring considering all of the technical issues
local residential properties and other road infrastructure. considered here, plus the other factors above ranked the Scrub
TABLE 2
Summary of calculated ground surface settlements.
Structure Construction method Pipe size Excavated diameter Smax Width of settlement trough
(mm) (mm) (mm) (m)
Scrub Road Pipe jacking DN 1500 1830 10.2 11.5
Scrub Road Pipe jacking DN 1200 1530 8.6 9.0
Lateral Control Pipe jacking DN 1200 1500 14.8 12.0
Lateral Control Sheeted trench DN 1200 - 21.3 15.6

Road alignment highest, above the DN1500 Lateral Control REFERENCES

alignment by a factor of 20 per cent, which in turn was ranked
higher than the DN1200 Lateral Control alignment. Barla, M, Borghi, X, Mair, R J and Soga, K, 2003. Numerical modelling
of pipe-soil stresses during pipejacking in clays, in Proceedings
European Conference on Soil Mechanics and Geotechnical
CONCLUSIONS Engineering, Prague, Vol 2, pp 453-458.
Bateman, G A, 2008. A risk management approach for micro-tunnelling
Recent advances in microtunnelling technology, particularly in projects, No-Dig Down Under, Sydney.
the areas of lubricating fluid chemistry, and the use of interjack Concrete Pipe Association of Australasia (CPAA), 1990. Design Manual
stations, have increased the lengths of drives technically feasible – Jacking Design Guidelines.
between launch and reception shafts over those achieved even ten International Association of Rock Mechanics, 2005. Proceedings
years ago. This has allowed unit costs per linear metre of tunnel Geomechanics, Slope Stability and Tunnelling, Turin.
to dramatically reduce, as machine technology improves, the Oliver, M I, Boland, D, MacCormick, M J and Bower, J C, 2006. Major
number of shafts required for projects has reduced, and more and pipe jacking for Perth desalination and main sewer projects, No-Dig
more skilled operators have entered the market. Down Under, Brisbane.
When combined with the increased focus on environmental Pipe Jacking Association, 1995. Guide to Best Practices for the
and social impact factors when comparing with traditional Installation of Pipe Jacks and Microtunnels.
trenched solutions, this unit cost reduction has made trenchless Standards Australia, 1989. AS3725-1989, Loads on Buried Concrete Pipes.
solutions increasingly attractive to utility owners, and in the case Standards Australia, 1992. AS4058-1992, Precast Concrete Pipes
of the Bulimba Creek project has led to a strong case for the (Pressure and Non-Pressure).
development of a trenchless solution to the sewer augmentation Zavitz, R, 2006. A new paradigm in bentonite based lubricants for the
proposal. microtunneling industry, No-Dig Down Under, Brisbane.

Northern Sewerage Project – Liner Selection in a Corrosive
Environment
G W Davidson1, M E Trim2, D G Franklin3, J V Myers4 and P J Hansen5
ABSTRACT
The Northern Sewerage Project (NSP) is an upgrade to one of
Melbourne’s ageing, under-capacity trunk sewers. It will reduce the
volume and frequency of wet-weather overflows to the Merri and Moonee
Ponds Creeks and facilitate new housing developments in the northern
suburbs of the city. A total of 12.4 km of tunnel and eight vertical access
shafts will be excavated as part of the two project stages: Stage 1 (NSP1)
will be owned and operated by Melbourne Water (MW) and Stage 2
(NSP2) will be owned and operated by Yarra Valley Water (YVW).
The owners require the project to have a service life of 100 years, a
requirement significantly beyond many of the current Australian
Standards, which aim to achieve service lives greater than 60 years but
are typically assumed to achieve 40 to 60 years. Because of the
potentially corrosive natures of the external environment along the
tunnels and the internal sewer environment, durability was a key concern
for NSP1 and NSP2. Stringent specifications were applicable to the
tunnel lining systems. This paper describes the corrosive environments
impacting NSP1 and NSP2, explains the key design differences between
the two stages and details the lining systems considered and selected to
achieve the clients’ desired 100-year service life. The project design is
complete and construction began in 2007.
INTRODUCTION FIG 1 - Plan view of Northern Sewerage Project.

The Northern Sewerage Project (NSP) was developed jointly by
Melbourne Water (MW) and Yarra Valley Water (YVW) to parts of the lining if necessary. The design life requirement
address future sewerage requirements in the Upper Merri Creek presented challenges due to the corrosivity of both the external
and North Darebin Creek Catchments, of the northern suburbs of and internal environments. To provide appropriate corrosion
Melbourne. Once completed, the NSP will reduce sewage spills resistance, while maintaining the owners’ hydraulic performance
into creeks during heavy rainfall, and increase sewerage system requirements, the designer undertook an extensive evaluation of
capacity to service future development in the region. Figure 1 various liner options for both stages of the project.
shows a plan view of the NSP alignment. Recommended linings were then presented to project
The project consists of 12.4 km of tunnel that will be excavated stakeholders for approval.
using up to four tunnel boring machines (TBMs). The TBMs will
The following sections of this paper describe the corrosive
range from 3 m to 4 m in diameter, and will drive through geology
ranging from soil (Brighton Group) to weak, interbedded siltstone environment, the lining options considered and the selected
and sandstone (Silurian Formation), to hard basalt (Newer lining solutions for NSP1 and NSP2.
Volcanics). Eight vertical access shafts will be excavated, the
deepest of which will extend 60 m below the existing ground CORROSIVE ENVIRONMENT
surface. The project consists of two stages: NSP1 and NSP2.
NSP1 will be owned and operated by Melbourne Water and NSP2 Internal
will be owned and operated by Yarra Valley Water.
The design life (service life) is specified by the owners to be The internal environment varies along the length of the NSP
100 years, considerably longer than the 40 to 60 years typically tunnels. However, vulnerability to, and potential for, corrosion
achieved when applying Australian Standards. Specifically, this due to internal sulfide attack increases with downstream travel
requirement was interpreted to mean that the structural integrity along the proposed alignment.
of the liner pipe should not be compromised at the end of the Hydrogen sulfide (H2S) is a gas that develops in sewers and
design life, and that it should be feasible and safe to refurbish can cause sulfuric acid to form on internal surfaces. In sewerage
systems constructed with concrete, the sulfuric acid reacts with
1. Associate, Jacobs Associates, Suite 407, 811 1st Avenue, Seattle WA the alkaline component of the concrete and corrodes the
98104, USA. Email: davidson@jacobssf.com structure.
2. Senior Design Engineer, Jacobs Associates, Suite 207B, 757 Bourke Forced ventilation can be used to dry the sewer walls and
Street, Docklands Vic 3008. Email: trim@jacobssf.com prevent the growth of the bacteria that form sulfuric acid.
However, H2S is odorous, so expensive air treatment may be
3. Senior Associate, Sinclair Knight Merz, 590 Orrong Road, Armadale required for any air to be discharged to the atmosphere through
Vic 3143. Email: DFranklin@skm.com.au ventilation. In addition, forced ventilation is only effective over a
4. Principal, Sinclair Knight Merz, 590 Orrong Road, Armadale Vic limited distance. Consequently, many sewers – especially those
3143. Email: JMyers@skm.com.au in warmer climates and those that carry industrial discharges or
5. Formerly: Sinclair Knight Merz. Currently: Manager, South East
ageing/septic sewage – suffer from H2S corrosion.
Water Limited, 20 Corporate Drive, Heatherton Vic 3202. To understand the potential for H2S formation within the NSP
Email: Paul.Hansen@sewl.com.au sewers, a detailed sulfide model was developed to replicate how

G W DAVIDSON et al
H2S corrosion would affect tunnel and shaft linings if groundwater comes from basalt aquifers. Infiltration rates were
unprotected concrete linings were used. The model was based on higher along the NSP2 section of the alignment. Groundwater
work by Matos and de Sousa (1992) and Melbourne and samples from NSP2 also contained more total dissolved solids
Metropolitan Board of Works (MMBW) (1989). The main (salt or chlorides) than the samples from NSP1. However, the
outputs of the model were predicted corrosion rates of most important difference between the two was in the risk for
unprotected concrete. The outputs are summarised in Table 1. mineral precipitation or ‘scaling’.
TABLE 1 Mineral precipitation (scaling)

Northern Sewerage Project predicted concrete corrosion rates
Mineral precipitation, or scaling, is a significant risk to lining
of unprotected concrete.
systems that rely on internal drainage to relieve groundwater
Location Sulfide-induced Comments pressure. If the drainage path becomes obstructed due to mineral
concrete corrosion (usually calcium carbonate) precipitation, groundwater pressure
(upper bound rate, will build up behind the liner and may cause the liner to fail if
mm/yr) the built-up pressure exceeds the capacity of the lining system.
NSP1 … Tunnels To assess the scaling potential of groundwater along the NSP1
and NSP2 alignments, the design team looked at the Langelier
NDS 1 1.0 These predictions were made prior to
several changes in the drop structures
Saturation Index (LSI) and Calcium Carbonate Precipitation
NDS 2 1.0 Potential (CCPP) of water samples from the bores.
that would have increased the
NDS 3 0.5 predicted corrosion rate. As by this The LSI is a qualitative indication of the tendency of calcium
MPIS 0.6 stage the decision had been made to carbonate (CaCO3) to deposit or dissolve. If the index is positive,
line the pipe with a non-corrosive calcium carbonate tends to deposit. If it is negative, calcium
liner, more up-to- date predictions carbonate tends to dissolve. If it is zero, the calcium carbonate in
were not made. the water is at equilibrium. The groundwater samples taken from
NSP2 … Tunnels NSP2 boreholes showed positive Langelier Indices between +0.1
Section 1 1.5 to +1.6. NSP1 groundwater samples indicated both negative and
positive LSIs (-0.6 to +0.3).
Section 2 1.0
CCPP is a quantitative measure of the calcium carbonate deficit
Section 3 0.1 This section serves a smaller (or excess of water) in a sample, and is a more accurate measure
catchment with little forecast growth of the likely extent of CaCO3 precipitation than qualitative indices
and is upstream of any of the major such as the Ryznar Stability Index and the LSI. CCPP can be
drop structures. determined graphically, analytically, or by computer analysis. The
CCPP analysis, carried out for NSP2 borehole No P3-127, was
The predicted corrosion rates vary due to the variability of the performed by the designer’s material and durability specialist,
inputs, such as sewage temperature and pH, predicted upstream Hunter Water Australia. Results are shown in Table 2 and suggest
residential/commercial growth and wastewater chemistry to that the groundwater sample will have a maximum potential for
name a few. The upper end of the range has been used in the final precipitation at a pH of about 10.3.
lining selection for two reasons. First, the risks and costs
associated with corrosion and repair are high. Second, local
changes during the 100-year life of the sewer (eg the addition of
TABLE 2
an industrial development with a major trade waste discharge,
increased use of pump stations in the upstream catchment, or Northern Sewerage Project Stage 2 calcium carbonate
precipitation potential (CCPP).
warmer sewage temperatures due to climate change) could
significantly increase the predicted corrosion rate. pH CCPP (mg/L)
A key issue addressed in modelling was the presence of large 9.16 24
vertical drops (ranging from 10 m to 28 m) in both NSP1 and
NSP2. Vertical drops can cause significant concrete corrosion, as 9.5 39
the turbulence generated in the sewage in these areas can release 10.0 69
large amounts of H2S. While there are published correlations for
10.25 84
predicting H2S release from an ordinary waterfall-type drop, a
literature search revealed no information on H2S release from 10.5 80
vortex drops. As the models used for predicting sulfide generation 10.75 60
are empirical, they need to be calibrated to real sewer conditions.
11 29
In the absence of published data on real conditions, the design
team undertook a sampling program on two existing vortex drops >11 Outside program limit
in the Melbourne sewerage system to collect data that could be
correlated to the models. Melbourne Water has installed a series of The amount of calcium carbonate that deposits from the
corrosion monitoring pins at critical locations in its sewerage groundwater depends on:
system, including the sewers downstream of NSP1. The pins were
monitored regularly to measure the rate at which concrete is being • the initial degree of calcium carbonate saturation of the
lost from the sewer walls. The data from these pin locations were groundwater, and
checked against the predicted corrosion rates from the models. • the rate of replenishment of the calcium-carbonate-saturated
Ultimately, vortex drop structures were included in the NSP1 and groundwater.
NSP2 designs to minimise the release of H2S.
The calcium carbonate saturation of the groundwater along
External NSP1 is different than that along NSP2. The basalt aquifer
groundwater encountered by NSP2 is saturated in calcium
The corrosion potential of the external environment depends carbonate and has the potential to scale. The siltstone and
mainly on the permeability of the geologic units and the alluvium aquifers encountered by NSP1 are not saturated in
chemistry of the groundwater in the area. The groundwater along calcium carbonate and are slightly corrosive (calcium-absorbing)
NSP1 stems from alluvium and siltstone aquifers. NSP2 in nature.

NORTHERN SEWERAGE PROJECT – LINER SELECTION IN A CORROSIVE ENVIRONMENT
A continuing supply of calcium-carbonate-saturated The bolted and gasketed segmental lining system is almost
groundwater is necessary for scale deposits to accumulate. Thus, impermeable by groundwater. It will reduce infiltration
replenishment and supply of calcium-carbonate-saturated considerably, allowing the NSP1 final lining (liner pipe) to be
groundwater is a key factor in the risk of scale developing over designed as a drained pipe (ie pipe joints will not be sealed). In
time. If water cannot reach the tunnel, either because of low- addition to impeding groundwater inflow, the bolted and
permeability ground or a physical barrier like watertight tunnel gasketed segmental lining system will be the primary and
segments, the risk of scaling is much lower. The likelihood of permanent ground support. The function of the NSP1 liner pipe
groundwater replenishment is higher on NSP2, which is the main is mainly hydraulic. The liner pipe will be installed within
reason why the final lining solution for NSP2 is different than precast tunnel segments and low-strength (3 MPa) grout backfill
that of NSP1. Table 3 presents selected groundwater chemistry will be used to secure the liner pipe in place.
values for NSP. The NSP1 bolted and gasketed segmental lining system is
designed to resist the maximum groundwater pressure for the
TABLE 3 service life of the tunnel(s). To achieve a 100-year watertight
design, a factor of safety of two has been applied to the
Selected groundwater chemistry.
groundwater pressure. Therefore, if the tunnel segments are
Test NSP1 NSP2 installed in accordance with the contract documents, little or no
infiltration will occur during the life of the structure. Even if the
LSI (range) -0.6 - +0.3 +0.1 - +1.6 bolted and gasketed segmental lining system allows minor
Chloride (mg/L, max) 2000 2900 infiltration, the hydrostatic pressure would never increase to the
TDS (mg/L, max) 4400 6300 full groundwater head, since the liner pipe joints are not sealed
and will alleviate any pressure.
pH 7.0 - 9.2
NSP2 initial support
Salt (chlorides) NSP2 will be excavated mostly in medium to hard, largely
Another property of groundwater that affects its corrosion self-supporting rock (basalt) with only a small portion being
potential is the amount of chloride ions it contains. Chloride ions excavated in weak rock and soil (approximately 500 m in soft
in saline groundwater can diffuse into reinforced concrete and, ground). The proposed two-pass tunnel lining system consists of
once present in sufficient quantities, can depassivate the steel by an initial support system (rock bolts, shotcrete, steel sets, timber
breaking down the protective oxide layer maintained by the lagging, etc) in Northern Intercepting Sewer (NIS) Sections 2
alkaline environment. The environment provided for steel and 3 (the hard rock sections), a bolted and gasketed segmental
lining system in NIS Section 1 (the weak rock and soil section),
reinforcement in concrete is one of high alkalinity (generally
and a final lining (liner pipe) in all three sections.
pH >13). The concentration of chloride ions required to initiate
corrosion varies depending on the alkalinity. As long as the For NIS Sections 2 and 3, the initial system provides
alkaline environment is maintained, the steel remains passive and temporary support of the ground during construction. It is
any small ‘breaks’ in the protective oxide film are soon repaired. assumed to deteriorate completely over the life of the structure.
If the alkalinity of the surroundings is reduced (eg by reaction Therefore, the final lining will support long-term ground and
with atmospheric carbon dioxide), or if depassivating chloride groundwater loads and needs to meet the infiltration, exfiltration,
hydraulic and durability functional requirements.
ions are made available at the surface of the steel, then corrosion
may begin. The result is loss of steel and subsequent spalling of In NIS Section 1, the bolted and gasketed segmental lining
cover concrete. To limit this risk, a low-permeability concrete system will provide the initial and permanent ground support
mix with sufficient concrete cover is recommended. The required with the liner pipe required to meet infiltration, exfiltration,
depth of cover depends on the permeability and absorptive ability hydraulic and durability functional requirements.
of the design mix, the groundwater head and quality (levels To avoid long-term drawdown of aquifers along the NSP2
of chlorides) and the design life of the element. As shown in alignment, the liner pipe is designed as a sealed system. To
Table 3, the chloride concentrations observed in NSP2 samples prevent groundwater inflows, all NSP2 liner pipe joints will be
were slightly higher than those in NSP1 and both showed levels sealed and designed to withstand the maximum groundwater
greater than 2000 ppm. Australian Standard AS2159 indicates pressure (about three bar).
that chloride levels between 2000 and 6000 ppm should be
classified as mildly aggressive to reinforced concrete elements. Final lining options
Various final lining options were considered. All options needed
COMPARISON OF NSP1 AND NSP2 INITIAL to address functional and performance requirements, including
SUPPORT AND FINAL LINING OPTIONS environmental, groundwater, structural, durability, hydraulic,
construction and sewer access/operation/maintenance issues.
Concurrently with the evaluation of the corrosion potential along Alternatives to liners, such as chemical dosing to control
the NSP1 and NSP2 alignments, the designer reviewed and sulfide generations and ventilation schemes to dry concrete
recommended initial support and final lining options. walls, were also considered. But, due to the large sewage
Recommendations were based on corrosion concerns and other volumes and long distances between shafts, none of the
design philosophies driven by the needs of the owners. alternatives were as economical as the short listed liner options.
Two-pass tunnel lining systems were proposed and accepted Tables 4 and 5 show the short list of options for NSP1 and NSP2,
for NSP1 and NSP2. The initial support systems are described respectively.
below, followed by a review of the final lining options that were
considered. Cast-in-place (CIP) concrete with polyethylene
(PE)
NSP1 initial support
General
The majority of NSP1 will be excavated in soft ground or weak
rock (mostly alluvium and sandstone/siltstone). Hence, NSP1 has Similar to the reinforced concrete pipe (RCP) with polyethylene
been designed with a bolted and gasketed segmental lining (PE), described later in this paper, the PE is a flexible membrane
system (precast reinforced concrete segments). which is integrally cast into a CIP concrete lining. There are

G W DAVIDSON et al
TABLE 4
Northern Sewerage Project Stage 1 short listed final lining options.
No Option Description
1 RCP with sacrificial cover Unprotected reinforced concrete pipe (RCP) with a ‘sacrificial concrete’ layer on the internal surface, standard
cover on the external surface, supplementary cementitious materials and possibly calcareous/limestone
aggregate.
2 RCP + PE RCP with a mechanically anchored polyethylene (PE) sheet lining. Both medium density (MDPE) and high
density (HDPE) are acceptable.
3 CIP + PE Cast-in-place (CIP) concrete with a mechanically anchored PE interior lining.
TABLE 5
Northern Sewerage Project Stage 2 short listed final lining options.
No Option Description
1 RCP with sacrificial cover Unprotected reinforced concrete pipe (RCP) with a ‘sacrificial concrete’ layer on the internal surface,
additional cover on the external surface, supplementary cementitious materials and possibly
calcareous/limestone aggregate.
2 RCP + PE RCP with a mechanically anchored polyethylene (PE) sheet lining. Both medium density (MDPE) and high
density (HDPE) are acceptable.
3 CIP + PE Cast-in-place (CIP) concrete with a mechanically anchored PE interior lining.
4 FRPP Fibreglass reinforced plastic pipe (FRPP) also known as GRP.
5 Polycrete® Polymer concrete pipe (PCP), manufactured by Meyer in Germany or Amiantit in the USA.
several different trademark names for this type of lining: GSE (ie without Portland cement) and mixed with coarse and fine
Stud Liner, AGRU Sure-Grip, AKS, Nuae Carbofix and aggregates to produce a concrete-like product. This material is
Linabond to name a few. Depending on the manufacturer, the resistant to sewer-related H2S corrosion. PCP provides long-term
thickness of PE membrane typically ranges from 1.5 mm to corrosion resistance if there are no aggressive chemicals in the
5 mm. The membranes are manufactured as sheets, which have sewer. Although polymers are subject to creep, creep rates are
anchors or knobs on one side that form a mechanical bond with low compared to PVC or PE pipe, and the proprietary products
the concrete. Depending on the depth and frequency of studs per are regarded as rigid. PCP does not utilise steel reinforcement so
metre, various allowable pull-out capacities can be achieved. there is no possibility for corrosion to the reinforcement. To
AKS and AGRU indicate that their liner systems can withstand provide a fully corrosion-resistant system, the joint collars would
up to four bar of external water pressure. have to be made of stainless steel or fibreglass reinforced plastic
(FRP) material.
Feasibility and performance
CIP concrete with PE has been used worldwide. If installed
correctly, the PE will provide the necessary internal corrosion It is widely accepted that a design life of 100 years can be readily
protection. John Holland Group, the contractor, was engaged achieved with PCP. If PCP is installed using similar methodologies
during the design process to provide preconstruction advice. as RCP, buckling should not be a concern during installation.
John Holland indicated that the minimum internal diameter for PCP has been used on numerous jacked-pipe projects around
feasible CIP linings without PE is about 2 m. The added step of the world, due to its durability and robustness (for handling).
installing a membrane with each pour increases this minimum PCP would meet, and might even exceed, the owner’s functional
dimension greatly. requirements and the design criteria on NSP. At the time this
Placing concrete in a fully circular tunnel section is design decision was made, PCD was not manufactured locally,
challenging. The addition of a PE lining makes installation even and was therefore fairly costly. This was considered a drawback.
more complicated. Special formwork and staging procedures are The extra cost associated with PCP was not warranted on
required to install the membranes and flaws often occur. Because NSP1 since the liner pipe does not carry the long-term ground
PE liners require a positive mechanical connection with the loads and therefore does not need to be as robust. For NSP1, PCP
was not short listed. On NSP2, the final lining will support the
concrete, flaws which go unnoticed will likely result in failure
long-term ground loads, and PCP was short listed due to its
over time if water pressure builds up behind the sheet. Quality inherent corrosion resistance and ability to handle long-term
control issues can be addressed with a thorough inspection and ground and groundwater loads.
testing plan, along with contingency plans for repair procedures.
For NSP1 and NSP2, the CIP option was believed to be Reinforced concrete pipe (RCP) with sacrificial
capable of providing sufficient protection. However, John concrete
Holland indicated that constructability and safety issues would
be of concern, making this option less viable.
General
Polymer concrete pipe (PCP) Plain, unprotected RCP is normally produced with 10 mm or
20 mm concrete cover to the steel reinforcement. For sewerage
General applications, additional ‘sacrificial’ concrete is often provided,
and at least one pipe manufacturer’s catalogue recommends up to
Polymer concrete pipes (PCPs) are proprietary products 35 mm of cover. Similarly, the draft Australian Standard for
manufactured in the US and Germany to standards such as Precast Concrete Pipes specifies 35 mm of cover for marine
ASTM D 6783. PCP is manufactured from polyester resins exposure (with unspecified service life).

Based on the predicted corrosion rates due to sulfide attack,

unprotected RCP would require 10 to 150 mm of internal
sacrificial concrete. The MPIS (NSP1) and NIS Section 3
(NSP2) tunnel sections would require the least amount of
sacrificial cover (50 mm and 10 mm, respectively).
The external concrete cover is also a concern due to the
elevated chloride levels in the groundwater, especially on NSP2.
For NSP1 the standard cover requirement (10 mm) would
provide the appropriate level of protection, but 40 mm cover
would be required for NSP2.

The requirement for 50 mm or more of sacrificial concrete is
significantly more than average for concrete pipes and would
increase the weight of each pipe from approximately 4.0 tonnes
to more than 10.0 tonnes. Manufacture, transport and installation
of these pipes would be problematic.
Also, after considering the diameter of the proposed TBM, the
external diameter of the liner pipe, initial ground support, pipe FIG 2 - Sample of high-density polyethylene (HDPE) with
transport within the tunnel and tunnelling tolerances, it was clear mechanical anchors.
that there was insufficient space available to effectively and
efficiently install RCP with any considerable amount of clean, dry, well-prepared surfaces and well-established welding
sacrificial cover within any of the NSP tunnel sections in which a
procedures to achieve suitable welds. In this application, where
precast concrete tunnel segment had been proposed. Thus, the
only viable locations for this option were the NIS Section 2 and 3 groundwater, high humidity and dew point conditions may be
tunnels. After considering the predicted corrosion rates for the present, welding is a risk to the long-term performance. This is
NIS Section 2 and 3 tunnels, it was evident that NIS Section 3 more risky on NSP2, where the primary support does not restrict
(corrosion rate of 0.1 mm/yr) was the most viable tunnel section groundwater inflows. On NSP1, the proposed primary lining,
for this option due to the thinner required sacrificial concrete precast concrete segments, will provide a more controlled
thickness. environment by restricting groundwater inflows during pipe
installation, thus reducing the long-term risk.
Reinforced concrete pipe (RCP) with polyethylene As all concrete cracks to some extent, groundwater with 30 to
(PE) (mechanically anchored lining) 40 metres head would seep through the wall of a concrete liner
pipe. Depending on the quality of the groundwater, there is a risk
General that scaling could occur within the pipe. This risk applies more
to NSP2 as the groundwater along NSP1 has less potential to
Polyethylene (PE) is available in a number of variations based on precipitate and NSP1 utilises a bolted and gasketed segmental
densities. PE pressure pipes, for example, are manufactured from lining system which will provide another positive barrier in
either high- or medium-density PE and have a recognised ability preventing sustainable groundwater inflows.
to provide long-term performance. As stated previously, it is
widely accepted that PE can provide a 100-year service life. If scaling occurs behind a PE sheet liner over a long period,
However, resistance to environmental stress cracking induced by bulging and failure of the sheet anchoring system can occur.
detergents is a potential issue with low-density PE (LDPE) in a
sewerage application. Stress cracking could possibly occur in Fibre reinforced plastic pipe (also known as glass
areas of high stress such as at welds. For this reason, LDPE was reinforced plastic)
not recommended without further information. RCP with high-
density PE (HDPE) or medium-density PE (MDPE) sheet liners
were considered acceptable. Figure 2 presents a sample of HDPE
General
showing one form of mechanical anchors. Fibre reinforced plastic pipe (FRPP) is made from polyester resin
Non-black materials are recommended for fabrication to assist and fibreglass. It is inherently resistant to hydrogen sulfide
in internal and visual inspections. attack, and therefore a corrosion resistant internal lining is not
necessary. The structural design of the liner pipe will allow for
Feasibility and performance backfill grouting of the annulus between the liner pipe and the
tunnel wall (similar to RCP options). The pipe material is
PE liners, whether HDPE or MDPE, have equivalent corrosion generally impermeable and gasketed joints between pipe sections
resistance and there is little concern that there will be any short- create a watertight final lining if required. For buried FRPP and
or long-term corrosive effects on a PE liner under normal pipes used in sewers, the typical pipe stiffness range is SN5000
operating conditions. PE is a material of choice for many to SN15000.
national and international water agencies for the transportation of
sewage. A suitable quality of PE material would meet AS/NZS Pipe stiffness is the product of the ring flexural modulus of
4131 or equivalent ISO standards. Plasticised PVC has been in elasticity (E) of the pipe wall material, and the moment of inertia
use long term with few corrosion issues. The most significant (I) of a unit length of the pipe divided by the mean diameter
problem with PVC was due to high levels of chlorine in a sewer, cubed (EI/D3). The pipe stiffness does not reflect a specific pipe
which resulted in the leaching of plasticisers, embrittlement and thickness or elastic modulus but a combination of the two.
changes in volume. This was considered a rare case and unlikely Different manufacturers will achieve the specified stiffness by
to be repeated, but supports the view that the plasticised PVC has different means. As is typical with FRPP production, full-scale
less corrosion resistance than HDPE or MDPE. test specimens are produced and tested to confirm the properties
Sheet-lined concrete pipe systems require welding at joints to specified.
provide a continuous corrosion barrier across the joint. This Non-black materials are recommended for fabrication to assist
requires in-tunnel welding. The welding of the sheet requires in internal and visual inspections.

G W DAVIDSON et al
Feasibility and performance FRPP was not short listed on NSP1, due to the lack of local
suppliers during the NSP1 selection period (NSP2 selection
FRPP has been widely used for sewer applications. Where there period occurred about two years later), cost and Melbourne
have been problems, they have been related to the use of low Water stakeholders’ risk assessment of FRPP.
stiffness pipes (SN1250 - SN2500) and inadequate construction
practices, leading to ovality and buckling problems. Stiffer pipe
and cementitious grouts can be used to control these problems.
Selection
Creep and the reduction of stiffness over time are known For both projects, constructability, cost and durability assessments
issues with FRPP. These issues can be addressed by detailed were carried out for all of the short listed options during the
structural design, a well-defined testing program, and use of a detailed design phases (which, as stated above, occurred at
pipe class of SN5000 or greater. different time periods) to determine the most economically
Appropriate corrosion resistance is obtained using isophthalic viable solution. These assessments involved discussions with the
polyester resin systems for internal surfaces exposed to the contractor and owners. Throughout the evaluation period, various
sewage in conjunction with ECR (corrosion resistant glass) glass workshops were carried out with Yarra Valley Water and
fibres. This combination provides resistance to strain corrosion in Melbourne Water stakeholders to get their opinions and
a sewer environment. Corrosion would not need to be considered comments on the final lining recommendations.
in the future, as strain corrosion is the mechanism whereby NSP1 and NSP2 tunnels are different in terms of geology,
long-term performance of FRPP can be compromised. Using ground support requirements, groundwater chemistry, predicted
glass fibres with high resistance to corrosion and minimising corrosion rates, flow rates and risk. These differences led to
strain by ensuring there is minimal ovalisation of the pipe different solutions being selected for the final lining options.
reduces the likelihood of this form of degradation. It is likely that Constructability issues dictated that a liner pipe, rather than a
a service life well in excess of 100 years could be achieved by cast-in-place system, would be the best option for the NSP
the use of this material. During grouting there may be some tunnels. The proposed options for NSP are as follows:
temperature increases; however, as the material is thermoset,
• NSP1 – RCP with HDPE; and
short-term temperature increases will not affect its performance.
Generally, due to the high tensile strength of FRPP, the wall • NSP2 – NIS Sections 1 and 2 are FRPP, and NIS Section 3 is
thickness tends to be much less than that of reinforced concrete RCP with sacrificial concrete.
pipe and Polycrete pipes; therefore, FRPP would be lighter and Figure 3 shows the two-pass tunnel lining systems for NSP2.
less rigid. For this reason, a detailed procedure for installation of
FRPP is necessary. Loads due to floatation and high grouting
CONCLUSIONS
pressures are leading causes of FRPP failures during installation.
These issues can be avoided with proper blocking, staging of All of the short listed options, for both stages, would meet the
grouting and a well-designed grout mix. Of course, the extra care owner’s functional requirements. Each option has advantages and
during placement adds to the installation cost. disadvantages. The final decision considered lowest cost options,
FIG 3 - Northern Sewerage Project Stage 2 initial and final lining systems.

as well as best-value options, which were inherently corrosion providing watertight joints, thereby eliminating infiltration and
resistant, relatively strong and met these functional requirements. exfiltration, and is also likely to have significant post-design-life
performance. Based on the constraints of this project, FRPP
NSP1 involves the least risk of structural failure or costly maintenance
for NSP2.
The RCP with HDPE option is the lowest-cost option which
Due to the lower predicted corrosion rates for NIS Section 3,
meets the designer’s and owner’s requirements. The robust bolted
RCP with sacrificial concrete option is the lowest-cost option
and gasketed segmental lining system, the owners’ preferences,
which meets designer’s and owner’s requirements.
and the lower design risk led to the selection of this option over
the two other short listed options.
REFERENCES
NSP2 Matos, J S and de Sousa, E R, 1992. The forecasting of hydrogen sulfide
gas build-up in sewerage collections systems, Wat Sci Tech,
The FRPP option for NIS Sections 1 and 2 is the best-value 26(3-4):915-922.
option for a sewer pipe that is inherently corrosion resistant, Melbourne and Metropolitan Board of Works (MMBW), 1989. Hydrogen
relatively strong (though reliant on the passive support of sulfide control manual, septicity, corrosion and odour control in
surrounding grout) and independent of separate systems (such as sewerage systems, Technological Standing Committee on Hydrogen
PE sheet, anchor lugs and drainage, etc). It is capable of Sulfide Corrosion in Sewerage Works.

Design, Inspection and Rehabilitation of the New Croton
Aqueduct, New York City
A Noble1, D Roberts2 and A Fareth3
ABSTRACT Brinckerhoff Quade and Douglas, Inc (PB) in association with

Montgomery Watson Harza of New York, PC (MWH). PB was
Constructed between 1885 and 1891, the New Croton Aqueduct (NCA)
in New York State is a 50 km long (31 mi) brick-lined tunnel conveying subcontracted to the Joint Venture of Metcalf and Eddy of New
water from the Croton watershed north of New York City to distribution York, Inc and Hazen and Sawyer, PC, to lead the engineering
systems in the Bronx and Manhattan. Except at two siphons, the aqueduct design effort for the rehabilitation of the NCA from the Croton
operates as an open channel conduit from the New Croton Reservoir Lake Gate House to Shaft 33.
downstream 39 km (25 mi) to the Jerome Park Reservoir in the Bronx. This paper also includes some of the more interesting structural
The remaining 11 km (6 mi) is operated as a pressurised conduit and findings of the original construction as well as documents and
includes a major siphon, of circular cross-section, under the Harlem drawings from the NYCDEP archives. The rehabilitation program
River. The aqueduct has a flow capacity of approximately 1100 million
has been underway in phases since 1993, with inspections
litres of water per day (13 m3/s or 290 million gallons per day) and
supplies on average ten per cent of New York City’s drinking water. The scheduled to minimise outages, allowing this strategic aqueduct to
City’s water supply system is operated and maintained by the New York remain in service during critical seasonal periods.
City Department of Environmental Protection (NYCDEP). The paper is structured in three sections:
This paper covers the work done during the three main stages of the • part 1 – planning and design,
program to rehabilitate the entire NCA: inspections, design and
rehabilitation. It also includes some of the more interesting structural • part 2 – inspection, and
findings of the original construction as well as documents and drawings
from the NYCDEP archives. The rehabilitation program has been
• part 3 – rehabilitation.
underway in phases since 1993, with inspections scheduled to minimise The contents in Parts 2 and 3 are drawn largely from two
outages, allowing this strategic aqueduct to remain in service during separate papers prepared for the Rapid Excavation and
critical seasonal periods. Tunnelling Conference (RETC) 2007. These were separate
The open channel flow section of the aqueduct in the north is papers in their own right and the extracts herein are combined
horseshoe shaped, with inside dimensions of 4.1 m (13.6 ft) in width and with a new section, Part 1 – Planning and Design, which is added
4 m (13.5 ft) in height. The pressurised section is 3.7 m (12.3 ft) in to provide a less detailed, high-level overview of the design of
diameter, and includes a 90 m (330 ft) deep siphon under the Harlem the entire NCA rehabilitation program.
River. A total of 163 million bricks were used in the construction, enough
to build a 48 km (30 mi) wall around Manhattan Island, 3 m (10 ft) thick The major part of the design was undertaken during 2002 to
and 15 m (50 ft) high. 2004. The main inspection and rehabilitation work was performed
Between 1993 and 1997 a series of in-tunnel investigations were during two construction seasons in 2004 and 2005.
performed in the open channel portion of the NCA, consisting of field
inspection, non-destructive geophysical testing, and coring of the brick PART 1 – PLANNING AND DESIGN
liner.
Between November 2004 and September 2005, a major inspection The NCA is a 3.73 to 4.34 m (12.25 to 14.25 ft) diameter brick-
program was conducted to assess the condition of the 11 km (6 mi) long lined circular and horseshoe-shaped water tunnel constructed
pressurised section and all shafts, headhouses and blow-off structures between 1885 and 1891. The aqueduct conveys water by gravity
along the entire 50 km (31 mi) alignment. Inspection methods included and pressurised flow for approximately 50 km (31 miles) from
using an underwater remote operated vehicle (ROV) equipped with sonar the New Croton Reservoir in Westchester County, New York to
and cameras to inspect the deep siphon, fibre optics examinations of distribution and reservoir points along its alignment, terminating
probe holes drilled through and beyond the brick lining, and core holes at a distribution station on 135th Street and Convent Avenue in
and geophysical inspections to assess properties of the liner and
behind-the-liner materials. A water pressure and test grouting program
Manhattan, NY (Figure 1). Outstanding features of the NCA
was conducted to assess methods and expected grout takes for the include a large intake facility at the New Croton Reservoir,
rehabilitation work in the pressurised sections. The rehabilitation 38.6 km (24 mi) of gravity flow horseshoe-shaped aqueduct,
program is anticipated to be completed in 2010. 11.3 km (7 mi) of pressurised flow circular-shaped aqueduct, two
siphons and 36 open shafts and headhouse chambers which are
used as sampling, access and blow-off locations. Until a partial
INTRODUCTION inspection in 1982, the NCA had flowed continuously since its
This paper describes the rehabilitation design for parts of the completion nearly 100 years before. Flow tests have confirmed
New Croton Aqueduct (NCA) undertaken for the New York City that the NCA can convey up to 12.7 m3/s (290 million gallons per
Department of Environmental Protection (NYCDEP) by Parsons day).
PLANNING AND DESIGN OF THE

1. Senior Project Manager, Parsons Brinckerhoff Australia, Level 27,
Ernst & Young Centre, 680 George Street, Sydney NSW 2000. REHABILITATION
Email: anoble@pb.com.au The overall concept for rehabilitation of the New Croton
2. Senior Supervising Engineer, Parsons Brinckerhoff, One Penn Plaza, Aqueduct (NCA) was developed in the early 1990s, at which
New York NY 10119, USA. Email: robertsd@pbworld.com time a far-reaching program for achieving a logical and practical
3. Executive Project Manager, New York City Department of
approach to the work was established. Since outages could only
Environmental Protection (NYCDEP), Bureau of Engineering take place seasonally, contracts for any program had to be
Design and Construction, 96-05 Horace Harding Expressway, 5th appropriately sized to coincide with the seasonal outages, while
Floor Low Rise – Lefrak, Corona NY 11368-5107, USA. taking into account the operational needs of other water supply
Email: afareth@dep.nyc.gov aqueducts owned and operated by NYCDEP.

A NOBLE, D ROBERTS and A FARETH
The design for the NCA rehabilitation was initially based on The field investigation program in 1993 included:
the results of previous investigations performed within the
aqueduct’s gravity flow section in 1993 and 1996.
• visual inspection of 9.6 km (6 mi) of tunnel;
• geophysical surveys of 9.6 km (6 mi) of tunnel;
• remote operated vehicle (ROV) inspections:
• Gould’s Swamp siphon, and
• Harlem River siphon;
• probe and core drilling; and
• fibre optic scope inspection.
The field investigation program in 1996 included:
• visual inspection of the remaining 29 km (18 mi) of gravity-
flow tunnel,
• geophysical surveys of 29 km (18 mi) of tunnel,
• probe and core drilling,
• fibre optic scope inspection,
• test grouting program,
• epoxy mortar lining – test section,
• high quality video recording, and
• walk-through inspections in 5.3 km (3.3 mi) length of
pressurised section of NCA.
In general the design phase focused on restoration of the brick
lining rather than its replacement with concrete or shotcrete.
Where significant defects had been observed in previous
inspections and were determined to require larger-scale repairs, in
situ concrete was used since it was the most efficient and practical
material for transport to the location and executing the repair
(Figure 2).
The design phase also considered temporary structures, such
as the design of standby bulkheads to fit inside the shafts in the
pressurised section of the NCA. These temporary bulkheads
would serve as a means of restoring the service of the NCA
should it be required to provide water to the city in the event of
an emergency situation elsewhere in the water supply system.
In addition, the design phase included mechanical engineering
for the inspection and replacement of ageing infrastructure such
FIG 1 - Croton water supply system. as pipes, gates and valves.
FIG 2 - Diagram showing the horseshoe-shaped brick liner of the New Croton Aqueduct in the gravity flow portions of the alignment.
The profile on the left shows a typical cut-and-cover section: the profile on the right is typical of the mined sections. Source: The City
of New York Aqueduct Commission, 1895.

DESIGN, INSPECTION AND REHABILITATION OF THE NEW CROTON AQUEDUCT, NEW YORK CITY
SURVEY AND SHAFT IDENTIFICATION Brief descriptions of the processes involved in dewatering,
reactivation and rewatering are provided below. They do not
The NCA has a total of 33 separate shafts ranging in depth up to include the full steps that are taken for each process, but serve as
120 m. In addition there are 16 shafts that have been filled and an overview of the basic procedures.
abandoned as they were used only for construction purposes.
The shafts that remain in service are divided into those still Dewatering
used for access, such as those at headhouses, and those which are
capped at ground level, but remain open. Because the precise The theoretical volume of water contained in the NCA, when
location of some of the shafts in the latter group was not known running full, is approximately 700 ML (185 million gallons). It is
normally taken off-line on an annual basis at the start of each
at the time of the initial inspections, an in-tunnel alignment
off-peak period of the year (for a few weeks in late August or
survey was undertaken to accurately map and locate the entire early September) as reduced off-peak flows might otherwise
tunnel and its shafts. With the availability of GIS and affect water quality. When normally taken off-line, the gravity
computer-based records up-to-date methods were used to acquire flow section of the aqueduct is allowed to drain and settle to the
an accurate, CAD-based alignment (Figure 3). elevation of water in the Jerome Park Reservoir (JPR) at the
time. Full dewatering of the gravity flow section of the aqueduct
WATER SUPPLY DURING NEW CROTON would drain a maximum of approximately 568 ML (150 million
AQUEDUCT (NCA) OUTAGES gallons) of water to the JPR. During dewatering of the NCA,
valves are closed at Croton Lake Gate House (at New Croton
The NCA Rehabilitation and Inspection Program required that the Reservoir), and water contained in the aqueduct is released. (The
entire 50 km long aqueduct be temporarily taken out of service. pressurised section of the aqueduct has also been dewatered
The duration that this water supply facility could be taken several times in the past decade.) Dewatering the entire NCA
off-line is limited to that period of the year (generally mid- when full can take up to five days.
September through May) when demand by communities that rely
on the NCA for water supply is below peak levels. During this Reactivation
off-peak period, alternative water sources are sufficient to meet A multi-step process is implemented as part of the action to
the needs of these communities. restore the NCA for use as a public drinking water supply facility
Preparing the NCA for rehabilitation and inspection, and at the end of the construction season. The process includes:
restoring it for use as a public drinking water supply after work
has been completed, involves three basic procedures that have • Removing all construction debris and materials from the
been developed by NYCDEP in concert with the New York State NCA resulting from the inspection, drilling, grouting, testing
Department of Environmental Conservation (NYSDEC), the and rehabilitation operations. All debris and materials
New York State Department of Health (NYSDOH) and the New generated from the work would be removed from the tunnel,
York City Department of Health and Mental Hygiene shafts and appurtenant structures and disposed of legally
(NYCDOHMH), and employed as part of the city’s ongoing off-site. All temporary ventilation ducting and
maintenance procedures. Three times in the recent past, prior to communication lines would also be removed.
the inspection and rehabilitation work described in this paper, the • Disinfection – boots and equipment are disinfected before
NCA had been taken out of service and restored to service, entering the NCA to minimise contamination. At the end of
following the complete cycle of the three basic procedures – the construction season, the NCA would be disinfected prior
dewatering, reactivation and rewatering. Nevertheless, the to returning it to service. As the final stage of cleanup after
Rehabilitation and Inspection Program was a challenge that removing construction debris and materials, a dilute chlorine
required the concentrated efforts of all parties involved to ensure solution would be sprayed on all surfaces of the tunnel and
the proper coordination of all technical, environmental and shafts where any work was performed and that would be
community-related tasks. contacted by water upon rewatering.
FIG 3 - Location map showing the alignment of the New Croton Aqueduct as it passes from the New Croton Reservoir on the far right
(north-east) of the map, through Westchester County, the Bronx and into Manhattan (North points to the upper right corner of the map).
Source: The City of New York Aqueduct Commission, 1887.

The actual steps involved in the three basic procedures are Seismic history
more complex and include pre-activation plus four additional
phases. However, these steps are not covered in this paper. The counties of Westchester and the Bronx, New York, have had
an intermediate level of seismic activity throughout their
recorded history. Although the region is clearly not as
Rewatering seismically active as some parts of the western United States,
Once the disinfection process is completed, the rewatering of the historic earthquakes that are moderate in size compared to the
NCA would begin upon receipt of written authorisation from rest of the north-eastern United States have been recorded.
NYSDOH/NYCDOHMH to allow the NCA water supply to Several recent earthquakes have reported epicentres within a
enter the distribution system. Water flow would be phased into few miles of the NCA. An 1874 earthquake of magnitude 4.8
the distribution system, with the flow rate adjusted to meet (Richter) reportedly occurred at Tarrytown, New York, about one
distribution system demand. A fluoridation facility and corrosion mile west of the NCA alignment. An earthquake of magnitude
control treatment would be activated, and normal operating 4.0, and a series of nearby aftershocks, was recorded in close
protocols for the NCA would resume. proximity to the NCA alignment at Ardsley, New York in 1985.
Additional epicentres have been reported in association with the
STRUCTURAL AND ARCHITECTURAL Dobbs Ferry Fault Zone, including a January 2003 earthquake
RESTORATION of intensity 1.5 (Lamont-Doherty Cooperative Seismographic
Network, 2004).
At a number of locations the shafts are covered by headhouses According to the United States Geologic Survey National
and have adjacent blow-off structures. These are typically large, Seismic Hazard Map (2004), south-eastern New York is
grand structures built in local stone and are of historical vulnerable to an earthquake ground acceleration in the range
significance. The purpose of the restoration was to make the 0.20 g to 0.30 g, with a two per cent probability of occurrence in a
structures safe and to replace doors, windows, vents, gates and 50-year period. The return period of the selected earthquake is
grilles to ensure the long-term security of the facilities as well as 2475 years.
to substantially extend their life during the harsh New York
winters when freeze/thaw conditions take their toll on mortared Seismic hazards faced by underground structures can be
masonry structures. grouped into two categories:
One of the larger headhouses is shown in Figure 4. 1. ground failure such as liquefaction, fault displacement and
slope instability; and
2. ground deformation.
This section presents an overview of the analyses for seismic
hazards such as liquefaction, lateral spreading and instability of
embankments.
Investigation and evaluation of liquefaction

potential
Soil liquefaction is a significant reduction in soil strength and
stiffness as a result of increase in pore pressure and is a major
cause of damage during earthquakes. Liquefaction hazards
include:
1. bearing failure,
2. settlement,
3. localised differential lateral movements, and
4. ground loss or highly localised subsidence associated with
FIG 4 - Typical headhouse at shaft. expulsion of material such as ‘sand boils’.
Over some lengths of the NCA, groundwater is present at
SEISMIC EVALUATION STUDY relatively shallow depth (within 1.5 m, or 5 ft, below the ground
surface), and soils of low plasticity exist.
Overview
Screening for liquefaction susceptibility
This section provides an overview of the seismic evaluation
study that was performed. A study of new and existing borings made near the NCA
Seismic response of the NCA was not likely a consideration in indicated that varying thicknesses of sands and silts are generally
its original design. Because larger ground deformations during present. The surficial fill layer varies in thickness from 3 to 6 m
an earthquake occur at shallow depths, the scope of this study (10 to 20 ft) and consists of medium dense to dense, coarse to
was primarily focused on the shallow portions of the aqueduct. fine sand with silt. The fines content of the fill layer varied
These areas include the cut-and-cover sections adjacent to five of between three to 24 per cent, with most values near ten per cent.
the shafts, and the shallow rock cover areas upstream and Based on the above characterisation, this material is in general
downstream of Gatehouse 1. vulnerable to liquefaction.
To develop an understanding of the geologic and geotechnical A 3 to 12 m (10 to 40 ft) thick deposit of dense to very dense
environment, a field investigation program involving borings and coarse to fine sand with silt and varying amounts of gravel was
cone penetration test soundings at various locations along the encountered at various locations investigated along the alignment.
tunnel alignment was conducted. An assessment of structure The high SPT N-values within this stratum indicate that it should
behaviour to seismic shaking was undertaken. It included not be vulnerable to liquefaction. Underlying the sand deposit is
structural response to ground deformation and development of a glacial till deposit consisting of mainly dense to very dense,
seismic design loading criteria. coarse to fine sand with trace of silt and clay and trace of gravel.

The higher confining stresses at these deeper depths in conjunction In rock sections, drill and blast methods with variable
with the high SPT N-values exhibited by these sands preclude the overbreak were used to excavate the rock to construct the
occurrence of liquefaction in this stratum. aqueduct. Gaps between the exterior of the liner and the rock
In conclusion, it appeared that with the exception of the were backfilled with rubble masonry with varying degrees of
shallow surficial fill layer none of the soil strata would be control. Many locations were grouted as part of a remedial
susceptible to the potential of liquefaction. program conducted after the aqueduct had been in service for
several years. Clearly, the presence of any voids and space
Evaluation of lateral spreading between the liner and the outer material impacts the behaviour of
the aqueduct.
Lateral spreading occurs primarily by horizontal displacement of
the surficial soil layer due to liquefaction of underlying granular Critical tunnel configurations selected for
deposits. The degradation in the undrained shear resistance
arising from liquefaction may lead to limited lateral spreads
analyses
induced by earthquake inertial loading. The determination of Several locations identified as potentially critical to the
lateral spread potential and an assessment of its likely magnitude performance of the tunnel under seismic loads were selected for
were conducted for potentially vulnerable stretches of the NCA. analysis. These included locations where the aqueduct structure
Source parameters included the design earthquake magnitude, is shallow and near the toe of existing relatively steep and high
the horizontal distance from the site to the seismic energy source slopes, where the aqueduct is founded in soil and covered with
and the ground slope. minimal soil cover, and where the aqueduct is shallow but
In general, the soils encountered in the borings have a founded on rock with limited ground cover. The sections in
negligible potential for liquefaction, except for only localised shallow ground are vulnerable because there is less overburden
zones, which might have some potential for liquefaction. The to keep the unreinforced masonry arch in compression. However,
average cumulative thickness of layers with corrected blow analysis indicated that although sections would crack to form
counts (N1)60 less than 15 is about 1.5 m (5 ft). Therefore, the hinges, allowing the liner to deform with the ground motions, it
lack of continuous liquefiable sandy layers precludes the would not form collapse mechanisms.
occurrence of lateral spreading at the sites studied along the
alignment during the design earthquake.
ARCHIVE DRAWINGS FROM
Seismic slope instability THE AQUEDUCT COMMISSION
Slope instability and landslides across the tunnel as a result of The archive records held by NYCDEP are a fascinating
ground shaking are common and can result in concentrated collection of high-quality drawings produced by The Aqueduct
shearing displacements and collapse of the tunnel cross-section. Commission in the 1880s. Of particular interest are those relating
The potential for slope instability is the greatest when a to the blow-off structures and shaft headhouses, where attention
pre-existing landslide mass intersects the tunnel, particularly in to detail in the drawings of the masonry structures shows an
the shallow parts of the tunnel alignment. Potentially critical almost photographic quality.
slopes were identified and investigated, and it was determined In the brick linings of the horseshoe-shaped tunnel, the lower
that they are stable and would not adversely impact the tunnel corners were made from special bricks shaped to allow the
alignment under static conditions. connection from two large radius curves. This detail has proven
to be one of the strongest features in the lining construction as
Seismic tunnel-liner and soil interaction analyses very few areas exhibited problems at this joint.
Figure 5 is an archive drawing showing a front elevation of a
Transient ground deformation induced by the passage of a shaft headhouse with blow-off tunnel and waste weir. This is
seismic wave can be quite complex, because seismic waves within a section of aqueduct constructed by cut-and-cover
interact with surficial soft deposits to generate surface waves. To
methods.
analyse the effects of the ground deformations, the engineer
simplifies them into three primary modes: Figure 6 is an archive drawing showing an end and front
elevation of a shaft headhouse where a stream passes beneath the
1. compression-extension, NCA. This is also within a section of aqueduct constructed by
2. longitudinal bending, and cut-and-cover methods.
3. ovalling/racking.
These modes are then applied to a soil-structure interaction PART 2 – INSPECTION
finite element model, and the resultant forces and deformations
evaluated against the known properties of the soil and structure. Objective
The objective of the shaft and tunnel inspections was to locate
Tunnel structure details and document defects, such as leaks, deterioration of lining
material, cracks, spalls, delaminations, heaves and voids.
Knowledge of construction details is essential to construct an
accurate computer model. Therefore, the construction methods Information gathered during the visual inspection was used to
that were used during tunnel construction were researched and establish focal areas for both future repair contracts and further
reviewed from available literature, which includes three detailed field investigation, which included coring, probe drilling, fibre
reports issued by The Aqueduct Commission over the duration of optic scope inspection and test grouting.
the work.
The tunnel section for almost the entire length of the gravity INSPECTION OF THE TUNNEL AND SHAFTS
section is an unreinforced masonry horseshoe with a variable
wall thickness. In soft ground, the masonry was founded on a Support for the inspection was provided by AFC Enterprises, Inc,
platform 600 mm (2 ft) thick, consisting of two courses of square under construction contract CRO-333, ‘WM-11 New Croton
yellow-pine timbers. In cut-and-cover sections, the aqueduct was Aqueduct Rehabilitation and Inspection Program’.
founded either on soil or on rock and covered with earthen The scope of the inspection work under CRO-333 included
backfill. assessing the condition of the 9.6 km (6 mi) long pressurised

section of NCA and inspection of shafts, headhouses and Visual inspection

blow-off structures in both the pressurised and gravity sections.
The CRO-333 inspections were conducted from November 2004 Tunnel inspection was performed between stations 1266+54 and
to September 2005. 1479+30 in the Bronx and stations 1503+17 and 1627+85 in
Manhattan. Manned inspections were conducted at Shafts 8,
11B, 14A, 18-1/4, 21, 23, 26, 28 and 29. Figure 7 shows a typical
inspection team.
FIG 7 - Inspection team within the Manhattan pressurised aqueduct.
Brick-lined portions of the tunnel and shafts were sounded,

and the entire tunnel alignment was visually inspected. Potential
voided areas were recorded in the field log and marked on the
wall for possible future probe hole drilling. Where leaks were
observed, the location was identified and inflow volumes were
estimated and recorded. Observations were also recorded in a
field log with reference to stationing and position on the tunnel
FIG 5 - Typical front elevation of a shaft headhouse showing perimeter. The lowest part of the invert was typically covered
blow-off tunnel and waste weir. Source: The City of New York with water 100 to 200 mm (four to eight inches) deep, preventing
Aqueduct Commission, 1895. inspection; but defects were noted when observed.
FIG 6 - Typical front and end elevation of a shaft headhouse where a stream passes beneath the New Croton Aqueduct (NCA).
Source: The City of New York Aqueduct Commission, 1895.

Remote video inspections were performed at Shafts 1, 2, 3, 4, grouting program and after grouting to evaluate the efficiency of
5, 6, 10, 11A, 12A, 13, 15 ½, 16, 17 ½, 19, 19 5/8 and 20. Real the grouting operations.
time visual inspection was performed from the surface collar to
the tunnel invert using a remotely operated camera, at an average Test grouting program
rate of 5 ft/min.
Test grouting was performed in both the Bronx and Manhattan
pressurised tunnels and at two shaft locations. The major
Remote operated vehicle (ROV) inspection of the objectives of grouting are to fill voids and fractures and to reduce
Harlem River siphon water infiltration into the tunnel. The test grouting program was
The siphon under the Harlem River extends to a depth of 122 m performed to identify optimal grouting materials, methods and
(400 ft). The purpose of performing a remotely operated vehicle procedures and to provide a basis for estimating quantities and
(ROV) inspection instead of dewatering the siphon and set-ups for the rehabilitation contract (Figure 8).
performing a walk-through inspection was to minimise the risk
of the lining buckling due to external water pressure acting on an
empty lining. The siphon has never needed dewatering since it
was brought into operation in 1891.
The inspection of the Harlem River siphon and appurtenant
shafts and structures was conducted by an underwater ROV,
which was equipped with high resolution video and dual imaging
sonar instruments. The objective was to verify shaft and siphon
lining materials and construction features, to assess sediment
levels and debris accumulations, to locate defects and to obtain
video and sonic records of the structures.
Non-destructive geophysical testing

Non-destructive geophysical testing was performed within
Gould’s Swamp siphon, a siphon under a marsh in the gravity
section of the NCA, the ‘soft rock zone’ from Station 777+00 to
Station 780+00, pressurised sections of the aqueduct in the
Bronx and Manhattan and at locations of known filled shafts
within the aqueduct. Non-destructive testing methods included FIG 8 - Test grouting operations in the Bronx pressurised aqueduct.
sonic/ultrasonic direct and refracted stress wave, seismic
refraction, electromagnetic conductivity (EM), electric resistivity
and ground penetrating radar (GPR). Surveys were concentrated Contact grouting was used to fill voids between the tunnel
at the ten, 12 and two o’clock positions of the tunnel crown. liner and the surrounding grouted and mortared rubble zone or
voids between the mortared rubble zone and the foundation rock
The purpose of the non-destructive geophysical testing was to mass. Consolidation grouting was used to fill geologic features,
assess the relative strength and integrity of the tunnel liner and of such as open cracks and joints in the surrounding foundation
the materials behind the liner, typically a mortared and grouted rock mass. Upon completion of the test grouting, a series of
rubble. Analysis of the data focused on anomalies, indicative of check holes were drilled within the test grouted areas to
deteriorated materials, poorly grouted sections, metallic objects determine the effectiveness of the work.
and air or water-filled voids. Non-destructive geophysical testing
was also used to locate and estimate the sizes of the abandoned
shafts. SUMMARY OF INSPECTION PROGRAM
FINDINGS
Probe hole and fibre optic testing
Overview
A fibre optic testing program was conducted at locations that
appeared from the visual and geophysical investigations to merit The comprehensive field investigation program was used to
further investigation. Probe holes were drilled and inspected with assess the current condition of the NCA and to design a
fibre optics to evaluate the extent of voids behind the brick liner, rehabilitation program. Overall, the tunnel and shafts are in very
to quantify the thicknesses of the brick liner and the grouted and good condition, with reparable leaks or defects at some locations.
mortared rubble zone, to investigate geophysical anomalies and The visual inspection identified tunnel defects and the
visual observations, and to verify historic information. Probe geophysical inspection determined the condition of the brick
holes located within a test grouting zone were incorporated into liner and the grouted and mortared rubble backing. Visual and
the grouting program. geophysical inspection findings frequently complement the
laboratory test results. The test grouting program successfully
Diamond core drilling and water pressure testing stopped or decreased inflows into the test areas. The locations of
abandoned shafts were verified using geophysical methods.
Continuous diamond core drilling was performed in selected areas Investigations of the ‘soft rock zone’ determined that the area is
of the aqueduct to obtain samples of the tunnel lining, mortared geologically stable.
and grouted rubble and foundation bedrock for material
identification and laboratory testing to determine engineering Visual inspection
properties. The data obtained were used to calibrate and help in
the interpretation of the non-destructive geophysical test data.
Tunnel
Single packer water pressure tests were conducted in selected
core holes, to obtain data on the permeability of the brick liner, A total length of 10.2 km (6.35 mi) of tunnel and 23 shafts were
the mortared and grouted rubble zone behind the liner, and the inspected. Overall, the tunnel was found to be in very good
bedrock foundation. The testing results were used to establish the condition. However, some areas exhibited significant defects
fluid pressures required for grout injection during the test ranging from hollow sounds, leakages, cracks and mortar loss.

Shafts granitic pegmatite. Fibre optic scope investigations and core

recovery revealed small voids in about one-half of the holes.
There are a total of 49 shafts along the aqueduct alignment, Voids ranged from 25 to 250 mm (1 to 10 in) thick and occurred
ranging from large chambers in cut-and-cover sections, to small mostly in the mortared and grouted rubble zone. The three check
diameter shafts up to 113 m (370 ft) deep. Seventeen of these holes, drilled after grouting, showed ‘new’ grout within the
shafts were filled at the end of construction and are difficult to mortared and grouted rubble zone.
detect from the ground surface or from within the tunnel. Eight
shafts were lined with a combination of brick and cast iron. Most
are rimmed with granite collars, typically 350 mm (14 in) thick, Water pressure testing
at the surface. Collars at the tunnel intersection are up to 600 mm The permeabilities of the mortared and grouted rubble and of the
(2 ft) thick. Most shafts had steel ladders from the ground surface bedrock were tested. Tests were conducted within the test grout
to the tunnel crown which often exhibited oxidation, tuberculation zone both before and after areas were test grouted. Calculations
and/or section loss. indicated that the permeability of the zone formed of mortared
The shafts were in very good to excellent condition, overall. and grouted rubble was usually higher than that of the bedrock
Most shaft surfaces were very dry and clean of debris or biofilm by two orders of magnitude before grouting and by one order of
above the normal aqueduct water level. Areas immersed during magnitude after grouting. Zone permeability values will vary
normal operating conditions usually exhibited a layer of black greatly, because zones are anisotropic. In addition, permeability
biofilm, similar to that found in the tunnel. Shaft defects were values of properties of the bedrock will also vary.
similar to those encountered in the tunnel; the most prevalent, but
minor, defect documented was calcite leachate or efflorescence. Test grouting
Point inflows ranged from less than 0.03 to 0.28 L/s (0.5 to
4.5 gallons per minute (gpm)). Eight tunnel segments and two shaft locations in the Bronx and
Manhattan pressurised sections were included in the test grouting
Remote operated vehicle (ROV) inspection of the program. The following brief summary lists the results of the test
grouting program:
Harlem River siphon complex
• A total of 832 cement sacks were injected into six test
The Harlem River siphon and associated structures were grouting areas of over 171 m (561 ft) in the Manhattan tunnel
successfully inspected by a ROV and found to be aligned section. A total of 691 cement sacks were injected into two
according to historic drawings and without evidence of major test grouting areas of over 89 m (291 ft) in the Bronx tunnel
displacement or defects. The brick-lined siphon is covered with
section. A total of 188 cement sacks were injected into
silt and deposits that appear to be biofilm. Cast iron lined areas,
Shafts 20 and 21.
such as the upper portion of Shaft 24, were coated with rust and
lightly bonded tubercles. A DVD record and sonar plots were • The water to cement ratio for grout mixtures varied between
produced from the investigation. 1:1 and 0.8:1 by volume. Locations with groundwater
inflows of 0.06 L/s (1 gpm) or greater took the most grout.
Geophysical investigation Grouting successfully reduced or eliminated groundwater
inflow.
The sonic/seismic velocity measurements were made to
determine the dynamic moduli (deformation) values and, based • Check holes were drilled and the core recovery was inspected
on an empirical relationship, the equivalent strength of the brick to verify grouting extents and effectiveness within a test grout
liner, the filler materials behind the liner and the foundation zone.
bedrock. The measurements indicate the condition of the tunnel
liner and of materials behind the liner, whether rock or mortared PART 3 – INSPECTION
and grouted rubble. GPR measurements were made to detect
This section discusses work performed as part of the rehabilitation
open or water-filled voids behind the brick liner, adverse
of the gravity flow section of the NCA during a two-season
geologic conditions and the presence of steel or wood. EM
construction period between 2004 and 2006. The goal of the
measurements were made to detect changes in the bedrock
project was to restore the gravity flow section of the aqueduct to
conductivity that might be associated with weathered zones,
optimal operating condition, thus extending the lifespan of this
fault/shear zones, intruded dikes or lithologic changes.
significant water supply for the New York City metropolitan
area. Rehabilitation of the NCA was intentionally scheduled for
Probe and core hole drilling and fibre optic before the completion of the Croton Water Filtration Plant, now
testing under construction in the Bronx.
A total of 124 probe and test grout holes were drilled in Cover depths of the aqueduct vary considerably, ranging from
Manhattan, 96 in the Bronx, six at Shaft 20 and 12 at Shaft 21. a few to hundreds of metres, typically of hard rock. Primarily
Probe holes were drilled to depths ranging from 250 mm (10 in) mined using conventional methods of the late 1800s,
to 3.5 m (11.5 ft). A total of 14 NX and BX-sized core holes construction of the NCA also employed cut-and-cover methods
were also drilled. Probe and core holes drilled during this in several low-lying sections of the alignment, totalling
inspection provided data on behind-the-liner conditions, such as approximately 1.6 km (1 mi).
dimensions of voids identified during the visual inspection The NCA passes through numerous lithologic changes,
soundings, thickness of liner materials and bedrock type. In fault/shear zones and under several significant water bodies,
addition, they supplied data for the calibration of geophysical including the Pocantico and Saw Mill Rivers and the Tarrytown
anomalies, access to the test grout zones, water pressure tests and Reservoir. It also passes under the Harlem River as a siphon at a
core samples for laboratory testing. depth of approximately 122 m (400 ft) below grade (Figure 9).
The majority of probe holes were drilled between the spring Soon after construction, reports on the New Croton Aqueduct
line and crown and only occasionally below the spring line. Fibre from The Aqueduct Commission documented prominent defects
optic investigations indicated that the tunnel brick liner varied in the tunnel, such as large voids behind the lining. More
from 175 to 600 mm (7 to 24 in) thick, the surrounding mortared recently, large-scale inspections of the gravity flow section,
and grouted rubble zone varied from 25 to 1125 mm (1 to 45 in) performed during the 1990s and a 2004 inspection of portions of
thick, and the bedrock foundation consisted of gneiss, schist, or the pressurised sections, have revealed additional defects, such as

objective of filling identified voids behind the liner, filling

fractures in broken mortared and grouted rubble and foundation
bedrock materials, and reducing water infiltration into the tunnel.
A description of grouting procedures is presented below.
Drilling
The locations of grout and vent holes were selected by the field
engineer and drilled in areas with groundwater inflow higher
than approximately 6.3 × 10-5 m3/s (1 gpm), with geophysical
anomalies, and with defects interpreted from visual observations,
soundings and/or remote instrumentation inspections. A typical
pattern of grout and vent holes was roughly 1.5 to 2.4 m (5 to
8 ft) horizontally and vertically between holes. Grout and vent
holes were drilled to provide grout pathways into suspected void
FIG 9 - Historic photograph showing men lounging within a void areas behind the tunnel liner. Holes were drilled to depths
between the New Croton Aqueduct (NCA) liner and the mined ranging from 0.5 to 1.8 m (1.5 to 6 ft), with an average hole
rock tunnel. Source: The City of New York Aqueduct depth of approximately 0.9 m (3 ft). Holes were drilled through
Commission, 1895. the brick and mortar liner and approximately 15 to 30 cm (6 to
12 inch) into the mortared and grouted rubble zone behind the
liner or into bedrock. A hole would be abandoned if wood was
encountered for more than 10 cm (4 in) or unconsolidated
material was encountered for more than 5 cm (2 in). All holes
were drilled using an electric rotary-impact drill to produce a
1.5-inch diameter hole. After drilling, each hole was washed
until the return flow was clear and then fitted with a packer.
Packers were the rubber, manually expanded type, equipped with
shut-off valves and positive hose connectors. If groundwater
issued from a hole after drilling, a rough estimate of the inflow
rate was recorded. A total of 616.3 m (2022 ft) of grout and vent
holes were drilled for the grouting program.
Grouting
The water to cement ratio of the grout mix was directed by the
field engineer and typically varied between 1:1 (ie a mixture of
113.6 litres (30 gallons) of water and four bags of regular Type II
cement) and 0.8:1 by volume. After each grout mixing, the
density of grout was measured with a mud balance and ranged
FIG 10 - Heavy groundwater inflow encountered after drilling into
between 1.6 and 1.8 g/cm3 in most cases. Injected volumes varied
a water-filled void. Inflow rates subsided over the following considerably, and voids often required more than one tank of
48 hours and were significantly reduced after grouting. grout. The grout mix (eg from a ratio of 1:1 to a ratio of 0.8:1)
was thickened after injecting a prespecified number of sacks of
cement into an individual grout hole. The cumulative grout
open and/or deteriorated masonry joints/cracks, leaks ranging volume injected was tracked for each work area by recording the
from trickles to several gallons per minute into and out of the number of tanks and batch mixes used. A total of 7445 sacks of
aqueduct (Figure 10), missing bricks, formed openings, and in Portland cement grout were used during the grouting program.
one place, a rupture through the liner with discernible offset.
However, despite these defects, the generally good condition of Grouting generally proceeded from the lowest to the highest
the NCA is remarkable. It is not uncommon to traverse several elevation of grout hole. Vent holes facilitated the monitoring of
miles through the aqueduct without noting any significant defects. the upward and outward travel of grout behind the liner as
grouting progressed from lower to upper elevation holes. When
Work support activities included site preparation, tunnel
ventilation, pumping out water inflow, maintenance of the grout of a density equivalent to that of the batched grout was
Resident Engineer’s office, and regular documentation of the observed to flow from a vent hole, communication between the
rehabilitation by professional photographers. Related surface active grout hole and vent hole was considered to have been
work included replacing shaft covers, rehabilitation of a shaft achieved, and the valve on the vent hole packer was closed.
portal and developing access roads and staging areas. When grout hole to grout hole communication occurred the
The entire project was executed with heightened environmental packer valve was temporarily closed, later to be connected in the
constraints. All materials used in the rehabilitation were appropriate sequence. Observable communication between the
approved for potable water supply and all wastes were to be active grout hole with adjacent grout holes, vent holes and minor
transported out of the aqueduct on a regular basis. Additionally, cracks or holes in the face of the brick liner provided a valuable
for the entirety of the project the contractor had to be prepared to indicator of the horizontal and vertical progression of grout
demobilise all in-tunnel activities and disinfect the aqueduct in within the void behind the liner (Figure 11).
the event of an emergency reactivation of the aqueduct.
JOINT/CRACK MASONRY REPAIR
CONTACT GROUTING
Prominent joints/cracks had been observed in previous
A large-scale contact grouting program was performed in the inspections and specified for repair. The lengths of the joints/
horseshoe-shaped gravity flow sections of the aqueduct with the cracks varied from several centimetres to several metres and

FIG 11 - Top: historic diagram from the Aqueduct Commission

Reports showing typical apparatus for grouting voids behind the
liner of the New Croton Aqueduct in the late 1800s. Bottom:
typical grouting set-up used in the recent rehabilitation of the FIG 13 - Typical joint/crack repair sequence.
New Croton Aqueduct. Source: The City of New York Aqueduct
Commission, 1895.
MAJOR LINER REPAIR

Major liner repair work consisted of cast-in-place reinforced
concrete for filling of existing formed openings located at or near
the crown of the tunnel and areas of brick heave located within
the tunnel invert. Areas requiring brick replacement were
minimal, totalling only 14.8 m2 (159 ft2), the majority of which
occurred at one location in a headhouse chamber.
For heaved invert repair work, temporary cofferdams with
sandbags and a pumping system were utilised to provide dry
working conditions. A total of 3.6 m3 (127 ft3) of concrete was
placed into formed openings and heaved liner repairs. A
description of lining repair procedures is presented below.
Formed openings
FIG 12 - Stair-step joints/cracks of variable widths through the
brick masonry of the New Croton Aqueduct liner. Existing formed openings in the tunnel crown were rectangular
in shape and sized typically 0.4 to 0.9 m (16 to 36 in) in each
varied in thickness from hairline to about 2.5 cm (1 in). All direction and were 0.3 to 0.6 (12 to 24 in) deep (Figure 14).
joints/cracks exceeding 0.6 cm (0.25 in) in width were scheduled Holes of a two inch diameter and a minimum embedment of
for repair. A total of 2374.7 m (7791 ft) of joints/crack repair 1.5 m (5 ft) were drilled into the bedrock radially to match the
work was completed in 34 work zones throughout the gravity liner arch curvature (see Figure 15). To anchor the repair
flow section of the NCA (Figure 12). concrete in place, hot-double-dipped fully galvanised #8 dowels
All joints/cracks were prepared by saw-cutting a groove were installed in the holes in a manner such that the bars were
through the joint/crack perpendicular to the surface to a depth completely encapsulated with epoxy without air pockets. A form
approximately two and a half times the width of the joint/crack. made of three-quarter-inch thick plywood was placed over the
In the case where there was a particularly long joint/crack, the formed opening and supported by falsework bearing on the
groove length was limited to 6.1 m (20 ft) at any time to maintain tunnel invert, to avoid gravitational loading on the adjacent brick
lining stability. The groove was then thoroughly cleared of all liner. Concrete was then pumped through a grout pipe in the
dust and debris with clean water. The cleaning of the groove was plywood form and through into the formed opening. A
timed, so that when it was to be tuck-pointed it was damp, ventilation (or breathing) pipe allowed the air to escape and
but free of standing water. The groove was tuck-pointed in allowed for a minor amount of post-grouting, if needed. To
approximately 1.3 cm (0.5 in) lifts, and each lift was well tamped ensure the newly placed concrete would cure under moist but not
to ensure a good bond and to minimise overall mortar shrinkage wet conditions, groundwater was sealed off from entering the
(Figure 13). area using oakum and thick mortar.

FIG 14 - Top: a diagram from the contract drawings showing the anticipated geometry of the formed opening in the crown of the New Croton
Aqueduct. Bottom: close-up photograph of an actual formed opening encountered; which is very similar. The gneissic banding of the
bedrock beyond the liner can be seen through the formed opening.
SUMMARY OF REHABILITATION WORKS

The successful rehabilitation of the 38 km (24 mi) long gravity
flow section of the New Croton Aqueduct resulted from good
management and positive working relationships among the
owner, the engineering consultants and the contractor. The
rehabilitation was completed on schedule in approximately
17 months, with crews working a typical eight-hour work shift
five days a week.
FUTURE STEPS
Construction documents have been prepared for the next phase of
rehabilitation work, which includes the repair of defects
identified in the inspection undertaken between 2004 and 2006.
Structures to be repaired include the pressure section of the
aqueduct, aqueduct shafts and the shaft headhouses, which are
eligible for listing on the National and State Registers of Historic
FIG 15 - (A) Photograph showing a heaved invert zone prior to Places. Work also includes final site restoration at most shaft
rehabilitation. (B) The same zone during rehabilitation work. locations.
ACKNOWLEDGEMENTS
Heaved invert This paper is basically a high-level overview of the whole design
Most of the heaved lining areas were located in the tunnel invert, and rehabilitation program, describing briefly the work done to
and the invert water had to be diverted to provide dry working date. There has been a great deal of detailed planning,
conditions for the repair work. Temporary cofferdams and communication and design input from many parties that took
submersible pumps were used to ensure that the entire working place ‘behind the scenes’ over many years to get to this stage.
zone stayed dry. In the brick heave areas, the area of demolition The contents of Part 2 – Inspection, and Part 3 – Rehabilitation,
and excavation was extended a minimum of 0.3 m (1 ft) beyond within this paper are extracts drawn from the separate technical
the farthest point of heaving. All unsound concrete, deteriorated papers published in RETC 2007. Part 2 is drawn from ‘Inspection
bricks and substrata were removed by using a pneumatic of a Brick-lined Tunnel’, Freitas et al, 2007 and Part 3 is drawn
chipping hammer until sound bedrock was exposed from ‘Rehabilitation of a Brick-lined Tunnel’, Sokol et al, 2007.
(approximately a 0.9 m (3 ft) depth below the usual invert level). The authors wish to thank all those cited in and responsible for
Hot-double-dipped fully galvanised #8 bars were installed to the above listed papers as the use of these extracts for Parts 2
anchor the repair concrete in place as per the procedure and 3 has allowed for coverage of a much wider range of
described in the formed opening repair. subjects.

REFERENCES Sokol, N, Taehong, K, Pannuti, C and Herrick, W, 2007. Rehabilitation of

a brick lined aqueduct, in Proceedings 2007 Rapid Excavation and
Freitas, J, Fareth, A, Fisk, P, Lo, F and Mallonga, F, 2007. Inspection of a Tunnelling Conference (RETC) (Society for Mining, Metallurgy and
brick lined aqueduct, in Proceedings 2007 Rapid Excavation and Exploration: Littleton).
Tunnelling Conference (RETC) (Society for Mining, Metallurgy and
Exploration: Littleton).

Project Overview – EastLink Tunnel
J Gardiner1
ABSTRACT
The EastLink tunnels are at the forefront of driver safety, environmental best practice and
design excellence. Located between Park Road and Deep Creek Road in Melbourne’s east, the
EastLink tunnels, recently named Melba (inbound) and Mullum Mullum (outbound) cost over
$400 million to construct. They pass beneath residential and bushland at depths of between
12 and 40 m. The nearest residential properties are at least 90 m from the ventilation stations
located at the tunnel portals.
The history and development of the EastLink tunnels parallels changing community values
and attitudes to the environment as well as stringent safety requirements in line with World
Road Association (PIARC) standards to deliver world-class safety features.
The importance of urban design on EastLink is reflected throughout the motorway and is
prominent at the tunnel ventilation stations where steel panels and floral motifs prevail on the
structures. The interior of the tunnels feature distinctive green-coloured acrylic panels lining the
walls.
This paper examines all three facets of the tunnels. Firstly, the environmental considerations
that drove the decision to provide a tunnel solution in place of an open road. It further looks at
the design features of the tunnels that will maintain local air quality, as well as the monitoring
regime adopted during construction to protect the level of the groundwater. It also details the
tunnel water management systems and our environmental public disclosure requirements.
Secondly, designing for safety has been paramount for the EastLink tunnels and the paper
reports on the range of purpose-built and coordinated safety systems and explains their
operation from the heart of EastLink’s Control Centre, located just 500 metres from the eastern
tunnel portal.
Finally, the paper outlines the urban design features of the tunnels that were developed by
Wood Marsh Architects in response to the sensitive natural environment of the Mullum Mullum
Valley. The design reflects local flora of the region and highlights the native bushland without
an imposing presence. It is a remarkable response to the very high standards set by the State for
EastLink’s urban design.
1. Managing Director, ConnectEast Group, PO Box 804, Ringwood Vic 3134. Email: jbomm@connecteast.com.au

EastLink Tunnel – Permanent Concrete Lining and Waterproofing
Design
K Assi1, F Lebbing2 and E Taylor3
ABSTRACT
The $2.5 billion EastLink project is a 39 km tollway and includes twin
three-lane, 1.5 km long, undrained driven tunnels with cross passages
every 120 m. The hard rock tunnels are being built to avoid passing the
motorway through the Mullum Mullum Valley and help preserve the
unique flora and fauna in the area.
The design of the permanent concrete lining and waterproofing system
for the EastLink tunnels was both innovative and practical, to meet the
demanding environmental and production constraints of Australia’s
largest road project.
This paper describes several key aspects of the tunnel design and
construction, including:
• design of fully tanked, permanent concrete tunnel linings for the
main tunnels and cross passages to withstand 37 m head of water
pressure in combination with potential rock loading in the future;
• optimisation of the tunnel shape to minimise the amount of
reinforcement required and the design of special welded mesh which
was developed within manufacturing constraints;
• 100 year design life and durability considerations in every aspect and
detail of the design including concrete mix design and stray current
mitigation;
• development of a precast invert solution for the main tunnel
permanent concrete lining to enable faster lining construction and to
minimise risks to the tunnel membrane associated with fixing
reinforcement and construction traffic;
FIG 1 - Location of EastLink project.
• development of prefabricated reinforcement details for the junctions
between the main tunnels and the cross passages to enable faster
construction and minimise risks to the membrane associated with ConnectEast have let a design and construct contract to the
fixing reinforcement; and Thiess John Holland Joint Venture (TJH) as the principal
• incorporating the tunnel drainage sump at the lowest cross passage in contractor for the project. CW-DC Pty Ltd, a wholly owned
the alignment, resulting in deep excavation to satisfy the required subsidiary of Connell Wagner, has been engaged by TJH to
storage volumes for drainage. provide the detailed design documentation for the civil works of
the northern 6 km of the project, including the twin tunnels.
EASTLINK PROJECT United Group Infrastructure is the principal mechanical and
electrical contractor for TJH.
Project overview
The driven tunnels
The $2.5 billion EastLink project is a 39 km tollway being
constructed in Melbourne, Victoria. The tollway links the Eastern The project includes twin-three lane, 1.5 km long, undrained
Freeway in the north-east of Melbourne to the Frankston driven tunnels built to avoid passing the motorway through the
Freeway in the south-east. Along the alignment the tollway Mullum Mullum Creek Valley and so to help preserve the unique
includes tunnels, 89 separate bridges, five major interchanges flora and fauna in the area. Figure 2 shows the tunnels in plan.
and a dedicated shared user path for pedestrians and cyclists. The 15.8 m wide by 11.9 m high driven tunnels are excavated
Figure 1 shows the overall EastLink project in relation to the city through ground conditions with varying strengths from 3.5 MPa
of Melbourne. to 200 MPa through the cross bedded bands of siltstone and
The State Government of Victoria, through the agency of the sandstone. Figure 3 shows the tunnel cross-section.
Southern and Eastern Integrated Transport Authority (SEITA), The tunnel includes several key fire life and safety aspects,
has set up the project as a build, own, operate and transfer including:
(BOOT) scheme. The proponent, ConnectEast is arranging • a 1.2 m wide walkway at roadway level located in front of
financing, design and construction of the facility, maintenance the roadside barriers,
and tolling.
• egress cross passages at minimum 120 m centres,
1. Structural Engineer – Tunnelling, CW-DC Pty Ltd, Level 12, 60 • a deluge system throughout the tunnel, and
Albert Road, Melbourne Vic 3205. Email: assik@conwag.com • monofilament polypropylene fibres within the concrete
2. Senior Consultant, MCM Construction Management Pty Ltd, 63/24 lining.
Wolseley Street, Drummoyne NSW 2047. The spaceproofing of the tunnel allows for three lanes of
Email: frank@gwps.com.au traffic, each 3.5 m wide and 0.5 m shoulders each side. The cross
3. Engineering Services Manager, John Holland Tunnelling, 70 passages are located along the fast-lane side of the traffic lanes.
Trenerry Crescent, Abbotsford Vic 3067. The 1.2 m wide walkway for egress is located immediately
Email: ed.taylor@jhg.com.au adjacent to the fast lane shoulder with low height kerb separating

K ASSI, F LEBBING and E TAYLOR
FIG 2 - Tunnel alignment.
the walkway and the shoulder. The traffic barriers are positioned PERMANENT CONCRETE LINING DESIGN
against the tunnel walls with vitreous enamel decorative panels
located above the barriers. The traffic envelope is 4.9 m high
with a sway allowance, and above this are additional envelopes General arrangement
for signage, mechanical and electrical equipment. The tunnels are divided into several individual structures relating
The surface water drainage pits are located at the fast and slow to the location and function of the permanent tunnel lining. The
lanes depending on the tunnel cross fall, with pit covers same main tunnel lining design was applied for the whole of the
positioned in the shoulders of the roadway. Electrical conduits tunnel alignment, as was the design of the cross passages
are located under the walkways and routed to the cross passages and collars (ie junctions between the main tunnel and cross
under the floor slabs. passages).

EASTLINK TUNNEL – PERMANENT CONCRETE LINING AND WATERPROOFING DESIGN
However, there are special provisions at the low point midway pour and the temporary bulkhead for the stub form was
along the tunnel alignment due to the sump located at cross installed at the back of the collar (ie at the face adjoining the
passage CP07. This cross passage needed to be higher and wider cross passage structure);
than the standard design, and so it follows that the collar • the concrete was placed between the membrane and the
structure also needed to be 30 per cent wider than the standard formwork;
collar design. The collar structures are positioned central to the
main tunnel arch lining cast in situ block pours (ie central to the • the formwork was stripped after minimum concrete strength
15.7 m arch lining blocks). was achieved and the curing compound applied; and
Other special provisions for the main tunnel lining design were • contact grouting the crown (between the arch lining concrete
due to the weaker rock zone at the dyke located at midway along and the membrane) to fill any voids.
the eastern decline, and the wastewater sump located under the The resulting pour length of the main tunnel arch lining was
roadway in the westbound tunnel at the low point. The typically 15.7 m with a production cycle of 24 hours. The
wastewater sump provides additional storage capacity to concrete pour was typically eight to ten hours duration and the
supplement the sump at CP07 and is formed by a bridge structure concrete achieved the minimum compressive strength (8 MPa)
spanning across the tunnel, supported on corbels attached to the after about eight hours. The remaining six to eight hours in the
main tunnel lining. cycle was spent advancing the formwork, which involved
Following consideration of the general arrangement, the releasing the formwork panels, dismantling the bulkhead,
resulting individual structures required for the tunnel lining are repositioning the formwork and reconstructing the bulkhead.
listed as follows: The construction methodology outlined above was a
• main tunnel – arch and invert: fundamental consideration for the design of the various elements
of the concrete lining, especially the precast invert segments.
• standard design – reinforced concrete precast invert Although a similar methodology using precast concrete in the
segments and/or cast in situ invert; reinforced concrete invert and cast in situ concrete for the arch has been used for
cast in situ lining up to New Jersey barrier (NJB) level; many rail tunnels around the world, this was the first time that
unreinforced concrete cast in situ lining above NJB level: this solution was applied to a road tunnel. Due to the nature of
• at the sump – similar to the standard design except the three-lane road tunnels, they are typically much larger and
invert was cast in situ with heavier reinforcing: and with the added complications presented by the need for a
• at the dyke zone in the westbound tunnel – similar to waterproofing membrane, the systems adopted for the precast
standard design except the reinforcement in the walls and segments and the reinforcement for the tunnel were major design
invert was heavier; considerations.
• cross passages:
• standard design (CP2 to CP6, CP8 to CP13); and
• sump design (CP07);
• collar structures:
• standard design at the standard cross passages (CP2 to
CP6, CP8 to CP13); and
• at the sump cross passage (CP07).
Outline of construction
The construction of the main tunnels is briefly outlined by the
following steps:
• the main tunnels were excavated and primary support
installed (shotcrete and rock bolts);
• the invert was prepared with blinding concrete to suit the
invert profile of the precast segments with subsurface
drainage to control groundwater during construction; FIG 4 - Main tunnel arch lining and formwork.
• the waterproofing membrane system and geotextile layer was

installed at the invert and arch; Tunnel shape
• the precast invert segments were then placed and grouted During the early stages of design, an extensive investigation was
and/or the cast in situ invert constructed; conducted to optimise the tunnel shape in order to achieve an
economical design solution which met the design criteria and
• at cross passages, the invert of the collar structure was construction program. The main considerations are listed as
constructed; follows:
• the mesh reinforcement for the main tunnel haunches was • the time to construct the elements,
placed;
• the volume of excavation,
• at cross passages, the collar reinforcement was placed;
• the volume of backfill,
• the main tunnel arch lining formwork was then advanced into
position, travelling on the precast segment/cast in situ invert • the concrete thicknesses, and
corbels and the temporary bulkhead installed at the leading • the reinforcement quantities.
edge of the form; The investigation involved adjusting the invert profile of the
• at cross passages, the collar formwork (stub form) was lining while maintaining the arch profile above the springline
positioned, supported on corbels formed in the collar invert level. Multiple tunnel shapes were developed to suit the

spaceproofing requirements, and each shape was analysed to conducted to gauge the effects of leaking groundwater on the
determine the quantities listed above. The investigation showed lining structure. Flow nets were analysed assuming leaks at
that as the position of the invert was lowered, the concrete and various locations around the perimeter of the lining, resulting in
reinforcement quantities were reduced; however, the volume of non-symmetrical pressure loading around the lining. The results
excavation and backfill was increased. The results of the of this analysis concluded that the leak load cases were not
investigation were presented to the contractor for estimating cost critical to the design and so the hydrostatic loading for the final
and production time before arriving at the final solution with the design was assumed to be symmetrical (ie even pressure
optimal tunnel shape. distribution at both sides of the lining).
The design also considered the effects of groundwater
Design considerations and assumptions recharge from zero to 37 m head. These load cases were
determined to be just as critical as the full 37 m hydrostatic
The fundamental considerations and assumptions used for the
design were consistent for all the tunnel structures unless special loading since the beneficial effects of thrust in the lining were
provisions dictated otherwise. These are primarily the durability lower. That is, less load on the lining due to lower hydrostatic
requirements, the rock type providing support to the lining, the head, resulting in less thrust in the concrete lining and therefore
hydrostatic and rock loadings on the lining and the modelled gap reduced bending moment capacity.
between the lining and the substrate. Other special provisions
were considered, such as load cases due to vibration and Rock loading
compaction of the backfill material during placement.
The primary support system consists of temporary shotcrete and
rock bolts for supporting the rock. The materials used for these
Durability
elements are considered to be durable for about 20 years, after
The project scope requires the permanent concrete lining to have which the rock bolts may corrode resulting in a potential transfer
a design life of 100 years. Combined with this requirement was of the rock loading onto the permanent concrete lining. A
the possibility for leaks to occur through the membrane, detailed investigation was conducted to identify the critical rock
potentially exposing the extrados of the concrete lining, and to a wedges that may form due to the jointing of the rock mass, and
lesser extent the intrados, if groundwater finds a way through the these were transferred onto the concrete lining to determine the
lining at construction joints and any cracks. critical rock load cases. These load cases were considered
A detailed durability investigation was conducted with separately and in combination with hydrostatic loading for the
consideration to design life and groundwater entering the tunnel, design of the permanent concrete lining.
which set the basis for the concrete mix design and the exposure Typically, the rock load cases without hydrostatic load were
classification. critical. The analysis showed that cracking of the unreinforced
This resulted in a high performance concrete specification for arch lining may occur in the crown depending on the extent and
the permanent concrete lining structures using flyash, slag and magnitude of the rock loading. This is due to the relatively high
silica fume in combination with Portland cement. The concrete bending moments and low thrust in the concrete section. The
grade required for the cast in situ lining was 40 MPa and for the cracking is a result of redistribution of the bending moments,
precast segments was 50 MPa. The exposure classification was which is typical of concrete arch structures.
defined as B2 in accordance with AS3600 – concrete structures
code, which established the minimum concrete cover
requirements.
Modelling gap
Also resulting from the durability assessment was the need to The ‘gap’ is the assumption made in the structural modelling for
limit all concrete crack widths to 0.2 mm due to the possibility of the boundary condition around the lining to account for the
groundwater leaks, similar to the criteria usually adopted for compressibility of the membrane and geotextile layer.
water-retaining structures. Compression testing of the membrane and geotextile was
Any exposed steel items embedded into the concrete, such as conducted to determine the load-compression distribution of the
anchors for fixing the mechanical and electrical equipment to the system, which was then used in the structural analysis for
arch lining, needed to be Grade 316 stainless steel. modelling the permanent concrete lining. Additional gap
allowances were also made for shrinkage of the concrete lining.
Rock support The rock springs (aligned perpendicular to the lining elements)
were defined with non-linear stiffness to account for the
The five main rock types identified for the design of the primary membrane and geotextile layer, in addition to the rock stiffness.
support system ranged from Type A – good, to Type E – poor. A The gap was considered an important aspect of the design to
sensitivity analysis was conducted for the design of the main
accurately model the interface of the lining and the substrate.
tunnel concrete lining, which revealed that there was no
difference to the design solution between rock types A to D; Sensitivity analysis showed that without the gap, the design
however there was a significant difference for Type E. Based on could be underestimated by up to 15 per cent for some load
this investigation, the standard design was based upon Type D cases.
rock with elastic modulus of 1500 MPa and Poisson’s ratio of
0.25. These parameters were used to define the springs in the Stray current mitigation
modelling for the permanent lining design.
The durability assessment required that measures be provided to
protect the permanent concrete lining against stray current
Hydrostatic loading corrosion. This was achieved by providing electrical isolation at
From the hydrogeological modelling it was determined that the 100 m centres along the main tunnels, part-way along the
design shall be based on a maximum 37 m hydrostatic head, length of the arch lining block pours. Since the longitudinal
measured at the invert of the main tunnels, combined with an reinforcement needed to be continuous to control shrinkage
ultimate load factor of 1.4. cracking, a lap zone of glass-reinforced plastic (GRP) reinforcing
During the early stages of design, it was recognised that bars was adopted to lap with the steel reinforcement at the
although the tunnels are fully tanked, leaks through the tunnel walls, providing a physical discontinuity of the steel
membrane may be possible, and so a sensitivity analysis was reinforcement measuring 200 mm.

Structural modelling and analysis decision was therefore taken to use a precast invert solution for
the permanent concrete lining. This decision has brought with it
one major benefit, as well as some significant challenges.
Main tunnel and cross passages
Initial thinking involved a precast invert with gasketed seals,
The main tunnel lining was analysed using bedded-beam models similar to a bolted segmental tunnel lining. However, it proved
with radial spring elements, assuming full-slip between the extremely difficult to design a connection between the segmental
waterproofing membrane and the permanent concrete lining. invert and the waterproof membrane in the cast in situ arch
Strand7 software was used due to its capability of modelling the section. The decision was then made to proceed with a full circle
non-linear interface between the permanent concrete lining and of membrane and to place the precast invert inside the
the waterproofing membrane/geotextile and substrate (ie the membrane.
gap). Schockemöhle and Heimbecher (1999) review the success of
The results of the analyses were checked using moment-thrust membrane waterproofed tunnels with cast in situ inverts. The
capacity relationships for both reinforced and unreinforced German experience is that most membrane damage occurs when
concrete sections. The shear and limiting thrust (a check for the invert reinforcing steel comes accidentally in contact with the
non-linear behaviour of unreinforced concrete) were also membrane; the risk being greatest at the bottom of the tunnel.
checked. This damage is usually extensive and without considerable
The crack widths were checked at the serviceability limit state, repairs, the waterproofing will not work. (The second most
allowing for the compression in the concrete sections which common cause of membrane damage is due to voids at the crown
tends to reduce the crack widths. These were limited to 0.2 mm of the tunnel, hence the need for contact grouting.) The major
in accordance with the durability requirements. benefit of using a precast invert segment is that the segment
protects the area of greatest risk.
Collars The challenges which are being overcome in the EastLink
tunnel include:
The collar structures were analysed using Strand7 software;
however, instead of using the bedded-beam method, a 3D finite • placing the precast units onto membrane in such a way that
element model was established using plate elements. The main the membrane is not damaged,
tunnel lining at the collar was included in the model, also using • managing the joint between the precast units and the cast
plate elements. The results of the analysis were used to design in situ lining, and
the reinforcement for the collar structure, and the additional
reinforcement in the main tunnel arch lining adjacent to the • providing internal and external compartmentalisation of the
collar. membrane with a precast unit.
A separate model was established to design the collar at CP07
in a similar manner to that described above for the standard Design issues
collars, except the model also included the sump cross passage The principal load on the lining is the hydrostatic load caused by
structure, including the internal sump walls and slabs at walkway the recovery of the groundwater following completion of the
level, and both tunnels either side of the sump. One of the waterproofed permanent concrete lining.
fundamental findings of this analysis was the need for a central
column at the collar to share the compression in the walls of the Other loads which have been taken into account for the design
collar structure. include construction loading from trucks, the arch lining
formwork, placement and compaction of fill, and casting and
handling loads.
A particular issue for the reinforcement design was the
difference in shrinkage between the precast invert segments and
the cast in situ lining. This differential shrinkage occurs between
each arch pour and was controlled with additional longitudinal
reinforcement in the cast in situ lining just above the construction
joint between the end of the invert segment and the arch.
Construction details
The precast invert segment is shown in Figure 6.
The main issue for the construction is the placement of the
precast invert such that the membrane is not damaged whilst
maintaining the tight placement tolerances set by the designer.
Two issues must be considered: damage to the membrane when
placing the unit, and avoiding air voids in the grout under the
units so that the membrane has no place to expand and tear due
to the decreased section thickness of the grout at the void.
The process starts with the construction of the concrete invert
FIG 5 - Sump collar and cross passage.
blinding to within ±5 mm of the theoretical position. This is
achieved by using curved steel screed formers in a hit and miss
THE PRECAST INVERT sequence (refer Figure 7).
The invert membrane is installed, then the precast invert is
The drivers … program and leak prevention placed on packers at each end of the segments. The packers used
were 52 mm thick Atlantis Drainage Cells (refer Figure 8) made
The two main drivers for using the precast invert in the tunnel from 85 per cent recycled polypropylene with a rectangular
were membrane protection, construction program and logistics profile, normally used for subsurface drainage with a water path
during construction. in all directions. This product allows the free flow of grout to
During early studies, the time taken to construct the invert was allow the complete filling between the underside of the invert
identified as a critical aspect for the tunnel program. The segments and the waterproofing membrane.

FIG 6 - Precast invert segment.
FIG 7 - Blinding concrete under precast invert.
A low shrink grout is then pumped into the void beneath the FIG 8 - Drainage cells (packers) used for temporarily supporting
segments through preformed grouting holes. Due to the curved precast invert segments.
profile of the segments and the longitudinal grade of the tunnel,
the grouting process could only be undertaken on four segments outside the tunnel portals. The structure was built to replicate the
at one time and in two stages in order to control hydrostatic uplift tunnel invert profile and grade, which allowed repetitive trials for
from the wet grout. The first stage grouts-up the middle third of the placement of the precast segments onto membrane and
the segments, and the second stage fills the remaining two thirds packers and grouting and enabled optimisation of the contractors’
(about one third either side of the first stage). work methods and a training ground for the tunnel workers. Only
Due to the complex nature of this construction, detailed full- on successful completion of each of the aspects of the placement
scale site trials were undertaken in a purpose-made structure and grouting process did production within the tunnel commence.

Joints between the precast units have a shear key profile to REINFORCEMENT
lock the units together. The bottom of the shear key joint
included a seat for filling with a triangular section of hydrophilic
material; the rest of the joint grouted up with high-strength, low- Main tunnel
shrink grout. This was a separate activity to the grouting under The optimisation of the tunnel shape led to a final solution
the segments. involving lightly reinforced haunches of the cast in situ arch
Other features of the precast segment units include: lining. The principle considerations for the reinforcement were to
• creating a flatter profile at the intrados to make access by prevent damage to the waterproofing membrane during
construction vehicles easier; placement and to facilitate rapid construction to meet the
construction program.
• creating a drainage slot at the low point to control water from The possibility of prefabricating the haunch reinforcement was
construction activities and to also lower the line of thrust in
investigated in close collaboration with Onesteel. It was
the invert, resulting in a more efficient tunnel structure; and
determined that mesh could be specially engineered and
• precasting form restraint holes to support the rails and lower fabricated in flat sheets, then bent to suit the profile of the tunnel.
edge of the cast in situ arch lining formwork. The production of the mesh sheets was limited to 2.4 m wide
sheets, which required the development of the lap detail between
sheets. Two alternatives were designed; one with extended
horizontal lapping bars projecting at the sides of the sheets, and
one with a separate splice piece which lapped onto the main
sheets. The contractor decided on the second option after
consideration of cost and production time.
The size of the bars was limited by the welding equipment
used to produce the sheets. The design required N12 bars in each
layer for the mesh; however, the welding equipment only had
capacity to weld an N12 bar to a maximum N10 size bar. The
design was revised to suit this limitation and the final solution
had N12 main bars (curved bars) and N10 horizontal cross wires
longitudinal to the tunnel alignment.
The spacing of the horizontal bars was smaller towards the
invert joint (ie at the precast segment), then gradually increased
towards the top of the sheets. To transition the cast in situ lining
from the reinforced haunch to the unreinforced crown, the
spacing of the horizontal bars was gradually increased from
100 mm at the invert joint, to 500 mm at the top of the mesh
sheets. This controlled the differential shrinkage between the
FIG 9 - Precast invert segments stored at site. reinforced and unreinforced zones within the monolithic
concrete, without any cracking at the transition throughout the
tunnels. Alternatives to control cracking at the top of the mesh
sheets were considered, such as crack inducers attached to the
cast in situ arch formwork; however, international experience has
shown that this measure is difficult to achieve in concrete
sections subjected to significant compression.
To prevent damage to the waterproofing membrane circular
plastic wheel bar spacers (usually used for bored pile cages) were
clipped to the far-face mesh sheets. The mesh sheet was placed
onto and above the outer layer of starter bars projecting from the
precast segments and then the mesh sheets were gently placed
against the waterproofing membrane. Steel saddles were then
attached to the far face layer to separate the two layers of mesh.
The near face layer was then placed onto the inner layer of starter
bars projecting from the precast segments and the sheet gently
placed against the saddles. Circular spacers were also clipped to
the near face mesh to control the concrete cover at the intrados as
the formwork was positioned.
Cross passages and collars

FIG 10 - Precast invert segments placed in situ.
The reinforcement for both the collars and the cross passage
structures were prefabricated in cages at the surface then placed
Alternative tunnel invert in the tunnel. Additional protection to the membrane was
Alternative invert designs were also constructed instead of using provided at the bearing points. The reinforcement at the corners
the continuous precast segment option to enable the invert to be of the cages adjacent to the membrane was detailed with a large
constructed over greater lengths. The alternatives included a radius to suit the membrane profile and reduce the risk of
hit-miss arrangement where every second unit precast, infilled damaging the membrane during placement.
with cast in situ invert reinforced with prefabricated cages The reinforcement for the invert and lower portion of the walls
similar to that used for the precast segments. The other for the cross passages were prefabricated as a single cage for
alternative involved constructing the invert in a single 15.7 m the extent of the cross passages. The cage was measured
long cast in situ pour at one time (bulk invert). The majority of approximately 7 m wide by 7 m long by 1.5 m high. Additional
the tunnel was constructed using the standard precast segment reinforcement required for the walls was tied to the prefabricated
system with the hit-miss and bulk invert systems used less. cages in situ.

the invert and from the placement of reinforcement to the invert

and haunches, two key initiatives were developed.
Precast tunnel segments were designed for placement in the
invert. This greatly reduced the need to traffic over the
membrane as well as eliminating the placement of reinforcement
in this zone. The segments were trafficable once they were fully
grouted in place.
With the invert segments in place, the haunch mesh for the cast
in situ lining could be positioned from the starter bars extending
from the segments. The mesh was rolled to suit the tunnel
curvature which, in conjunction with the mesh concept,
simplified the installation and so minimised the potential damage
to the membrane.
The final aspect to the construction risk assessment was
recognition of the importance of the hydrogeological regime.
Observations of groundwater inflow into the tunnels during the
FIG 11 - Extent of reinforcement in main tunnels and collars. excavation phase combined with an understanding of the impact
on groundwater levels enabled sections of the tunnel to be
defined as ‘wet’ areas. Such wet areas were then considered to be
The reinforcement for the collars was prefabricated in two higher risk zones for potential tunnel leakage and so a suite
separate halves divided at the springline. The invert was installed of contingency (or supplementary) waterproofing details were
first, the concrete was cast with starter bars projecting at the
prepared for use as determined by the contractor in these areas.
springline, then the upper half was positioned on a purpose-built
jig resting on the invert half of the collar to support the cage,
while additional splice bars were installed at the springline to tie Groundwater recovery and operational impacts
the two halves together. The prefabricated halves were Following completion of the tunnel lining, the groundwater
constructed on a steel frame which was tilted vertically to will recover from the drawdown state that existed during
transport and place the cages. For the upper half, additional
construction. The tunnel structure becomes fully loaded
support was provided for the extra bars needed along the main
hydrostatically and as a result will deflect. It is anticipated that
tunnel by installing proprietary anchors epoxy grouted into the
shotcrete/rock and extrusion welded to the membrane at the the invert may deflect up to 15 mm in the long term, thereby
penetration. creating a physical gap between the membrane and substrate for
groundwater to migrate longitudinally along the tunnel,
outside the membrane. To limit the longitudinal flow, external
WATERPROOFING DESIGN compartments or flow barriers were designed to seal this flow
The project requirements for waterproofing were very specific gap around the tunnel perimeter.
and required an undrained tunnel fully tanked using a membrane Despite design and construction best efforts, there is the
system. An upper limit of 1 L/s was placed on the groundwater potential for groundwater to penetrate the membrane and leak
inflow into the total tunnel system. into the tunnel. To both isolate potential leaks and protect the
It is within this context that the waterproofing details of the tunnel lining, various additional measures are incorporated into
tunnel are based. the design. Internal compartments are created at the membrane to
concrete interface by use of fully circumferential and
Construction risk assessment longitudinal rearguard waterstops welded to the tunnel membrane.
The joints between adjacent precast invert segments, and
As a part of the constructability input into the design, a detailed between segments and the cast in situ arch, are sealed by use of
construction risk assessment was undertaken by the contractor to hydrophilic waterstops and low-shrink grout. The internal
highlight the potential areas of risk in achieving the stringent compartmentalisation therefore allows any operational
project requirements. The resulting design was then developed rectification of leaks to be targeted to a specific section of the
with the following philosophy. tunnel.
With the design specifying a continuous, fully circumferential
and impermeable membrane as the primary waterproofing Waterproofing details
medium, there was a strong focus on ensuring membrane
integrity at all times.
Surface preparation of the shotcrete for the primary support General
was the initial focus. The tunnel deformation under full A ‘toolbox’ of waterproofing design details was developed,
hydrostatic head is expected to exert large forces from the lining which comprised the ‘standard waterproofing solution’ to meet
to the rock in the haunch, springline and crown areas, the project specifications and operational requirements as well
consequently bearing onto and compressing the membrane. as ‘supplementary waterproofing solutions’ for use by the
Therefore the shotcrete finish and profile as well as the geotextile contractor as dictated by the construction risk assessment (as
protection layer were given a high priority. discussed above).
Tunnel membrane installation and welding techniques are well The standard solution comprised;
established so the design and construction focus was on quality
control, the use of experienced labour and the use of project • geotextile fleece, 500 g per m2 to the full tunnel perimeter;
specific installation gantries. • 2 mm thick PE membrane to the tunnel arch;
Following membrane installation, the design and construction • 3 mm thick PE membrane to the tunnel invert;
methods were developed to ensure minimal opportunity for
damage to the membrane. The tunnel structure required • continuous longitudinal rearguard waterstop above the
reinforcement to the invert and lower haunches. To minimise invert/arch construction joint;
potential damage to the membrane from construction traffic in • radial rearguard waterstops at 40 m maximum centres;

• hydrophilic waterstops to joints between adjacent invert main membrane or a strip of 1 mm HDPE membrane welded to
segments and between invert segments and the arch; and the main membrane.
• a minimum number of external compartments that enable At tunnel sections where the invert was constructed using the
reasonable recovery of the groundwater regime (outcome of hit-miss system additional protection was installed on top of the
the hydrogeological modelling). membrane. Plastic bar chairs were used to rest the cages against
a 1 mm HDPE protection membrane sheet extending across the
The supplementary details, provided for use by the contractor entire cast in situ area immediately above the main membrane.
to supplement the standard details, as a line of defence to At locations where the bulk invert system was constructed an
minimise risk in areas of potential high inflow (or ‘wet’ areas)
additional 2 mm VLDPE protection membrane was provided
are:
above the main membrane to protect against any incidental
• additional external compartments to isolate ‘wet’ from ‘dry damage arising from placement of the reinforcement and in situ
sections of the tunnel, concrete.
• reduced spacing of internal compartment rearguard
waterstops at every block joint, Internal compartments
• inclusion of re-groutable tubes at internal compartment To internally compartmentalise the tunnel against any leaks
waterstops, and through the membrane, a different approach was taken for the
• the provision of a double membrane sandwich with groutable arch and invert of the tunnel. The main reason for having a
systems to the invert. different approach was in recognition that the invert is
inaccessible once the tunnel has been backfilled to road level,
Waterproofing membrane and geotextile thus limiting the options for any remedial attempts to seal
groundwater leaks.
The key element of the waterproofing system is the VLDPE For the invert, radial rearguard waterstops were welded to the
sheet membrane (VLDPE: very low density polyethylene) with invert membrane every 40 m along the tunnel. The waterstops
an integral signal layer installed to the full perimeter of the were 250 mm wide with three ribs, made of PE. Between the
tunnels with a thickness of 3 mm for the invert and 2 mm for the three ribs, perforated grout hoses were installed and routed up
arch. One of the main benefits for using PE is that it is safer than
along the tunnel wall to junction boxes cast into the arch lining
PVC should a fire incident occur during construction, allowing
just above New Jersey Barrier level. This provision allows
more membrane to be exposed in the tunnel before constructing
grouting of the waterstop should any cavities be present at the
the invert and casting the permanent concrete arch lining.
internal compartment following grouting under the precast
Whilst the PE material of the membrane is black in colour, the segments.
signal layer is white and provides easy identification of any
damage to the membrane which appears as black through white. For the arch, radial rearguard waterstops are installed at every
The additional benefit of the signal layer is that temporary arch block joint (ie at 15.7 m spacing along the tunnel). The
lighting in the tunnel can be reduced due to the reflectance waterstops are welded to the membrane, each waterstop with
provided. six ribs. These served the dual function of providing
compartmentalisation for any leaks and to protect the membrane
The membrane is installed against a 500 g/m2 protection
during construction of the arch lining formwork stop-ends
geotextile layer and welded to VLDPE-roundels nailed through
(bulkheads), considered to be a high-risk activity for potential
the geotextile into the temporary shotcrete. The membrane sheets
damage to the membrane.
were 2.4 m wide and were welded together by hot wedge
welding the radial joints to form ‘seams’ or extrusion welding A longitudinal waterstop was provided along each wall of the
where hot wedge welding is not possible. The seams result in a tunnels to bridge the different spacing of the radial waterstops
double weld spaced 20 mm apart forming a pocket which is used in the invert and the arch, and to also provide separate
to test for any leakages. These were all tested over the entire compartments between the invert and arch. The waterstop was
length of the tunnels to prove the integrity of the membrane at welded to the main membrane and was of PE material with three
the welds. ribs. Additional rearguard waterstops were provided at the cross
passage locations, by welding a rectangular outline surrounding
The shotcrete surface in the wall and arch sections was
inspected at least twice prior to the commencement of the the collar opening. These perimeter waterstops were welded to
waterproofing membrane installation, first to check evenness and the main tunnel membrane and served to compartmentalise the
smoothness of the surface finish and then to check the cross passages from the main tunnel should any leaks occur in
completion of surface repairs and removal of any protrusions. the cross passages.
Invert membrane External compartments

To provide the best possible protection for the invert membrane, From the hydrogeological modelling and assessment of
the surface in the tunnel invert was screeded using lean groundwater recovery risks, it was decided to install 12 external
(blinding) concrete. Full-scale site trials and manufacturer’s compartments for the tunnels (six per tunnel). These were
recommendations resulted in the installation of a 1 mm thick located at the portals, either side of the tunnel low point and
high-density polyethylene (HDPE) protection membrane to along the eastern decline.
temporarily protect the invert membrane under the packers The external compartments involved installing rearguard
supporting the precast segments against mechanical damage at waterstops grouted/concreted to the rock with membrane flaps
the edges of the packers. welded between the waterstop and the tunnel membrane
The cementitious grout under the precast segments was formed designed to accommodate the expected movements of the tunnel
at the downstream end at every fourth segment (or every 7.2 m) lining. To ensure the water path is not short circuited through the
using a flexible hose placed under the segments to act as a rock, water pressure testing was carried out in the vicinity of
bulkhead for the grout. At the stop-end locations, the membrane these external barriers and permeable rock zones were grouted to
has additional protection between the membrane and the stop- limit groundwater flow in the rock mass adjacent to the external
end provided by 500 mm wide rearguard waterstop welded to the compartments.

Pump sump electrical conduits from the sump. The penetration through the
membrane was achieved by providing a compression seal with
At the sump, the lower half of the waterproofing is provided by a two layers of continuous neoprene strips either side of the
rigid HDPE stud-liner. This was essentially a large tub, membrane. Stainless steel rings/flanges were placed outside the
measuring approximately 7 m wide, 8 m long and 2 m high, neoprene and the sandwich of materials was bolted together to
prefabricated at the surface then placed in situ as a single unit achieve the compression seal.
then backfill grouted to fill any gaps outside the tub. The
robustness of the stud-liner also provided protection against the
installation of reinforcement placed in situ for the sump cross REFERENCES
passage structure. Above the HDPE tub, the remainder of the Schockemöhle, B and Heimbecher, F 1999. Stand der Erfahrungen mit
sump cross passage was waterproofed using the standard 2 mm druckwasserhaltenden Tunnelabdichtungen in Deutschland,
membrane with extrusion welding between the two materials. Bauingenieur, 74(2):67-72.
In the crown of the sump cross passage, a 1 m diameter riser
extending to the surface was installed to house pipework and

Selection of Primary Support in the EastLink Tunnels
A Bennett1, P Campi2 and M Dodds3
ABSTRACT siltstones interbedded with sandstones. These units have been

subjected to horizontal stress, which resulted in folding, creating
The EastLink project is a 39 km tollway to the east of Melbourne and
includes twin three-lane 1.5 km driven tunnels. The hard rock tunnels are a series of major anticlines and synclines. The tunnel is located
being built to avoid passing the motorway through the Mullum Mullum on a south easterly dipping limb between the Warrandyte
Valley to help preserve the unique flora and fauna in the area. This paper Anticline to the west and the Mitcham Syncline to the east.
describes the process of transferring the support requirements from the Discontinuities dip generally between 30° and 55° towards
‘drawing board’ to the tunnelling face by integrating the temporary south-east to south-south-east (ie approximately along the axis of
support design with the contractor’s tunnel excavation and support the tunnel). Typical faces are shown in Figure 1 and Figure 2.
procedures, including sharing of responsibility between the designer and
contractor for selection of the support type and the production of a project
specific rock mass classification system to enable more objective
determination of ground conditions. The methods developed during the
design phase incorporated a formal system of reviews, support selection
and feedback by monitoring tunnel and ground responses. During
construction, the process was implemented using a set of simple
documentation and regular structured communication between the
contractor and the designer.
INTRODUCTION
The $2.5 billion EastLink project is a 39 km tollway and includes
twin three-lane driven tunnels, 1.5 km long. At its northern end,
the tunnels were built to avoid building the motorway through
the Mullum Mullum Valley and to help preserve the unique flora
and fauna in this area of residual forest.
The state government of Victoria, through the agency of the
Southern and Eastern Integrated Transport Authority (SEITA),
has set up the project as a build, own, operate and transfer
scheme. The proponent, ConnectEast, is arranging finance,
design and construction, maintenance and tolling. FIG 1 - Typical tunnelling conditions.
ConnectEast has let the design and construct contract to the
Thiess John Holland Joint Venture (TJH). CW-DC Pty Ltd, a
wholly owned subsidiary of Connell Wagner, was engaged by the
principal contractor, TJH, to provide the detailed design
documentation for the northern 6 km of the project, including the
twin tunnels.
The 16 m wide by 12 m high tunnels are excavated through
changing ground conditions with varying strengths and
discontinuity orientations, which make for constant changes in
the tunnel stability. These conditions required continual
monitoring and adjustment of the support requirements.
Although the design documentation included a suite of support
systems which covered all the anticipated conditions
underground, the implementation of these support systems
required specific and innovative ways to make sure that adequate
and appropriate support was always being installed in the tunnel.
GEOLOGICAL SETTING AND EXCAVATION

METHODS
The tunnel was excavated through a bedrock sequence of the
Anderson Creek Formation, which typically comprises massive FIG 2 - Typical tunnelling conditions.
1. Associate, Connell Wagner Pty Ltd, 60 Albert Road, South Literature and early geotechnical investigations suggested that
Melbourne Vic 3205. Email: bennetta@conwag.com igneous intrusive dykes could be expected in the Silurian
sediments along with shear/fault and fractured zones. Such
2. Senior Geotechnical Engineer, Connell Wagner Pty Ltd, 60 Albert
Road, South Melbourne Vic 3205. Email: campip@conwag.com
zones were exposed during the supplementary geotechnical
investigations conducted by CW-DC during the detailed design
3. Formerly: Thiess John Holland Joint Venture. Currently: Senior phase.
Works Preparation Engineer, Leighton Contractors and Baulderstone
Hornibrook Bilfinger Berger Joint Venture, North South Bypass The depth of weathering in the rock ranged from less than 1 m
Tunnel, Northern TBM Site, O’Connell Terrace – Gate N1. to 23 m, with an average of 12 m. The rock was found to have
Email: Mark.Dodds@lbbjv.com.au varying strengths from 3.5 MPa to 200 MPa.

A BENNETT, P CAMPI and M DODDS
The majority of the main heading drive to the tunnels was mass to the properties of the small-scale features, and cover over
excavated using road headers, with drill and blast techniques the tunnel, to arrive at a classification, and a support type.
used through the areas of harder rock excavation. The guide for this classification is shown in Table 1. This was
enhanced by explanation sheets which provided more detailed
PRIMARY LINING SUITE descriptions if needed.
For the tunnel away from the portal areas, the standard primary
lining systems comprised support types of increasing stiffness WHY CHANGE?
with four arrangements of rock bolt with reducing spacing
patterns and increasing thickness of shotcrete and one support of There have been two major incidents within Australian hard rock
steel sets and shotcrete, supplemented with spiling if needed. The tunnelling in recent years. One resulted in a tragic loss of life due
standard support types were augmented by spot or random to a rock fall, the other to a collapse, which severely damaged a
bolting to support local features. building above the tunnel. These incidents have highlighted the
complexities of design and construct projects with respect to
The five support types addressed the range of anticipated rock
safety. At the same time, Victoria’s occupational health and
conditions. The types were defined by the Q values of the rock,
safety legislation has been strengthened, as has similar
but were designed for a number of parameters derived from the
legislation in other Australian states, defining new
geotechnical investigations and testing.
responsibilities for designers and contractors.
In all tunnel contracts, there is potential tension between the
PROJECT ROCK CLASSIFICATION SYSTEM designer and the contractor when addressing safety and support.
At the heart of the selection of the appropriate support, is the The designer must attempt to foresee the ground conditions and
identification of the design support appropriate to the exposed to provide sufficient support elements for the proper support of
rock. While the rock had been classified into five types, using the both pervasive and individual ground conditions. The contractor
Q value of the rock as the definition, the selection of the right must implement the support systems, but wishes to do so on its
support would be greatly assisted by the used of a simple guide. terms to maximise the benefits of its own equipment, knowledge
Working from the features of the Anderson Creek Formation, and experience.
and the variables that affected the design parameters, a rock In a traditional contract, where the designer is employed by the
classification system was developed for the particular conditions principal, the designer must provide direction in situations when
in the EastLink tunnels. The classification assisted people in the the contractor is unsure of how to proceed safely, and when the
tunnel, looking at the face, to work systematically from the rock designer observes that the ground response is not as expected.
TABLE 1
Rock classification system.
Rock unit/structure Stability controlling Controlling Support class for Support class for
discontinuity discontinuity infill/ moderate cover low cover
general infill
Short/stepped/curved Clean A A
only minor unstable areas
Clay <5 mm B B
Clay >5 mm B C
Continuous/planar Clean A B
causing significant areas of
Clay <5 mm B C
instability or sizeable
*Generally sandstone or mudstone. unstable blocks Clay >5 mm C D
Short/stepped/curved Clean A B
Clay <5 mm B C
Clay >5 mm C D
Continuous/planar Clean B C
Clay <5 mm C D
*Generally jointed sandstone/ mudstone/ siltstone. unstable blocks Clay >5 mm D E
Short/stepped/curved Clean B B
Clay <5 mm C C
Clay >5 mm D D
Continuous/planar Clean C C
*Generally interbedded sandstone-siltstone. Clay <5 mm D D
**Noticeable blast or stress related damage or unstable blocks Clay >5 mm E E
dilation.
Dyke/sheared rock
Rock displaying significant damage due to shearing <1 m Use above by going to the worsening structure option.
or faulting. Generally, dykes will consist of very
poor quality rock and almost always be enveloped
within a shear. Dykes with peripheral shearing
>1 m Clay/crushed rock E E1/E3
could possibly be in excess 10 m horizontal
thickness.

SELECTION OF PRIMARY SUPPORT IN THE EASTLINK TUNNELS
Under these circumstances, responsibility for the safety and • a review of the geological model;
support is clearly with the designer to provide the correct
direction and the contractor to follow the direction.
• a review of the design documentation, showing support
restrictions, monitoring requirements and information on
In a design and construct contract, the designer is employed by anticipated conditions;
the contractor. The designer cannot contractually direct, only
advise. On the contractor’s side, to the same extent that the • a review of the lead heading support and conditions when
contractor follows advice from the designer, responsibility considering the trailing heading;
remains with the designer. However, these lines of responsibility • a visit to the tunnel for observation of the ground conditions
can become obscure. and support behaviour; and
In tunnelling, as in many other areas, a lack of a clear • a review of the monitoring data.
understanding of the lines of responsibility often lies at the core
The tunnel site visit checklist was created to provide a record
of failure.
of the activities and conditions in the tunnel.
The checklist includes a record of the previsit risk assessment.
SYSTEM This comprised a review of the tunnelling records or contact with
In the EastLink Project, the contractor and the designer set out to senior staff of the contractor. It alerted the designer’s staff
make the responsibility for the safety and support clear between entering the tunnel to any potentially hazardous conditions or
the parties. This has been achieved firstly in the specifications new activities in the tunnel. It also served as a briefing on the
and work method statements, and then in procedures. In addition current activities and any incidents or exposed conditions since
to clarifying responsibility, the procedures have been designed to the previous visit.
improve communication between all people in the tunnel with The body of the form provided prompts for observing the rock
benefits for safety and progress. The procedures included the conditions and support in the tunnel during the visit. These
following: daily support reviews, daily tunnel inspection observations were recorded in a manner that matched the inputs
checklists, ground awareness inductions and daily tunnels face to the daily support review. An area for sketches allowed for
photographs, as well as weekly monitoring reviews. recording the layout of features in the face and the backs, a
Every day, or more often if required, the contractor and the clearer record than a description in words.
designer met to review the support in every face and to adjust the The daily tunnel support review form was created to assist in
support being installed where necessary. The fundamental preparation for the review meeting itself. It included prompts in
principle agreed by the parties was to encourage face crews to three sections:
increase support as a unilateral decision when rock quality • review of design drawings and the geological model,
deteriorated, but that all responsible parties at the daily support
meeting must agree to reduction in support. • review of the conditions observed during the site visit and as
exposed in the adjacent tunnel, and
The process was embodied in a ‘permit to excavate’ form
(Figure 3), which both set the agenda and recorded the outcomes • review of the ground movement monitoring results.
of the review meeting. At the same time, it was important that the The form was used to record the decision-making process in
form was easy to use and provided information clearly to all determining the appropriate support.
using the system, especially construction crews of the face.
The content of the form was refined in a series of reviews to DAILY ASSESSMENT MEETINGS
ensure that the form was accepted and owned by all parties. It
was recognised that the form was ‘look ahead’ rather than a QA For the EastLink project, the designer and the contractor shared
document recording installed support. However, the review the responsibility for determining the support requirements for
process included a prompt to consider the installation installed the tunnel. During the design process, both parties developed the
support in the light of the ground conditions exposed in recent joint review and determination process, and documented it,
advances, as these might provide additional information on including the designer role, in the procedures of the contractor’s
features not exposed earlier. systems.
The review meeting and the ‘permit to excavate’ form were the The structure of the daily review meetings was set by the
outcome of a systematic approach to the assessment of the ‘permit to excavate’ form.
ground conditions. These steps are described in the following The form was designed with the following criteria:
sections.
• limited to a single page;
GROUND AND RECORD REVIEWS • recorded the review items listed in the project specification,
reflecting the design requirements;
There were a number of aspects of the ground conditions and • recorded the agreed support type as one of a standard set,
behaviour that were reviewed in preparation for the support with provision for noting additional requirements if needed;
assessment. As well as the face exposed on the day, the
geological model, special support requirements and history of the • comprised checklists that allowed for an easy recording of
lead heading were checked for any indications of matter to be the reviewed items by circling responses;
included in the assessment. • contained flexibility to allow its use for support
determination in heading, cross passage or bench; and
Daily tunnel inspection and record checklists • recorded the reviewers and their responsibilities in the
To assist in the effective implementation of the support review process.
process and to avoid complacency during site inspections, The form was a daily hold point for tunnelling and excavation
CW-DC developed two daily checklists: the tunnel site visit would not proceed without a signed-off form.
checklist (Figure 4) and the daily tunnel support review form It is important to note that the daily review meetings were not
(Figure 5). These checklists included the key designer inputs into used to change the design but to implement it effectively. Any
the daily support review process (as described above): ‘change’ was formalised with appropriate analysis and review.

FIG 3 - Permit to excavate form.

FIG 4 - Tunnel visit checklist.

FIG 5 - Support review checklist.

COMMUNICATION WITH THE TUNNELLING In addition to the representatives from the contractor and
CREWS designer, the external review parties representing the interests of
ConnectEast and SEITA usually attended this meeting. Review
The ‘permit to excavate’ form was the formal means of notifying of the monitoring results was an important part of this part of the
the crew at each face of the required support installation. process. It helped to confirm the visual inspections made in the
However, in addition to information from the review, it was tunnels by the parties and confirmed that the construction was
important that the face crew continue to assess the requirements meeting the design expectations.
for support as new ground was exposed during the excavation. The weekly review meeting summarised the daily events and
Therefore two additional measures were taken to assist in the reviewed the monitored data. It then formalised that the support
understanding of support requirements, specific inductions and that had been installed for the week met the design intent.
the use of annotated face photographs. Clearly this meeting helped improve the communication between
all parties and reinforced to the reviewing parties that both the
Ground awareness inductions and daily tunnel designer and contractor were working together.
face photographs
Conditions in the tunnels in Melbourne’s Anderson Creek PERFORMANCE OF THE PROCESS
formation were different from conditions in other tunnels in The installation of the appropriate level of primary support in the
Australia, particularly Sydney, from where many of the tunnel is a prime factor in maintaining the safety of the tunnel
experienced tunnel crews had come. TJH requested CW-DC to during construction, while meeting program and budget targets.
develop training which dealt with the geotechnical issues With the contractor and the designer working together
particular to these tunnels: knowledge of the design process was combined with experience
• A ground awareness induction was set up by the designer to of the installation of support and the capability of plant.
educate the tunnel workforce on site-specific issues, for The permit to excavate form was integral to the efficiency and
instance expected ground conditions. The induction session applicability of the daily support review process. The form acted
included a preprepared audio-visual presentation that was as both the agenda and record of the review meetings. At the
modified through the life of the project. These sessions same time, it was important that the form remained easy to use
helped the inexperienced underground workers and the and provided information clearly to all using the system,
experienced workers who had not worked in this type of especially the construction crews at the face.
ground before. The processes have been applied successfully to the
• On a daily basis, annotated digital photographs were construction of the primary support of the EastLink tunnels due
presented to the underground workers at their toolbox to their simplicity and effectiveness.
meetings. The photos provided geotechnical information in Having the daily review meeting at a set time ensured that all
areas of potential concern and an overall general description parties were able to be involved, that a review did actually take
of the tunnel faces. On occasions, photographs were place and got the tunnel crews into a routine of expecting a
combined with some basic analytical information regarding review at a certain time. Having all parties present leads to better
potentially poor ground or previously experienced wedges. communication and understanding by all parties.
The photographic description of the face and any additional
WEEKLY REVIEWS support required not only trained some of the lesser experienced
site engineers and tunnellers but improved the chance of the
Each week, all the monitoring results were presented and correct additional support being installed.
discussed by the parties, monitoring included:
The designer at EastLink undertook the geotechnical review
• extensometer readings, role whilst the contractor had its own geologists who undertook
• settlement arrays, all of the face mapping and tunnel monitoring. This arrangement
helped to balance the opinions between the designer and
• convergence arrays (optical targets), contractor.
• groundwater monitoring bores, The systems included the implementation of the following:
• flow measurements in the Mullum Mullum Creek, • permit to excavate process,
• rock bolt testing results (pull tests and pre-tension), • daily tunnel inspection checklists, and
• shotcrete testing results, • ground awareness induction and daily tunnel face photos.
• rock mapping, and The system assisted in safely excavating and supporting the
• drill and blast monitoring (vibration results). tunnel. The tunnel broke through towards the end of 2006, ahead
of program. This milestone was in combination with over 600
Any non-conformances were raised at this meeting, usually days loss time injury (LTI) free.
prior to the formal NCR being raised, to ensure all parties were
informed. It also gave review parties an input rather than just
reviewing the outcome.

Fire and Life Safety – The EastLink Perspective
P S Smith1 and C MacDonald2
ABSTRACT
There are many technologies available today in terms of fire and life safety
in road tunnels. So many in fact that it is becoming more and more difficult
for clients and contractors alike to determine what they want and what they
need. From a client’s perspective, fire and life safety is about protection to
its infrastructure and to the public at large. Conversely, the contractor is
looking to meet its ‘fit for purpose’ or ‘deem to comply’ requirements in
the most economic and practicable way.
Practices regarding fire and life safety in road tunnels have undergone
a degree of transformation during the last decade or more throughout the
world. This transformation has largely been driven by a series of
catastrophic accidents such as the major fires in Europe including the
Mont Blanc Tunnel, Tauern Tunnel, Saint-Gothard Tunnel, and now most
recently in the CityLink Tunnels in Melbourne.
International guidelines produced by organisations such as the
Permanent International Association of Road Congresses (PIARC), the
European Union, the International Tunnelling Association (ITA) and the
US National Fire Protection Authority (NFPA) now provide clients,
owners and designers with the tools required to define and specify the
required fire and life safety systems in road tunnels. The majority of these
tools are based on risk assessment and risk management.
Recent road tunnel projects within Australia, however, have not
referred solely to such guidelines. Clients have opted to prescribe
different or additional fire and life safety requirements within the
project’s technical specification documentation (project requirements),
leaving designers and contractors with little room to implement
alternatives or substitutions. Further, these project requirements are
largely dictated by practice established on previous road tunnel projects
within Australia.
This paper looks at the current international guidelines and practices
and undertakes a comparison with the EastLink tunnels in Melbourne and
other road tunnels within Australia and makes assessment on whether FIG 1 - EastLink project in Melbourne.
Australian methods are the most appropriate for clients and contractors
alike. Focus is directed to the key elements of fire and life safety such as:
• traffic envelope, barrier arrangements and emergency walkway The State Government of Victoria, through the agency of the
provisions; Southern and Eastern Integrated Transport Authority (SEITA,
• deluge systems; www.seita.com.au), commissioned the project as a build, own,
• drainage systems; operate and transfer (BOOT) scheme. Following a tendering
• fire rating requirements; process which concluded in 2004, the proponent, ConnectEast
• tunnel ventilation systems;
(www.connecteast.com.au) was selected to be responsible for
arranging financing, design and construction, maintenance and
• cross passage provisions;
tolling of the facility for a concession period of 35 years.
• fire safety assessment;
• critical intelligence systems including help phones, CCTV, incident In turn ConnectEast let a design and construct contract to the
detection, tunnel signage, etc; and Thiess John Holland Joint Venture (TJH, www.thiessjohnholland.
• external tunnel control systems. com.au) as the principal contractor for the project. CW-DC Pty
Ltd, a wholly owned subsidiary of Connell Wagner, has been
engaged by TJH to provide the detailed design documentation
THE EASTLINK PROJECT for the civil works of the northern 6 km of the project, including
The $2.5 billion EastLink project is a 39 km tollway in the twin tunnels.
Melbourne’s eastern suburbs. The tollway links the Eastern The project includes twin three-lane, 1.5 km long, undrained
Freeway in the north-east of Melbourne to the Frankston driven tunnels built to avoid the motorway passing through the
Freeway in the south-east. Along the alignment the tollway Mullum Mullum Creek Valley. The 15.8 m wide by 11.9 m high
includes tunnels, 88 separate bridges, 17 major interchanges and driven tunnels are excavated through highly variable ground
a dedicated shared use path for pedestrians and cyclists. Figure 1 conditions with the concrete secondary lining for the tunnels
shows the overall EastLink project in relation to the city of designed to carry the full hydrostatic pressure and the long-term
Melbourne.
ground loads.
1. Associate – Transportation, Connell Wagner Pty Ltd, Level 11, 60 EASTLINK TUNNEL SAFETY SYSTEMS
Albert Road, South Melbourne Vic 3205.
Email: smiths@conwag.com.au The fire and life safety systems installed in the EastLink tunnels
2. Chief Engineer, Engineering and Estimating, Thiess Pty Ltd, 179 are considered to represent best practice for road tunnels in
Grey Street, South Bank Qld 4101. Australasia, but the question arises: how do these systems
Email: CCMacDonald@thiess.com.au compare with international practice and guidelines?

P S SMITH and C MacDONALD
FIG 2 - Tunnel cross-section.
Traffic envelope, barrier arrangements and The walkway/barrier arrangement promoted much discussion
emergency walkway provisions during the final design development with current practice, even
across Australia, far from unified. A review of road tunnels
The tunnel cross-section design (refer Figure 2) was primarily shows three distinctive and different solutions:
determined by the terms of the project requirements document 1. Walkway to be located behind the roadway barriers located
such as: at the edge of the road shoulder, as mandated by the Roads
• three traffic lanes of 3.5 m wide × 4.9 m high, and Traffic Authority (RTA) Road Tunnel Design Guideline
(2006). This solution providing access to the walkway only
• 0.5 m shoulders each side of the traffic lanes, at discrete openings or by vaulting the barrier itself.
• normal containment longitudinal traffic barriers along both
2. Walkway located on the top of either half height or full
walls of the tunnel, and
height roadway barriers, as used in numerous road tunnels
• a 1.2 m wide × 2.4 m high emergency walkway envelope in Australia including the CityLink Tunnels in Melbourne,
adjacent to the fast lane shoulder and in front of the the Eastern Distributor tunnels and Sydney Harbour
longitudinal traffic barrier. Tunnels in Sydney and the Adelaide Crafers Tunnel.
The project requirements left it to the concessionaire to 3. Walkway located at or near roadway level, in front of the
determine requirements such as tarpaulin/flap allowances, sway roadway barriers, adjacent to the road shoulder. This was a
allowances and allowances for mechanical and electrical (M&E) solution not previously used in recent Australian road
equipment. These were addressed as follows: tunnels when this matter was considered, but is common
practice in the UK and Europe.
• A tarpaulin allowance of 250 mm was adopted based on
British Directive BD78/99. After detailed reviews, including road safety assessments, the
final solution adopted located the emergency walkway in front of
• The sway allowance adopted was 400 mm relative to the the roadway barriers (option 3 above), with the following key
static vehicle envelope (ie normal to the road) measured at features:
4.6 m height. The sway allowance envelope rotated from the
toe of the barrier. • Raising the emergency walkway by 75 mm to provide a clear
demarcation between the traffic lanes and the walkway. A
• An additional 300 mm lateral clearance was also provided mountable barrier profile was used to define the shape of the
from the front face of the barrier to any soft infrastructure 75 mm high kerb.
mounted on the barriers such as help phones, architectural
• An audible line (ie rumble strip), installed between the nearest
panels and fire boxes. This recognised risks associated with traffic lane and the emergency walkway to provide awareness
truck mirrors and the like which extend out from the sides of to vehicles potentially leaving the running lanes.
vehicles.
• As it could be foreseen that vehicles could pull over onto the
• All M&E equipment was to be located outside the traffic walkway in a breakdown event, a 4.6 m high static vehicle
envelope described above. As the tunnel roof is arched, there envelope was included above the walkway, catering for all
was significant space above the traffic envelope to cater for vehicles potentially using the tunnel (the tunnel will have a
the M&E equipment. signed/posted clearance of 4.6 m).

FIRE AND LIFE SAFETY – THE EASTLINK PERSPECTIVE
The logic for adopting this walkway and barrier arrangement culminated in recent guidance by PIARC (2007), which suggests
is best described in the British Directive BD 78/99, which a softening of attitude on this point and the organisation now
mandates the use of low level walkways: contemplates the adoption of such suppression systems in certain
circumstances. Consequently, it could be argued that despite
The high raised and protected walkways, which
Australia’s relatively limited experience in the design and
originated from the circular profiles of tunnel
construction of road tunnels, we have, along with Japan, led the
boring machine (TBM) constructed tunnels, give
way for the rest of the world in the development and use of
rise to distinct disadvantages: the loss of
water-based fire suppression systems in road tunnels.
temporary standing for stranded vehicles; for
drivers, the unwelcome side wall effect A recent example of the success of deluge systems followed
(avoidance) influencing driver behaviour; the March 2007 fatal road accident within the Burnley tunnel in
restricting the nearside opening of doors of Melbourne. Whilst final formal reports on the incident are not
stranded vehicles; loss of ready access to the yet concluded from reviews, of available media reports ARUP
emergency points and cross tube connections for (2007) has indicated that:
all tunnel users, especially the disabled. the provision of the water based deluge and smoke
It is of interest to note that a similar low level walkway has control systems appear to have contributed most
subsequently been proposed for the North South Bypass Tunnel significantly to life safety and minimisation of
and the Airport Link Tunnel, both in Brisbane. asset damage and operational interruption.
Deluge systems Drainage systems

The EastLink tunnels incorporate a sprinkler/deluge system The project requirements specified several key requirements for
throughout the main tunnels. The deluge system has been the tunnel drainage system, including:
designed in 30 m zones along the alignment and allows the • pick-up all external rainfall run-offs for a one in 100 year
operation of two zones (60 m length total) to control fires within event not collected by the drainage system outside the
the tunnel with a flow rate of 10 mm of water per minute to the tunnels;
activated zone. This flow rate is as recommended by the
Australasian Fire Authorities Council (AFAC) (2001). The
• include storage for 30 minutes of deluge water plus up to
50 000 litres of accidental spillage; and
Metropolitan Fire Brigade (MFB) stipulated a requirement that
the deluge system be capable of operating for a minimum period • all drainage pits to include a water seal (ie flame trap), such
of 30 minutes. that flammable liquids would not be transported downstream
The use of deluge systems in road tunnels is strongly to the next drainage pit.
advocated by the AFAC (2001) due to the ability of such systems The use of water seals in drainage pits is a direct recognition
to: of the risk that the water from the deluge system will disperse
…control a growing fire, allowing safe any fuel or other flammable liquids away from the incident and
evacuation, giving firefighters the opportunity to potentially towards evacuating users or fire fighters.
get close to the seat of the fire and hence provide The requirement to provide storage for 30 minutes of high
an opportunity for control and extinguishment. density deluge flow results in the provision of a very significant
sump facility at the low point of the tunnel and this represents a
Conversely, PIARC (1999) states that ‘the installation of significant cost to the construction of the tunnel.
sprinklers is not recommended in road tunnels’ due to several
‘… adverse and even dangerous factors …’ such as dispersion of A risk review of the drainage and deluge designs on EastLink
petrol or other burning liquids, production of steam which affects recognised that if a spillage occurred in an uphill section of the
visibility and potential harms tunnel users, poor efficiency and tunnel, the potentially flammable liquids would flow towards
maintenance costs and cooling and de-stratifying of the smoke trapped tunnel users downhill. In recognition of this risk, the
layer, again affecting visibility. PIARC (1999) even states that tunnel drainage pit spacing was reduced in the uphill sections of
‘… sprinklers cannot be considered as equipment useful to save tunnel in order to collect spillages as quickly as possible.
lives.’ Roads and Traffic Authority (2006), National Fire Protection
From the earliest days of the development of major road tunnel Agency (2008) and the European Union (2004) have all mandated
projects in Australia, which dates back to the Sydney Harbour the use of similar drainage solutions within road tunnels.
Tunnel, designed in the mid-1980s, the local fire authorities have
insisted that sprinkler or deluge systems be installed to suppress Fire rating requirements
the growth of fires within road tunnels (MacDonald and
The application of the most appropriate fire rating system
Messenger, 2003). This requirement was broadly resisted by the
remains a contentious point in the design and construction of
construction industry at the time, largely on the basis that such a
Australian road tunnels today. PIARC (2004), jointly with the
provision was deemed to be unnecessary elsewhere in the world,
International Tunnel Authority (ITA) (2004), have strongly
with the exception of Japan, where such systems were regularly
focused the activities of their working groups in recent years to
installed in long tunnels with high traffic volumes. However, this
provide guidance for fire rating in tunnels, culminating with the
initial reluctance has been largely eroded since the results of
recommended guidelines presented in Figure 3.
successful fire tests, normally undertaken as part of the
commissioning procedures for such tunnels, have demonstrated Independent to the PIARC and ITA recommendations, the US-
how effective such systems are in restraining the growth of fires. based National Fire Protection Agency (NFPA) (2008) requires
Following the major European fires described above, a series all tunnels, regardless of tunnel length shall include a structural
of trials have been undertaken, notably in the Netherlands, fire protection system capable of withstanding a two hour RWS
Norway and France to investigate the merits of sprinkler, deluge curve hydrocarbon fire.
and water mist systems (Meijer, 2007). These trials have On the basis of these guidelines alone, it could be concluded
achieved a degree of practical success, but more significantly that the EastLink tunnels could be designed with a fire rating
have ‘opened the minds’ of many who were previously requirement ranging from none (refer Note 3 in Figure 3) to a
vigorously opposed to the use of such systems. This work has two hour RWS curve hydrocarbon fire.

FIG 3 - PIARC fire rating recommended guidelines.
Notwithstanding, the project requirements for EastLink being able to re-open the tunnel as soon as practically possible
included a stipulation that the concrete structural elements of the after a major fire event. PIARC (2004) does recognise the
tunnel must have fire rating of not less than four hours under a importance of the road network within its guidelines, but still
hydrocarbon fire condition. There was also a requirement that would only recommend a two hour hydrocarbon fire rating for a
these elements should not experience significant spalling under tunnel in stable ground.
the same condition. The requirement for four hours under the It is arguable that the question remains open as to whether the
hydrocarbon curve (whilst ignoring the influence of the deluge benefits to tunnel operations outweigh the costs associated with
system described above) was a very severe requirement and using polypropylene fibres and passive fire protection.
necessitated the adoption of measures that are not commonly
seen in tunnels in Australia and well in excess of those that would
be dictated by the PIARC and other guidelines discussed above. Tunnel ventilation system
Whilst the concrete lining to the tunnel roof was generally The tunnel ventilation system on EastLink was designed as a
unreinforced, the particular shape of the lining necessitated the longitudinal ventilation system with clean air drawn through the
installation of steel reinforcement in the invert of the tunnel and tunnel entry portals and driven through the tunnel before being
at the intersections between the main tunnel and cross passage, extracted near the exit portals into 46 m high ventilation stacks.
which, as described later, are at 120 m centres. In order for this This system has been commonly used in road tunnels within
reinforced lining to accommodate a four hour hydrocarbon fire it Australia for tunnel ventilation and smoke control, although
was necessary to apply a passive protection system to the surface there are some examples of tunnels in Australia where ducts are
of the lining at these intersections to avoid the rapid diminution used to extract smoke in the event of a fire. These examples
in tensile capacity that occurs in steel when exposed to include Sydney Harbour Tunnel, Melbourne CityLink and the
temperatures above 250°C. The reinforced inverts did not require major road tunnels now either under construction or being
any protection as they were buried beneath the roadway. tendered in Brisbane. A more detailed discussion regarding the
In order to minimise spalling of the surface of the concrete merits of smoke ducts is provided in (MacDonald, 2006).
tunnel lining, polypropylene fibres were added to the concrete. The longitudinal ventilation system on EastLink has been
This measure has been demonstrated to have a significant impact designed to control the smoke and heat produced from a 50 MW
in reducing such spalling through the release of pore pressures
design fire, as specified under the project requirements. Review
that result when fibres melt at a temperature of approximately
170°C and is now used extensively around the world in concrete of PIARC (1999) suggests that the heat release rate from a ‘lorry
tunnel linings. with burning goods’ is between 20 - 30 MW, with dangerous
good vehicles producing up to 120 MW. As placarded vehicles
The reason for the more onerous four hour rating requirements
has been linked to property and infrastructure protection within are not permitted in the EastLink tunnels the use of a 50 MW
the tunnel. Although it could be demonstrated that the deluge design fire seems conservative.
system and ventilation systems provided the most suitable To control this 50 MW fire, a back-layering velocity of 3 m/s
systems for life safety, as the tunnel forms part of a larger has been adopted for the ventilation design; this compared to air
tollway the Concessionaire and State put great importance on velocities within the tunnel to 5 - 6 m/s during normal operation.

It is important to select a control velocity high enough to prevent users a refuge within the cross passage were not necessary as
back-layering (where smoke flows in the opposite direction to they could readily travel to the safety of the non-incident tunnel.
the airflow). Conversely, it is important not to nominate too high The design also recognised the risks to evacuating tunnel users
a back-layering velocity, as this reduces the duration of tenable when exiting through a cross passage into the non-incident
conditions downstream of the fire. tunnel (where vehicles may still be exiting the tunnel) with the
For EastLink, the selection of the back-layering velocity was addition of warning signage within the cross passages
based on PIARC (1999) recommendation for tunnels with slopes themselves. This signage warns of potential vehicles on the other
no steeper than four per cent and design fires not exceeding side of the sliding door and also alerts users in which direction to
100 MW. The maximum grade in the EastLink tunnels is travel to the nearest tunnel portal.
5.5 per cent, which exceeds the PIARC recommendations, but
with reference to the smaller design fire (50 MW in lieu of Fire safety assessment
100 MW), the chosen back-layering velocity of 3 m/s was
deemed to be appropriate. As stated above, it is arguable that the cross passage centre
spacing should not be prescribed as it relates to the interaction of
several factors, including traffic volumes and composition, tunnel
Cross passage provisions length and the design of the ventilation system. For example, the
The project requirements specified that cross passages should be cross passage spacing for a car-only tunnel versus a truck-only
at 120 m maximum centres and have allowance for a 2.1 m wide tunnel could be significantly different as the time before the
by 2.4 m high egress envelope. Further to the egress allowance, tunnel becomes untenable from smoke for exiting occupants is
additional width was provided within the cross passages for significantly different due to the design fire size.
the M&E equipment required for tunnel operations and Although sometimes omitted from the project requirement
additional height for construction access requirements and the documentation, it is now becoming standard practice to
accommodation of pipework associated with the deluge system. undertake an available safe egress time versus required safe
The additional space could easily be provided within the cross egress time (ASET versus RSET) assessment to determine
passages; however, the intersection of the cross passages with the whether there is sufficient time for trapped vehicle occupants to
main tunnel resulted in a complex and costly arrangement of exit their vehicles and make it to the nearest cross passage prior
structural reinforcement and concrete at the junction with the to the conditions within the tunnel becoming untenable due to
additional requirement for fire rating as described above. Every either visibility or temperature. This method represents a
effort needs to be made to minimise or eliminate such quantifiable assessment based on either the AFAC Guidelines
enlargements at cross passage junctions, or to maximise the (2001) or the International Fire Engineering Guidelines (2005).
spacing of cross passages whilst maintaining sufficient exit time As discussed above, the philosophy with longitudinal
for escaping tunnel users. ventilation systems is to force smoke downstream and away from
The operation of the zoned deluge system within the main the trapped vehicles upstream of the fire incident. Such systems
tunnels requires that a significant amount of pipework enters and rely on vehicles downstream of the incident being able to drive
exits each cross passage for the supply and distribution of water out of the tunnel and away from the encroaching smoke. A key
to the deluge sprinklers above the roadway. Although the cross assumption within this process is that all vehicles downstream of
passages are only required to be 2.4 m high for egress purposes, the fire can drive out of the tunnel freely. Such a scenario is
the cross passage intersections are needed to be significantly known as a ‘single incident event’.
higher to allow for the above described pipework to enter and Conversely, in a ‘double incident event’ vehicles downstream
exit the main tunnel cross-section whilst remaining above the of the fire cannot drive out of the tunnel freely due to another
traffic envelope. incident downstream or major traffic congestion. In a
The provision of cross passages at 120 m centres is typical longitudinally ventilated tunnel, the smoke is pushed downstream
practice in Australian Road Tunnels. The NFPA (2008) suggest at least at 3 m/s (11 km/h), which quickly makes conditions
that cross passages shall not be more than 200 m apart whilst downstream of the incident untenable. It is the double incident
BD78/99 suggests that cross passages or refuges should be scenario specifically that determines the adequacy of the cross
located at 100 m centres. Cross passages, specifically in passage spacing.
undrained tunnels, add significant costs to tunnel construction Traffic management systems employed by the Concessionaire
and therefore determining the optimum cross passage centre on the CityLink tunnels in Melbourne, whereby the speed limit is
spacing is an important step. In reality, the optimum cross slowed and a lane of the tunnel is closed, has successfully shown
passage centre spacing cannot be prescribed as it relates to that even in heavy congestion periods traffic is rarely stopped
several variable factors including traffic volumes and within the tunnels, therefore significantly reducing the risks of a
composition, tunnel length and the design of the ventilation double incident scenario.
system. Refer to section titled Fire Safety Assessment below for Although a 120 m spacing has been shown to be adequate in
further discussion regarding this issue. the majority of ASET versus RSET assessments for road tunnels
As the twin tunnels follow the same grade line, straight and in Australia, there are several factors that can quickly change this
flat cross passages could be provided between the main tunnels. result, including:
The project requirements mandated that the cross passages meet
Disability Discrimination Act (DDA) requirements. To assist
• fire size – 50 MW fires are the standard design fire in
Australian tunnels but as this size increases, the critical
with the design process an accessibility consultant was engaged,
velocity will also increase and therefore reduce the available
who determined that providing the cross passage layouts to
egress time downstream of the fire;
comply with the provisions of AS:1428.1 would achieve DDA
compliance in this instance. The resulting design incorporated • number of lanes – 120 m has been shown to be acceptable for
sliding fire doors at each end of the cross passages with two and three-lane tunnels but as the number of lanes
wheelchair circulation spaces at the front and back of each door increase, the number of tunnel users also increases and
in accordance with the Australian Standard. As the cross subsequently increases the required egress time; and
passages were on a near flat grade and contained no stairs or • tunnel length – with increased tunnel length the risk of
steps it was deemed that ‘parking spaces’ that offered wheelchair double incident scenarios also increases.

Such changes will lead to the reduction of cross passage centre necessary, whether this is because of the accident or incident
spacing but as stated above, for undrained tunnels (or tunnels within the tunnel or to prevent a detected high vehicle from
with complex cross passage arrangements) cross passages are entering the tunnel. Such a system needs to sufficiently warn
expensive and other alternatives may be more cost-effective, such drivers to enable them (and the vehicles behind) to stop in a safe
as smoke extraction systems as used on the Sydney Harbour manner.
Tunnel and the Melbourne CityLink Tunnels. The EU Directive (2004) requires that:
in the event of a serious accident or incident, all
Critical intelligence systems including help appropriate tunnel tubes shall be closed
phones, CCTV, incident detection, tunnel immediately to traffic. This shall be done by
signage, etc simultaneous activation not only of the
The EastLink tunnels include many of the latest critical abovementioned equipment before the portals,
intelligence systems for tunnel operation, traffic control, fire but also of variable message signs, traffic signals
detection, etc. These systems include: and mechanical barriers inside the tunnel, if
available, so that all the traffic can be stopped as
• Emergency egress cabinets located above the walkways at soon as possible outside and inside the tunnel.
60 m centres along the tunnel. The cabinet’s contents include
hydrant points, hose reels, extinguishers and motorist On the EastLink project this has been achieved with the
emergency telephones (METS). installation of warning and barrier systems outside each tunnel
portal, similar to those used on at-grade rail crossings throughout
• Help phones (METS) at 120 m centres on both sides of the Melbourne and as used on the approaches to the West Gate
carriageway, staggered. Bridge. Alternatively, the Sydney Harbour Tunnel has recently
• CCTV and pan, tilt, zoom (PTZ) cameras throughout the installed the ‘Softstop Barrier System’ at its tunnel portal. The
tunnel, which provide full coverage of emergency exits and system works by projecting an enlarged STOP sign onto a
walkways. blanket of water created across the portal face.
• Two independent high voltage power supplies that provide In conjunction with these barrier systems, the areas outside the
redundancy in the event of a single failure in the power tunnel portals were specifically laid out with the Metropolitan
supply network. Fire and Emergency Services Board (MFB) to best suit a
potential temporary operations base should there be a major
• Ninety minute emergency walkway lighting throughout the incident in the tunnel. The layout included hydrant points,
tunnel and cross passages in the event of a complete power DISPLAN cabinets, connection points to the tunnel control
failure. Emergency walkway lights were provided at 10 m centre, sufficient space for the required fire fighting and control
centres. vehicles and washdown tents.
• Ninety minute emergency exit and strobe lights provided at
the entries to each of the cross passages and emergency SUMMARY
‘running man’ exit signs located at 30 m centres along the
tunnel. Review of the EastLink fire and life safety systems has shown
• Local mimic points of the tunnel operation centre located at that the fire and life safety systems employed are equal to or
each of the tunnel portals, which allow the emergency exceed international standards or practice. The tunnel cross-
services to communicate with the control centre and view section layout, drainage systems, ventilation design, fire safety
CCTV footage of the tunnel during an emergency event. assessments, critical intelligence systems and external control
systems employed on EastLink are all of an international
• A linear fibre optic thermal detection system throughout the standard and in accordance with current practice. Although the
tunnels for fire detection. adopted cross passage spacing on EastLink is in line with current
• Smoke detection systems within the cross passages. Australian practice, this paper has discussed the importance of
• Tunnel information signs and lane use signs located at 200 m trying to maximise cross passage spacing whilst maintaining
centres through the tunnels. sufficient safe egress time.
Review of the use of deluge systems and fire rating
• Variable speed signs located on each side of the carriageway requirements employed on the EastLink tunnels shows a clear
throughout the tunnels. exceedance of current international practice. Are Australian road
• A radio rebroadcast system for AM and FM radio and the tunnels leading the world with regard to deluge systems and fire
emergency services radio frequencies. rating requirements, or are we guilty of ‘selective poaching’ from
various different international standards, with the result that we
• A public address (PA) system throughout the tunnels, which have created overly stringent and overlapping requirements?
includes overriding access to the AM and FM rebroadcasting
system. The softening of PIARC’s (2007) approach to the provision of
deluge systems and the recent trials of different suppression
• Mobile phone continuity service through the tunnel for all systems (Meijer, 2007) does indicate that international opinion is
current bands. changing regarding these systems and that variations of
This section is not the main focus of this paper but has been Australian and Japanese practice may soon become widely
provided for completeness as the critical intelligence systems form adopted around the world.
a fundamental part of the ability to identify and control different There remains, however, a large degree if inconsistency in the
events within or around the tunnels, whether these have life safety way in which such critical issues as fire rating are addressed in
implications or not. The systems provided on EastLink have been specifications for different projects within Australia. It is
prescribed in the project requirements and are equivalent to other interesting to reflect on the fact that PIARC (2004), International
systems provided in current Australian road tunnel projects. Tunneling Association (2004) and National Fire Protection
Agency (2008) have all managed to draw similar conclusions
External tunnel control systems with regard to fire rating in road tunnels that are expected to
apply around the world and yet each state in Australia has
A fundamental requirement for the success of any tunnel control adopted their own approach to specifying a fire rating
system is the ability to stop traffic entering the tunnel when requirement for road tunnels. Hopefully such inconsistencies will

be addressed by the adoption of an Australian standard for fire MacDonald, C, 2006. Dedicated smoke extraction in road tunnels – An
and life safety standards in road tunnels, which is currently being emerging practice in Australia?, Tunnel Management International,
prepared by a committee consisting of representatives drawn 9(2).
from a broad spectrum of organisations involved in this field. MacDonald, C and Messenger, S, 2003. Life safety facilities in road
The industry looks forward to a draft standard being released for tunnels – An Australian perspective, presented to Fifth International
Conference, Safety in Road and Rail Tunnels, Marseille.
comment in the hopefully near future.
Meijer, G-J, 2007. Active fire control systems, Workshop – Fire and life
safety, presented to Tunnelling 2007 Conference, Brisbane.
REFERENCES National Fire Protection Agency (NFPA), 2008. 502:2008, Standard for
ARUP 2007. Burnley Tunnel fire – The Arup view [online]. Available road tunnels, bridges, and other limited access highways.
from: <http://www.fpaa.com.au/docs/burnley.pdf>. PIARC Committee on Road Tunnels, 1999. Fire and smoke control in
Australian Building Codes Board, Department of Building and Housing road tunnels 05.05B.
New Zealand, International Code Council and the National Research PIARC Committee on Road Tunnels, 2007. Systems and equipment for
Council of Canada, 2005. International fire engineering guidelines. fire and smoke control in road tunnels.
Australasian Fire Authorities Council – Tunnel Fire Safety Issues PIARC Technical Committee on Road Tunnel Operation (Didier Lacroix,
Committee, 2001. Fire safety guidelines for road tunnels, Issue 1. Alfred Haack), 2004. PIARC design criteria for resistance to fire for
Australian Standards, 2000. AS:1428.1:2000 – Design for access and road tunnel structures.
mobility – General requirements for access – New building work. Roads and Traffic Authority, 2006. Road tunnel design guideline – Fire
European Union, 2004. Directive 2004/54/EC of the European Parliament safety design.
and of the Council of 29 April 2004 on minimum safety requirements UK Design Manual for Roads and Bridges, 1999. BD78/99 Design of
for tunnels in the trans-European road network, Journal L 201/56. road tunnels (The Highways Agency, The Scottish Executive
International Tunneling Association (ITA), 2004. ITA Guidelines for Development Department, The National Assembly for Wales,
structural fire resistance of road tunnels, Working group No 6. Department of the Environment for Northern Ireland).

Deluge System Operating Effectiveness in Road Tunnels and
Impacts on Operating Policy
M Bilson1, A Purchase2 and C Stacey3
ABSTRACT or property. However, vehicle fires can occur in locations, such

as the engine bay or cabin, which cannot be reached by the
The procedure for operation of deluge systems installed in road tunnels is
still a subject of debate. The work undertaken in this paper assists in the deluge spray, thus limiting the effectiveness. In the worst-case
understanding of the effects of deluge in road tunnels, and thus aims to scenario, a vehicle will continue to burn under action of a deluge,
help inform the development of operational policy. releasing large quantities of smoke and toxic combustion
Analysis was undertaken using computational fluid dynamics (CFD) products unaffected by the water, with the deluge only adding
simulations to help explore the deluge interaction with the tunnel confusion. The opposing viewpoint argues that the deluge should
ventilation (including smoke exhaust) and combustion products. It was not be operated during the initial stages of a road tunnel fire.
found, for the scenarios considered, that: Instead, the smoke should be allowed to remain hot and buoyant,
• Deluge activation can decrease the required critical velocity for keeping it in the ceiling area of the tunnel and out of the way of
smoke backlayering, and this in turn can improve the effectiveness of escaping motorists. This may assist egress, but it may also allow
a smoke exhaust system. the fire to grow unchecked with negative life safety and
• The dominant parameter for deluge effectiveness is the vehicle structural impacts. Consideration of the benefits and drawbacks
configuration, with shielded scenarios (such as a fire in the passenger of automatic and manual deluge operation leaves space for
compartment) showing almost no water reaching the fire. The water argument on the best practice for deluge operation. The
delivery rate (5 mm/min versus 10 mm/min) has only a minor effect operational procedure is further complicated by the consideration
on the smoke duct damper inlet temperatures and downstream smoke of tunnel ventilation systems used to control or exhaust the
temperatures for small fires (5 MW). For large fires (50 MW) the
smoke.
higher water delivery rate gives slightly improved performance
(lower damper inlet temperatures and lower downstream smoke A number of experimental programs have been carried out by
temperatures). others (eg refer Chiyoda Consultants, 2001 and Centre for
A one-dimensional transient tunnel model incorporating different Tunnel Safety, 2006) to understand the influence of deluge on
operational and deluge response policies (ie deluge activation times) was fire and smoke. It has been demonstrated in a road tunnel setting,
developed. It was used to examine the influence of different operational that as well as limiting fire spread, the deluge will rapidly cool
parameters on life safety risk and tunnel damage risk. It was found, for the smoke and adversely affect visibility. However, due to the
the scenarios considered, that: cost and general difficulty of performing large-scale tunnel fire
• The life safety risk for different scenarios has a sensitivity to deluge experiments, procedural testing of deluge systems, considering
activation policy with the case of delaying the deluge activation for a interaction with ventilation does not appear to have been
long time giving the worst outcomes. However, the most critical undertaken in detail. This is particularly applicable to the case of
parameters for life safety risk are operator response time (for all ducted smoke exhaust systems in road tunnels. This is a current
response activities, not just deluge) and the type of fire
(configuration, size and growth rate).
trend that has not been provided in many Australian road tunnels
to date (recently constructed tunnels incorporating ducted smoke
• There is a reduction in risk of tunnel damage when the deluge is
activated earlier, although the fire configuration (ie whether or not
exhaust include Citylink, Melbourne and North-South Bypass
the seat of the fire can be reached) has the greatest influence on the Tunnel, Brisbane).
outcome. With road tunnel fires being relatively uncommon, there is no
It is concluded that the deluge activation policy should be case- statistical basis of large fires from which to draw conclusions on
dependent. It will depend on the tunnel, the safety systems provided, and deluge operations. The work undertaken in this paper aims to
most particularly the vehicles involved. The current policy in Australian assist in the understanding of the effects of deluge systems in
tunnels is for manual activation of the deluge by the tunnel operator as road tunnels, and thus help inform the development of
soon as practical after the fire is confirmed (see also PIARC, 2007). This operational policy. Analysis is undertaken using computational
is a good policy. However, future work may be helpful to improve the
skills of operators to make the best judgement as to when deluge should fluid dynamics (CFD) simulations to help understand the droplet
be activated, balancing all risks. This work could include research to interaction with tunnel ventilation and combustion products.
further the understanding of deluge and fire in road tunnels, training Simulations are undertaken to investigate the following
programs and consideration of historical fire events. parameters:
• longitudinal or semi-transverse ventilation;
INTRODUCTION • deluge system parameters including water application rate,
The procedure for operation of deluge systems installed in road manual activation and automatic activation; and
tunnels is still a subject of debate. At one end of the spectrum is • fire vehicle parameters, specifically, whether or not the
the view that the deluge should operate immediately once a fire deluge spray can easily reach the seat of the fire.
is detected. In this way, the fire is suppressed or extinguished
before it becomes large enough to pose a significant threat to life Output derived from the simulations is used to inform
conclusions on smoke duct damper inlet temperatures (when a
ducted smoke exhaust system is operating), likely deluge system
1. Senior Engineer, Maunsell Australia, 12 Cribb Street, Milton Qld effectiveness at extinguishing the fire, and impacts on the
4064. Email: Matthew.Bilson@maunsell.com ventilation performance. The conclusions regarding effectiveness
at extinguishing the fire are then used to inform inputs to a
2. Engineer, Maunsell Australia, 12 Cribb Street, Milton Qld 4064. one-dimensional transient model which incorporates different
Email: Andrew.Purchase@maunsell.com
tunnel operations. The results from this model are used to
3. Technical Director, Maunsell Australia, 12 Cribb Street, Milton Qld compare the life safety risk and tunnel damage risk for different
4064. Email: Conrad.Stacey@maunsell.com deluge operation policies in road tunnels.

M BILSON, A PURCHASE and C STACEY
PREVIOUS WORK AND CURRENT APPROACHES downstream temperatures 35 m from the fire were measured
at 200°C prior to activation of the water mist system but
There has been much debate regarding positive and negative reduced to 50°C or less upon activation. Similarly, for heavy
aspects of deluge in road tunnels. Different regions seem to adopt goods vehicle (HGV) tests, downstream temperatures 30 m
their own policies (eg whether or not to include deluge) and from the fire were measured at 300°C prior to activation and
procedures (eg automatic or manual activation) based on 60°C within five minutes of activation of the water mist
experience, interpretation of the positive and negative aspects, system.
and the situation of the tunnel (eg a long urban tunnel with • For passenger car fires, the heat flux reduced from
mostly small vehicle traffic, versus a major highway tunnel approximately 14 kW/m2 to less than 5 kW/m2 within eight
carrying a significant number of heavy goods vehicles). A minutes of activation of the water mist system.
summary of the positive and negative aspects of deluge is given
in Table 1. • The water mist system prevented fire propagating to adjacent
vehicles (by reducing the heat flux and cooling the other
vehicles).
TABLE 1
Positive and negative aspects of deluge systems in road tunnels. • The water mist system prevented fires from reaching their
potential peak heat release rates. For the HGV tests, the fires
reached a peak heat release rate of 23 MW compared to the
Positive
estimated 75 MW to 95 MW peak heat release rates.
• Potential to extinguish the fire.
• Limit fire growth rate and spread to other vehicles. • For passenger car fires, ceiling temperatures above the fire
• Prevent the fire from reaching peak heat release rate. were reduced from 800°C prior to activation of the deluge
• Reduce damage to tunnel structure. to non-damaging levels of approximately 400°C almost
• Increase ventilation effectiveness due to cooling. immediately after the water mist system was activated.
• Reduce downstream smoke temperatures to within human tenability
limits.
While there have been many other experimental investigations
• Assist with firefighting activities. of deluge in road tunnels (refer Chiyoda Consultants, 2001) it is
not the purpose of this paper to summarise all previous work.
Negative The two articles cited here establish certain fundamentals of
• When activated, the deluge spray destratifies the smoke layer and deluge systems that do not require further consideration in this
reduces visibility. paper:
• Not as effective when the fire is inside a vehicle or in a container
such that the spray cannot reach the seat of the fire. • prevention of fire spread,
• Potential for dangerous chemical reactions with burning petrol or • reduced visibility due to smoke destratification, and
other chemical loads.
• Cost and complexity. • reduction of temperature and radiative heat flux.
• Large water supply requirements. A recent summary of deluge use in road tunnels was produced
• Can spread flammable liquid around.
by PIARC (PIARC, 2007) and Table 2 summarises the different
• If activated during evacuation or when vehicles are still moving, can
cause confusion for occupants. approaches with a focus on Australian road tunnels. The table
• Vapourised water can cause injuries. shows that a variety of different approaches to the design and use
• Cost and maintenance. of deluge systems exists and there is no single definitive
operating policy. Additionally, there has been relatively little
work considering the interaction of deluge with ducted smoke
A number of experimental programs have been undertaken to exhaust systems. The present paper undertakes analysis and uses
investigate and quantify the effectiveness of deluge systems in the results to build on knowledge related to these two points.
road tunnels. A summary of two selected programs is considered.
The Centre for Tunnel Safety at the Civil Engineering Division METHODOLOGY
of Rijkswaterstaat, Netherlands, undertook full-scale fire tests,
including a selection of deluge test cases (Centre for Tunnel Analytical approaches used to assess the deluge interaction with
ventilation and the deluge operational policy includes CFD
Safety, 2006). Some of the findings included:
models and one-dimensional calculations. The general approach
• A spray density of 14 mm/min was used. There was a delay and significant input parameters are described in this section.
in the order of ten minutes into the fire before activating the
deluge. The system still functioned properly after this time Tunnel geometry and ventilation
(ie there was no damage to the deluge system caused by the
fire). The maximum fire heat release rate was approximately For this investigation, a unidirectional tunnel carrying two lanes
5 MW. of traffic is considered since this represents a typical Australian
road tunnel. On and off ramps were not considered. The cross-
• Deluge activation greatly reduced visibility. The temperature sectional area of the tunnel is 64 m2 with a height of 6.4 m.
downstream of the fire was significantly reduced (250°C Different grades were considered on a case by case basis, ranging
before deluge activation and 15°C after). Radiative heat flux from -3.5 per cent (downgrade) to +3.5 per cent (upgrade). The
near the fire was significantly reduced (10 kW/m2 before tunnel is longitudinally ventilated under normal operations and it
deluge activation and 1 kW/m2 after). is equipped with a smoke exhaust duct for smoke management.
• Only limited water vapour formation occurred. The smoke duct is provided with exhaust dampers every 60 m.
Two pairs of damper sets downstream of the fire are used in
Testing on the performance of water mist systems (technically an emergency. This results in a fire and smoke zone of
not a deluge system, however it was operated as a zoned system approximately 120 m in length. The exhaust capacity of the
similar to a deluge system) was undertaken by the Marioff smoke duct varies on a case by case basis, with values ranging
organisation (Mahwhinney, 2007). Some of the findings included: from 192 m3/s to 256 m3/s. The upstream velocity is varied
• Activation of the water mist systems reduced temperatures between values of 1 m/s and 3 m/s depending on the scenario.
downstream of the fire such that temperatures stayed Figure 1 illustrates the general arrangement of the tunnel and the
below limits for human tenability. For passenger car fires, emergency ventilation.

DELUGE SYSTEM OPERATING EFFECTIVENESS IN ROAD TUNNELS AND IMPACTS ON OPERATING POLICY
TABLE 2
Summary of deluge system experience and approach.
Country/region Approach
Australia Deluge is generally only installed for long urban tunnels. The current policy in Australian tunnels is manual activation of the deluge
by the tunnel operator as soon as practical (see also PIARC, 2007). The deluge is typically activated from a dedicated control room
equipped with video monitoring and trained operators. Selected examples are given below.
Brisbane/South-East Queensland:
North-South Bypass Tunnel (4.8 km). Manual deluge system (10 mm/min, each zone 30 m long). This tunnel is currently under
construction.
Inner City Bypass Tunnel, RNA Showgrounds (0.8 km). Automatic sprinkler system.
Tugun Bypass Tunnel (0.3 km). Deluge system. This tunnel is currently under construction.
Sydney:
M5 East Tunnel (4 km). Manual deluge system.
Lane Cove Tunnel (3.6 km). Manual deluge system, automatic on heat detection if no operator response received within a set time
(10 mm/min, each zone up to 300 m2).
Cross City Tunnel (2.1 km). Manual deluge system (10 mm/min).
Sydney Harbour Tunnel (2.3 km). Manual deluge system.
Melbourne:
Burnley Tunnel (3.4 km). Manual deluge system (10 mm/min).
Domain Tunnel (1.6 km). Manual deluge system (10 mm/min).
Eastlink Tunnel (1.6 km). Manual deluge system, automatic on heat detection if no operator response received within a set time
(10 mm/min, 30 m long). This tunnel is currently under construction.
Japan Deluge is recommended for Japanese road tunnels if the length and vehicle characteristics (number, type) exceed certain limits. An
example of a typical deluge system is a 50 m long zone with up to two zones simultaneously operating. The application density is
approximately 6 mm/min. The deluge is generally not automatically activated and the operator must first confirm that there is a fire
and its location (Chiyoda Consultants, 2001). Experience during real tunnel fire incidents has shown the deluge system to be effective
at preventing fire spread (PIARC, 2007).
Europe Most countries do not have deluge systems installed in their road tunnels. The only exceptions noted are Denmark(Oresund Tunnel),
Finland (deluge installed), The Netherlands (testing deluge systems) and Norway (deluge system installed in one tunnel, testing water
mist systems for use in other tunnels) (PIARC, 2007). In the United Kingdom deluge is not required to be installed (BD 78/79, 1999).
United States Generally, tunnels are not required to have a deluge system installed. Only three tunnels are equipped with deluge systems because
they allow the passage of dangerous goods (NFPA, 2001). A deluge system is only recommended when the tunnel allows dangerous
goods to pass through; however, the applicable standard (NFPA 502, NFPA, 2001) recommends caution even in this case due to the
potential negative aspects of deluge systems (NFPA, 2001).
S = C/K
where:
S = visibility (m)
C = constant = 3 (light-reflecting object)
K = KmρYs
Km = mass extinction coefficient = 8700 m2/kg (flaming
combustion)
ρ = density (kg/m3)
Ys = smoke concentration (kg smoke/kg)
Modelling approach
CFD models were run to steady state to understand some aspects
FIG 1 - Tunnel geometry and emergency ventilation arrangement. of the interactions, with transient results being derived from a
one-dimensional model using inputs informed by the CFD. The
one-dimensional model was computationally cheaper, allowing
Fire parameters more scenarios to be considered.
The main fire input parameters include smoke yield (0.130 kg
smoke/kg fuel), heat of combustion (19.3 MJ/kg fuel), heat release Computational fluid dynamics (CFD) models
rate (varies), radiative heat fraction (0.3) and growth rate (varies). The CFD package Fire Dynamics Simulator (FDS) Version 5
The fire yields were chosen to approximately represent a plastic, (McGrattan et al, 2007) was used to predict conditions in the
such as polyurethane (DiNenno et al, 2002). The polyurethane tunnel for various fire, ventilation and deluge scenarios. FDS is a
yields are considered to be conservative representations of an purpose-built model for simulating fire and smoke movement. It
automobile (Lonnermark and Blomqvist, 2006). Visibility was is restricted to rectangular cell geometry (ie curved surfaces
used to assess the tenability of the in-tunnel environment for the become stepped); however, for the present work this was not
various scenarios as it is generally visibility that is first exceeded a significant limitation. A rectangular cross-section was a
(before temperature, carbon monoxide or radiative heat flux) at reasonable approximation for this analysis. The tunnel length
locations remote from the fire itself. The following procedure was considered was a 400 m straight section. Tunnel alignments are
used to compute visibility (McGrattan et al, 2007): generally only slightly curved.

All CFD models were run to an essentially steady state. FDS is required velocity onto the fire to prevent backlayering (ie the
based on a transient method and so a steady state was reached by critical velocity) due to deluge cooling (refer below) was not
ensuring that all boundary conditions were constant over time. considered for the one-dimensional models. In either case,
Models were run until 200 seconds and an approximate steady the assessment is considering the developmental stages of the
state was verified by observations of key output parameters such fire, which occur well before the fire becomes large enough
as visibility and temperature. Deluge was activated in the models for upstream smoke movement to be an issue.
at 50 seconds and by this time the fire was at peak heat release
rate. The time step was varied automatically to suit numerical DELUGE SYSTEM INTERACTION WITH TUNNEL
stability requirements.
VENTILATION
The fire specification was based on a mixture fraction
approach which essentially injects a sufficient quantity of fuel to CFD models were run to investigate the effects and interaction of
maintain the specified heat release rate. In the mixture fraction the deluge system with the tunnel ventilation. Specific model
approach, as the fuel mixes with air, combustion and heat release parameters for this investigation and the main results are as
occurs. Fire extinguishment was not modelled and the heat follows.
release rate was maintained regardless of whether or not the
deluge activated. The vehicle geometry was of a typical car or Deluge and critical velocity interaction
HGV. The geometry of the incident vehicle was not important to
the conclusions, other than whether the fire surface was Because it cools the smoke, activation of the deluge reduces the
critical velocity. For a particular fire scenario modelled (50 MW
potentially exposed to deluge spray or not.
fire, -3.5 per cent grade) the theoretical critical velocity is
Deluge was modelled as a second phase (Lagrangian particle 2.85 m/s (based on equations provided in NFPA, 2001). In the
tracking) with the droplets having the properties of liquid water CFD models with no deluge, an upstream velocity of 2.5 m/s
(density = 1000 kg/m3, heat of vaporisation = 2259 kJ/kg, allowed approximately 15 m of backlayering. When the velocity
vaporisation temperature = 100°C). The deluge zones were was reduced to 1.5 m/s with no deluge, the backlayering was
defined such that they were each 30 m long and covered the greater than 100 m. However, for the same scenario with deluge
width of the tunnel (total area of 300 m2). For a discharge density activated the backlayering was reduced to approximately 15 m.
of 10 mm/min each deluge head had a capacity of 100 L/min.
The discharge velocity was 5 m/s, the average droplet diameter Deluge and smoke exhaust interactions
was 0.5 mm and the spray angle (representing a hemisphere) was
75 degrees. Based on the reduction in critical velocity noted above, it initially
The walls were modelled as concrete 1 m thick (conductivity = seems possible that the deluge system may afford an improvement
1.4 W/m/K, density = 2300 kg/m3, heat capacity = 880 J/kg/K) in the smoke exhaust effectiveness. Cases were run with smoke
with an insulated backing. The ambient temperature was set to exhaust at a rate of 192 m3/s (50 MW fire, +3.5 per cent grade,
20°C. Ventilation conditions were set using a constant velocity upstream velocity 2.5 m/s) and no deluge system. The results
over the appropriate boundary, and the tunnel portal downstream showed smoke overshooting the downstream exhaust dampers.
was a zero pressure boundary (allowing flow in or out depending The same degree of overshooting occurred when the deluge was
on other conditions). The grid resolution was an average of 0.6 m activated. Generally, a smoke exhaust rate of 256 m3/s or greater
in the longitudinal direction (0.5 m in the fire and smoke exhaust was required to achieve downstream smoke control for this
region), 0.2 m over the tunnel width and 0.2 m in the vertical scenario.
direction. For smoke exhaust systems, the design specification will
typically allow an upstream velocity close to the critical value to
One-dimensional model ensure no backlayering. As noted, this in turn requires a large
smoke exhaust rate to limit smoke overshoot of the downstream
The analysis approach for the deluge operational policy exhaust dampers. With deluge, this upstream velocity can be
assessment used a one-dimensional transient calculation reduced, thereby improving the smoke exhaust effectiveness. For
procedure to estimate in-tunnel conditions for different scenarios. example, in a fire scenario (50 MW fire, -3.5 per cent grade) with
The airflow in a tunnel is essentially one-dimensional. As such, a smoke exhaust at a rate of 192 m3/s, an upstream velocity of
smoke transport can be represented by a one-dimensional mass 1.5 m/s in conjunction with deluge was able to achieve adequate
conservation equation. This can be solved for much less
smoke control. For the same scenario without deluge, significant
computational expense than CFD models and thus a large
number of scenarios can be quickly computed. The calculation backlayering occurred. Example results are provided in Figure 2.
procedure involved solving the conservation equation in space
and time with the Wendroff algorithm (Ames, 1992). The smoke
concentration is based on the amount of smoke being generated,
the ventilation conditions, and hence the smoke dilution. Smoke
concentration is then converted to visibility and thus an estimate
of the available safe egress time (ASET) is made. The grid
spacing was two metres and the time step was 0.25 seconds. A
length of 120 m was considered. Several assumptions were made
in using this calculation procedure:
No deluge scenario, upstream velocity 1.5 m/s
• Smoke is mixed over the tunnel cross-section (ie ceiling-
to-floor smoke, no stratification is allowed for). This is a
conservative assumption for this work, becoming overly
conservative only for airspeeds less than 1 m/s over a section
of tunnel less than 200 m long.
• The longitudinal velocity is large enough to prevent
backlayering (ie spreading upstream of the fire). That is, the
magnitude of the upstream velocity for the one-dimensional Deluge scenario, upstream velocity 1.5 m/s
model was always greater than or equal to 2.5 m/s, such
that backlayering would be negligible. Any reduction in the FIG 2 - Smoke exhaust scenarios (50 MW fire, -3.5 per cent grade).

Deluge activation results in dramatically lower temperatures at calculations considered the interaction of several parameters, as
the inlet dampers to the smoke duct. For example, with a 50 MW outlined in Table 3. The overall likelihood of a particular event
fire without deluge, peak temperatures were in the order of (combination of parameters) was estimated from the relative
300°C, but with deluge the temperatures were in the order of likelihoods of each input parameter being realised. The
75°C. It has been suggested that deluge extinguishment may consequence of a given event was estimated in terms of life
result in unburnt vapour entering the smoke duct. There is no real safety and tunnel damage. The risk of a particular event was
risk from this as dilution is high enough to keep vapour levels quantified based on the likelihood and consequence (ie risk =
below the explosion limits for all reasonable assumptions on fuel likelihood multiplied by consequence). For this paper, the values
source. of certain parameter likelihoods are based on experience or
available literature and data. The results should therefore not be
Deluge, fire configuration, ventilation and water viewed as definitive for a particular tunnel, but rather as an
delivery interactions indication of the possible outcomes if certain input parameters
were to be realised.
The greatest influence on water delivery to the fire site and hence In the calculations, the interaction of deluge response and
potential extinguishment of the fire is the vehicle configuration. incident vehicle type determined the heat release rate, which in
When the fire was shielded from above, almost no water reached turn affected the smoke production. The smoke production rate
the fire. was then used, in conjunction with the ventilation parameters, as
For small fires (5 MW) the water delivery rate (5 mm/min an input into the one-dimensional model to compute the visibility
versus 10 mm/min) had only a minor effect on the damper inlet in the smoke exhaust zone downstream of the fire. Backlayering
temperatures and downstream smoke temperatures. For large and spread of smoke beyond the second downstream exhaust
fires (50 MW) the higher water delivery rate gave a slight point (refer Figure 1) were considered to be controlled by the
improvement in performance with lower damper inlet ventilation and were not analysed with the one-dimensional
temperatures (60°C versus 100°C at 3 m/s upstream velocity) approach. The primary outputs from the calculations were the
and lower downstream smoke temperatures (30°C versus 45°C at heat release rate and visibility variation with time.
3 m/s upstream velocity). Visibility was used to assess the ASET downstream of the fire.
A simple estimation of the required safe egress time (RSET) was
DELUGE OPERATION POLICY made to enable comparison with the ASET, based on the
following:
A series of calculations were undertaken using the one-
dimensional approach to estimate the outcomes for different RSET = operator response time +
tunnel fire conditions and deluge operation policies. The occupant delay time + movement time
TABLE 3
Deluge operational policy parameters.
Parameters Values (likelihood) Comments

Traffic conditions Flowing (99%) Operators of most major urban tunnels are required to prevent
Stopped (1%) congested or stopped traffic conditions as it imposes a safety
risk.
Tunnel ventilation Initial upstream velocity: The initial upstream velocity is based on traffic conditions.
Flowing traffic (5 m/s)
Stopped traffic (2 m/s)
Exhaust rate: 192 m3/s
Operator response Good, 30 seconds (50%) Most tunnels are equipped with automatic incident detection
time Poor, 180 seconds (50%) technology, CCTV and operators are trained. Therefore, in most
incidents the detection and response will be good. The two types
of operator response are given the same likelihood in this
analysis to allow the deluge operation policy effects to be clearly
understood.
Vehicle type and Car (90%), deluge stops fire growth rate but does not extinguish The likelihood of each type of fire is based on the traffic mix
fire growth rate fire. Medium (50%) or fast (50%) growth rates. Potential peak and will vary from one tunnel to another. A weighting of 90%
heat release rate 30 MW (based on fire spreading to several cars is typical for an urban road tunnel.
vehicles). Large quantity fuel spill fires were not considered. These would
Heavy goods vehicle open configuration (HGVo) (5%), deluge be applicable if the tunnel were allowed to carry dangerous
extinguishes fire in a short period of time. Fast (50%) or goods (eg fuel tankers).
ultra-fast growth (50%) rates. Potential peak heat release rate The fire growth rates are based on typical growth rates reported
100 MW. in testing (eg DiNenno et al, 2002). The likelihood of either a
Heavy goods vehicle closed configuration (HGVc) (5%), deluge medium or fast growth rate (for cars), or a fast or ultra-fast
slows fire growth rate but does not extinguish fire or prevent growth rate (for HGV) was set to be equal because of variability
continued growth. Fast (50%) or ultra-fast (50%) growth rates. in fire growth rates.
Potential peak heat release rate 100 MW. The heat release rate versus time was based on a t-squared curve
(ie medium growth = 0.012 kW/s2, fast growth = 0.047 kW/s2,
ultra-fast growth = 0.19 kW/s2).
The deluge effectiveness was informed by previous
experimental work (by others) showing that deluge prevents fire
spread and the CFD models of this investigation.
Deluge response Rapid, 30 seconds (33.3%) The same weighting is applied to each response time to enable
time (policy) Pause, 120 seconds (33.3%) an unbiased assessment of the operation policies.
Hold, 360 seconds (33.3%)

The operator response time varied on a case by case basis (cosmetic damage to tunnel structure, some services damage,
(refer Table 3). The occupant delay time allowed 30 seconds for rating 0.20); 1 MW to 5 MW (minor services damage, rating
alarm notification and then an additional 60 seconds for 0.10); and 0 MW to 1 MW (cosmetic damage only, rating 0.01).
occupants to move (based on warning level W1; DiNenno et al, These values were chosen on the basis of informed judgment and
2002, Table 3-13.1). The movement time allowed 120 seconds, they do not represent the results of any definitive study. The
which is based on the time to move 120 m (in most Australian influence of a passive tunnel lining (eg an insulating board),
road tunnels escape passages are approximately 120 m apart) at a structural temperature variation with time or fire duration was
speed of 1 m/s. Calculations of the life safety risk considered not taken into account.
whether occupants had sufficient time to escape, or what fraction A total of 72 scenarios were run based on the different input
of time they had to escape. The calculations allowed for parameters listed in Table 3 (ie traffic conditions, operator
44 occupants to be present in a region of tunnel 120 m long response time, vehicle type, fire growth rate and deluge operation
(equivalent to two lanes of cars and approximately 1.2 occupants/ policy). The one-dimensional model was run and the life safety
vehicle). In cases where ASET was less than RSET but the fire and tunnel damage risk were calculated for each scenario. The
was extinguished (and thus visibility later restored), the life cases were then sorted from highest to lowest risk in the
safety risk was calculated as though the fire was not categories of life safety risk and tunnel damage risk. To examine
extinguished, but the final risk result (number of exposed the impact of the input parameters, the occurrence of each
occupants) was halved. Life safety risk results were analysed parameter was counted for the worst third of scenarios in either
using a weighting between zero and one, where a rating of one is risk category (ie the 24 scenarios with the highest risk), the
the worst case in which all occupants would be exposed to middle third of scenarios and the lower third of scenarios. The
untenable conditions. If the traffic conditions were those of results are plotted in a relative sense (ie normalised by the total
flowing traffic, the life safety risk was set to zero because all number of times a particular input parameter occurs) for life
occupants downstream would have driven out of the tunnel. safety risk and tunnel damage risk in Figure 3 and Figure 4
Under this scenario occupants upstream of the fire were assumed respectively. The following observations are made:
to be safe as a result of the ventilation response. • For life safety risk (Figure 3) the most significant risk factors
The potential for damage to the tunnel was estimated based on are the operator response, type of vehicle and the fire growth
the peak heat release rate. The following ranges were used with a rate. This only relates to stopped traffic as there is no life
rating between zero and one applied, where one is the worst case safety risk in free flowing traffic accounted for in the
in which major damage to the tunnel lining would be expected: analysis. The deluge response policy has an impact on
50 MW to 100 MW (major damage to tunnel structure and life safety outcomes with the case of delaying the deluge
services, rating 1.0); 20 MW to 50 MW (significant damage to activation for a long time (ie hold policy) making the most
tunnel structure and services, rating 0.80); 5 MW to 20 MW contribution to the worst third of scenarios.
Operator Response Fire Type
0.7 0.7
car •HGVo• fire configuration
HGVo dominates best 1/3 ranked
poor scenarios since fire is
0.6 Values above line contribute 0.6 HGVc
more to a category, such as good extinguished
•worst 1/3•, and values below Values above line contribute
contribute less more to a category, such as
0.5 •Good• operator response 0.5 •worst 1/3•, and values below
dominates best 1/3 ranked contribute less
scenarios
normalised count
normalised count
0.4 0.4
0.3 0.3
0.2 0.2
0.1 0.1
0 0
worst 1/3 middle 1/3 best 1/3 worst 1/3 middle 1/3 best 1/3
Deluge Operation
Growth Rate
0.7
0.7
•Ultra-fast• growth rate medium Longest delay in deluge (•hold• rapid

fires dominate worst 1/3 fast 0.6 policy) makes greatest pause
0.6 Values above line contribute
ranked scenarios Values above line contribute ultra-fast contribution to the worst 1/3 hold
ranked scenarios more to a category, such as
more to a category, such as •worst 1/3•, and values below
•worst 1/3•, and values below contribute less
0.5 0.5
contribute less
normalised count
normalised count
0.4 0.4
0.3 0.3
0.2 0.2
0.1 0.1
0 0
FIG 3 - Life safety risk summary, contribution of each input parameter to the outcome (worst ranked, middle ranked or best
ranked scenarios).

Operator Response Fire Type
0.7 0.7
poor •Car• and •HGvc• fires
Only a minor weighting toward
good good operator response contribute most to worst 1/3 car
0.6 Values above line contribute contributing more to best 1/3 0.6 ranked scenarios because HGVo
more to a category, such as fire is not extinguished Values above line contribute
ranked scenarios HGVc
•worst 1/3•, and values below more to a category, such as
contribute less •worst 1/3•, and values below
0.5 0.5 contribute less
normalised count
normalised count
0.4 0.4
0.3 0.3
0.2 0.2
0.1 0.1
0 0
Growth Rate Deluge Operation
0.7 0.7
rapid
medium pause
0.6 fast 0.6 hold
Values above line contribute Values above line contribute
ultra-fast
more to a category, such as more to a category, such as Earlier activation of deluge
•worst 1/3•, and values below •worst 1/3•, and values belo w contributes more to best 1/3
0.5 contribute less 0.5 contribute less ranked scenarios ("rapid" or
•pause• policy)
normalised count
normalised count
0.4 0.4
0.3 0.3
0.2 0.2
0.1 0.1
0 0
FIG 4 - Tunnel damage risk summary, contribution of each input parameter to the outcome (worst ranked, middle ranked or best
ranked scenarios).
• For tunnel damage risk (Figure 4), the dominant factor is the temperatures for small fires (5 MW). For large fires (50 MW)
type of vehicle (ie fire configuration). Cases where the fire the higher water delivery rate gives slightly improved
base can theoretically not be reached by the deluge dominate performance (lower damper inlet temperatures and lower
the worst outcome scenarios. The early activation of deluge downstream smoke temperatures).
clearly contributes to the better outcome scenarios. • The relative life safety risk for different scenarios reveals
some sensitivity to deluge activation policy with the case of
CONCLUSIONS delaying the deluge activation for a long time making the
most contribution to the worst third of scenarios. However,
Using two analysis approaches, this paper has considered the the more critical parameters for life safety are operator
interaction of deluge with tunnel ventilation, particularly smoke response time (to initiate evacuation, etc), the vehicle
exhaust, and also examined deluge operational policy. The main configuration (type of fire) and the fire growth rate.
outcomes are as follows: • There is a reduction in risk of tunnel damage when the
• Deluge will reduce the critical velocity required to prevent deluge is activated earlier, although the fire configuration (ie
backlayering by cooling the smoke. While this in itself is not whether or not the seat of the fire can be reached) has the
a major finding, the interaction with the smoke exhaust is greatest bearing on the outcome.
important. The upstream velocity can be reduced when • Other risks not analysed here will also vary with the
deluge activation is taken into account. This has the potential scenario. Particularly, the traffic risk from premature deluge
to increase the effectiveness of the smoke exhaust and thus operation and the risk of disorienting evacuees will both need
greatly improve the certainty of downstream smoke capture to be considered in future policy development. Both of these
while still preventing backlayering. Temperatures at the risks decrease with longer delay in deluge operation. Another
smoke duct dampers are greatly reduced when deluge risk factor not analysed here is the operator’s view of the
activation is taken into account, and this has implications for situation and the way it will degrade with time. Most closed
structural fire rating of the smoke duct and associated circuit television systems are installed in the tunnel ceiling,
equipment. meaning that the operator will only have a limited time to
• The dominant parameter for deluge effectiveness is the make an assessment of the situation and take action. This
vehicle configuration, with shielded scenarios (such as a fire factor has potential to dominate deluge activation policy
in the passenger compartment) showing almost no water because accurate deluge activation is perhaps a most crucial
reaching the fire. The water delivery rate (5 mm/min aspect of the response. Clearly, the best response policy is
versus 10 mm/min) has only a minor effect on the smoke case-dependent, and it will depend on the tunnel, the vehicles
duct damper inlet temperatures and downstream smoke involved, the traffic state and the safety systems provided.

Given the rarity of fires in tunnels and the even lower REFERENCES
frequency of the most dangerous scenario of rapidly growing
Ames, W, 1992. Numerical Methods for Partial Differential Equations,
fires in stopped traffic, there is little experience base to inform
third edition (Academic Press).
best practice and so analytical or predictive approaches are
BD 78/79, 1999. Design Manual for Roads and Bridges, volume 2,
useful. This paper has demonstrated a quantitative framework Highway structures design (substructures and special structures)
that can be used to help refine deluge operation policy. The materials, section 2, special structures, part 9, BD 78/99, design of
consideration of how to balance the fire safety risks with the road tunnels.
other risks noted is the subject of further work. The current Centre for Tunnel Safety, Civil Engineering Division, 2002. Project
policy in Australian tunnels is manual activation of the deluge by ‘safety test’, report on fire tests, directorate-general for public works
the tunnel operator as soon as practical (see also PIARC, 2007). and water management, The Netherlands.
This is a good policy. However, future work may be helpful to Chiyoda Consultants, 2001. Sprinklers in Japanese road tunnels.
improve the skills of operators to make the best judgement as to DiNenno, P J, Drysdale, D, Beyler, C, Walton, W D, Custer, R L P, Hall,
when deluge should be activated, balancing all risks. This work J R and Watts, J M, 2002. SFPE Handbook of Fire Protection
could include research to further the understanding of deluge and Engineering, third edition (NFPA: Massachusetts).
fire in road tunnels, training programs and consideration of Lonnermark, A and Blomqvist, P, 2006. Emissions from an automobile
fire, Chemosphere, 62:1043-1056.
historical fire events.
Mawhinney, J, 2007. Evaluating the performance of water mist systems in
road tunnels, in Proceedings IV Congreso Bienal Apici Ingenieria De
ACKNOWLEDGEMENTS Pci, 21 - 23 February 2007.
McGrattan, K, Klein, B, Hostikka, S and Floyd, J, 2007. Fire Dynamics
The authors wish to thank Peter Gehrke and Nick Agnew of Simulator (Version 5) Users Guide (NIST Special Publication
Maunsell Australia for providing comments on the draft version 1019-5).
of this paper. NFPA, 2001. NFPA 502, Standard for road tunnels, bridges, and other
limited access highways, 2001 edition (NFPA: Massachusetts).
PIARC, 2007. Systems and equipment for fire and smoke control in road
tunnels (PIARC: France).

Operational Management of Fire Suppression Systems
A Dix1
ABSTRACT These observations indicate that there are a range of

opportunities to improve tunnel safety following a fire incident
Fire suppression systems are now recognised by both NFPA 502 and
PIARC as legitimate tools for both life protection and asset protection. and that there may be lessons about what went well in the
The effectiveness of these tools for life protection demands extremely Burnley incident.
rapid and accurate incident detection coupled with rapid response. This The single most likely differentiating critical factor between
rapid response must be integrated with other emergency systems such as the catastrophic European fires and the Burnley incidents was the
emergency ventilation. timely and accurate use of an effective fixed fire fighting system,
The March 2007 fatal Burnley Tunnel incident in Australia graphically which was successfully integrated into other safety systems.
illustrates the potential of effectively integrated fixed suppression systems
to protect people from harm and save infrastructure from damage.
Despite the raft of technology available in that instance to the operator it BACKGROUND – FIXED FIRE FIGHTING SYSTEM
was the human operator’s ability to effectively control the emergency
equipment and not the equipment itself which so positively influenced the World context
threat to life and property.
Fixed fire fighting systems have routinely been installed in
Japanese tunnels for over 40 years. For all highly trafficked
INTRODUCTION urban tunnels they are prescribed.
The fatal Burnley Tunnel incidents of 23 March 2007 have In the United States of America they are installed in only three
focused Australia and the rest of the western world’s attention on tunnels and in Australia they are installed in all urban road
the effectiveness of fixed fire fighting systems – such as deluge – tunnels.
as a tool for protecting both human life and tunnel infrastructure. In Europe the installation of fixed fire fighting systems has
Until 2007 the peak western world standards on fire occurred in Norway and more recently in Spain and France with
suppression systems were either silent or actively counselled other projects either in construction or planned.
against the use of such technologies for life protection. The use of such systems is the exception in all countries
The Burnley event is in contrast to other major world incidents, except Australia and Japan.
including the Mont Blanc, Tauern, Gotthard and Fréjus Tunnel.
In other incidents there was loss of life in circumstances which PIARC on fixed fire fighting systems … A short
were not previously considered high-risk scenarios. Many of the history
factors identified as central to the extensive loss of life and
damage in other events were shared with the Burnley event – yet PIARC has changed its position from ‘not recommending’ to
the consequences seem less. ‘recognised’ for asset and life protection from 1983 - 2008.
The five unifying themes to emerge from the analysis of these In PIARC’s report to the Brussels World Road Congress in
international events can be summarised as follows: 1987 PIARC concluded that:
• fires develop much more quickly than expected; … given our present knowledge of the subject the
use of sprinkler systems in road tunnels is not
• fire temperatures in excess of 1000°C are achieved; recommended for the following reasons:
• smoke volumes are higher than expected from an early stage
of the fire growth;
• the water can result in the dispersion of
burning liquids over a large surface area;
• fire spread between vehicles occurs over a much greater • water can cause dangerous reactions when it
distance than had been expected previously (eg more than comes into contact with certain products;
200 m in the Mont Blanc Tunnel); and
• even if the flames are extinguished the metal
• the road tunnel users behaved unexpectedly, they: parts of the vehicles do not cool very quickly;
• did not realise the danger to which they were exposed; • flammable products can continue to give off
• failed to use the safety infrastructure provided for self gases leading to the presence of explosive
rescue; mixture; and
• believed (wrongly) that they were safer in their cars than • the water (or foam) that is distributed may, as
if they used the self rescue safety systems; in the case of the Velsen Tunnel in Holland, be
insufficient to extinguish the fire on vehicles
• chose to stay in their vehicles during the early stages of a carrying a large quantity of fuel.
fire as they did not want to leave their property; and
At the Montreal World Congress in 1995 PIARC again
• realised too late the danger they had placed themselves concluded that:
in, by which time it was too late to execute self rescue.
… sprinkler systems are not recommended in
Yet in the Burnley incident, despite immediate explosions and road tunnels.
a large fire involving trucks the consequential damages were, by
comparison, small. In 1999 by way of the publication, Fire and Smoke Control in
Road Tunnels PIARC’s position softened:
1. Lawyer and Scientist, Adjunct Professor of Engineering, Queensland No European countries use sprinklers on a
University of Technology, Associate Professor of Medicine, regular basis. For some tunnels in Europe
University of Western Sydney. Email: counsel@arnolddix.com sprinklers have been used for special purposes.

A DIX
In Japan sprinklers are used in tunnels longer Like PIARC, NFPA 502 had resisted endorsing the use of such
than 1000 metres to cool down vehicles on fire. systems for reasons including:
In the United States only tunnels carrying • the system’s inability to extinguish fires within motor
hazardous cargo may have some form of components,
sprinkler. The reasons most countries do not use
sprinklers in tunnels, is that most fires start in the • the production of super heated steam,
motor room or in the compartment, and • destratification of toxic gas and smoke,
sprinklers are of no use till the fire is open.
Sprinklers can be used, however, to cool down • risk of tunnel users thinking spraying water was as a result of
vehicles, to stop the fire from spreading to other tunnel structural failure, and
vehicles (ie to diminish the fire area and property • the costs of maintenance.
damage) and to stop secondary fires in lining Each of these concerns have now been addressed by the
materials. Experiences from Japan show that standard fixed fire fighting systems and are therefore
sprinklers are effective in cooling down the area acknowledged as a potentially valuable tool in protecting human
round the fire, so that fire fighting can be more life and assets.
effective.
In 1999 PIARC summarised the problems with sprinklers as SIGNIFICANCE OF INTERNATIONAL CHANGES
follows:
These changes to standards squarely raise the potential for fixed
• water can cause explosion in petrol and other fire fighting systems to be used responsibly in road tunnels
chemical substances if not combined with, for throughout the western world.
example, Aqueous Film Forming Foam
(AFFF); From a corporate governance and professional negligence
perspective failure to consider the use of such systems may
• vaporized steam can cause damage to constitute evidence of either unprofessional conduct or
people; potentially criminal conduct in the event that fires cause fatalities
• the efficiency is low for fires inside vehicle; and/or significant damage to infrastructure.
• the smoke layer is cooled down and may The inclusion of these provisions does not mandate their use in
cover the whole tunnel; a fire. There are a range of valid reasons not to use such systems
• maintenance can be costly; and failure to explore these aspects of any decision regarding
• sprinklers are difficult to handle manually; their use could likewise pose a risk in the event of their
unsuccessful use in an emergency.
• sprinklers should not be used in the fire area
before all people are evacuated; and
NEW TECHNOLOGY – NEW CHALLENGES
• automatic sprinklers can pose difficulties for
fire fighting. The recent support for the potential use of fixed fire fighting
Accordingly PIARC eased its position, concluding that: systems by PIARC and NFPA heralds the end to a long fought
battle on the need to recognise fire suppression systems as a
… the working group will normally not legitimate way of managing the risks of fires in modern road
recommend sprinklers for ordinary fire fighting. tunnels.
Sprinklers in tunnels are primarily used to However, the challenges of such recognition are far more
protect the tunnel structure not the motorists. complex than the arguments in favour of allowing such systems
Sprinklers can also be used, where appropriate, to be considered.
in ancillary rooms in tunnels and tunnel
The inclusion of a fire suppression system does not of itself
facilities.
create safe tunnels.
In 2007 PIARC, in its publication, Systems and Equipment for The maintenance of a fire suppression system does not mean
Fire and Smoke Control in Road Tunnels, which was actually that the system will operate, and the use of fire suppression does
written in 2005, PIARC concluded: not guarantee that it will work.
… at the moment, an owner/operator who wants Such systems, if they are to be relied upon, demand an
to install new detection and new fire fighting ongoing and systematic approach to their successful operation in
measures must properly verify that the conditions the unlikely event of a fire.
for installing, using and maintaining contribute Arguments that such systems should allow a reduction in the
to the overall safety and are compatible with the level of fire protection and other safety systems highlight the
framework of the entire safety concept for that importance that such fixed fire fighting systems actually work
specific tunnel. He must also ensure the when an incident occurs.
effectiveness of the proposed measures.
Such systems necessarily add to the expense of a project,
It was anticipated that PIARC will shortly publish a report require ongoing maintenance, must be operated effectively
which recommends such systems can be included in tunnels where (correct location and in a timely manner) and must be integrated
they form part of the total fire safety concept for a tunnel and that within other safe tunnel safety systems. In addition, particular
a systems engineering approach is taken to their integration. circumstances of each tunnel are different and those differences
can be further complicated by changes in time.
NFPA 502 Accordingly, the process of determining that such a
NFPA 502 Standard for Road Tunnels, Bridges and Other suppression system is required must be coupled with a very clear
Limited Access Highways has in its 2008 addition accepted that understanding of what it is that the suppression system is
fixed fire fighting systems can be effective in controlling vehicle designed to achieve and how achieving that performance
fires in road tunnels by limiting the spread of the fire, reducing outcome will be assured.
the temperature of surrounding air and surfaces, and reducing the There are two main purposes for fire suppression systems. One
fire heat release rate (Connell and Gamache, 2007). purpose is for human protection and the second purpose is for

OPERATIONAL MANAGEMENT OF FIRE SUPPRESSION SYSTEMS
asset protection. Protecting these two different aspects of a IMPORTANCE OF THE BURNLEY INCIDENT
tunnel are not necessarily consistent. A suppression system can
readily be designed to protect infrastructure but this can easily Within the context of these important changes to international
make the environment untenable for users. Examples of such standards with respect to the effectiveness of fixed fire fighting
systems include those using inert gases, CO2 enrichment and a systems the Burnley Tunnel incident of March 2007 promises
range of toxic additives. rare insights into the practical effectiveness of such systems.
There are a range of fixed fire fighting systems which vary While the findings of this investigation are not public at the
from the Australian type deluge systems to those which include date of this paper, critical to the analysis of the incident is a
exotic fire suppressants and toxic chemicals. detailed understanding of the facts and circumstances
The purpose of the systems must be clearly understood and surroundings the incident.
articulated prior to designing the system. There are a range of In particular, the use of advanced computer systems in the
technical options for fixed fire fighting design on matters as CityLink tunnels has allowed a second by second analysis of the
diverse as droplet size, liquid spread, discharge volume and spray events through captured video images and recorded computer
density to the size of extinction zones, speed of application and logs from the many computer control systems.
the temperatures in which they are to operate. From this analysis not only can objective evidence on the
At the control level there are a range of opportunities to fully effectiveness of the electromechanical systems to respond to an
integrate such systems with the ventilation, operate them emergency be readily extracted but crucial information about the
separately, fully automate them, automate them with manual tunnel controller’s ability to identify an event and correctly
override, manually operate them with auto override — there is a formulate an effective response also be revealed.
range of options as broad as the imagination of the engineers and Ultimately forensic analysis at this level provides a tangible
technicians whom create them. example of both the strengths and weaknesses of a tunnel’s
As with all engineered systems, their actual performance is a safety system. Such events are a rare test for operational
function of both the physical environment in which they are readiness and vulnerability for the safety systems.
placed and their performance specifications. Discharge densities, When the findings become public, the importance of
operating pressures and a range of other factors each contributing responsibly managing the matters which are necessarily raised as
to a particular performance characteristic. necessary and incidental to the use of fixed fire fighting systems
One of the challenges with such technologies is that many will be revealed.
clients confronted with these technologies for the first time do
not have (nor could reasonably have) sufficient expertise in
relation to the fire engineering which underlies their effective SYSTEMS APPROACH
performance to critically review suitability of the product offered Fixed fire fighting systems are but one tool in a complex system
by the vendors or the technology developed by engineers designed to manage safety. Their inclusion in a project should
working specifically on a project. not be seen as a formality or a routine matter. Careful
formulation of their design for the specific application having
TRAFFIC SUPPRESSION SYSTEM INTERFACE regard to the peculiarities of the particular tunnel is essential, but
so too is ensuring that the systems will work as expected when
Suppression systems must interface with the tunnel. This point is commanded and that those entrusted with their control are
critical because it is within the tunnel that fires and other severe
sufficiently competent to operate them in a timely manner.
incidents may occur and from which the fire suppression system
must be protected. To operate effectively not only must the A failure in any component of this system would render a road
system have been properly maintained, the operator must be able tunnel unsafe. Provision of a fixed fire fighting system does not
to activate it correctly and it must survive the events which have of itself make a tunnel safe.
resulted in the incident requiring its activation. Any decision to install a deluge system must be coupled with
Because the technology is required to work at the site of the detailed technical analysis of the nozzle performance. Critical
incident, it is reasonable to expect that there is a risk that in the factors such as droplet size distribution, trajectory modelling of
unlikely event that the systems are used, the crash event itself droplets through a range of longitudinal velocities is essential.
poses a threat to the system. An appropriate nozzle performance for the anticipated
These threats can be divided into two types. One is physical longitudinal airflow must be selected to ensure an appropriate
(through mechanical collision) and the second is through heat. droplet spread and mass flow performance for given water
pressures. Figure 1 shows such an appropriate spiral spray
nozzle. Figure 2 shows a spray nozzle as suspended from the
Mechanical
ceiling of a tunnel.
In many instances, the events which lead to a serious fire are as a
result of a crash. In tunnels, tunnel crashes often involve the
walls of the tunnel and where the ceiling is low enough could
conceivably involve the ceiling as well. Regard must be had to
the risk of vehicles compromising the operation of suppression
systems when the crash occurs. Ideally, this should include some
form of physical protection for the suppression system along the
walls of the tunnel and sufficient separation vertically to protect
the suppression infrastructure from being compromised in an
incident. What constitutes an appropriate treatment for protection
of this physical harm of the suppression infrastructure will
depend from application to application.
Thermal
The best means of protection for the system from thermal
damage are soundly designed materials, inherent heat resistance
and/or insulation and early and accurate activation. FIG 1 - Spiral nozzle.

A DIX
required to ensure optimal deluge performance. There is a risk

that in future tunnels detailed consideration of such fundamentally
important matters may be overlooked or its importance not
recognised.
FIRE IN PERSPECTIVE
From the material available publically in the CityLink fires it
appears the Burnley Tunnel fires may have been remarkable in
three important respects (preliminary observations based on
public information):
1. the fires began instantaneously through the initial series of
collisions, generating a fire of tens of megawatt almost
immediately;
2. despite the availability of flammable material, fire growth
FIG 2 - Deluge system is suspended from pipes along the roof of was limited; and
this tunnel.
3. despite the availability of fuel (vehicles) in the tunnel, fire
spread was limited.
For effective deluge operation activation must be rapid and
accurate. If discharged in this way fire growth rates are likely Instant fire
controlled, the risk of rapid fire spread minimised and thereby
toxic gas and smoke generation volumes contained. The immediate fire had an almost immediate heat release rate of
The undesirable consequences of its activation such as smoke tens of megawatts. This was caused by the initial crashes
destratification, increased humidity and decreased visibility are between the truck and other vehicles.
hopefully outweighed by their other positive outcomes of fire The seriousness of this as a triggering event is highlighted by a
growth rate control, containment of fire spread and reduced series of tests which have been conducted around the world on
temperatures. typical fire heat release growth rates. Figure 4 summarises this
These positive outcomes of using deluge have been information.
consistently observed in real events in Japanese tunnels and will
be the subject of expert analysis in the CityLink investigation.
Figure 3 is an example of trajectory calculations for water
droplets of size Dv0.9 droplet range at a flow rate of 11.5 litres
per minute at 0.5 bars of pressure (Spray Nozzle Engineering,
n/d). Detailed consideration of deluge nozzle performance is
FIG 4 - Summary of fire test data from fire testing around the world
on heat release rate increases with time.
The vertical axis indicates the heat release rate and the
horizontal axis indicates the time from initial ignition. Of
importance is the steep and steady curve from approximately five
minutes after ignition to peak heat release rates, typically in the
order of 75 to 200 MW.
Fires of these magnitudes are extremely dangerous in tunnels.
People within the tunnel are at great risk from the enormous
volumes of toxic gas and smoke generated coupled with the very
high rates of heat transfer in the tunnel air. Furthermore, at such
FIG 3 - An example of trajectory calculations for water droplets of high heat release rates fires ‘jump’ hundreds of metres along
size Dv0.9 droplet range at a flow rate of 11.5 litres per minute at tunnels between vehicles. (This is the subject of further
0.5 bars of pressure (Spray Nozzle Engineering, n/d). discussion below.)

OPERATIONAL MANAGEMENT OF FIRE SUPPRESSION SYSTEMS
TABLE 1
Summary of a series of major road tunnel fires.
Accident year Road tunnels Vehicle type Estimated peak Estimated fire Number of
HRR (MW) duration fatalities
1999 Mont Blanc 15 trucks, nine cars 300 - 380 9 - 13 h 39
1999 Tauern 16 trucks, 24 cars 300 - 400 7 - 10 h 12
2001 St Gotthard 13 trucks, ten cars >200 3-4h 11
2005 Fréjus Tunnel Four trucks, three fire fighting vehicles >200 <6 h 2
2007 Burnley Tunnel Two trucks, three cars 10 - 30 1h 3
In the Burnley Tunnel incident, having a vigorous and CONCLUSIONS

multi-seated series of fires (several fires), which each had an
ample supply of fuel and air (with other vehicles comparatively The effective use of fixed fire fighting systems, such as deluge,
close by) made this incident – in world terms – extremely demands a systems engineering approach to integration of the
dangerous. deluge system. From its initial design to its integration into
emergency ventilation and alarm systems its successful operation
Table 1 summarises a series of major road tunnel fires. In each in an event is critical to protecting the welfare of tunnel users and
of these foreign cases, the number of vehicles initially involved tunnel infrastructure.
in the fires was less than in the Burnley Tunnel fire. In the
Timely and accurate activation are central to this task.
Burnley Tunnel crashes the fire neither grew appreciably nor
spread to involve other vehicles. Such effective use will only occur where the systems have
been designed, integrated, maintained and routinely exercised.
As illustrated by the table, the number of vehicles ultimately
When the CityLink investigation results become public the
involved in the tunnel fires overseas became greater than the ability of City Link to deliver these important outcomes in a real
Burnley Tunnel fire. In the Burnley Tunnel incident, the spread event will be revealed.
of the fire was contained and limited to those vehicles involved
in the initial series of collisions.
REFERENCES
Limiting the fire growth and stopping the spread of the fire
within the Burnley Tunnel was a major technical achievement. Connell, W and Gamache, J, 2007. Overview of NFPA 502 Standard for
The only other country which has achieved such results is Japan. road tunnels, bridges and other limited access highways, 2008 edition
Japan and Australia share one technology in common – the (National Fire Protection Association: Quincy).
deluge system for fire fighting. National Fire Protection Association, 2008. NFPA 502 Standard for road
tunnels, bridges and other limited access highways (National Fire
Protection Association, Quincy).
OPERATION Spray Nozzle Engineering, n/d. BETA estimated trajectory information,
Melbourne supplier of deluge nozzles to Melbourne CityLink.
It is not sufficient to have an operational deluge system – it is Technical Committee on Road Tunnels, 1987. Proceedings XVIIIth World
essential that it be operable. Road Congress, Brussels, 13 - 19 September.
Developing an operational culture which is able to actively Technical Committee on Road Tunnels, 1995. Proceedings XXth World
respond to incidents is essential for optimal use of these systems. Road Congress, Montreal, 3 - 9 September.
Encouraging an operational culture which prides itself on timely World Road Association (PIARC), 1999. Fire and Smoke Control in
and appropriate responses is an essential operational objective. Road Tunnels (PIARC: Paris).
World Road Association (PIARC), 2005. Systems and Equipment for Fire
and Smoke Control in Road Tunnels (PIARC: Paris).

Road Tunnel Protection by Water Mist Systems – Implementation
of Full-Scale Fire Test Results into a Real Project
S Kratzmeir1
ABSTRACT the vicinity of the fire and radiant heat, it is almost impossible
for firemen to approach the place for fast and effective
Truck fires in a tunnel can create heat release rates (HRR) significantly
higher than 100 MW. Because of a fast spread of smoke and heat the firefighting.
self-rescuing period is shortened significantly. Furthermore, it was As it also has been shown in the past, smoke and heat can
experienced that firefighters are not able to approach the fire because of cause enormous damage on the tunnel structure and operational
enormous heat and radiation. As consequence, the fire may spread to equipment. Beside direct repair cost of these damages, further
adjacent vehicles, which is reported for distances of more than 50 m. economic loss occurs due to closure times of major road
Tunnels can be damaged severely by fires and the repair works causes connections. A study by the International Road Transport Union
long closing time of tunnels. In addition to direct costs for the showed that the direct costs of fire in tunnels are assumed to be
refurbishment of the tunnel, further economic losses will occur due to the
approximately 200 million euro per year. A further cost of 300 to
closure time.
450 million euro is incurred because of closure of these tunnels
Conventional deluge systems in Japanese and Australian road tunnels
(International Road Transport Union, 2001).
have been known since the 1960s. During the last years the research work
was concentrated in the development of more effective and cost-effective
solutions based on water mist technology. Orientating fire tests as well as Water mist systems for tunnels
specifications of minimum requirements were carried out within the
European research project UPTUN. Fire suppression systems for tunnels are known since the 1960s.
This basic work was extended by the safety of life in tunnels (SOLIT) More than 40 tunnels in Japan and Australia are equipped with
research project, funded by the German government. The scope of SOLIT active fire suppression systems using conventional spray water
was not only to study the effects of water mist fire suppression systems in technology. The main focus of these systems is building
tunnels, but also the interactions with other safety systems, such as fire protection, although it is under consideration to activate these
detection, passive fire protection or ventilation. Furthermore, the systems as early as possible for enhancing self-rescuing
integration of active fire suppression systems into a holistic tunnel safety conditionings.
system was part of the work program. These systems have shown their effectiveness, also recently, in
Within this research project a large-scale fire test program with more several smaller fire incidents. However, there is still a lack of
than 50 fire tests, including 25 truck fires with a potential HRR of almost knowledge of the effectiveness of such systems with fires
200 MW, was carried out in the test tunnel of San Pedro des Anes
(Spain). Furthermore, a two-week testing and training period with the
containing trucks, eg used in the UPTUN fire tests in the
Madrid Fire Brigade was carried out after the SOLIT program. Runehamar Tunnel. A significant disadvantage of these systems
Two fundamental results were achieved during the fire tests:
is the huge amount of water which is necessary for effective fire
suppression. To activate a 90 m section of a common two lane
• Primarily, water mist systems are able to control the HRR of fires in
tunnels, so the atmosphere will be improved significantly. Hazardous
road tunnel, approximately 6000 to 10 000 L/min are necessary.
effects of toxic smoke on people will be reduced and due to the This also results in large space requirements for pipes, fittings as
reduction of temperatures and radiation, a firefighter’s approach is well as water storage. Also drainage systems have to be sized for
improved significantly. Furthermore, the fire spread will be hampered this amount of water (Stroeks, 2001).
and the thermal load on the building structure also be reduced. Already during the European research project UPTUN, further
• Secondarily, due to positive interactions with the ventilation system, work was carried out to improve effectiveness as well as
the effectiveness of a tunnel ventilation system, longitudinal as well economic aspects of such systems in tunnels by using water mist
as semi-transversal, is increased significantly. technology.
Based on the results of the SOLIT research project, a water mist The main effects of fire suppression by water mist are the
system was applied into several parts of the M30 tunnels in Madrid. As a
enormous cooling effect and a partial depletion of oxygen in the
basic principle the technical equipment and the methodology of
implementation comply with the UPTUN 251 guidance, recommending flame zone by small droplets. The effective cooling of water mist
minimum standards for water-based fire suppression systems in tunnels. is a result of a very fast heat absorption by the large surface and a
vaporisation of fine droplets. By using conventional systems the
water is just heated up and runs off without further effect on the
ACTIVE FIRE SUPPRESSION SYSTEMS IN fire. Because of the volume expansion during the vaporisation,
TUNNELS the oxygen is partly depleted directly at the flame. As a result,
water mist can also be used for fighting fires, such as burning
The catastrophic effects of fires in tunnels have been well known
liquids, where conventional systems are not effective or additives
for a long time. It has been shown that the effects of such fires on
are necessary. Furthermore, the amount of water needed for
people inside the tunnel, rescue services and the tunnel structure
effective firefighting is reduced up to a factor of ten.
can be hazardous.
Furthermore, water mist has a great shielding effect against
Experience from recent tunnel fires, eg in the St Gotthard
radiant heat. Especially this effect helps firefighters to approach
tunnel, has shown that fires larger than approximately 10 MW,
close enough to the seat of the fire for faster and easier
which corresponds to only two cars, possibilities for a fast and
firefighting.
safe self-rescuing are reduced dramatically due to the rapid
spread of heat and smoke. Due to temperatures above 1000°C in The effectiveness of water mist systems was evaluated during
two extensive real scale fire test programs in the Norwegian
HobØl Tunnel and the Virgolo Tunnel of the Brenner Highway, a
1. Senior Research and Development Engineer, FOGTEC Fire major alp crossing. Details regarding these test programs can
Protection, Schanzenstr 19A, Cologne D-51063, Germany. be found at Opstad, Stensaas and Brandt (2006) and UPTUN
Email: Stefan.Kratzmeir@fogtec.com (2005).

S KRATZMEIR
Guidelines and recommendations Furthermore, interactions of water mist systems with other
safety systems, in particular ventilation and fire detection, were
Since the PIARC report ‘Fire and Smoke Control in Road investigated.
Tunnels’ from 1996 (PIARC, 1996), which did not recommend In close cooperation with the SOLIT scientific advisory board,
active fire suppression systems in tunnels, extensive research the following fire scenarios were developed.
work has been carried out by various parties. Nowadays, the
positive effects, possibilities and requirements for active fire
suppression systems in tunnels are known. This also reflects in
Pool fires
various up-to-date guidelines and recommendations dealing with Pool fires, with a partly covered surface, creating a heat release
the of topic fire safety in tunnels. rate (HRR) of up to 35 MW were used. This fire scenario is a
The National Fire Protection Association (NFPA) 502:2008 further development of the one which was already used in the
now recommends active fire suppression for tunnels under HobØl- and Virgolo-fire tests. By using this fire scenario the
certain circumstances. According to the 2007 issue of ‘Systems influence of various system parameters of water mist systems, as
and Equipment for Fire and Smoke Control in Road Tunnels’ well as interactions with other systems, eg ventilation, were
PIARC has revised its view (National Fire Protection studied.
Association, 2007).
The most important document is the UPTUN guidance 251,
SOLIT truck fire load
prepared by a group of experts within the UPTUN research The SOLIT class A fire load represents a test mock-up of a
project. This document specifies minimum requirements for common truck made by pallets. Figure 1 shows the test mock-up
water-based fire suppression systems in subsurfaces areas, such shortly after ignition.
as technical issues, full-scale testing and general layout of
systems. (UPTUN 251, 2007)
The following statements can be found in these latest
documents:
• The decision of whether the tunnel shall be protected by an
active fire suppression system should be based on a risk
analysis.
• Full-scale fire tests should be used to evaluate the
effectiveness for the specific system and only deluge system
types should be used. Hence, the activation and choice of the
zone to be activated is based on an external fire detection
system, such as linear heat detection or CCTV systems.
• Special attention should be given to the choice of the
components. Reliability and life cycle cost aspects should be
taken into account, in particular in the design of pipes, valves
and pump systems.
THE SAFETY OF LIFE IN TUNNELS (SOLIT) FIG 1 - Safety of life in tunnels (SOLIT) – a fire load shortly
RESEARCH PROJECT after ignition.
The current change of views in the field of tunnel fire safety
experts and in guidelines is also based on new knowledge of A similar scenario was already used during the fire test in the
various research work in the field of active fire suppression in Runehamar Tunnel. However, during these tests only free
tunnels. Probably the largest research project in this area is the burning fires were investigated, so the data can also be used as
safety of life in tunnels (SOLIT) project, which was carried out reference. Using this data as well as own calculations showed a
on behalf of the German government. potential fire load of 180 MW. A potential fire load is known as
maximum HRR of a free burning fire using this fire scenario
Based on the results of the UPTUN project, the effects of
(Ingason and Lönnermark, 2003).
water mist fire suppression systems integrated into a holistic
safety concept were examined on realistic fire loads, such as Due to temperature restrictions of the test tunnel, no free
truck fires. burning reference tests were carried out.
The SOLIT consortium was supported by a scientific advisory To avoid non-repeatable test results, for conduction of
board with experts from STUVA, TNO, Sintef, German scientific fire tests, standard fire loads are used instead of real
trucks and cars. The standard fire loads used in these tests are
ministries, fire brigades and tunnel operators. Further
representing the worst-case approach, which means that the fire
information about the SOLIT project can be found at
potential of this scenario is usually bigger compared to a real
<http://www.solit.info>. truck.
During a period of three months, more than 50 full-scale fire
Fire test program tests were carried out in the Spanish test tunnel of San Pedro des
A major part of the SOLIT research project was an extensive test Anes. This tunnel has a length of 600 m and represents a
program with more than 50 full-scale fire tests. The aim was to common two-lane tunnel. The existing infrastructure in this
study a mist system regarding: tunnel allows the conduction of tests with longitudinal as well as
semi-transversal ventilation.
• fire control and reduction of fire spread, For evaluation of test results, approximately 120 different
• improvement of self-rescuing conditions for people inside sensors for temperatures, ventilation velocities, gas concentrations
the tunnels, and radiation were installed throughout the tunnel. On the one
hand this enables the assessment of exposure for people, firemen
• possibilities of firefighters’ approach to the fire, and and the building; on the other hand a calculation of the HRR by
• protection of the building structure. using the oxygen consumption methodology.

ROAD TUNNEL PROTECTION BY WATER MIST SYSTEMS
Results mist system, no fire spread to a target, located 5 m downstream

of the fire load, was observed. Compared to a real case such as
In the following, major results of the SOLIT test campaign are the fire in the St Gotthard Tunnel and for the Runehamar fire
summarised. tests a fire spread over distances of more than 50 m was reported.
As the fire size is limited and reduced significantly compared
Fire control and fire spread to a free burning fire other safety systems can also be adjusted
accordingly.
Based on information of an external fire detection system, the
water mist system is activated as early as possible. Thus, the fire
development is reduced significantly and the maximum fire size Self-rescuing of people
is much smaller in comparison with a free burning fire. Figure 2 Great importance is attached to the self-rescuing period, as in
shows the trend of the HRR during activation of a water mist most cases rescue services need some time to get inside the
system compared to a similar free burning fire. The effect that tunnel. Great danger for people is caused by toxic gases, which
the fire is still growing although the system is activated is caused are spreading throughout the tunnel within a very short time.
by the tarpaulin which still covers the fire load in the beginning. In addition to the cooling (see Figure 3) and shielding of the
For fire tests, fire spread to adjacent objects is assessed by the radiant heat, the smoke production is also reduced due to early
use of target objects. During the tests with activation of the water activation of the water mist system. Furthermore, because of the
Heat release rate (MW)
Time after ignition (min)
FIG 2 - Comparison of the heat release rate with a water mist system and a reference fire.
150
Activation water mist system
100
Temperature [°C]
Final extinguishment by
the fire brigade
50
0
0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
03
06
10
13
17
20
24
47
94
42
89
36
83
31
Time [mm:ss]
1 m height 2 m height 5 m height (ceiling)
FIG 3 - Downstream temperatures measured at a distance of 20 m.

S KRATZMEIR
cooling effect and the limitation of the HRR the effectiveness of levels of the tunnels are protected. The largest protected sections
the ventilation system is increased. In contradiction to former consist of five parallel road lanes with an overall tunnel width of
opinions, a smoke layer is not destroyed completely. Because of 22 m. Recently the systems successfully passed the acceptance
temperature differences that still exist in the tunnel cross-section test for this project by carrying out spray tests in dedicated parts
a layering of toxic gases can still be observed after activation of of the tunnels. In the presence of personnel of the tunnel owner
the water mist system. and the main contractor, Dragados, the excellent performance of
the system including the related controls was demonstrated.
Firefighters approach Figure 5 shows a spray test in one of the M30 tunnels.
In the past, due to high temperatures and great radiation,

firefighters had extreme difficulties approaching the place of fire.
From the St Gotthard Tunnel fire it is reported that at arrival of
the fire brigade only few minutes after the start of the fire, a
fighting was impossible due to heat and radiation.
Because of the cooling and shielding effect of the water mist,
it was possible to approach the SOLIT fire scenarios at
maximum fire development (see Figure 4) and to extinguish
them within minutes without problem. An exposure of firemen
by hot water vapour was not reported in any case. This was again
proven in a special two-week training and test campaign with the
Madrid fire brigade, also using other real fire loads like cars,
tyres, etc.
FIG 5 - Spray test of a water mist system in an M30 tunnel.
In addition, water mist systems were chosen for the protection

of 36 underground facilities connected to the main tunnel and
containing technical equipment such as control systems, change
over facilities, computer rooms, etc.
As also requested by the UPTUN guidance 251, special
approval fire tests were carried out. These tests and the results of
the SOLIT fire tests were the basis for the system layout used for
the M30 tunnels. Furthermore, a special training program for the
Madrid fire brigade was organised in the test tunnel of San Pedro
des Anes. Within two weeks, firefighters had the possibility to
carry out realistic training for effective and safe firefighting in
FIG 4 - Firefighters approach at maximum fire development. combination with an automatic water mist fire suppression
system.
Effects on the building structure Also, for the technical implementation, the current UPTUN
recommendations were taken into account. For example, the
Fires in tunnels have caused massive damage to the tunnel and positions of nozzles, particularly the height above the road
the operational facilities inside. In general, by activating a water surface, fully comply with the parameters that were tested in the
mist system damages can not be avoided completely. But, with 1:1 scale fire tests.
early activation of such system, damages can be reduced
significantly and are limited to a few metres. Thus, not only cost Only open nozzles are installed, which means that in case of a
for repair works are reduced, but also closing times can be fire, it will be detected and localised by an external linear heat
reduced to a minimum. sensor. This information will be used to open the section valves
of the water mist system, so it can be activated in the correct area
A more extended report about water mist systems in tunnels
in the most effective way. In addition to a central control unit in
and the SOLIT fire tests can be found in the official report of the
the tunnel control room, the fire suppression system can be
SOLIT project (Kratzmeir and Starke, 2007).
controlled by the fire brigade also via local units located in safe
areas in the escape ways.
CASE STUDY – WATER MIST SYSTEM IN THE To ensure a long life time and high reliability of the system, all
M30 TUNNELS (MADRID) pipe work installations in the tunnel are made of stainless steel.
The M30 motorway around Madrid was refurbished and To avoid damages on the water mist system, which may also lead
extended during the last few years. It is probably one of the to a complete failure of the system, all pipes and components are
largest tunnel building projects at the moment. installed at the tunnel ceiling. Regular maintenance and function
In special risk areas, with a total length of approximately control of the section valves are carried out automatically by the
5 km, a high pressure water mist system was installed already main control unit.
during the construction phase of the tunnel. Based on a risk The pump stations are equipped with special robust high flow
analysis, the water mist system is foreseen to control a possible rate pump units. By a small number of big pumps, reliability is
fire and to protect the tunnel infrastructure, as well as improve improved significantly as the total number and the complexity of
working conditions for the fire brigade. In some sections three the components are reduced.

ROAD TUNNEL PROTECTION BY WATER MIST SYSTEMS
CONCLUSIONS REFERENCES
Active fire suppression systems using water mist technology Ingason, H and Lönnermark, A, 2003. Large scale fire tests in the
have proven their effectiveness in several large-scale fire test Runehamar tunnel – Heat release rate, in Proceedings International
programs. Of particular note is the SOLIT research program, Symposium on Catastrophic Tunnel Fires, Boras, November (SP).
carried out on behalf of the German government, as it is probably International Road Transport Union, 2001. International Road Transport
the largest research effort in this field. Union web site. Available from: <http://www.iru.org>. [Accessed: 22
January 2006].
Basic findings from these full-scale fire tests also refuted Kratzmeir, S and Starke, H, 2007. Safety of life in tunnels –
provisions against water-based fire suppression systems in Forschungsbericht, Bundesministerium für Wirtschaft und
tunnels as, for example, stated until recently by PIARC. Technologie.
Moreover these systems are able to effectively suppress fires in National Fire Protection Association, 2007. 502: Standard for Road
tunnels. Therefore, self-rescuing conditions can be improved, the Tunnels, Bridges, and Other Limited Access Highways (National
work of firefighters will be safer and easier and the damage of Fire Protection Association).
the tunnel structure can be reduced. Opstad, K, Stensaas, J and Brandt, A, 2006. Development of innovative
For optimal and most cost-effective implementation of such technologies, in UPTUN final report for work package 2, Task 2 - 4
systems all safety measures, eg ventilation, detection, etc have to (Sintef/NBL).
be tuned to each other. As minimum requirement and support for PIARC Committee on Road Tunnels Operation, 1996. Fire and smoke
designer, manufacturer and consultants, the UPTUN guidance control in road tunnels (World Road Association).
251 was developed. This document provides information about Stroeks, R, 2001. Sprinklers in Japanese road tunnels, in Project Report
BFA-10012 for Bouwdienst Rijkswaterstaat (Chiyoda Engineering
full-scale fire tests, technical design, as well as reliability and Consultants Co Ltd).
maintenance aspects.
UPTUN, 2005. Test report Virgolo tunnel No 875-05-004, in UPTUN
Recently, several water mist fire suppression systems were set report for work package 6 (University of Natural Resources and
into operation in Europe, namely in the M30 tunnels in Madrid, Applied Life Science: Vienna).
in the Virgolo Tunnel on the Brenner Highway and in the UPTUN 251, 2007. Minimum requirements for water based fire
Silverforest Tunnel in Moscow. For planning and technical suppression systems for subsurface areas, in UPTUN report for work
layout as well as for the proof of effectiveness of the systems, the package 2, Task 2 - 5 (ARUP Fire).
UPTUN guidance 251 was taken into account.
For several other tunnels protection with water mist is also
considered.

Results and Experiences with Nitrogen Dioxide (NO2)
Measurement in Road Tunnels
C Seewald1
ABSTRACT 5. There is currently (ie the year 2000 when the report was
Today, more and more tunnel ventilation systems are based on NO2 (or published) no suitable measurement technology to measure
NO) and visibility measurements. Due to the significant decrease of CO NO2 in road tunnels. Measuring equipment for NO2 is
emissions in countries with EU emission standards, which were adopted available, but this equipment can only be used under
by Australia in 2004, CO is no longer a key factor for tunnel air quality laboratory conditions or is very costly to operate and in
monitoring and is often only measured for plausibility reasons (eg some cases to purchase.
according to the German guideline RABT2006). Nitrogen dioxide, which
is a good indicator for the overall air pollution along roads, is now taking 6. Since there is no suitable NO2 measuring equipment for
over the leading role not only for ventilation control but also for air continuous operation in road tunnels, it is recommended to
quality monitoring and in future probably for checking the function of air assess the NO2 concentration as ten per cent of the NOX
filtration plants in tunnels. concentration.
Due to the lack of equipment for reliable and long-term NO2
measurements in road tunnels in the past, there are only very few AVERAGE DAILY MAXIMUM VALUES OF THE NO2
standards giving limit values for NO2 in road tunnels. Furthermore there CONCENTRATION IN THREE DIFFERENT
are not many records of NO2 readings over longer periods in different
types of tunnels. TUNNELS
SICK MAIHAK, a major supplier of measurement devices for The NO2 concentration of three different tunnels, which to
controlling tunnel ventilation, has introduced the first monitor in 2006, simplify matters shall be referred to as tunnels one, two and
specifically designed for measuring NO2, NO and visibility three, are shown in Figures 1a to 1c. Table 1 shows some details
simultaneously in road tunnels. There are now experiences and results relevant for NOX concentrations about these three tunnels. In
from the first tunnels equipped with this kind of system.
each of the tunnels the daily and weekly cycles can be clearly
This paper will present and discuss the results and experiences from seen on the basis of higher concentrations during the day, as well
these tunnels and explain the different levels of NO2 in different tunnel as lower concentrations at night and at the weekends. In tunnels
types. Furthermore, the status of air quality standards for road tunnels
one and two a public holiday is even recognisable on a Thursday
regarding NO2 limit values and the current status of discussion in various
countries about NO2 limits will be presented.
(two different public holidays in Germany, which are always on
Thursday: Ascension Day and Corpus Christi).
INITIAL SITUATION IN 2000 ACCORDING TO

TABLE 1
PIARC
Parameters of the three tunnels shown in Figure 1.
Before outlining the results of the measurement series in various
Tunnel 1 Tunnel 2 Tunnel 3
road tunnels, here are some of the most important statements
from the report ‘Pollution by nitrogen dioxide in road tunnels’ of Gradient (%) 0 ... 1% 3% ≤1.5%
the World Road Association (PIARC) (2000). Based on the Passenger cars 20% ≈20% 50%
measurement series and additional new information, it shall then with diesel (%)
be reviewed which of these statements still apply and which have Trucks (%) <10% ≈15% 8%
to be revised.
Total traffic ≈150 000 ≈15 000 >100 000
Relevant statements from World Road Association (2000) (vehicles/day)
summarised:
Congestion Stop and go Rarely Stop and go
1. The importance of CO concentration for controlling every day every day
ventilation is decreasing due to improvements in engines Length (m) 400 ≈1400 1850
and exhaust purification technology and can no longer be
City/rural City Rural City
considered as a key parameter.
Direction Unidirectional Bidirectional Unidirectional
2. NO2 concentration has not decreased to the same extent as
the CO concentration and can therefore take over the role
as the guiding variable to control ventilation operation in While in tunnel one the maximum daily NO2 concentration on
standard operation mode. workdays is in the range of 200 to 300 ppb (Sundays and public
holidays at around 100 ppb), in the two other tunnels far higher
3. NO2 can demonstrably negatively affect healthy people if daily maximum values can be seen (tunnel two, workdays ≈1000
present in concentrations of 2 ppm or above. to 1500 ppb; tunnel three, workdays: ≈ 800 to 1000 ppb).
4. NO2 can lead to a worsening of asthmatic attacks if present In all three tunnels listed, the NO2 measurement was
in concentrations of over 100 ppb to 200 ppb. It is however temporarily installed for a few months, only in the framework of
not the original cause for asthmatic attacks. The attacks did tests, and not incorporated into the tunnel ventilation control
however also worsen if the asthma sufferer was exposed to system. The ventilation was controlled in all tunnels by the
NO2 several hours earlier. visibility and CO measurement. The limit values valid in many
European tunnels for visibility and CO concentration of k = 5/km
and CO = 70 ppm were not exceeded during the entire period.
1. Product Manager – Traffic, SICK MAIHAK GmbH, Nimburger The highest visibility values occurred in tunnel two and are
Strasse 11, Reute 79276, Germany. shown in Figure 2. Usually these two values are far below the
Email: christoph.seewald@sick.de relevant limit value.

188
C SEEWALD
NO and NO2 [ppb] NO and NO2 [ppb] NO and NO2 [ppb]
10000
1000
2000
3000
4000
5000
6000
7000
8000
9000
1000
2000
3000
0
0
10000
1000
2000
3000
4000
5000
6000
7000
8000
9000
0
20 06-0 6-06 200 6-0 5-19
2 00 7-06 -1 2
20 07 -06 -14 20 06-0 5-21

20 06-0 6-0 9
20 07-06 -1 6
2 006 -05-22
20 07 -0 6-18
20 06 -0 6-11
20 07-0 6-2 0 200 6-05 -24
20 07 -0 6-22
2 00 6-05 -26
20 07-0 6-24 20 06 -06 -13
Tunnel 2
Tunnel 3
Tunnel 1
20 07 -0 6-26 20 06-0 5-28
Melbourne, VIC, 4 - 7 May 2008

20 07-0 6-28 2 006 -06-15
200 6-05 -3 0
2 00 7-0 6-30
20 06-06 -0 1
FIG 1b - NO and NO2 values in tunnel two, 10 min averages.

FIG 1a - NO and NO2 values in tunnel one, 10 min averages.
2 007 -0 7-02 200 6-06 -17
FIG 1c - NO and NO2 values in tunnel three, 10 min averages.

2 00 7-07 -04
2 006 -06-0 3
2 007 -07-06 2 006 -0 6-19

NO
NO2
20 06 -06 -05
NO
2 00 7-07 -0 8
NO2
NO
NO2
2 007 -07-1 0
13th Australian Tunnelling Conference

RESULTS AND EXPERIENCES WITH NITROGEN DIOXIDE (NO2) MEASUREMENT IN ROAD TUNNELS
Tunnel 2
6
5
Visibility [1/km]
4
b
0
2 00 6-06 -09
2 00 6-06 -11
2 00 6-06 -13
2 006 -06-15
2 006 -06-17
2 006 -06-19
200 6-06 -06
FIG 2 - Visibility values (k in 1/km) for tunnel two; 10 min averages.
Depending on the region, there are very different limit values Consequently, it is not sufficient to apply visibility as the sole
for NO2 concentration in tunnels (also see chapter on limit guiding variable for controlling ventilation systems. In this case,
values). According to the latest findings, the range stretches from each measurement parameter relating directly and solely to the
150 ppb (in parts of Scandinavia) up to around 1 ppm, eg as vehicle emission would be lost.
design limit value in Switzerland. Even if the high limit value of
1 ppm for NO2 concentration is applied, in contrast to visibility LIMIT VALUES
and CO concentration, the NO2 concentration in tunnels two and
three is very near to this limit value and in tunnel two even In addition to the variation in the limit values for NO2, which
frequently above this limit value. In tunnel one all pollutant fluctuate between 150 ppb and 1 ppm, there is also a considerable
concentrations are generally lower. However, in this instance too variance with regard to the averaging interval applicable for the
it is evident that the factor between the standard design limit relevant limit values.
value for visibility of k = 5/km and the actual daily maximum Table 2 provides an overview of the limit values currently used
values of ≈1/km is clearly lower than the gap between a design or suggested and the appertaining averaging intervals.
limit value of 1 ppm NO2 and the actual daily maximum NO2
concentration of approximately 300 ppb. Due to the lack of
records of the CO concentration for this tunnel, based on TABLE 2
experience from other tunnels it can only be assumed that the CO Limit values for NO2 in different nations.
concentration is below its limit value to a similar degree as the
visibility. Nation/standard Year Area NO2 Averaging
time
The World Road Association’s assumption that CO is no
longer the suitable key parameter to control tunnel ventilation is France (acc to PIARC, 2004 Tunnel 400 ppb 15 min
thus to a large degree confirmed by the series of measurements 2004)
outlined above. This is also the reason why various countries Sweden (acc to PIARC, 2004 Tunnel 200 ppb 60 min
such as Switzerland and Germany no longer record the CO 2004)
concentration at all in many tunnels, or only record it with simple Norway/Handbook 021 2002 Tunnel 750 ppb 15 min
measuring equipment and no longer use CO concentration to
Belgium (acc to PIARC, 2004 Tunnel 500 ppb 20 min
control ventilation. Due to the high toxicity of CO many national 2004) 200 ppb 60 min
institutes specialising in tunnel ventilation are hesitant to
completely abandon CO measurement on the roads. WHO (EU series 91) 2000 Ambient 100 ppb 1 h 1 yr
air 20 ppb
The question still remains as to whether visibility is sufficient
as a key parameter. Currently this is already being practised in EU directive 1999/30 2000 - Ambient 100 ppb 1 h (18/yr)
many tunnels in Europe open to traffic. In actual fact there is 2010 air 20 ppb 1 yr
often a good correlation between visibility and NO concentration Great Britain Tunnel Under revision
(partially also with NO2 concentration). However this correlation Standard
depends on the respective composition of the traffic. In the case
of tunnel two, for example, the difference between the daily
maximum values of visibility at the weekend on 17 June and It should be noted that the British Standard BD78/99 is
workdays (see Figure 2) is clearly smaller than the difference currently being revised and the conspicuously high values for
between the NO (and NO2) concentrations on workdays and this NO2 are no longer to be applied in said standard. Until a revised
weekend (see Figure 1b). This can most likely be explained by version of the BD78 is published a limit will probably be used
the source of the particle pollution in the tunnel. Nowadays, a which is based on the workspace exposure limit of 1 ppm NO2.
considerable share of particle pollution is generated by Although there are clearly fewer tunnels in Sweden than in
resuspended particles, tires and brake wear (non-exhaust European countries in the Alps region this country has been very
particles). These non-exhaust particles are also circulated to a much involved in examining the effects of NO2 from road tunnels
noticeable degree by cars, which could explain partly the smaller on the human organism. Today it is still striving to keep the NO2
difference of the visibility values on weekends and weekdays. concentrations in road tunnels very low. In accordance with

C SEEWALD
current information from Sweden, in future even a limit value of ratio of NO2/NOX. This means that the limit value of NOX is
150 ppb for NO2 in the tunnel driving area (averaging time is still between two per cent and seven per cent of the CO limit
unclear) must be upheld. Since 2004 the NO2 concentration in value. The value of two per cent is calculated by dividing the
the 4.5 km tunnel Södra Länken in Sweden has been measured lowest limit value for NOX by the lowest limit value for CO,
using chemiluminescence detectors (CLDs). An additional tunnel, seven per cent by using the highest values for NOX and CO.
the Norrortsleden tunnel in Sweden, will be/is equipped with So the emissions and the limit values of NOX decrease in
measuring equipment based on the differential optical absorption the same order of magnitude. The conclusion is that in a
spectroscopy (DOAS). theoretical tunnel being used by petrol engine cars only
In Finland the very new tunnel in the Vuosaari project has ventilation could be controlled by measuring NO2 or NOX in
been equipped with NO2 measuring equipment. The limit values most cases.
there are unknown. • The NOX emission factors for cars with diesel engines
Norway has some tunnels with electrochemical cells for NO2 generally lie in the same order of magnitude as the emission
measurement; it does not however use its measurement results factors of these vehicles for CO, ie the value of NOX
for ventilation control as they are not suitable for this purpose. emissions is approximately 100 per cent of the value of CO
According to official statements the NO2 concentration emissions. However, the limit value for NOX is the same as
measurements taken with electrochemical cells are only mentioned above, which is approximately two to seven per
sufficient to map the tendency of the NO2 concentration. cent of the CO limit value. Based on this calculation, we
Germany’s RABT 2006 (Research Society for Road and come to the conclusion that if a tunnel would be used only by
Traffic Entity, 2006) and Austria’s RVS 9.263, (Research diesel engine cars, the ratio of emission values and limit
Community for Road and Traffic, 2005) so far have not values would be 14 to 50 times higher for NOX than for CO.
suggested any limit values for NO2 inside tunnels. In these
countries interest is primarily focused on maintaining the
• For heavy goods vehicles (HGVs), the NOX emission factors
are about 3.5 to six times (350 to 600 per cent) above the CO
emission thresholds outside the tunnel. Examinations are,
however, underway and it is to be expected that these countries in emission. These figures make it obvious that this is the group
future shall demand limit values for the inside of tunnels. As far that can have the greatest influence on the NO2 concentration
as we know no tunnel in these countries has so far been equipped in a road tunnel. The ratio of emission values to limit values
with NO2 measuring systems for ventilation control. is higher than 350/7 (= 50) times the same ratio for CO.
In Switzerland the situation is quite similar. A design limit of All of the above mentioned vehicle categories show that the
1 ppm is indeed demanded by ASTRA in Switzerland (Federal ratio between emissions and limit values for NOX are either in
Road Authority of Switzerland, 2004); however, it is assumed the same order of magnitude or significantly higher than the
that the NO2 concentration is under 1 ppm under the precondition same ratio for CO. Therefore it can be concluded that in a tunnel
that the limit values of visibility and CO concentration are not under normal conditions, where driving speed is mostly around
exceeded. This assumption basically contradicts the findings 60 km/h, where there is no notable gradient and the altitude is
represented in this report. below 700 m, NO2 concentration is suitable as a key parameter –
to a large degree independent of how the vehicle fleet is
In France a NO2 measurement is generally planned in the
composed.
tunnels currently being designed and a limit value of 400 ppb is
also required. The following parameters increase the CO concentration in the
tunnel (relative to NOX concentration):
Currently there is no additional information regarding NO2
measurement and limit values in other countries. • Reduced speed: from speeds of approximately 10 to 30 km/h
up to approximately 70 km/h, the CO emission factors for
cars no longer depend very heavily on speed, whereas for the
TUNNEL PARAMETERS AND NO2 NOX emission factors a clearer rise with increasing speed is
CONCENTRATION evident. This means that at low speeds the relative amount of
On the basis of three randomly selected tunnels it was CO (compared to the limit value) is increased while the
ascertained in a chapter titled ‘Average daily maximum values relative amount of NOX stays almost static. However, when
of the NO2 concentration in three different tunnels’ that in these calculating the fresh air demand in tunnels according to the
tunnels NO2 can be used as the key parameter for tunnel World Road Association (2004), it becomes clear that the
ventilators. It has to be established whether this only applies to fresh air requirement to maintain the NO2 limit value is the
highest for stop and go (10 km/h) situations. This applies to
certain tunnels or whether there are tunnels in which NO2 cannot
almost all realistic compositions of the vehicle fleets. Only in
serve as a key parameter.
pure car tunnels (or HGV share <4 per cent) with almost
The data available so far from various test installations is not solely petrol engines, in stop and go traffic more fresh air is
sufficient for this purpose. Far more this can only theoretically be required to uphold the CO limit value (for this calculation the
derived from the changes of the emission factors. In the limit value was set at 50 ppm; the whole procedure is not
following the emission factors are taken from the tables from the described here as this would go beyond the scope of this
World Road Association (2004); however, from the Euro1 paper).
standard onwards, as the older vehicles scarcely account for a
• Height of the tunnel above sea level: according to the World
notable share in any country. To simplify matters initially only
Road Association (2004), CO emissions must be multiplied
the emission factors at a speed of 70 km/h and zero per cent
partially with very high factors, in particular for petrol
gradient in the tunnel were considered. On the basis of these engines with a catalyst for heights of 1000 m upwards. In
emission factors the following can be ascertained: contrast when it comes to NOX there is no dependence on
• Petrol engine cars emit approximately ten times more CO height for these types of engines and diesel engines, while
than NOX; ie NOX emissions are roughly ten per cent of the the NOX emissions of conventional petrol engines even sink.
CO emissions. On the other hand, the limit value for CO is If, on the basis of realistic compositions of the vehicle fleet,
usually between 50 and 100 ppm while the limit value the fresh air requirement to uphold the various limit values is
for NO2 is in the range between 150 ppb and 1000 ppb. calculated it quickly becomes clear that for tunnels above
This would result in an NOX limit value of 1 ppm to 700 m CO measurement is still used as a key parameter for
approximately 7 ppm if one assumes a realistic 15 per cent controlling ventilation.

• Gradient of the tunnel: with increasing gradient of the tunnel which once again depends on the concentration of the pollutants
the emissions of the vehicles also increase. The largest rise themselves. As almost no emission factors are known for primary
was noted in the CO emissions of petrol engine cars at NO2 and the determination of the reaction speed is also quite
notable speeds (>30 km/h). In this instance, a factor of ten inaccurate, it is almost impossible to make a useful analytic
can be present between the emission factor at zero per cent prediction of the NO2/NOX ratio in a tunnel under the idealised
incline and six per cent incline. The CO emissions of assumption that only the reactions stated above determine this
vehicles with diesel engines are by far less dependent on the ratio.
incline even if, in this case too, factors of two to three are The NO2/NOX ratio in tunnels can thus only be determined on
attained. As the HGVs also form a share of these vehicles the basis of measurements of the true concentrations in the
and in most cases they are responsible for most of the NOX tunnel. Figure 3 again shows some measurement values from
pollution, NO2 emissions also clearly rise in tunnels with a tunnel three. In the top section the NO and NO2 concentrations
steep gradient. In various calculations of the fresh air are given in parts per billion. Once again the workdays and
requirements it could be ascertained that the fresh air weekends are clearly visible on the basis of NO concentration. In
quantity required to uphold the limit values for NO2 and CO the lower part of the picture the ratio of NO2/NOX is shown;
approximate each other as the incline increases; the fresh air however, only if NO2 was measured above 300 ppb. Under
requirement for CO, however, does usually not exceed that 300 ppb NO2 there is often an extremely high ratio of NO2/NOX;
for NO2 and if it does then only slightly. this would however only actually be interesting for countries
This means that in tunnels under 700 m, NO2 concentration is with very low limit values and for this reason was not listed. At
in most tunnels more suitable, but in nearly all tunnels at least this point it should be noted that the measurements of NO and
just as suitable as a key parameter for tunnel ventilation than CO NO2 concentrations in this tunnel were taken using two
concentration. completely different measurement devices, to be specific with a
differential optical absorption spectroscopy (DOAS) spectrometer
and a chemiluminescence detection (CLD) analyser. The
MEASUREMENT OF NO, NOX OR NO2? measurement values of the two devices were almost identical in
Vehicles are emitting predominantly NO and only a low share of spite of the differing measurement principles.
NO2. For older engines five per cent of NOX was applied as On workdays it is noticeable in the lower part of Figure 3 that
primary NO2. For new engines this share is already at 20 to daily there is a repetitive increase of approximately ten per cent
30 per cent according to Kessler et al (2007) and Urban, Hübner to about 20 per cent NO2/NOX. This phenomenon could be due
and Ellinger (2007). NO in air according to the reaction to the fact that over the course of the day more and more NO
equation: generated by the increasing traffic was converted into NO2,
2NO + O2 ⇔ 2 NO2 although this statement seems to be questionable.
At the weekends, the ratio of NO2/NOX increases almost to
and in the presence of O3: 30 per cent. In some literature (eg Urban, Hübner and Ellinger,
NO + O3 ⇔ NO2 + O2 2007) this phenomenon is explained by the higher emissions of
primary NO2 by cars than by HGVs (ie fewer HGVs at
converts itself into NO2. The NO2/NOX ratio present in the tunnel weekend). Oxidation catalytic converters are widely used in
is very strongly dependent on the speed of the reactions above, diesel-fuelled cars but not in HGVs. These converters do convert
Tunnel 3
10000
NO and NO 2 [ppb]
9000 NO
8000
7000
NO2
6000
5000
4000
3000
2000
1000
0
2 0 0 7 - 0 6 -2 8
2 0 0 7 - 0 7 -0 2
2 007 -07-1 0
20 07-0 6-14
200 7-06 -16
20 07-0 6-18
2 0 0 7 -0 6 - 2 0
2 0 0 7 -0 6 - 2 2
2 0 0 7 - 0 6 -2 4
2 007 -06-26
200 7-06 -30
2 0 0 7 -0 7 - 0 4
2 007 -07-06
2 0 0 7 -0 7 - 0 8
0 0 7 - 0 6 -1 2
NO2 /NOX @ NO 2>300ppb
30.00%
25.00%
20.00%
15.00%
10.00%
5.00%
0.00%
2007- 06-1 4
2 007- 06-22
2007 -07- 02
20 07-0 7-08
20 07-0 6-20
20 07-0 6-28
200 7-07-0 6
2 007-06 -18
2007 -06-24
200 7-06 -26
2007 -07-04
20 07-06- 16
2007- 06-3 0
2 007- 07-10
2007-0 6-12
FIG 3 - Ratio NO2/NOX in tunnel three.

C SEEWALD
NO into NO2 and thus increase the percentage of primary NO2. Chemiluminescence (CLD)
Something similar applies to buses which are equipped with
continuous regenerating trap (CRT) particle filters, which emit Chemiluminescence (CLD) involves converting NO molecules
up to 65 per cent of NOX as primary NO2. into an excited state through a chemical reaction with ozone (O3)
into O2 and NO2*. The NO2* molecules excited in this way then
Another interesting issue in Figure 3: on the weekends starting very quickly jump back to their normal state due to the emission
on 30 June and 7 July, a correlation can hardly be established of UV light:
now between NO2 and NO. So far, no proven explanation for this
phenomenon is available. However, the behaviour of NO and NO + O3 ⇒ NO2* + O2
NO2 on weekends is not the same during the entire year. There
were many weekends on which a good correlation between NO2 NO2* ⇒ NO2 + light
and NOX could be seen. This could be explained with a different Under constant external conditions (pressure, temperature and
concentration of O3 in the atmosphere during the weekends with volume flow), the intensity of the radiation produced is a
very high NO2/NOX ratio which were actually in summer season measurement for the concentration of the NO2 generated in this
but might be as well caused by a different fleet segmentation way and thus a measurement of the originally present NO
during summer vacation which started at this time. However, concentration.
apart from the pollutant concentrations, no additional values such In order to measure the NO2 concentration and the NO
as weather data or traffic data in the corresponding period for concentration, a sample of air is passed through a converter
tunnel three is available. before the measurement, where NO2 is transformed to NO. The
The assumption of a fixed ratio of ten per cent of NO2 to NOX measurement value subsequently determined is thus proportional
in this case would lead to a measurement error of around to the NOX content in the air sample. The NO2 share is then
300 per cent. On the normal workdays the measurement error determined by measuring NO alone once (without the upstream
would still be around 200 per cent. It became very clear that it is NO2 to NO conversion) and measuring NOX once (ie with NO2 to
necessary to really measure the NO2 concentration if a limit NO conversion) and the values are subtracted.
value has to be stringently upheld. Advantages of this procedure in tunnels:
In the considerations to date, NO was not considered as an • only very low cross-sensitivities with other gases,
independent pollutant. In actual fact there are no findings
currently available that the NO concentrations that usually arise • sufficiently accurate, and
in road tunnels have verifiable effects on the human organism. • tried and tested.
Nevertheless, it can make sense to measure the NO concentration
Disadvantages of this procedure in tunnels:
in the tunnel as this pollutant, in contrast to a large proportion of
the NO2, is released directly and thus immediately by vehicles. • The procedure can only be applied extractively. For this
This means that NO concentrations correlate more directly with purpose, long sampling lines are often required. This can
the pollutants while the changes in NO2 are slower. It follows result in immense problems with condensates in the lines.
that the NO concentration is potentially an interesting value to • Ozone generator and fresh air are needed for the operation.
increase the efficiency of ventilation control, because it lowers
the time to switch counter measures.
• High acquisition and, above all, running costs.
• Testing with test gas.
MEASURING EQUIPMENT FOR RECORDING NO2 This procedure was already known in 2000 and was classified
CONCENTRATION IN ROAD TUNNELS by the PIARC commission as not being particularly suitable for
use in tunnels.
Generally, demands placed on measuring equipment used in road
tunnels are very different to demands placed on equipment used Differential optical absorption spectroscopy,
in laboratories. Essential requirements for equipment used in ultraviolet
road tunnels and of decisive importance for the device design are
for example: This measurement principle uses the fact that gas molecules
absorb light energy at wavelengths that are specific to the type of
• long-term stability of the reading (generally over a period of
gas. Absorbance is directly proportional to the path length and
at least one year for in situ devices),
the concentration of the absorbing species.
• robustness against the partially high contamination levels in By splitting the light received into its spectral components, a
the tunnel, receiver element records the absorbance of the gas molecules at
• no cross-sensitivities to other pollutants which could be several wavelengths in the UV range (usually 200 to 440 nm for
present in the tunnel, NO or NO2 measurement). The result is an absorption spectrum
which shows a number of absorption bands corresponding to
• strength to withstand tunnel cleaning,
structural groups within the molecule (example see Figure 4).
• consistency of the measurement, and Sophisticated mathematical algorithms are used for fitting the
• robustness against voltage fluctuations. spectrums gained from the measurements to the model spectrums
for each gas and deriving the concentration of the gas from that.
The demand for highest precision repeatedly placed on With differential optical absorption spectroscopy (DOAS), the
laboratory equipment is not a top priority for tunnel equipment. absolute value of absorbance at each wavelength is not used for
The accuracy of the measuring equipment in tunnels must be the fitting, ie only the shape of the spectrum determines the gas
sufficient to be able to solve the task, but it is more important concentration.
that this accuracy remains intact over a long period and under all
The advantages of this procedure in tunnels:
conditions which could be present in standard operation in the
tunnel. • only very low cross-sensitivities with other gases (cross-
The author would now like to outline the most frequent sensitivities can additionally be eliminated on the basis of the
measuring principles which have been used to date to measure measurement of the other gases),
NO2 in tunnels and assess them as regards their use in tunnels. • tried and tested,

Disadvantages of this procedure in tunnels:

Spectrum NO and NO2
9,00E-01 • there are very many cross-sensitivities to other gases present;
8,00E-01
• accuracy: zero point drift per year, temperature influence and
7,00E-01 cross-sensitivities to other gases are (each taken individually)
Absorbance (mV)
6,00E-01 already on the scale of the measurement range of 1 ppm

NO
5,00E-01 usually used for NO2 measurement in tunnels;
NO 2
4,00E-01 • the devices can only be tested with test gas (dangerous); and
3,00E-01 • this procedure was also known in 2000 and was considered to
2,00E-01 be not suitable for NO2 measurement already back then.
1,00E-01
0,00E+00 Ultraviolet single-wavelength absorption

2024
1905
1667
1548
1429
1191
1072
953
834
715
596
477
358
239
120
1
1786
1310
200 nm Wavelength 440 nm

In this procedure, the absorption of a monochromatic UV ray of
light along a measurement path is measured. The measurement
FIG 4 - Absorption spectrum of NO and NO2, derived from a real path must run in a protected measurement chamber completely
measurement in a tunnel. free of any type of dust (including fine dust). To achieve this the
measurement chamber is completely enclosed in a gas-permeable
dust filter through which the air can diffuse.
• multicomponent measurements possible (can also be
Furthermore, the wavelength of the light must be selected so
combined with visibility measurements),
that only the gas to be measured absorbs light. The absorption of
• no permanent gas or air feed required (as for CLD), the light along the measurement path is very low in the case of
• long-term stability, and NO2 if measurement path length is limited in order to get it
packed in filter material. This leads to a great deal of effort being
• testing with closed gas cells (safe). required to stabilise the receiving signal.
Disadvantages of this procedure in tunnels: Advantages of this procedure in tunnels:
• UV lights have a limited service life of a few years, • possible in situ, and
• moving parts are required (predominantly fans), and • no permanent gas or air feed required (as for CLD).
• with some products UV light can be visible to drivers and Disadvantages of this procedure in tunnels:
disturb them. • only one gas component can be measured;
This procedure was also already known in 2000. The PIARC • cross-sensitivities to fine dust (depending on the filter
Commission, however, probably considered this procedure to be material and condition;
too expensive in terms of acquisition costs. Furthermore, in 2000
all available monitors based on this measurement principle were
• very high protective action against temperature drifts
required;
only utilisable in road tunnels to a limited degree. In the
meantime there is measuring equipment based on this principle • filters have to be maintained, cleaned and exchanged;
and which has been especially designed for use in road tunnels. • for systems which are based solely on diffusion additional
The prices for these devices are far lower than of those originally measures are needed to ensure that there really is an
designed for immission measurement – in particular if they are exchange of materials in the measurement chamber;
designed as combination measuring devices (NO2, NO and
visibility).
• very long integration time required (partially caused by gas
transport, partially required due to a low measurement
effect); and
Electrochemical measurement
• so far not tested at all or only minimally in road tunnels nor
Gas analysis with electrochemical sensors is based on the in the field of emission measurements.
function principle of galvanic cells. Gas tracing occurs with the
help of a reaction (oxidation/reduction) of the gases at catalytic RESULTS
operating electrodes, each being in special acid electrolytes. The
sensor is applied with sampled gas which diffuses to the Statements one and two from the chapter ‘Initial situation in
electrodes through a porous teflon membrane, which releases 2000 according to PIARC’ are confirmed by the experiences with
electrical loads as a consequence of the reaction. The gas NO2 measurements outlined herein. This specifically means that
conversion at the measuring electrode depends on the potential of NO2 can indeed adopt the role as a key parameter for ventilation
control, except in tunnels which are very high above sea level.
this electrode compared to the electrolytes. A reference electrode
Even in tunnels with a high proportion of old vehicles and a low
is often used for stabilising the measuring cell. The measurable
share of diesel engine-powered cars, NO2 can be used as a key
signal at the sensor’s output is proportional to the gas parameter in nearly all traffic situations in order to make the
concentration. tunnel safer for the future.
To achieve a good enough selectivity, suitable electrode Statements three and four regarding the effect of NO2 on the
material and sometimes chemical filters and mathematical human organism were not questioned any further here. It was
processes are being used. simply ascertained that in a number of tunnels the limit value
Advantages of this procedure in tunnels: relevant for sufferers of asthma is exceeded. Tunnel two was
chosen for this test purely for its close proximity to the
• low acquisition costs, headquarter of the NO2 and NO monitor supplier. In this tunnel
• no moving parts, the limit of 2 ppm was occasionally exceeded. It is known that
even healthy people suffer the effects of NO2 at this limit. The
• possible in situ, and
author believes that it is very probable that this limit is exceeded
• no permanent gas or air feed required (as for CLD). in a lot of tunnels around the world.

C SEEWALD
Statement five about the lack of suitable NO2 measuring Research Community for Road and Traffic (FSV), 2005. Guidelines for
equipment has in the meantime become outdated. Manufacturers Project Planning of Ventilation Systems – Immissions at Portals –
of tunnel air quality monitors have managed to develop new NO2 RVS9.263 (Austrian Federal Ministry for Traffic, Innovation and
Technology: Vienna).
and NO monitors based on known measurement principles that
meet the technical and commercial requirements of tunnels. This Research Society for Road and Traffic Entity (FGSV), 2006. Guideline
for Equipment and Operation of Road Tunnels (RABT)
fact means that statement six from the chapter ‘Initial situation in (Verkehrsblattverlag: Dortmund).
2000 according to PIARC’ is no longer relevant. Furthermore,
Urban, H, Hübner, C and Ellinger, R, 2007. Road traffic emission factors
the results depicted here show that a fixed ratio of ten per cent for PAH, heavy metals primary NO2 and further particulate and
for NO2/NOX cannot be assumed. This would result in a huge gaseous components, Düsseldorf, Gefahrstoffe – Reinhaltung der
maximum measurement error of up to about 300 per cent. Luft, 10:429-438.
World Road Association (PIARC), 2000. Pollution by nitrogen dioxide in
REFERENCES road tunnels, Geneve, PIARC working group no 2.
World Road Association (PIARC), 2006. Road tunnels: Vehicle
Federal Road Authority of Switzerland (ASTRA), 2004. Ventilation of emissions and air demand for ventilation, Geneve, PIARC working
Road Tunnels (Federal Road Authority of Switzerland (ASTRA), group no 2.
Road Network Department: Bern).
Kessler, C, Scholz, W, Ahrens, D and Niederau, A, 2007. Increase of the
NO2/NOX ratio at air monitoring stations in Baden-Württemberg
between 1995 and 2005, Berlin, Immissionsschutz, 2-07:68-72.

Analysis of the Creep Behaviour of Tunnels in Sandstone/Shale
R Chen1 and J C Small2
ABSTRACT the lining. Shalabi (2005) used two methods to model the creep
deformation of a circular tunnel but did not consider the rock
Time-dependent deformation occurs when geo-materials are under an
applied load; this may lead to additional deflection of a tunnel structure bolts and did not focus on the stress change in the materials. In
and the stress redistribution in the surrounding rock, shotcrete lining and their models, the shotcrete lining was applied to the whole
rock bolt support system over time. A better understanding of this creep circumference of the tunnel section. In the present paper, a tunnel
behaviour can improve the reliability of design, construction and with a nearly flat roof was modelled and a shotcrete lining was
maintenance of tunnels. Hence, the present investigation was carried out only applied on the crest. The surrounding rock and lining were
on the time-dependent properties of rock, shotcrete and the combined considered to have different creep rates in the model as their
tunnel support system. creep behaviour affects the deformation of the whole structure.
Tunnels constructed in different ground conditions were modelled. The Steel reinforced shotcrete linings are widely used in
closure changes of the tunnel with time and the redistribution of stress in underground tunnelling projects. In this paper, the Novotex 0730
the surrounding rock, shotcrete lining and rock bolts due to the creep
steel fibre reinforced shotcrete (hereafter referred to as ‘Novotex’
deformation were analysed. Results of the present analysis were
compared with the results from the commercial program ABAQUS. fibre) was investigated and employed in the tunnel model. The
creep properties of the shotcrete were determined by round
determinate panel (ASTM C-1550) tests (Bernard, 2004) and
INTRODUCTION appropriate values of parameters were chosen to fit the
Due to the creep behaviour of rock and the supporting shotcrete experimental results. Three tunnels were modelled numerically
lining, a tunnel excavated in a squeezing rock may undergo an and rock with different creep parameters and different elastic
increasing deformation over a long time period and result in final moduli were employed in the models to analyse the time-
collapse. The Laerdal tunnel excavated in Norway broke down dependent behaviour of these tunnels. The results of the present
nearly four years after its excavation due to the squeezing of the program were compared with results obtained from the
rock (Grimstad, 2001). The ‘creep’ performance is complex and commercial finite element software ABAQUS. A logarithmic
determined by many factors, but for many materials, a higher function in time was used to represent the bulk and shear
stress level and a higher temperature will accelerate the creep modulus in the present creep model. ABAQUS uses a
rate. Normally the creep curve is subdivided into three stages: time-dependent power law to fit the creep behaviour that is
primary, steady and tertiary state creep, but the tertiary creep simple to use, but cannot represent the tertiary stage of creep
only happens when the stress is relatively high and can lead to (ABAQUS Inc, 2003).
damage of the material (Figure 1; Singh and Verma, 2005).
CREEP BEHAVIOUR
In the classical theory of elasticity, strain ε is linearly related to
the stress σ by Hooke’s Law, in which Young’s modulus E and
Poisson’s ratio υ are constants. Under simple one-dimensional
conditions, we may write:
σ =E ε (1)
For this simple case, if the material were to creep we could

write:
σ( t ) = ε 0 R( t ) (2)
where:
σ(t) is the stress at any time
ε0 is the strain applied at time t = 0
FIG 1 - Creep curve (Singh and Verma, 2005). R( t ) is a relaxation function
If the strain is changing with time, then we must evaluate a
The surrounding rock and shotcrete lining of an excavated convolution integral:
tunnel will generally have different creep rates, and how the two
different materials affect each other and the deformation and t
stress change of the whole tunnel system has been studied by σ( t ) = ε 0 R( t ) + ∫ R( t - τ )ε(τ )dτ (3)
0
many researchers before. Sahli et al (2001) modelled the creep
deformation of a circular tunnel but did not consider the creep of This relationship can be simplified by applying a Laplace
transformation to it:
1. School of Civil Engineering, Room 360, University of Sydney, NSW
2006. Email: r.chen@civil.usyd.edu.au σ = s Rε (4)
2. Professor, Pro-HOD (Postgraduate and Research), School of Civil
Engineering, Room 413, University of Sydney, NSW 2006. where the superior bar denotes a Laplace transform and s is the
Email: j.small@civil.usyd.edu.au Laplace parameter.

R CHEN and J C SMALL
− cr
A similar approach may be used for a continuum where the ε = Fq~ n t m (9)
stress-strain relationship takes the form:
σ( t ) = D( t )ε 0 (5) where:
− cr
ε is the uniaxial equivalent creep strain rate
The time-dependent components of the stresses σ(t) are related
to a constant set of strains ε 0 by the time-dependent matrix D( t ). ~
q is the uniaxial equivalent deviatoric stress
For general three-dimensional stress states, there will be six
t is the total time
stress components and so the D matrix is a 6 × 6 matrix.
We may now apply a Laplace transform as in Equation 2 if the F, m, n are the creep parameters and can be determined
strains are time dependent: from experimental results (ABAQUS Inc, 2003)
Laboratory round determinate panel (ASTM C-1550) creep
σ = s Dε (6) tests were carried out to determine the creep behaviour of
Novotex fibre reinforced shotcrete samples (Bernard, 2004). Two
If we make the assumption that the bulk modulus K and shear constant loads of 8100 kN (test Novo2-1) and 7120 kN (test
modulus G vary with time (or ‘relax’) we can write: Novo2-2) were applied separately at the centre of the circular
panels and the deflection changes of the samples were recorded
K + 4G / 3 K − 2G / 3 K − 2G / 3 0 0 0  over a few months or even longer. A set of creep parameters
  F = 4.0e-37, n = 5, m = -0.1 (the parameters depend on the units
K − 2G / 3 K + 4G / 3 K − 2G / 3 0 0 0  used; here days, metres and Newtons) in the time-hardening
K − 2G / 3 K − 2G / 3 K + 4G / 3 0 0 0  power creep law model was then selected to fit the experimental
D=  (7)
 0 0 0 G 0 0 data as shown in Figure 2, and later applied to the tunnel model.
 0 0 0 0 G 0 A uniaxial creep test with specimens of dimension 54 × 54 ×
  108 mm3 was modelled to determine the creep parameters of
 0 0 0 0 0 G
sandstone samples. Pellet (2000) did several uniaxial tests on
sandstones samples, and a set of creep parameters F = 7.0e-20,
Here the bulk modulus K and shear modulus G of the materials n = 2.19, m = -0.98 in the power creep law model can give a
are represented by logarithmic functions in time: good fit to the creep deflection of Pellet’s (2000) records
(Figure 3). A sandstone with the same creep parameters but
K ( t ) = K 0 ( A + B log(1 + α ⋅ t )) much smaller initial elastic modulus was also selected in the
(8)
G( t ) = G0 ( A + B log(1 + α ⋅ t )) tunnel model. Another set of creep parameters F = 3.0e-19,
n = 2.2, m = -0.9 was used to represent a sandstone which creeps
faster. From Figure 4 we can see that the rock under pressure
where:
produces some instantaneous elastic strain which is dependent on
A, B, α are the creep parameters this elastic modulus. The creep strain is dependent on the chosen
The transformed K and G are then put into the finite element D creep parameters, which are related to many factors such as
matrix of Equation 7 to form the stiffness matrix for the problem. stress level and temperature.
The resultant equations can then be solved with a three-
dimensional finite element analysis based on the transformed NUMERICAL SIMULATION OF A TUNNEL
variables. Tablot’s inversion is finally used to invert the
numerical solution to get the result in real time. A typical section of the tunnel, as shown in Figure 5, was
Another creep model used was the time-hardening power modelled by the three-dimensional finite element program
creep law model, which is implemented in the commercial developed here called SAFEA (semi-analytical FE analysis) to
computer code ABAQUS and can be directly used in the analyse the excavation and creep behaviour. Fits of the creep
analysis. This power law model may be written: data with the logarithmic model were made and are shown in
0.8
Novo2-1
Creep Deflection (mm)
0.6
Novo2-2
Novo2-1 Load=8100 F=4e-37,n=5,m=-0.1

(A BA QUS )
0.4
Novo2-2 Load=7120 F=4e-37,n=5,m=-0.1
(A BA QUS )
0.2
0
0.0001 0.001 0.01 0.1 1 10 100 100
Time (Days)
FIG 2 - Creep deflection of Novotex shotcrete sample.

ANALYSIS OF THE CREEP BEHAVIOUR OF TUNNELS IN SANDSTONE/SHALE
Sandstone Creep Parameter
Time (day)
0
0.01 0.1 1 10 100
-0.02
-0.04
Sandstone Load = 5.2 MPa F.Pellet 2000
Deflection (mm)
-0.06
Load=5.2 MPa F = 7.0e-20,n = 2.19, m = -0.98
-0.08 (ABAQUS)
-0.1
-0.12
-0.14
-0.16
FIG 3 - Creep deflection of sandstone.
Sandstone Creep Parameter

0.01 0.1 1 10 100 1000 F = 7.0e-20, n = 2.19, m = -0.98
1.2 MPa (ABAQUS)
-0.02
-0.025 1.2 MPa A = 1 B = -0.0066
Alpha = 100 (SAFEA)
-0.03
F = 3.0e-19, n = 2.2, m = -0.9
Deflection (mm)
-0.035
1.2 MPa (ABAQUS)
-0.04
-0.045 1.2 MPa A = 1 B = -0.027
-0.05 Alpha = 100 (SAFEA)
-0.055 E = 2.227e9 F = 7.0e-20

-0.06 n = 2.19, m = -0.98
1.2 MPa (ABAQUS)
-0.065 E = 2.229e9 1.2 MPa A = 1
-0.07 B = -0.003 Alpha = 100
Time (day) (SAFEA)
FIG 4 - Creep deflections of three types of sandstone of block samples.
Figure 4. The parameters A, B used to achieve the fits are given

in Figure 4 and also presented in Table 1, along with values used
to fit the creep behaviour of the shotcrete. ABAQUS was also
used to simulate the same tunnel section. The tunnel was
symmetrical so only half of the tunnel was analysed. The rock
was represented by a 20-noded solid element, the shotcrete lining
was modelled by an eight-noded shell element and the rock bolts
were modelled with two-noded beam elements. The shell
elements and beam elements share nodes with the solid elements,
thus the shotcrete lining was modelled as tied to the exposed
tunnel surface and the rock bolts were modelled as embedded
into the rock elements. The dimensions and mesh for the tunnels
are shown in Figure 6 and the properties of the rock, shotcrete
lining and rock bolts are given in Table 1. The same shotcrete
lining and rock bolts were used in each of the models but
different sandstone models were applied in the analysis of the
tunnel behaviour under different kinds of underground
conditions. In Table 1, M5 represents a tunnel in rock which
creeps according to Pellet’s (2000) records; M5C represents a
tunnel in rock which creeps faster and M5D represents a tunnel
FIG 5 - Typical section of tunnel (Adams, Lechner and in soft rock which has the same creep parameters as that of case
Lamb, 2001). M5 but a much smaller initial elastic modulus.

TABLE 1
Properties of rock, lining and bolts in tunnel model.
M5 M5C M5D
Sandstone E = 4.976e9 Pa E = 4.976e9 Pa E = 2.227e9 Pa
ν = 0.3 ν = 0.3 ν = 0.3
Creep parameters Creep parameters Creep parameters
F = 7.0e-20 F = 3.0e-19 F = 7.0e-20
n = 2.19 n = 2.2 n = 2.19
m = -0.98 (ABAQUS) m = -0.9 (ABAQUS) m = -0.98 (ABAQUS)
A=1 A = 1, A=1
B = -0.0066 B = -0.027 B = -0.003
Alpha = 100 (SAFEA) Alpha = 100 (SAFEA) Alpha = 100 (SAFEA)
Shotcrete lining E = 5.848e9 Pa E = 5.848e9 Pa E = 5.848e9 Pa
(Novotex fibre) ν = 0.15 ν = 0.15 ν = 0.15
Thickness = 0.2 m Thickness = 0.2 m Thickness = 0.2 m
Creep parameters Creep parameters Creep parameters
F = 4.0e-37 F = 4.0e-37 F = 4.0e-37
n = 5.0 n = 5.0 n = 5.0
m = -0.1 (ABAQUS) m = -0.1 (ABAQUS) m = -0.1 (ABAQUS)
σ = 1.8 MPa σ =1.8 MPa σ = 3.6~0.8 MPa
A=1 A=1 A=1
B = -0.266 B = -0.266 B = -0.26* σ + 0.14
Alpha = 0.1 Alpha = 0.1 Alpha = 0.1
σ = 0.5 MPa σ = 0.5 MPa σ = 1.1~0.6 MPa

A=1 A=1 A=1
B = -0.032 B = -0.032 B = -0.533* σ + 0.2499
Alpha = 0.01 (SAFEA) Alpha = 0.01 (SAFEA) Alpha = 0.01 (SAFEA)
Rock bolts M22 × 3000 mm M22 × 3000 mm M22 × 3000 mm
E = 2.0e11 Pa E = 2.0e11 Pa E = 2.0e11 Pa
ν = 0.3 ν = 0.3 ν = 0.3
FIG 6 - Dimension and mesh of tunnels (unit: metres).
During the analysis, the initial ground stress was created by FIG 7 - Creep zone (unit: metres).
gravity forces and initial deformation was set to zero since the
deformation was already finished. The tunnel was divided into
ten sections longitudinally and the excavation of the tunnel was creep analysis was based on the deviator stress level σ and the
stimulated by removing the element in ten steps. During each creep parameters were selected based on the stress level
step, rock elements were excavated and the corresponding (Table 1). Since stress on the lining’s curved corners is higher
supporting shotcrete lining elements and bolt elements were than that on the flat part, two sets of creep parameters for the
activated in the follow step. The total excavation length in the lining were chosen to fit the creep in the higher and lower stress
analysis was 40 metres so that the tunnel deformation in the zone. The stress in the lining changes a lot in the soft rock
middle section would not be affected much by the face boundary (M5D), and so the creep parameter for this case also changes
restraints. The deviator stress caused by excavation around the based on stress level. The deviator stresses were applied to the
tunnels is a maximum in a surrounding region of the tunnel. This numerical uniaxial test and the creep parameters of the present
area is set as the ‘creep zone’ since it is assumed that it is mainly model were chosen to fit the numerical curve of ABAQUS with
the change of the deviator stress that will make the materials the power law creep model.
creep (Figure 7). After excavation, the deviator stress around the The displacement diagram (Figure 8) shows the vertical
tunnel and on the shotcrete lining can been obtained. In the closure displacements of the tunnel. It can be seen that tunnels
present analysis (using program SAFEA), the elastic modulus of built in soft and hard rock (M5D versus M5) that have the same
the sandstone in the ‘creep zone’ and shotcrete lining will creep rates will close at nearly the same rate. Also, the initial
decrease according to a logarithmic law, while the elastic closure in soft rock is bigger than in the hard rock, while a tunnel
modulus of the rock bolts was taken as constant. The following in the rock that creeps faster will also close at a faster rate (M5D

ANALYSIS OF THE CREEP BEHAVIOUR OF TUNNELS IN SANDSTONE/SHALE
Tunnel displacement
10
9
8 M5 (ABAQUS)
Displacement (mm)
7 M5 (SAFEA)
6
M5C (ABAQUS)
5
4 M5C (SAFEA)
3 M5D (ABAQUS)
2
M5D (SAFEA)
1
0
0.01 0.1 1 10 100 1000
Time (day)
FIG 8 - Creep closures of tunnels.
Lining stress on top shell element (MPa) versus time (day)
0.01 0.1 1 10 100 1000

0
-0.2
-0.4
-0.6
Stress (MPa)
-0.8
-1
-1.2
-1.4
M5 (ABAQUS) M5 (SAFEA)
-1.6 M5C (ABAQUS) M5C (SAFEA)
-1.8 M5D (ABAQUS) M5D (SAFEA)
-2
Time (day)
FIG 9 - Stress behaviour in lining of tunnels.
versus M5C). Figure 9 shows the change of vertical stress in the CONCLUSIONS
shell element on the crown of the tunnels. It can be seen that in
the long term the stress in the lining will decrease. In soft rock, Conclusions are drawn based on the specific material moduli and
the stress in the lining will drop at a faster rate that in the hard creep parameters selected in the numerical model.
rock since in soft rock, the shotcrete lining will carry more load The creep parameters of the Novotex fibre shotcrete material
and thus the initial stress in the lining will be relatively higher are sensitive to the stress level.
than for the hard rock and the shotcrete material will creep faster Tunnels built in different underground situations will undergo
at a higher stress level. In some cases (Figure 9, M5C), if the different amounts of internal closure, while a higher initial
rock creeps at a relatively faster rate, the stress in the lining may closure does not necessarily mean a faster closure rate. The
increase in the initial period and then decrease since the stress in initial closure displacement, initial lining stress and initial bolt
the surrounding rock and lining redistribute because of the stress of tunnels built in soft rock are higher than in hard rock,
different creep rates of the two materials. Figure 10 shows the while the initial rock stress in all three cases is similar. The
change of vertical stress in the rock at the top of the tunnel. The closure displacement, bolt stress and rock stress of tunnels built
stresses in the hard and soft rock (M5D versus M5) are close and in rock which creeps faster will also change at a faster rate while
decrease at a similar rate, while the stress in the rock which the lining stress of a tunnel built in soft rock decreases faster
creeps at a faster rate (M5C) decreases at a faster rate. Figure 11 since the Novotex fibre shotcrete lining creeps much faster at a
shows the tension stress in the rock bolts. The stress in all cases high stress level.
increases, although initial stresses are different for bolts in soft The stress in the shotcrete lining and surrounding rock were
and hard rock (M5D versus M5) since in soft rock, the rock bolts predicted to decrease while the stress in the rock bolts was
will carry more load, the stress increases at a similar rate in these predicted to increase. This shows that during the creep process,
two cases. The stress in bolts in rock which creeps faster (M5C) the load carried by the lining and surrounding rock will transfer
will increase at a faster rate. to the rock bolts.

Stress on top rock element (MPa) verus time (day)

1.5
1.45
1.4
1.35
Stress (MPa) 1.3
1.25
1.2
1.15
1.1 M5C (ABAQUS) M5C (SAFEA)
1.05 M5D (ABAQUS) M5D (SAFEA)
1
0.01 0.1 1 10 100 1000
Time (day)
FIG 10 - Stress behaviour in surrounding rock of tunnels.
Stress on top bolt element (MPa) versus Time (day)

90
80
70
60
Stress (MPa)
50
40
30
20
M5C (ABAQUS) M5C (SAFEA)
10
M5D (ABAQUS) M5D (SAFEA)
0
0.01 0.1 1 10 100 1000
Time (day)
FIG 11 - Stress behaviour in rock bolts.
For the Novotex fibre shotcrete, these three analyses show Bernard, E S, 2004. Creep of cracked fibre reinforced shotcrete panels, in
that the 1000 day creep closure might reach about 1.04 (M5), Shotcrete: More Engineering Developments, pp 47-57 (Taylor and
1.05 (M5D) or 1.22 (M5C) times the original closure. The creep Francis Group: London).
deformation is acceptable in these cases. Grimstad, E, 2001. Behaviour of steel fibre reinforced shotcrete during
large deformations in squeezing rock, in Shotcrete: Engineering
Developments, pp 119-122 (Swets and Zeitlinger: Lisse).
ACKNOWLEDGEMENTS Pellet, F, Sahli, M, Boidy, E and Boulon, M, 2000. Modelling of
The authors would like to thanks their industry partners – time-dependent behaviour of sandstones for deep underground
Readymix Holdings, Elasto-Plastic Concrete Pty Ltd (EPC), the openings, in Proceedings International Symposium on Civil
Engineering in the 21st Century, Beijing, pp 431-438.
Roads and Traffic Authority of New South Wales (RTA), BOSFA
and the Australian Research Council (ARC) – for their support of Sahli, M, Pellet, F, Boidy, E and Fabre, G, 2001. Modeling of viscous
this research. behaviour of rocks for deep tunnel, presented to ISRM Regional
Symposium, Eurock.
Shalabi, F I, 2005. FE analysis of time-dependent behaviour of tunneling
REFERENCES in squeezing ground using two different creep models, in Tunnelling
ABAQUS Inc, 2003. Analysis User’s Manual, version 6.4 (ABAQUS, and Underground Space Technology, 20:271-279.
Inc, USA). Singh, T N and Verma, A K, 2005. Prediction of creep characteristic of
Adams, D N, Lechner, M K and Lamb, I, 2001. M5 east tunnels: A flat rock under varying environment, Environ Geol, 48:559-568.
roofed, bolt and shotcrete-lined highway, in RETC Proceedings,
pp 501-512.

Prediction of Rock Mass Properties Ahead of Tunnel Face Using
Drilling Parameters
K-Y Kim1, K-S Kim2, C-Y Kim3 and D-G Kim4
ABSTRACT processing of the vast amounts of data collected in the

In tunnel construction or other underground construction, a detailed
construction cycle, such as data from rock bolt holes and blast
knowledge of the rock mass ahead of the face is essential for both safety holes, in addition to tunnel face exploration and for the
and efficiency of work. Many tunnel collapses have been reported to automation of the entire system. These studies have been applied
occur because of lack of appropriate information, such as the geological to the quantitative prediction of the ground conditions ahead of
conditions ahead of the tunnel face. One of the methods which can tunnel face and deciding ground stability and supporting
identify rock mass conditions is the application of drill monitoring data patterns. The technique of using a hydraulic rock drill to
obtained from blasting drill holes, which can detect abrupt and
investigate the geological behaviour and estimate ground
unexpected changes in ground conditions, geological structure and the
mechanical and physical properties of rock mass. This paper presents a conditions at the exploration of tunnel face is known as drilling
new approach to how drill performance parameters can be used for logging.
prediction of geological conditions ahead of tunnel face. The predictions Although a number of studies have been carried out, most of
are based on monitoring the drill parameters of instantaneous advance them were measuring the volume of mechanical work required
speed, torque and tool pressure. In order to assess conditions ahead of
for the hydraulic rock drill, not the response of the ground to the
tunnel face, tunnel seismic profiling (TSP) and a horizontal boring
investigation were undertaken and the obtained data compared to the drilling. Such data has physical ambiguity, and the physical
drilling data. The predicted results using drilling performance parameters properties and required accuracy to be measured with hydraulic
correlated well with geological conditions ahead of tunnel face. rock drill have not been clarified yet. In order to develop a
drilling logging system which can measure the mechanical work
of the drilling mechanism of a hydraulic rock drill in an in situ
INTRODUCTION
rock mass, this study compared the drill performance data
One of the fastest and quantitative techniques to evaluate obtained during drilling of the rock mass against data obtained
geological conditions ahead of tunnel face is to monitor drill from a horizontal boring investigation and tunnel seismic
performance parameters, in particular instantaneous advance profiling (TSP) of that rock mass.
speed, torque and tool pressure, using a hydraulic sensor and data
recorder at the jumbo drill. This data can improve the efficiency STUDY AREA
and safety of work by predicting the ground conditions ahead of
tunnel face and providing feedback for support design. Kim, Kim The study area was a section of the Soran Tunnel for the
and Chung (2001) have conducted a study on the drill Yeongdong Railway. The drilling logging, horizontal drill
performance parameters. However, such studies in Korea are still investigation and TSP exploration were conducted for the
quite basic. Earlier studies (Thuro, 1997, 2003; Kahraman et al, sections which are vulnerable to collapse from blasting due to
2000) have been reported that the drilling data obtained from soft ground and the existence of coal beds and severe changes in
hydraulic drilling machines correlates well with the geological ground (Figure 1). The geological features of the study area
characteristics of the ground and can be an excellent source of comprise the Chosun supergroup of the Cambro-Ordovician
data which can influence the construction work efficiency. period, the Pyeongan supergroup of the Carboniferous-Permian
Especially in Japan, a number of studies and developments are period, the Gyeongsang supergroup of the Cretaceous period,
being conducted to construct drilling logging system which can intrusive and extrusive volcanic rocks of the Cretaceous period
predict geological conditions ahead of the tunnel face. and a quaternary alluvial layer. Each formation is repeated
several times by the thrust faults developed in the area, and cut
Toda Construction (2005) has developed DRISS system, which
by strike-slip faults, such as the Osib river fault. Especially, the
can estimate ground conditions with drilling data obtained from a
distribution of coal measures, such as the Geumcheon formation
hydraulic rock drill. Mutsuisumito Construction (2005) has
and the Jangseong formation of the Pyeongan Supergroup, is
developed a drilling data logging system for the efficient
repeated by thrust faults, such as the imbricate structure showing
complicated distribution (Figure 1).
1. Researcher, Underground Structure Research Division, Korea
Institute of Construction Technology, 2311, Daewha-Dong, EXPLORATION AHEAD OF THE TUNNEL FACE
ilsanseo-Gu, Goyang-Si, Gyeonggi-Do 411-712, Republic of Korea.
Email: kimky@kict.re.kr
The aim of this study was to evaluate the possibility of precision
exploration using drilling logging. Prior to drilling, a horizontal
2. Researcher, Underground Structure Research Division, Korea boring investigation and a TSP investigation were conducted in
Institute of Construction Technology, 2311, Daewha-Dong, the rock mass in the study area. The relationship between the
ilsanseo-Gu, Goyang-Si, Gyeonggi-Do 411-712, Republic of Korea. measured drilling logging parameters obtained from the
Email: kwangks@kict.re.kr
hydraulic rock drill were compared with the results of these
3. Research Fellow, Underground Structure Research Division, Korea investigations.
Institute of Construction Technology, 2311, Daewha-Dong,
ilsanseo-Gu, Goyang-Si, Gyeonggi-Do 411-712, Republic of Korea. Horizontal boring investigation
Email: cykim@kict.re.kr
4. Senior Researcher, Underground Structure Research Division, Korea
The horizontal boring investigation was carried out at the
Institute of Construction Technology, 2311, Daewha-Dong, STA.104K214.6 m to 104K259.6 m and 104K480 m to
ilsanseo-Gu, Goyang-Si, Gyeonggi-Do 411-712, Republic of Korea. 104K540 m sections in the Soran Tunnel to characterise the rock
Email: dgkim2004@kict.re.kr mass in the study area.

K-Y KIM et al
FIG 1 - Geological map of the study area. FIG 2 - Results of tunnel seismic profiling (TSP) investigation.
(A) Three-dimensional map of predicted discontinuities; and
(B) cross-section of predicted discontinuities.
Tunnel seismic profiling (TSP) investigation
The TSP investigation was conducted in order to assess the
stability of the tunnel and to obtain relevant data, including major Correlation between drilling data ground
joints sets distributed in the section, the location of condition
discontinuities and geological conditions. Figure 2 presents the
Figure 3 shows the graphic results of the drilling data and the
results from the TSP investigation. Though the study area was
horizontal boring data. The analysis was carried out to examine
considered to be of good rock quality, the tunnel route is
the aspects of each drilling data using:
expected to cross discontinuities in the three sections as follows.
The STA.103K325 to 103K340 m section and the STA.103K450 • the RQD values of the rock mass;
to 103K460 m section are estimated to be in need of careful • the horizontal boring results, which identify zones of intact
observation during construction, and the STA.103K370 to and fractured/soft rock; and
103K405 m has multiple discontinuities having long persistence
and abrupt change in rock quality such as change of stratum or • the rock classification method of Korea Technical Service
fractured weathered zone is anticipated. Association, which represents softness and hardness of rock.
Table 1 is the summary of the analysis results shown on
Drilling logging investigation Figure 3. It can be seen that the TP does not show any
correlation with RQD and hardness, except that the TP reduced
Figure 3 presents the drilling data of sections obtained by drilling sharply in fracture zones. This may be because the automatic
logging. The horizontal axis is the drilling depth and the vertical control system of the jumbo drill maintains an almost constant
axis is the measured torque (TQ), tool pressure (TP) and value of TP. The TQ increased a certain degree in fracture
instantaneous advance speed (IAS). zones, though not as severely as TP. Depending on the fracture
zone characteristics, the reduction of TP and increase of TQ
occurs simultaneously, or TQ only increases. The IAS shows
EVALUATION OF APPLICABILITY OF THE good correlation with the hardness of rock and with fracture
DRILLING DATA zones.
Data with which ground conditions ahead of tunnel face can be
estimated was collected by the three investigations. The Prediction and evaluation of discontinuity ahead
relationship between the investigation results and the drilling of tunnel face using drilling data
data was assessed by comparing the mechanical data recorded at
the drilling machine against the collected data. Firstly, the An analysis of the orientation of the discontinuities was
relationship between the results of the horizontal boring with undertaken using the TSP investigation results and drilling data
which the characteristics of the ground ahead of tunnel face can from the STA.103K370 m to 103K404 m section, and at the
be estimated accurately and the drilling data was analysed to section where the tunnel advance and discontinuity are expected
establish a reference with which the ground conditions ahead of to cross each other. In these sections, drilling data was collected
tunnel face can be determined. Secondly, using the correlation drilling to 12 m depth at eight boreholes from bottom left
between the drilling data and ground conditions, the ability to in counter-clockwise on tunnel face, as shown in Figure 4.
identify discontinuities ahead of tunnel face was analysed using Figures 5a and 6a show the orientation of the discontinuity
the results of the TSP investigation and the drilling data. analysed using the relationship between the drilling data and

PREDICTION OF ROCK MASS PROPERTIES AHEAD OF TUNNEL FACE USING DRILLING PARAMETERS
FIG 3 - Comparison of results of horizontal boring and drilling logging investigation from depth. (A) STA.104K218 - 104K250 m;
and (B) STA.104K492 - 104K537 m.
TABLE 1
Relationship of drill performance parameters and ground conditions.
Ground conditions Jamming Hardness of rock RQD Joint and Soft ground
and rod fracture zone
Drill parameters Soft Hard Increase Decrease
replacement
Tool pressure (bar) Decreased Constant Constant Constant Constant Decreased Constant
Torque (bar) Decreased Decreased Increased Decreased Increased Decreased or Constant or
Increased Decreased
Instantaneous advance speed (m/h) Decreased Increased Decreased or Constant or Increased Increased Increased
Increased Decreased

K-Y KIM et al
ground conditions in each section. Figures 5b and 6b show the • Though tool pressure did not show high correlation with RQD
orientation of the discontinuity analysed using the drilling data or hardness of rock, it decreased greatly in fracture zones.
and the results obtained from the TSP investigation. The sloped
tunnel cross-section shown in Figures 5 and 6b is the • Torque and instantaneous advance speed showed good
discontinuity predicted by TSP investigation. Thus, drilling data correlation with RQD and rock hardness.
can show actually precise position and orientation of • It would not be prudent to evaluate ground status with only
discontinuity zone about ground condition ahead of tunnel face, one of the drill performance data. Integrated analysis of the
while TSP exploration shows approximate position and relationship between the data is required.
orientation of discontinuity zone. • Since the data in this study is restricted to the study area,
applicability in other areas having different geological
CONCLUSIONS characteristics will not be appropriate. Application in the
same geological area would be allowed.
The conclusions of this study are described below:
• The possibility of ground condition evaluation and the
predictability of discontinuities ahead of tunnel face using ACKNOWLEDGEMENT
drill performance data were presented. This research has been performed as a part of Urban Renaissance
project provided by Korea Ministry of Construction and
Transportation (KMOCT). The authors greatly appreciate their
financial support.
REFERENCES
Kahraman, S, Balci, C, Yazici, S and Bilgin, N, 2000. Prediction of the
penetration rate of rotary blast hole drill using a new drillability
index, International Journal of Rock Mech and Min Sci, 37:729-743.
Kim, N Y, Kim, S H and Chung, H S, 2001. Correlation between drilling
parameter and tunnel support pattern using jumbo drill, Journal of
Korean Tunnelling Association, 3:17-24.
Mutsuisumito Corporation, 2005. Tunnel rock mass evaluation that uses
drill-logging system, in Proceedings 60th Symposium, Japan Society
of Civil Engineers, pp 9-10.
Thuro, K, 1997. Drillability prediction-geological influence in hard rock
FIG 4 - A cross-section of drilling. drill and blast tunneling, Geol Rundsch, 86:426-438.
FIG 5 - Relation of results of tunnel seismic profiling (TSP) and drilling data from STA.103K370-382 m. (A) Analysis results of the orientation
of discontinuities using drilling data; and (B) visualisation of discontinuities … left:tunnel shape and position of discontinuities; centre: a
cross-section; and right: a plane figure.

PREDICTION OF ROCK MASS PROPERTIES AHEAD OF TUNNEL FACE USING DRILLING PARAMETERS
FIG 6 - Relation of results of tunnel seismic profiling (TSP) and drilling data from STA.103K392-404 m. (A) Analysis results of the orientation
of discontinuities using drilling data; and (B) visualisation of discontinuities … left:tunnel shape and position of discontinuities; centre:
a cross-section; and right: a plane figure.
Thuro, K, 2003. Hard rock tunnel boring, cutting, drilling and blasting: Toda Corporation, 2005. Prediction of geological condition forward of
Rock parameters for excavatability, in Technology Roadmap for tunnel face with drilling data, in Proceedings 60th Symposium, Japan
Rock Mechanics, pp 1227-1234 (International Society for Rock Society of Civil Engineers, pp 13-14 .
Mechanics: Lisboa).

Tunnel Groundwater Inflow Measurement
W Meynink1, R Witt2 and M Lowing3
ABSTRACT
Tanking of tunnels is now often specified when inflows exceed as little as
1 L/s/km with a unit distance of 100 m.
To demonstrate inflows over a 100 m segment of a tunnel are less than
0.1 L/s with a standard error of 0.01 L/s by timed, gravity filled, volume
measurement up and downstream of the segment, the measuring cylinder
volume (L) must exceed 10 Q, where Q is the flow in L/s, and the number
measurements taken and averaged must exceed 20 Q 2 . If a standard error
of 0.02 L/s is acceptable then 5Q2 measurements must be taken and
averaged.
If gravity filling is not possible then the number, n, of repeat pumped
container measurement required is given by:
2
  σV  
 Z. K  ∆T  
n= 
 01 (
. − Qi  )
 
where:
Qi is the 100 m section leakage
∆T is the volume filling time
σ v is the standard error of volume measurement
Z is the standard normal variate
K is a coefficient dependent on physical measurement conditions
Based on analysis of field data an indicative coefficient of variation of
volume measurement is ~0.05.
FIG 1 - Effect of measurement quantity and quality on confidence.

INTRODUCTION
Tanking of tunnels is now often required when inflows exceed as STATISTICAL ANALYSIS
little as 1 L/s/km with a unit distance of 100 m (Transport
Infrastructure Development Corporation, 2002). Over a 100 m Following the theory of errors as developed by Paradine and
section of tunnel a difference of 0.1 L/s between inflow and Rivet (1968), if:
outflow must be reliably defined. This is clearly a case of
establishing the small difference between two large numbers and z = f ( x, y) (1)
therefore requires special care.
The leakage or inflow to a particular 100 m of tunnel is then:
defined by nature. To avoid tunnel tanking this must be 2
 ∂f   ∂f   ∂f 
2
demonstrably less than 0.1 L/s. How much less than 0.1 L/s, it  ∂f 
σ 2z =   σ x2 + 2ρ   σ x   σ y +   σ 2y (2)
has to be, to be demonstrably less depends on the quality and  ∂x   ∂x   ∂y   ∂y 
number of measurements as illustrated in Figure 1. In Figure 1a
the flow is not demonstrably less because the standard error of
measurement is too high. In Figure 1b the same flow is where the partial derivatives are evaluated at mean values and ρ
demonstrably less because the standard error of measurement is is the cross correlation coefficient between x and y. Equation 2 is
small. valid whatever the probability distribution of the constituent
errors, provided the latter are sufficiently small. Pragmatically, if
Physically, low tunnel gradients, shallow channels, small flows
the covariance term is small, ie ρ is small, then provided the
and significant sediment means that often weirs cannot be used
coefficient of variation of z, CVz = σ z z, is less than around 0.2
and flow rates must be established by timed measurement of Equation 2 will be reliable.
small volumes.
For steady tunnel flows the inflow over a segment of tunnel,
This paper establishes practical criteria for reliable Qi, is given by the difference between upstream inflow, Qu, and
measurement of small tunnel inflows.
downstream outflow, Qd:
1. Pells Sullivan Meynink Pty Ltd, 175 Sunrise Drive, Ocean View Qld Qi = Qd − Qu (3)
4520. Email: wjcm@psm.com.au
2. Pells Sullivan Meynink Pty Ltd, G3, 56 Delhi Road, North Ryde and:
NSW 2113. Email: rahsnwitt@psmsyd.com.au
∂f ∂f
3. Pells Sullivan Meynink Pty Ltd, G3, 56 Delhi Road, North Ryde = 1 and = −1 (4)
NSW 2113. Email: m.lowing@psmsyd.com.au ∂Qd ∂Qu

W MEYNINK, R WITT and M LOWING
such that: For both the volume measurement and time measurement
terms on the RHS of Equation 10 to be of similar magnitude
σ 2Qi = σ Qd
2
− 2ρ σ Qd σ Qu + σ 2Qu (5) requires:
2 2
If there is no bias in the measurement methodology then ρ = 0  Qu  0.02 2  1 
  ≈ ≈  (11)
and the covariance term is zero. In reality if the same V 0.2 2 10 
operator/equipment is measuring flows up and downstream there
will be a bias, ie ρ > 0; however, the negative sign means
neglecting covariance is conservative (overestimates variance). or:
Further, if the same procedure is used up and downstream:
σ 2Qd ≈ σ Qu
2 V ≈ 10 Qu (12)
The total variance could be reduced further by increasing V to

then:
lower the time measurement variance but the volume variance
remains fixed and the marginal benefit becomes less and less.
σ 2Qi = 2 σ Qu
2
(6)
With time and volume variances of similar magnitude:
The term steady flow in relation to Equation 3 applies to the
time over which repeat measurements are made – a few days at
2
C Qu < 0.001 (13)
most. There may be a seasonal fluctuation in water table levels or
water table levels may be drawn down by tunnel construction. and:
Where this is significant flows should be adjusted to the worst
case condition, ie maximum water table level. C Qu ≤ 0.032 (14)
The flow rate Qu is established by timing a measured volume
viz: Substituting Equation 13 in Equation 6 yields:
Qu = V ∆T (7) σ 2Qi = 2 ( 0.001Qu2 ) (15)
There are random errors in the measurement of both the which defines the variance of an individual estimate of inflow
volume, V, and filling time, ∆T. over a tunnel segment. The variance of the mean of n
Applying Equation 2 to Equation 7, assuming ρ = 0, yields: measurements is given by:
2  0.002Qu2 
 1 
2
 V  σ 2Qi =   (16)
σ 2
=   σ 2v +  2  σ 2∆T (8)  n 
Qu
 ∆T   ∆T 
Rearranging the number of repeat measurements required to
The coefficient of variation, C, is defined as the ratio of the achieve a prescribed resolution is given by:
standard deviation to the mean, C = σ µ, and is a convenient
dimensionless measure of variability or measurement uncertainty.
 0.002.Q2 
Dividing Equation 8 through by the square of the mean yields: n= u
(17)
 σ2 
 Qi 
C 2
Qu
=C +C
2
V
2
∆T (9)
The tunnel tanking criteria is 1 L/s/km = 0.1 L/s/100 m. The
Equations 8 and 9 can be used in at least two ways. If a small
standard error of Qu might reasonably be set at one-tenth of this
measuring container can be gravity filled then the minimum size
viz 0.01 L/s, then:
of the container and the number of repeat measurements required
to achieve acceptable confidence can be defined. If gravity filling
is not possible and flow must be pumped to a container then  0.002Qu2 
n=  = 20 Qu2 (18)
 (0.01) 
2
again the number of repeat measurements required to achieve
acceptable confidence can be established.
For an upstream inflow of 0.5 L/s, five measurements are
GRAVITY FILLING required, for 1 L/s, 20 measurements are required.
Graduated cylinders are typically graduated at one per cent of If a standard error of 1/5th viz 0.02 L/s was acceptable then:
volume. Anecdotally stop watch event times from athletics are
considered in the range 0.1 - 0.2 seconds; that is the composite  0.002 Qu2 
start and stop error is 0.1 to 0.2 seconds. Given the less than ideal n=  = 5Qu2 (19)
 (0.02) 
2
in tunnel conditions 0.2 s is adopted.
If the measuring cylinder is well selected, ie nearly filled
during measurement, then 0.01 < CV < 0.02. Now σ ∆T ≈ 0.2, and Then an upstream inflow of 0.5 L/s requires 1.25 = 2 repeat
the filling time ∆T is also V / Q, then: measurements and 1 L/s five repeat measurements.
A sensible maximum for this method is 0.5 to 1 L/s. For larger
2 flows or construction inflows the upstream flow must be diverted
 Q .0.2 
C 2Qu ≈ 0.02 2 +  u  (10) or an alternative method used.
 V 
PUMPED CONTAINER
Since Qu is defined by nature the only way the variability in an
individual reading can be reduced is by increasing the capacity, If gravity filling is not possible then a small pondage must be
V, of the measuring cylinder. formed in the channel and the flow pumped to a container. The

TUNNEL GROUNDWATER INFLOW MEASUREMENT
stop watch is started as the rising water level passes a reference The number of repeat measurements required to be confident
level mark in the pondage then the pump is started. After an the flow is less than 0.1 L/s/100 m is given by:
adequate volume has been pumped (intermittently if necessary)
the pump is stopped then the watch is stopped as the rising water 2
  σV  
level again passes the reference level mark.  Z. K  ∆T  
The stop watch or timing error variance term in Equation 8 is: n=  (23)
. − Qi ) 
 ( 01
2  
 V  2
 2  σ ∆T (20)
 ∆T  where:
Z is the standard normal variate
Doubling the pumped volume, V, doubles the time ∆T but
reduces this error term by a factor of four by virtue of the square Note that as Qi → 01. n increases rapidly.
on ∆T. With a reasonable pumped volume the time error term can Table 2 presents volume measurement coefficients of
be made insignificant, then only the volume error is important, variation, CVV, derived from actual field measurements. Higher
viz: values of CVV tend to be associated with small measured
volumes. For pumped volumes in the range 10 to 70 L in
2 typically less than ideal measurement conditions an indicative
 1  CVV of 0.05 is indicated and might be used for preliminary
σ 2Qu ≈   σV2 (21)
 ∆T  design of a sampling system.
More generally there may be up and downstream measurement CONCLUSIONS

and there may be start and stop volumes. The general form for
Estimating tunnel inflows over a 100 m segment can involve
the leakage flow variance is:
determining the small difference between two large numbers and
2
both care and repeat measurement are required.
 1  To demonstrate inflows over a 100 m segment of a tunnel are
σ 2Qi = K .   σV2 (22)
 ∆T  less than 0.1 L/s with a standard error of 0.01 L/s by timed
gravity filled volume measurement up and downstream of the
where: section, the measuring cylinder volume must exceed 10 Q, where
Q is the flow in L/s, and the number of measurements taken and
K is a coefficient dependent on the physical measurement averaged must exceed 20 Q2 . If a standard error of 0.02 L/s is
conditions (Table 1) acceptable then 5Q2 measurements must be taken and averaged.
The acceptable standard error depends on how close the inflow
TABLE 1 is to the critical value (0.1 L/s/100 m). Initially limited repeats
Leakage flow variance coefficient, K, as a function of might be done to identify critical sections and then closer
measuring conditions. measurements made on these sections.
When gravity filling is not possible because of geometry or
Volume measurement Upstream Downstream K flow rates and pumping is required then the number of pumped
inflow inflow
Start Stop container measurements is given by:
No Yes No Yes 1 2
  σV  
No Yes Yes Yes 2  Z. 2  ∆T  
Yes Yes No Yes 2 n= 
. − Qi ) 
 ( 01
Yes Yes Yes Yes 4  
TABLE 2
Estimating volume measurement coefficient of variation.
Tunnel chainage Channel Location Average V σQ Average T K σV CVV

Start Finish (L) (L/s) (s) (L)
(m) (m)
11 400 11 300 50.561 0.004 277.333 1 1.16 0.0230
11 300 11 115 36.898 0.008 627.667 1 4.71 0.1277
10 733 10 633 52.600 0.0043 265 1 1.14 0.0217
10 633 10 533 47.467 0.009 218.000 1 2.07 0.0436
10 270 10 170 40.397 0.009 1061.333 2 6.56 0.1625
Inside Downstream
10 130 9905 44.495 0.002 1228.667 1 2.07 0.0466
5795 5295 5.927 0.002 813.333 1 1.38 0.2335
11 600 11 500 36.090 0.005 246.000 2 0.89 0.0245
11 115 11 010 16.230 0.002 421.000 2 0.59 0.0364
10 833 10 733 31.967 0.004 186.000 1 0.79 0.0248

W MEYNINK, R WITT and M LOWING
TABLE 2 cont...
Tunnel chainage Channel Location Average V σQ Average T K σV CVV
Start Finish (L) (L/s) (s) (L)
(m) (m)
11 400 11 300 229.189 0.003 338.500 4 0.55 0.0024
11 300 11 115 31.273 0.007 616.000 1 4.30 0.1374
10 733 10 633 27.950 0.0087 203.250 1 1.77 0.0632
10 633 10 533 29.633 0.004 189.000 1 0.84 0.0283
10 270 10 170 58.371 0.003 850.000 1 2.15 0.0367
Outside Downstream
10 130 9905 47.567 0.004 775.333 1 3.03 0.0643
5795 5295 6.667 0.002 873.333 1 1.71 0.2561
11 600 11 500 150.674 0.002 318.667 2 0.51 0.0034
11 115 11 010 59.848 0.001 404.400 1 0.39 0.0065
10 833 10 733 25.267 0.004 268.667 1 1.16 0.0457
11 400 11 300 48.837 0.001 243.333 1 0.36 0.0083

11 300 11 115
10 733 10 633 31.967 0.0043 186 1 0.79 0.0248
10 633 10 533 52.600 0.004 265.333 1 1.14 0.0217
10 270 10 170
Inside Upstream
10 130 9905
5795 5295
11 600 11 500 9.558 0.00305 323 2 0.70 0.0728
11 115 11 010
10 833 10 733
11 400 11 300 185.205 0.004 284.333 3 0.629 0.0034

11 300 11 115
10 733 10 633 25.267 0.004301 268.7 1 1.156 0.0457
10 633 10 533 27.950 0.009 203.250 1 1.766 0.0632
10 270 10 170 14.300 0.001 340.333 2 0.349 0.0244
Outside Upstream
10 130 9905
5795 5295
11 600 11 500 37.148 0.002 327.333 2 0.57 0.0153
11 115 11 010
10 833 10 733
Based on analysis of field data an indicative coefficient of Transport Infrastructure Development Corporation, 2002. CIVSYS-1
variation of volume measurement for use in sampling program works brief – Civil works and systems contract – Epping to
design is ~ 0.05. Chatswood Rail Line, July.
REFERENCES
Paradine, C G and Rivet, B H P, 1968. Statistical Methods for
Technologists (Unibooks, English Universities Press).

Impact of Rock Mass Characteristics on Hard Rock Tunnel
Boring Machine Performance
A Ramezanzadeh1, J Rostami2 and D Tadic3
ABSTRACT
While hard rock tunnel boring machines (TBMs) have an established
track record in the tunnelling industry, accurate estimation of TBM
performance for each specific project remains critical. Machine
performance prediction is required to assist planning activities, including
costing and schedule preparation, machine specification and effective
planning of maintenance and repairs. In addition, monitoring machine
performance during the construction period is required to assess and
manage excavation progress, and to achieve optimal advance rates based
on specific geotechnical conditions exposed during excavation. TBM
performance analysis can also contribute to the development of more
accurate performance prediction models for future applications.
Rock mass characteristics play a dominant role in machine
performance. This paper offers a review of the impact of rock mass
characteristics on TBM penetration rates for two specific tunnelling
projects. A discussion is provided on the results of statistical analysis of
available field data, including geological back mapping, rock properties FIG 1 - Project location in New York City (Yagiz, 2002).
and measured rates of penetration (ROP). The analysis offers a
comparison of the achieved and predicted ROPs to provide a better
Geotechnical investigations and related analysis of the Queens
understanding of the influence of rock mass properties on the
performance of hard rock TBMs. A new rock mass adjustment factor is Tunnel location indicated that the rock units are primarily
introduced to enhance the accuracy of an existing prognosis model for composed of mafic and felsic rock types with dyke intrusions
use in jointed rock masses. and granitic gneiss as one of the most common lithologies on
tunnel alignment (Yagiz, 2002). Rock mass data was collected by
INTRODUCTION performing extensive geological back mapping of the entire
tunnel length after the construction period. It includes relevant
A number of researchers have focused on quantifying the effects geological characteristics such as rock types, joint spacing and
of rock mass parameters on rock cutting with mechanical orientation, etc. Nearly 150 locations along the tunnel were
excavators such as hard rock tunnel boring machines (TBMs). sampled and tested for uniaxial compressive strength (UCS),
TBM performance is known to be influenced by a number of Brazilian tensile strength (BTS), Cerchar abrasivity index (CAI)
factors which can be generally classified as rock mass or and punch penetration index to obtain a punch test index (PTI).
machine parameters (Fowell, 1993). Through an extensive The second case is a tunnel project in Hong Kong (the KCRC
literature survey and two case study reviews, this paper D320 tunnel), which includes a set of twin 1.8 km long tunnels.
investigates rock mass factors that are critical to machine The study of these tunnels was originally a European-funded
performance. This analysis was performed within the context of exercise known as the Goodlife Project, examining the
a study of TBM performance in jointed rock that included over optimisation of disc cutter wear. Extensive back mapping and
60 km of tunnels, comparing the predicted and actual penetration laboratory rock mechanics tests were performed and included in
rates to provide a better understanding of the influence of rock the study. These tunnels were part of the KCRC West Rail
mass properties on machine performance.
Project linking the Mei Foo and Tsuen Wan West stations in
The first case is the Queens Water Tunnel #3 stage 2, which Hong Kong (Figure 2).
was designed to improve fresh water distribution in the city of
New York (Figure 1). Upon completion, this tunnel would be
used to allow for shutdown and maintenance of two existing
tunnels that have been operating since 1917 and 1936. The
7.06 m diameter Queens Tunnel was excavated beneath Brooklyn
and Queens at an average depth of 200 m below sea level,
utilising a high-performance TBM manufactured by the Robbins
Company. This was an 8 km long concrete-lined pressure tunnel
through the hard metamorphic rocks of the Appalachian
mountain belt. TBM operational data and rock measurements,
including geological back mapping and laboratory test results,
were gathered during the construction period by researchers at
the Colorado School of Mines.
1. Research Fellow, CRCMining, 2436 Moggill Road, Pinjarra Hills

Qld 4069. Email: a.ramezanzadeh@crcmining.com.au
2. Assistant Professor, Department of Energy and Mineral Engineering,
Pennsylvania State University, University Park PA 16802, USA.
Email: jur17@psu.edu
3. Senior Research Fellow, CRCMining, 2436 Moggill Road, Pinjarra FIG 2 - Location of KCRC DB320 tunnel (Bouygues Travaux
Hills Qld 4069. Email: d.tadic@crcmining.com.au Publics, 2002).

A RAMEZANZADEH, J ROSTAMI and D TADIC
The contract was awarded to the Dragages-Zen Pacific Joint rather insensitive to the UCS. This demonstrates that UCS
Venture on an alternative tender employing mechanised measurements alone can be an insufficient representation of
excavation using an advanced earth pressure balanced TBM. The intact rock properties for ROP estimates.
excavated and inner diameters of the tunnels were 8.75 and 7.95 The rock tensile strength, often measured indirectly as a
m, respectively. Nearly 60 per cent of the tunnel length was in Brazilian tensile strength (BTS), can be used to complement
rock and the remaining in soil and soft ground. This study UCS measurements and to evaluate brittle behaviour. Figure 3b
focuses on the rock sections only, of which the geology was shows that the field ROP displays a trend of increasing with
predominantly igneous intrusive, including medium-coarse BTS.
grained granite (~65 per cent) with some areas of granodiorite In both of these examples of performance versus rock strength
(~16 per cent). All rock mass characteristics including joint
data, other intact rock parameters and rock mass characteristics
conditions (spacing, orientation, filling material, roughness, etc)
combined with TBM operational parameters have disguised the
were surveyed. The intact rock strength (UCS) was indirectly
effect of UCS and BTS on the field ROP. This is also the case for
measured along the tunnels using Schmidt hammer and point
the FROP and UCS data (estimated by point load test) for the
load tests. Additional laboratory tests were performed but the
resulting data sets were limited and therefore not included in this KCRC tunnels as shown in Figure 4.
study. Point load testing is a method that combines compressive and
Further details regarding machine specifications and host rock tensile stresses and can be used for estimating rock UCS. The
geotechnical conditions for both the Queens and Hong Kong case point load strength index, which expresses the strength of intact
studies are contained in publications by Ramezanzadeh, Rostami, rock by splitting under the concentrated stresses of conical
and Kastner (2004 and 2005a, 2005b). platens, shows reasonable correlation to net penetration rates for
some rock types. The correlation will, however, vary from one
rock to another. Figure 4 is a good example of the positive
IMPACT OF ROCK MASS CHARACTERISTICS ON correlation of PLT with TBM penetration when the number of
TUNNEL BORING MACHINE PENETRATION RATE tests is sufficiently high (ie at least 20 tests which can be seen at
80 - 110 MPa strength range in this case).
TBM penetration is somewhat controlled by intact rock properties,
such as rock strength, hardness, toughness, brittleness, anisotropy These examples simply illustrate that these parameters, while
and abrasivity; however, rock mass characteristics (particularly essential, are alone inadequate for boreability assessment
the joint conditions) also play an important role. These purposes. They can, however, be useful as input parameters for
parameters can be evaluated in the laboratory and field using a basic performance estimation, providing a general indication of
variety of testing methods and measurement techniques. Machine boreability in many circumstances. It should be noted that to
ROP is also controlled by TBM parameters such as cutterhead improve evaluations, UCS and BTS test results should be
geometry, applied thrust, etc. A descriptive (qualitative) screened and only the results from non-structural failures should
statistical analysis on available data from the Queens and KCRC be considered. This will generally represent the worst-case
tunnels has been employed to provide a better understanding of conditions (ie intact rock) for machine performance estimation
the impacts of rock parameters on the achieved ROPs in both and for machine specification including cutterhead design and
cases. disc cutter selection.
Intact rock strength Toughness and brittleness

A rock property such as UCS is often used to represent rock Rock toughness can be qualitatively defined as the material’s
strength. In general, UCS shows a strong correlation with net resistance to cracking. As such, it is the opposite of brittleness.
penetration rate for most rock types; however, experience shows There is no universally accepted quantitative measurement for
that sometimes UCS does not correlate well to ROP for rock toughness or brittleness for application in rock excavation;
particular ground conditions. For example, Figure 3a shows that however, several different indices have been introduced,
the measured field ROP (FROP) for the Queens Tunnel was including fracture toughness index K, UCS/BTS ratio, Sievers’ J
A B
FIG 3 - Boxplots of field rates of penetration (ROP) (mm/rev) versus uniaxial compressive strength (UCS) and Brazilian tensile strength
(BTS), Queens Tunnel.

IMPACT OF ROCK MASS CHARACTERISTICS ON HARD ROCK TUNNEL BORING MACHINE PERFORMANCE
Previous studies with the punch penetration test have

concluded that if the rock is brittle, its force-penetration curve
yields a higher degree of force fluctuations due to more frequent
chipping or fracture development within the rock. In contrast,
ductile rocks have been observed to produce relatively smooth
force-penetration curves. Brittle behaviour is a desirable feature
in mechanical rock breakage, since it generates longer fractures
and larger chips, which result in more efficient rock breakage.
Ductile failure results in lower production rates due to lack of
fracture propagation.
In this study, the punch test index (PTI) has been calculated
based on the ratio of peak load to the maximum achieved
penetration (Kip/in). The PTI results for the Queens Tunnel show
a relatively good correlation with field ROP (Figure 5a) and
other calculated parameters like specific energy (SE) (Figure 5b).
Despite this good correlation, given the amount of data available
and considering that these results are not independent of other
parameters, a TBM performance prediction model cannot be
developed based on this index alone.
Brittleness is an important mechanical property of rocks and is
FIG 4 - Boxplots of field rates of penetration (ROP) versus uniaxial
essentially the willingness of rock to initiate and propagate
compressive strength (UCS) (point load test), KCRC tunnel.
cracks. There are several distinct definitions/equations for
brittleness, as described by other researchers (ie Bruland, 2000).
value and S20 by the Norwegian University of Science and Kahraman (2002) used data from the experimental work of
Technology (NTNU, formerly NTH). These concepts have not different researchers to statistically examine the relationships
been ratified by the larger rock mechanics testing community. between three of these different definitions and drillability and
One approach to quantifying rock toughness/brittleness uses the boreability. Kahraman identified strong exponential relationships
results of the punch penetration or indentation test. This can be between the TBM penetration rates and brittleness B1 and B2,
considered an appropriate technique for use in conjunction with which are defined as follows:
TBM applications. The particular shape and slope of the
σc σ − σt
load-penetration curve provides a basis for estimation of rock B1 = and B2 = c
boreability and the energy required for efficient chipping. In σt σc + σt
addition to rock strength, the load-penetration behaviour is
affected by sample stiffness, brittleness and porosity. An AFTES (2003) made similar suggestions for characterisation
expanded form of the punch test has been demonstrated to be a of the drillability and yield behaviour of hard rock (σc >25 MPa),
useful tool for studying various machine parameters. This proposing the application of a fragility index (σc/σt) (same as B1
includes the effect of cutter tip width, cutter spacing and depth of above).
penetration on the force required for rock excavation (Dollinger, Brittleness data for the Queens Tunnel (Figure 6) does not
Handewith and Breeds, 1998). Dollinger maintained that the illustrate a clear relationship as suggested by Kahraman. It does
punch test has proven itself to be a powerful laboratory tool for indicate that the rate of penetration may increase with brittleness,
evaluating rock boreability and that it has the potential for but there appears to be a limit at which this trend reverses. Again,
becoming a standalone test for this purpose. Nevertheless, the it is likely that the actual relationship between these two specific
test does not produce a universally accepted quantitative measure parameters is disguised here by the influence of other parameters
of rock toughness/brittleness that can be used for estimation of that are not consistent within the data, particularly rock mass
machine performance. properties and joint conditions.
A B
3
FIG 5 - Boxplots of field rates of penetration (ROP) and specific energy (SE) (MJ/m ) versus punch test index (PTI), Queens Tunnel.

A B
FIG 6 - Boxplots of field rates of penetration (ROP) (mm/rev) versus brittleness values, B1 and B2, Queens Tunnel.
Comparison of the PTI plots (Figure 5) with the plots for on those cutters still in contact with the rock surface and a more
brittleness indices calculated from UCS and BTS (Figure 6) dynamic loading situation for all cutters.
indicates that in this case and given the data available, there is a Available data for the Queens Tunnel included joint spacings
more distinct relationship between PTI and the TBM parameters and orientations. To consider the effects of fracture orientation,
(FROP and SE) than there is between B1 or B2 and FROP. an angle alpha is considered, which is calculated from the dip
and strike of a plane of weakness and the tunnel direction using
IMPACT OF ROCK MASS PARAMETERS ON the following equation from Bruland (2000):
TUNNEL BORING MACHINE PENETRATION α = ArcSin ( Sinα f × Sin(α t − α s )
RATES
where:
The key rock mass characteristics that can affect TBM
performance are the nature of joints/fractures, groundwater and αf is the fracture dip angle (degrees)
stress conditions. The primary impact of these on TBM αt is the orientation of tunnel axis (degrees)
performance is on utilisation, placing great importance on
equipment choice and ground support methods. αs is the fracture strike direction (degrees)
In hard rock conditions, the geological factors of largest Figure 7a illustrates that for the Queens Tunnel data, the FROP
influence on the net penetration rate (and thereby on the generally decreases with an increase in joint spacing (JS), as
tunnelling costs) are the rock mass fracturing, average spacing anticipated. There does not appear to be a strong correlation
between planes of weakness and the angle between the tunnel between FROP and alpha angle (Figure 7b). It should be noted
axis and the planes of weakness (Bruland, 2000). A fractured that the spacing between planes of weakness is measured
rock mass greatly assists the TBM excavation process, with the perpendicularly to the planes and given an average value for
existing fractures causing local fall-outs in the rock face. This some distance. Although there appears to be a favourable alpha
acts to relieve some cutters of their load, which is consequently angle at around 30 degrees, the data set is insufficient for this to
transferred to other cutters. This creates higher average loading be considered a conclusive result.
A B
FIG 7 - Boxplots of field rates of penetration (ROP) versus joint spacing (JS) (cm) and alpha (degrees) at Queens Tunnel.

A B
FIG 8 - Boxplots of field rates of penetration (ROP) versus joint spacing (JS) and alpha at KCRC tunnel.
Data for the KCRC tunnel shows a more clearly visible

influence of joint spacing (JS) on TBM penetration rate
(Figure 8a), with a trend as expected. The effect of alpha angle is
more complex when compared to JS. Figure 8b shows that for
alpha angle below 50 degrees, there are two minor peaks in
FROP at 15 and 35 degrees. This behaviour is not consistent with
Bruland’s findings (2000), which indicate that a single peak in
FROP can be expected at an alpha angle of between 50 and
70 degrees. This shows that the relationship between alpha and
FROP may be quite complex, warranting further investigation for
various rock mass conditions and equipment.
The rock mass rating (RMR) system is widely considered as a
good indicator of overall rock mass quality. For the KCRC
tunnel, the basic values of RMR (BRMR) have been calculated.
RMR values can be determined by adjusting BRMR values
according to the joint/fracture dip and orientation. Figure 9
shows that with increasing BRMR, the field ROP is reduced as
expected. For BRMR higher than 70, there are not sufficient data
points to illustrate the continuing trend.
FIG 9 - Boxplots of field rates of penetration (ROP) versus basic
PERFORMANCE PREDICTION WITH ADJUSTED rock mass rating (RMR) at KCRC tunnel.
COLORADO SCHOOL OF MINES MODEL
The first version of the Colorado School of Mines (CSM) model School of Mines. Rostami and Ozdemir (1993) developed a
was presented by Ozdemir (1977) and Ozdemir, Miller and Wang model for the cutting force estimation of CCS disc cutters based
(1978). It was developed as a theoretical model for predicting the on the tensile failure mode of chip formation. This model, like its
forces acting on V-shape cutters for indexed cutting. The basic predecessor, can be used efficiently for cutterhead design and
philosophy behind this method is to start from the individual optimisation for intact and homogenous rock conditions;
cutter forces and determine the overall thrust, torque and power however, it is not directly applicable for cutting through fractured
requirement for the entire cutterhead. The estimated values are rock masses.
then compared with the machine’s installed or available thrust Figure 10 illustrates the pressure distribution and resultant
and power, allowing the maximum achievable penetration to be cutting force for a disc cutter acting on a rock surface. The
calculated. The cutting forces may be measured via full-scale estimated resultant cutting force can be derived as follows (from
cutting tests (the most reliable and accurate method) or estimated Rostami and Ozdemir, 1993):
using theoretical techniques. Full-scale cutting tests take all of ψ
φ φ  θ TRP o φ
the parameters affecting the rock cuttability into account. This Ft = ∫ TRPdθ = ∫ TRP o   dθ =
includes rock strength, toughness, cutter geometry (diameter, tip 0 0  φ 1+ ψ
width and spacing) and penetration. Full-scale testing at the time
of project development is not often feasible, and laboratory-style where:
tests have inherent shortcomings when it comes to simulating Ft = total resultant force
field conditions, especially regarding the effects of rock mass
properties. T = cutter tip width
The CSM model was subsequently updated based on laboratory R = cutter radius
cutting tests with the newer-style constant cross-section (CCS)
φ = angle of contact area between rock and cutter
cutters. These tests were completed using a linear cutting
machine at the Earth Mechanics Institute (EMI) at the Colorado ψ = constant for the pressure distribution function

FIG 10 - General shape of pressure distribution with power function (Rostami and Ozdemir, 1993).
 R − P φ φ
φ = Cos −1   FN = Ft .Cos( ) and FR = Ft . Sin ( )
 R  2 2
Pr = pressure of crushed zone, defined by a power function as: where:

ψ FN and FR are the normal and rolling forces, respectively
α
o
Pr = P   As part of a global study performed by the first author, an
 φ attempt has been made to include some additional rock mass
characteristics in the current CSM model and develop new
where:
adjustment factors to improve its accuracy.
Ψ = power of pressure function The basic CSM model has been applied for TBM performance
P° = base pressure in the crushed zone at the point directly prediction at the KCRC and Queens Tunnel sites. A new
underneath cutter adjustment factor for the CSM model has been developed based
on KCRC tunnel data, which takes into account the BRMR value
α = position angle (Ramezanzadeh, Rostami and Kastner, 2004). Data from both
In these equations, T and R are known cutter geometry sites was also combined to develop another adjustment factor for
parameters. The angle φ can be calculated once the penetration is the CSM model, which includes joints spacing and alpha angle
known. The power of the pressure function, Ψ, varies between (Ramezanzadeh, 2005). These were the only common rock mass
0.2 for V-shape and very sharp cutters to -0.2 for wider tip characteristics (beyond those already considered in the CSM
cutters. P° is estimated via a separate equation based on rock model) in the tunnel databases. The same approach used for the
parameters and cut spacing. KCRC tunnel was applied to analyse the Queens Tunnel data, the
Using regression analysis of measured forces, Rostami (1997) results of which are presented in this paper. Calculations for the
offered an updated equation for base pressure as follows: CSM model were performed based on the available information
on rock physical properties and the applied thrust and torque of
S ⋅ σ 2c ⋅ σ t the TBMs. The ROP (mm/rev) was predicted by the CSM model
P o = C ⋅3 for the given working conditions and used in subsequent analysis
Φ⋅ R⋅T
as the CSMROP.
where: To explore the possibility of offering other adjustment factors
for the CSM model, the effects of some combined rock mass
C = constant
indices on TBM performance have been examined. These
S = spacing between the cuts include joint spacing (JS), joint orientation (alpha) and punch
test index (PTI) for the Queens Tunnel. Multivariable regression
Φ = angle of contact area analysis was used to provide the following results for general use
with these indices:
R and T = disc radius and tip width
CSMROP 0 .453
σc = uniaxial compressive strength of rock AdjROP = (R2 = 0.62)
Exp( 0.001 × JS − 0.002 × PTI − 0.687)
σt = tensile strength of rock
Also:
It should be noted that in the new formula ψ is set to zero,
assuming a symmetric pressure distribution in the contact zone. CSMROP 0 .407
AdjROP =
The normal and rolling forces needed for estimation of the thrust Exp( 0.001 × JS − 0.002 × α − 0.002 × PTI − 0.632 )
and torque/power requirement of the cutterhead are alternatively
estimated as: (R2 = 0.65)

where: data sets beyond this range. For both of the adjustment factors,
the JS cannot be greater than 200 cm, as this was the upper limit
AdjROP is adjusted rate of penetration (mm/rev)
of the observation. Without further verification through
CSMROP is calculated rate of penetration (mm/rev) examination of results from a broader range of rock types and
JS is average spacing between planes of weakness (cm) rock mass characteristics, it is recommended that the new
adjustment factors be used with much caution and be limited to
alpha is the angle between the tunnel axis and plane of similar rock types.
weakness (degrees) Further research and case studies are required to expand the
The second equation offers better correlation coefficient (R2) adjustment factors to suit other rock types and rock mass
while considering joint spacing and alpha angle as well as punch conditions, and to improve their accuracy.
test index. It should be noted that the application of the second
equation is limited to alpha <45 degrees. Statistical indicators (ie ACKNOWLEDGEMENT
p-value) show that the alpha angle, for values above 45 degrees,
cannot be considered as a meaningful variable within the This study was part of the first author’s PhD thesis research,
multiple regression analysis for the available data set. This is which was mainly funded by a student scholarship from the
merely due to the limited frequency of joint angles with α above Iranian Ministry of Sciences and Technologies and partly
financed by Herrenknecht AG Germany. The authors would like
45 degrees, and does not indicate that there is no relationship
to acknowledge CRCMining’s support for the current research
between these parameters for the full range of joint angles. If efforts in this field through the Centre’s Rapid Development
reliable alpha measurements are not available, the first equation Project.
can be used to adjust the TBM performance predicted by the
CSM model.
REFERENCES
Figure 11 is a plot of the basic CSMROP and the two above
mentioned adjusted ROPs versus the field ROP for the Queens AFTES, 2003. Characterisation of rock masses useful for the design and
Tunnel. This clearly shows that both of the adjusted ROP the construction of underground, Tunnels et Ouvrages Souterrains,
predictions are more realistic than the basic CSMROP, which in 177(May/June).
this case consistently underestimates the machine performance. Bouygues Travaux Publics, 2002, Data acquisition and sharing – Good
life project, report D14, Paris.
This disparity with the CSM model occurs due to the lack of
Bruland, A, 2000. Hard rock tunnel boring, PhD thesis, Norwegian
inclusion of joint details and rock mass behaviour in the original University of Science and Technology, Trondheim.
model.
Dollinger, G L, Handewith, H J and Breeds, C D, 1998. Use of the punch
test for estimating TBM performance, Tunnelling and Underground
CONCLUSIONS AND DISCUSSION Space Technology, 13(4):403-408.
Fowell, R J, 1993. The mechanics of rock cutting, in Comprehensive
ROP predictions for the Queens Tunnel case study show that the Rock Engineering (ed: J A Hudson), pp 155-176 (Pergamon Press:
two proposed adjustment factors for the CSM model compensate Oxford).
for the underestimation of ROP. The consideration of joint Kahraman, S, 2002. Correlation of TBM and drilling machine
spacing, joint orientation and the punch test index has effectively performances with rock brittleness, Journal of Eng Geology,
corrected the CSM model prediction, indicating that these 65(4):269-283.
adjustment factors may also be accurate for other sites with hard Ozdemir, L, 1977. Development of theoretical equations for predicting
fractured rock masses. It should be noted that this analysis was tunnel borability, PhD thesis, Colorado School of Mines, Golden.
based on limited data and therefore is preliminary. Ozdemir, L, Miller, R J and Wang, F D, 1978. Mechanical Tunnel Boring
This approach offers a more refined prediction method for Prediction and Machine Design (Colorado School of Mines:
equipment manufacturers, tunnel designers and engineers, Golden).
providing a more accurate TBM advance rate forecast. The Ramezanzadeh, 2005, Performance analysis and development of new
models for performance prediction of hard rock TBMs in rock mass,
application of these new adjustment factors is, however, limited,
PhD thesis, INSA de Lyon, France.
as they may need to be revised for different rock mass
Ramezanzadeh, A, Rostami, J and Kastner, R, 2004. Performance
characteristics and TBM operational conditions. analysis of hard rock tunnel boring machines at KCRC tunnel (Hong
The application of the second proposed adjustment factor is Kong), in Eurock 2004 and 53rd Geomechanics Colloquy, Salzburg,
limited to alpha <45 degrees due to the statistical relevance of the pp 609-613.
Basic and Adjusted CSM ROP versus field ROP

7 Basic CSM-ROP
6 Adj CSM-ROP (JS, PTI)

CSM ROP (mm/r ev.)
5
Adj. CSM-ROP (JS, Alpha, PTI)
4
2
Line 1:1
1
0
0 1 2 3 4 5 6 7
Field ROP (mm/rev.)
FIG 11 - Basic Colorado School of Mines rates of penetration (CSMROP) and two adjusted CSMROP versus field rates of penetration
(ROP) at Queens Tunnel.

Ramezanzadeh, A, Rostami, J and Kastner, R, 2005a. Influence of rock Rostami, J and Ozdemir, L, 1993, A new model for performance
mass properties on performance of hard rock TBMs, in Proceedings prediction of hard rock TBMs, in Proceedings Rapid Excavation and
Rapid Excavation and Tunneling Conference (RETC) 2005, Seattle, Tunneling Conference (RETC) 1993, Boston.
p 13. Yagiz, S, 2002. Development of rock fracture and brittleness indices to
Ramezanzadeh, A, Rostami, J and Kastner, R, 2005b, Etudes statistiques quantify the effects of rock mass features and toughness in the CSM
de l’effet de caractéristiques massifs rocheux sur un tunnelier dans Model basic penetration for hard rock tunneling machines, PhD
chantier de KCRC D320 (Hong Kong) in Congrès international de thesis, Colorado School of Mines, Golden.
l’AFTES 2005, Chambéry.
Rostami, J, 1997. Development of a force estimation model for rock
fragmentation with disc cutters through theoretical modelling and
physical measurement of crushed zone pressure, PhD thesis,
Colorado School of Mines, Golden.

Peanuts and Tunnel Stuffing – The Brightwater Conveyance
System East Contract
D N Adams1, J J Johnson2, M E Trim3 and W Cranston4
ABSTRACT INTRODUCTION
The Brightwater conveyance system is located near Seattle, Washington King County is the wastewater conveyance and treatment
in the north-western United States. The East Contract portion of the authority for the Seattle, Washington (US) metropolitan area. In
system consists of a 4.3 km long, 5.9 m diameter tunnel in soft ground 1999, after six years of study, the county decided to construct a
and two large shafts constructed in challenging soil conditions. The two new wastewater treatment system to reduce the pressures of
shafts are situated side-by-side in an urban valley. One will house an population growth on its existing conveyance system and two
influent structure to direct incoming sewage and outgoing treated
effluent, while the other will house a 645 megalitre per day (ML/d)
existing wastewater treatment plants. Located in the rapidly
influent pump station. growing area north of the city of Seattle, the proposed
Brightwater treatment system includes a new membrane
The tunnel contains four pipelines: two force mains to convey untreated
wastewater eastward from the new pump station to a new treatment plant, bioreactor treatment plant designed to produce effluent water of
one gravity-pressure pipeline to convey treated effluent westward to a new a quality that meets regulatory permit requirements.
outfall in Puget Sound, and one high-pressure pipeline to convey reclaimed The conveyance elements of the Brightwater system will
water from the treatment plant to downstream distribution points. The include approximately 21 km of pipeline (influent and effluent)
shafts and the tunnel presented many design challenges. in four major tunnels, a marine outfall pipeline discharging into
Groundwater is near the surface in the area surrounding the shafts, and Puget Sound, four shafts, a new influent pump station (IPS),
compressible peat and clay soils preclude dewatering during construction. several microtunnels and two odour control systems. To
These and other challenges were encountered during design of the pump
minimise the construction impacts on the largely residential
station shaft and multiple-pipe tunnel. The challenges were addressed by
a design that includes a dual intersecting circular cell shaft (referred to as areas along the pipeline alignments, King County elected to
‘the peanut’) and a single tunnel into which stacked pipes will be construct the conveyance system elements primarily by soft
‘stuffed’. This paper discusses the design approach and design details for ground tunnelling. When complete, the conveyance portion of
both elements. the system will have the capacity to deliver up to 645 ML/d of
wastewater to and from the plant. It will also convey reclaimed
1. Principal, Jacobs Associates, Suite 407, 811 1st Avenue, Seattle WA water to distribution points, from which it can be routed to
98104, USA. Email: adams@jacobssf.com potential users. The conveyance system will span east to west
across northern King County, as indicated on Figure 1.
2. Senior Design Engineer, Jacobs Associates, Suite 407, 811 1st
Avenue, Seattle WA 98104, USA. Email: johnson@jacobssf.com The East Tunnel Contract (ETC) portion of the conveyance
system connects the IPS to the plant, which is located at the
3. Senior Design Engineer, Jacobs Associates, Suite 207B, 757 Bourke eastern edge of the project. The two shafts, the influent structure
Street, Docklands Vic 3008. Email: trim@jacobssf.com (IS) and IPS, are located adjacent to each other on the North
4. Vice President, MWH Inc, Suite 200, 520 Corporate Center, 2353 Creek Portal (NCP) site at the west end of the project. The IS
130th Avenue NE, Bellevue WA 98005, USA. shaft is the starting point for all tunnelling activities, and the IPS
FIG 1 - Brightwater conveyance system.

D N ADAMS et al
shaft will ultimately house the new 645 ML/d influent pump ground conditions, construction needs proved to be just as
station. The NCP site is connected to the plant by Brightwater important as operational needs.
Tunnel No 1 (BT-1). During construction, a shaft is needed on the NCP site for
tunnelling activities associated with the ETC as well as the Central
NORTH CREEK PORTAL SHAFTS Tunnel Contract (CTC). The ETC activities include launching and
staging the BT-1 tunnel drive and launching the first drive of the
Geology microtunnel that connects the Brightwater system to the existing
wastewater system. All of these activities launch from the IS shaft.
The ground surface in the Brightwater project area was shaped by CTC activities also require a shaft on the NCP site to serve as an
the advancing Vashon Stade glacial ice, which created generally end point for the Brightwater Tunnel No 2 (BT-2) tunnel boring
north-south trending drumlinoid topography. This topography machine (TBM). To meet project schedule constraints, the shaft
consists of ridges or upland areas separated by modern stream arrangement must allow the IPS contractor to begin construction
valleys and the troughs of the larger lakes and waterways of the of the IPS within the shaft before BT-1 is complete, without
Puget Sound region. As well as being shaped by glacial activity, hindering the ETC contractor. Another complicating factor is that
the project area is cut by several linear north-west–south-east and the NCP site is relatively small, with about 11 000 m2 of useable
north-south trending modern stream valleys. space. As such, the shaft(s) must occupy as little space as possible
Geotechnical exploration for the entire Brightwater project to allow both contractors adequate working room.
encountered subsurface deposits from at least three glacial cycles Operationally, the NCP site is the low point in the conveyance
and three non-glacial cycles, resulting in a stratigraphy with system for influent flows. Influent flows travel to the site by
widely varying properties. Due to all this glacial activity, zones gravity from two separate directions, are combined, and are then
of non-glacial soils, glacial tills, lacustrine clays, silts and pumped uphill to the plant for treatment. To accomplish this, the
outwash sands and gravels are present, in both overridden and shaft(s) on the NCP site must be able to receive and combine
non-overridden deposits. Non-overridden deposits, also referred influent flows and house the new approximately 32 m by 18.3 m
to as recent alluvium and recessional outwash, tend to be loose to IPS. Within these requirements, a major hydraulic design
medium dense sands and silty sands. The overridden or advanced criterion is that the influent flow combination point has to be
deposits tend to be dense to very dense silty sands and clays. separated from the IPS wet well by 25 - 30 m to ensure laminar
The NCP site is located within one of the north-south trending flow. Also, a portion of the shaft has to act as a surge chamber to
modern stream valleys. Soils consist of loose sands and silty temporarily hold excess influent flows during peak periods
sands, and low-strength unconsolidated organic deposits. While without flooding the IPS.
not present directly at the shafts, unconsolidated organic deposits After reviewing the construction and operational constraints it
are present at depths from 2 m to 10 m throughout the east end of was determined that an arrangement of two separate shafts would
the NCP site and the surrounding area. In addition, groundwater be best (Figure 2).
at and surrounding the site is within about a metre of the ground The IS shaft will stage all tunnelling activities during
surface. construction. During final operation, the southern half of the IS
will collect influent flows and direct them toward the IPS by
Shaft layout gravity. The southern half of the IS will also act as a surge
chamber for influent flows. The northern half of the IS will serve
Before the layouts of the shafts at the NCP site were determined, as a pipe gallery for the force main pipes coming out of the IPS
both the construction and operational requirements for the site and into BT-1. The IS contains an isolation gate that can be used
were evaluated. During this evaluation, different shaft shapes, to isolate the IPS if it must be taken off-line. Also housed in the
such as circular or rectangular, were considered, as were single IS is an effluent system drain that will allow treated effluent to be
and dual shaft arrangements. Due to schedule constraints and drained from the effluent pipeline.
FIG 2 - Influent structure (IS) and influent pump station (IPS) plan view.

PEANUTS AND TUNNEL STUFFING – THE BRIGHTWATER CONVEYANCE SYSTEM EAST CONTRACT
The IPS shaft, located just east of the IS shaft, houses the new In order to create a relatively watertight excavation, both shaft
IPS. The separation of the shafts provides the necessary distance inverts are formed by cast-in-place reinforced plugs placed by
between where the influent flows combine in the IS and where the tremie method. Water levels within the shafts can be lowered
they enter the wet well in the IPS. To facilitate movement of temporarily during invert placement to reduce working pressures
influent between the structures, the shafts are connected by two for the divers placing the reinforcement that ties the invert plugs
tunnels with diameters of approximately 4.4 m. These tunnels are to the slurry walls. Following curing of the invert plugs, the
to be hand-excavated through ground improved by jet grouting. water within the shafts is removed, leaving dry and unobstructed
Both connector tunnels will be finished by the ETC contractor excavations.
with 3.7 m diameter steel casings. Final outfitting will be
completed by the IPS contractor. The lower connector tunnel Influent structure shaft
conveys influent by gravity from the IS into the IPS wet well,
while the upper tunnel contains two force main pipelines A circular shape was deemed best for the IS shaft, because in a
(1220 mm and 1675 mm) to convey pumped influent back into circular shaft all of the soil and groundwater loads are carried in
the IS and up through BT-1 to the plant (Figure 3). hoop compression, allowing for an unbraced open excavation.
An unbraced excavation is necessary due to the requirement for
Shaft support and construction wet excavation and placement of the invert plug in the wet.
Internal bracing would obstruct the excavation equipment, be
The soft soils and high groundwater levels at the NCP site, and extremely difficult to install underwater, and obstruct placement
nearby office structures, roadways and underground utilities, of the invert plug reinforcing mats. The unbraced excavation also
dictate that shafts on the NCP site be constructed with minimal allows better access for tunnel construction and final build-out of
dewatering, and be essentially watertight when complete, in order the shaft by the pump station contractor.
to avoid any dewatering-induced settlement in the surrounding The IS shaft has an internal diameter to the slurry walls of
area. Several shoring systems were initially considered for the 24.4 m, and a depth to the top of the invert plug of 22.6 m. Shaft
shafts, including interlocking steel sheet piles, concrete caissons diameter was determined by tunnelling needs and final
and slurry walls. However, as the overall conveyance system operational requirements, while depth was determined by a
configuration developed, the required shaft depths at the NCP combination of topography and the invert elevations of the
site became too great for sheet piles, and hydrostatic uplift loads incoming influent pipes. The slurry walls are 1220 mm thick and
became too great for caissons without the use of tie-down 39.6 m in depth, with the extra depth below the invert being
anchors. As a result, slurry walls were chosen as the best shoring provided for additional weight to resist the hydrostatic uplift
system for the NCP shafts. They provide a relatively watertight forces. The invert plug is 4.1 m thick and structurally connected
shaft wall, and can be extended significantly below the shaft to the slurry walls. Prior to tunnelling, the excavated shaft
inverts to provide additional weight for resisting the large receives a 915 mm thick, cast-in-place reinforced concrete final
hydrostatic uplift forces. lining, bringing the finished diameter of the shaft to 22.6 m. This
Excavation method and shaft invert placement are also dictated final lining is designed to carry the specialised loads generated at
by site soil and groundwater conditions. The soil at the NCP site each of the tunnel penetrations, as well as all long-term seismic
does not include a fine-grained layer at depth into which the and groundwater loads. The slurry walls carry the long-term soil
shaft walls can be terminated to limit groundwater infiltration loads.
into the shaft during excavation. Therefore, in order to control
risks associated with base heave and piping within the shaft, and Influent pump station shaft
ground subsidence outside the shaft due to dewatering, it is
required that the majority of the excavation for both shafts be The size and depth of the IPS are dictated by operational
done in the wet. This technique consists of excavating soil from requirements. The invert depth of the IPS is a function of the
within the slurry walls while the water elevation in the shaft is slope of the influent channel carrying wastewater from the IS
kept near the groundwater elevation outside the shaft. At the shaft into the IPS wet well, and was determined to be 25.3 m,
NCP site it was determined that the top approximately 10 m of about 2.7 m deeper than the IS shaft. The excavation itself has to
the shafts could be excavated conventionally with minor be large enough to house a pump station with approximate
dewatering, while the remainder had to be excavated in the wet outside dimensions of 32 m × 18.3 m. The design of the IPS
to avoid impacting groundwater around the site. calls for six pumps (two 75 ML/d and four 170 ML/d) to provide
FIG 3 - Influent structure (IS) and influent pump station (IPS) flow arrangement.

D N ADAMS et al
capacity for the range of expected flows and to provide sufficient special load case, assuming a heavy soil for the upper 15 m of
redundancy for potential failures. The pumps are arranged in a liquefiable soil, was developed and checked. This load case did
linear fashion parallel with the influent flow in conformance with not control the overall design and therefore did not add to the
Hydraulic Institute standards. This pump arrangement and the wall thickness or require additional reinforcement in the walls.
requirement for a ‘self-cleaning’ wet well result in a rectangular A three pinned arch method similar to the one shown in Puller
footprint for the pump station wet well. (2003) was used to analyse the slurry walls. An assumed slurry
A rectangular shape was initially considered for the IPS shaft wall panel verticality tolerance of 1:200, or 0.5 per cent was used
as well, but was eliminated because it would require large in the design and included in the project specifications. The
amounts of internal bracing, an infeasible requirement for a shaft assumed verticality tolerance affects the required (effective)
excavated mostly in the wet with a tremie-placed invert plug. A overall panel thickness because adjacent panels are assumed to
circular shaft similar to the IS was preferred, but the rectangular deviate vertically in opposite directions (one toward the shaft
pump station footprint meant the diameter of the shaft would be centre and one away) during construction, representing the
very large at approximately 37 m and would leave a large amount worst-case condition as the panels are installed. Using this design
of unused space in the four quadrants of the circle. More philosophy, an effective thickness is determined. This requires
importantly, however, a shaft of that size would not fit on the the panels to be thicker than necessary to ensure the effective
NCP site and still allow the ETC contractor room to complete its thickness at depth is adequate to resist the loads. The effective
contract work. slurry panel thickness of 610 mm for both the IS and IPS shafts
was based on the aforementioned loadings and verticality
To address these difficulties, a ‘peanut’ shaft, consisting of two tolerance. The as-built walls are 1220 mm.
adjacent and intersecting circular shafts, was designed. The
amount of circle overlap was determined by the minimum width
required for the pump station (18.3 m), while the cell diameters Invert slabs
were chosen to provide the necessary pump station length As previously mentioned, the invert slabs for both shafts are
(32 m). The final layout is two intersecting 25.3 m diameter structurally connected to the slurry walls, allowing the entire
cells, with a distance of 18.3 m between the cell intersection shaft structure to act as a single unit to resist the large hydrostatic
points. The only required internal bracing is between the two cell uplift loads. This structural connection is formed through a series
intersection points; the rest of the loads are carried in hoop of block-outs formed in the individual slurry wall panels. The
compression. Initially, a solid centre wall with access holes was
block-outs are removed following shaft excavation, but prior to
envisioned to span the intersection points, but as pump station
placement of the invert concrete. Prior to placing the invert plug
design progressed it became clear that larger unobstructed access
ways between the cells were needed to provide a continuous reinforcing mats, 2.1 m long N36 steel dowels are connected into
pump station layout. In the final configuration, the solid centre the block-outs using form savers placed in the slurry panel
wall is replaced by three large, rectangular, reinforced concrete reinforcing cages. When installed, these dowels are located just
beams, which allow unobstructed movement of ceiling cranes below the final position of the invert plug reinforcement mats,
from one shaft cell to the other. The dimensions of the beams and extend toward the shaft centre. Placement of the invert
from top to bottom are 1220 mm × 1675 mm, 1375 mm × concrete fills these block-outs and engages the dowels and invert
1675 mm and 1830 mm × 1980 mm. Their tops are located flush plug reinforcement, allowing the invert to resist the uplift loads
with floor levels within the pump station to minimise the amount and remain in place through concrete shear and engagement of
of usable space they occupy. the edge dowels.
As with the IS shaft, the slurry walls are 1220 mm thick, but The invert slab for the IS shaft is 4.1 m thick and is designed
were increased from 39.6 m to 48.4 m in depth to provide to act as a two-way slab (two mats of N43s each way), with the
additional weight to resist the hydrostatic uplift forces. The invert slab and slurry wall being connected around the entire
invert plug thickness was increased from 4.1 m in the IS to 4.6 m shaft perimeter. The overall factor of safety against uplift for the
in the IPS and is also structurally connected to the slurry walls. completed structure in the temporary condition is just over 1.1.
The dead weight (slurry walls and invert slab) alone is not heavy
enough to achieve this factor of safety, so side friction acting on
Shaft design the outside of the slurry walls is used. Only the soil below 15 m
Jacobs Associates is the Engineer of Record for both the slurry to the bottom of the slurry walls is considered, as the upper 15 m
walls (early works) and the final lining of the IS and IPS shafts. of soil outside the shaft is considered potentially liquefiable.
Consequently, Jacobs Associates was able to take advantage A factor of safety of two is applied to the frictional force. Due to
of the early works when designing the final lining (ie semi- conservative side friction assumptions, and the assumption of the
composite structure). As stated previously, existing infrastructure groundwater being at the ground surface, it is believed the
around the shaft site eliminated the option to dewater during aforementioned factor of safety of 1.1 is much closer to 1.3 or
shaft excavation. With the large footprint and depth of the better. In the final condition of the shaft, side friction is no longer
inverts, the major design issue was managing the high uplift needed to achieve the desired minimum factor of safety of
forces due to hydrostatic pressure. 1.5 against uplift.
There are two invert slabs for the IPS shaft, one for each cell.
Slurry walls Both are designed similarly to the IS slab with regard to side
friction and factor of safety against uplift. However, the IPS is
The slurry walls are designed for short-term and long-term loads deeper than the IS shaft, and higher hydrostatic forces dictate an
in accordance with American Concrete Institute (ACI) Code increased invert thicknesses of 4.6 m. Another difference is that
318-02 and relevant local building codes. During early works, both IPS inverts are designed to act as one-way slabs, with the
the slurry walls were designed to resist temporary ground, action being parallel to the wall connecting the cell intersection
hydrostatic, surface surcharge and short-term earthquake loads. points. This is because there will be little lateral soil pressure
The north-west region of the US is categorised as a highly active acting on the sides of the centre slurry wall after shaft
seismic region. excavation. The lack of lateral pressure combined with the
For the permanent condition the walls are designed for the reduced weight following demolition of the upper portion of the
long-term ground loads and surface surcharge. The long-term wall, limit the ability of the centre wall to aid the invert slabs in
earthquake surcharge (1.6 × D, where D = shaft diameter) was resisting the uplift forces. As a result, the invert slabs are not
taken up by the final cast-in-place lining and not the slurry walls. structurally tied to the centre slurry wall, just tied to the
In addition to the typical load case previously mentioned, a perimeters of the two shaft cells.

Final linings
The cast-in-place (CIP) reinforced concrete final linings of the IS
and IPS shafts are designed to take advantage of the shaft early
works (ie slurry walls). The final CIP linings resist the full
hydrostatic pressure and long-term earthquake surcharge loads. It
is assumed that the slurry walls will leak at some point during the
100-year service life and, as such, hydrostatic loads were
transferred from the slurry walls to the final lining. To transfer
the earthquake loads from the slurry walls to the CIP lining,
25 mm dowels spaced at 1.5 m by 1.5 m were designed. These
dowels were designed to act in shear to keep the lining in contact
with the slurry walls during a seismic event. The contractor opted
to install 25 mm high-strength steel coil rods spaced at
approximately 1.5 m by 1.5 m to facilitate the installation of the
false work for pouring the CIP final linings. At the contractor’s
suggestion the strength and positioning of the steel rods was
analysed to confirm that they were adequate to permanently
connect the final lining to the slurry walls. This eliminated the
need for the 25 mm dowels as originally designed, thereby
saving the contractor and King County time and money.
Certain portions of both shafts are required to contain
wastewater. A watertight final lining is required for these
sections, which required designing to a stricter ACI code (ACI
350-01) than was required for the slurry walls (ACI 318-02).
Rather than designing to two separate codes, it was decided to
use ACI 350 for the entire final lining, as the possible reduction
in steel was not significant. The decision to use ACI 350 for the
entire CIP lining also reduced the risk of quality control issues FIG 4 - STAAD plot of stresses within the influent pump station
during construction. (IPS) final lining.
Empirical and numerical methods were used to analyse the
lining. The numerical models were completed using the slabs/beams are in place. A main central column was added to
structural program STAAD.Pro (build 1002.US REL). The the struts, thus reducing the unbraced lengths to 50 per cent in
seismic load cases were performed in the STAAD models and an the y-y axis and to the beam spacing in the x-x axis.
empirical check was done using methods shown in Wang (1993) The maximum factored designed strut loads are 3750 kN for
and Hashash et al (2001). the top strut, 23 705 kN for the middle strut and 62 760 kN for
Beam-spring models were used within STAAD to analyse the the lowest strut. With these high loads, especially for the lower
behaviour of the final lining for the various load cases. A strut (425 cm2 main steel), a large amount of reinforcing steel is
beam-spring model consists of a series of beam elements (final required. To achieve a practical reinforcement spacing within the
lining) and elastic springs. Elastic springs are used to replicate struts, the concrete strength is increased to 40 MPa.
the soil interaction between the final lining and the ground. The Figure 5 shows the as-built wye connection detail used to
soil spring stiffnesses are calculated using the estimated ground connect the cross struts to the slurry walls and final lining. The
properties. Initially, the slurry walls were considered in the end block connection is detailed to act in shear to transfer the
STAAD models, but eventually the walls were neglected and the thrust loads from the final lining. The wye is also designed to act
softer, less stiff, ground springs were used. The CIP lining, being as a beam between the struts and invert slab to distribute the
circular in shape, develops most of the load in axial thrust. Thus, large slurry wall thrust loads.
outward displacements (ovaling) due to unbalanced loads are
minor. The softer, less stiff ground springs produced slightly
higher forces, but comparatively the difference was insignificant
when related to the necessary detailing of the CIP lining.
For the IS structure, two-dimensional plane-strain models were
used. For the more complex IPS shaft geometry, a full
three-dimensional model was used to better understand the
behaviour of the structure during various load cases. Figure 4
shows the output stresses of one three-dimensional model used
during analysis.
Influent pump station (IPS) cross struts

The three cross struts that connect the cell intersection points in
the peanut will eventually act as heavily loaded beams for the
final pump station layout. Before the final internal pump station
is in place, the struts will undergo three main load stages. The
first is the temporary stage before the final lining is poured.
At this point, the struts will have unbraced lengths (in both
directions) of about 18.3 m. The second main loading stage
occurs after the final lining is in place but before the internal
pump station is complete. The third and final loading stage
occurs when the internal pump station is complete. The final FIG 5 - Influent pump station (IPS) wye panel cross strut
loading did not control the design of the struts as floor connection.

D N ADAMS et al
BRIGHTWATER TUNNEL ONE (BT-1) The tunnel is backfilled with cellular grout, which helps stiffen
the composite section of the tunnel and pipes, providing
BT-1 connects the IPS at the NCP site to the new treatment plant. additional resistance to seismic strains. The mix design
The tunnel is approximately 4.2 km long and is being constructed characteristics specified for the backfill were carefully selected,
with an earth pressure balance (EPB) TBM, which has an as the backfill needs to be fluid enough to be pumped over long
excavated diameter of about 5.9 m. Initial support of the tunnel is distances to fill the annular spaces, but stiff enough to provide
provided by a 255 mm thick, fibre reinforced concrete bolted and the additional seismic resistance and low enough in cement
gasketed segmental lining system. The internal diameter of the content that it does not boil the water in the mix as it hydrates. It
finished tunnel is about 5.08 m. BT-1 will convey influent toward also cannot damage the three fibre optic cables in the tunnel,
the plant, treated effluent away from the plant to the new outfall which are temperature-sensitive. Figure 6 shows a cross-section
in Puget Sound and reclaimed water to distribution points where of the completed BT-1. The decision to backfill the tunnel with
it can be routed to potential users.
cellular grout instead of leaving it open and securing the pipes
mechanically was based on seismic concerns. Anchoring
Tunnel layout completely full pipelines of this size to resist the design level
The original plan for conveying wastewater to and from the plant earthquake would not be cost effective given the size of the tunnel.
involved two 4.3 m diameter tunnels, one gravity flow influent,
and one pressurised gravity flow effluent acting as an inverted
siphon. The plant was to have the IPS on site to bring the influent
to the surface for treatment. However, in this arrangement the
influent tunnel would be very deep by the time it reached the
treatment plant, due to the topography of the area and the gravity
flow arrangement. This would have led to a large and very deep
(approximately 120 m) IPS excavation and subjected the tunnel
to very large hydrostatic forces, which could be risky during
construction. As a result, the IPS was relocated to the NCP site in
one of the low spots along the alignment. The revised location of
the IPS shaft is much shallower, but at this location the influent
has to be pumped up to the treatment plant.
The twin tunnel arrangement was also replaced with a single
tunnel layout early in the design process. A larger single tunnel
was deemed to be less costly and involve less construction risk
than the original twin tunnel plan. Also, due to its smaller
easement width, the larger single tunnel crosses beneath fewer
private parcels, significantly lowering the amount of private
easements King County was required to obtain. Eliminating FIG 6 - Brightwater tunnel one (BT-1) section.
private easements was a primary design criterion to reduce the
acquisition risk for the tunnel horizontal alignment. Pipeline design
Pipeline requirements All four pipelines are designed to remain elastic under all
operating conditions, including internal operating pressures,
BT-1 will simultaneously carry influent toward the plant and internal transient pressures and external buckling stresses due to
effluent away from the plant, requiring separate pipelines in the external groundwater pressure in an empty pipe condition. The
finished tunnel. Hydraulic analyses revealed that twin influent pipes are also designed to resist the stresses imposed during the
pipelines, sized at 1220 mm and 1675 mm, were necessary to design earthquake and remain in service. A limited amount of
make the IPS work efficiently. The 1220 mm pipeline will carry damage or yielding may occur at the joints during the design
flows from 35 ML/d to 245 ML/d, and the 1675 mm pipeline will earthquake, but should be repairable. Table 1 lists the operating
carry flows from 245 ML/d to 490 ML/d. Both pipelines will be conditions for which each pipeline has been designed.
operational when flows range from 490 ML/d up to the IPS
maximum of 645 ML/d. Basically, the smaller influent pipe will
be the duty pump early in the project life, with the larger used for TABLE 1
occasional high flows. As flows increase, the larger pipeline will Pipeline pressures.
be used more extensively. Between the years 2030 and 2040, as
Pipeline size Internal Internal External
the treatment plant flow capability is expanded, both pipes will (mm) operating transient buckling
be required more often to convey the flows. pressure (MPa) pressure (MPa) pressure (MPa)
The effluent pipe is operationally simpler than the influent
1220 (influent) 0.83 1.56 0.35
pipes, because it acts as an inverted siphon. As such, the effluent
pipe was sized for the maximum possible flows from the plant in 1675 (influent) 0.83 1.56 0.35
2040 and treated as a gravity-flow pressure pipe. Due to the large 2135 (effluent) 0.66 Not applicable 0.35
number of pipes being placed within BT-1 and their effect on the
685 (reuse) 1.31 1.65 0.35
overall tunnel size, the effluent pipe was sized as small as
possible between the plant and the NCP. This resulted in a
slightly larger effluent pipe west of the NCP, but a relatively slim Due to the relatively high internal pressures, the contractor is
2135 mm ID pipe for BT-1, keeping BT-1 to a smaller size. only allowed to construct the influent and effluent pipelines from
In addition to the ability to carry influent and effluent, King either lined steel pipe or fibreglass reinforced polymer pipe
County requested that the tunnel be capable of conveying reuse (FRPP) within the majority of BT-1. The even higher pressures
water from the plant, necessitating an additional pipeline. This associated with the reuse pipeline require it to be constructed of
pipeline is sized at 685 mm, and brings the total number of pipes either steel or ductile iron. As discussed in more detail below,
in the tunnel to four. Three small fibre optic cables will also be pipe material requirements within the designated thrust restraint
placed in BT-1 to enable communication among the various zones (located at the ends of BT-1) are more stringent. The
facilities of the Brightwater system. contractor has chosen steel pipe for all four of the pipelines.

Outside of the thrust restraint zones, both restrained joints these zones are specified as steel, and pipe joints are specified as
and unrestrained slip joints were allowed, depending on the butt-welded so the pipe acts as a single unit. Full-circumference
operational loading conditions of the pipe and certain steel rings, resembling penstock seepage rings, were designed for
construction considerations. Table 2 lists joint types specified for each of the pipes to engage the backfill concrete and resist the
each pipeline. thrust forces. Backfill within the zones was specified as
structural concrete instead of the cellular concrete used in the
majority of the tunnel. Initially, friction between the backfill
TABLE 2 concrete and segmental lining was projected to resist the overall
Allowable steel pipe joints. thrust forces of the four pipes. However, this resulted in overly
long thrust restraint zones, requiring large amounts of structural
Pipeline size Allowable joints
(mm) concrete backfill and several butt-welded joints for each pipe.
Realising that butt-welded joints are time consuming and
1220 (influent) Carnegie rubber gasket, or rolled groove rubber gasket expensive, the decision was made to limit the thrust restraint
1675 (influent) Carnegie rubber gasket zones to 12 m, a reasonable length of a single stick of pipe. To
2135 (effluent) Butt welded, or lap welded, or Carnegie rubber gasket account for this shorter length, N8 steel dowels are placed into
the tunnel segments within the thrust restraint zones to engage
685 (reuse) Carnegie rubber gasket, or rolled groove rubber gasket the structural backfill around the pipelines. The combination of
butt welded pipe joints (if necessary), steel rings around the
Unrestrained slip joints were allowed because: the tunnel is pipes, structural concrete backfill and dowels in the segmental
completely backfilled, they provide flexibility for the pipelines lining, allows the entire tunnel structure within the thrust
during a seismic event and they are easier to install than restraint zones to act as a single unit and provide the necessary
restrained joints (ie butt-welded joints). The contractor chose to thrust resistance to keep everything in place.
use either Carnegie rubber gasket or rolled groove rubber gasket
joints for each pipeline. The use of slip joints is anticipated to Pipeline layout and minimum tunnel size
greatly decrease the amount of time necessary to install the pipes The minimum ID of BT-1 is based on optimising the installation
within the tunnel. and arrangement of the four pipelines inside the tunnel.
Since steel pipe was chosen by the contractor instead of FRPP, Complicating matters is the restriction that all of the pipes must
an interior lining is required within each pipeline to prevent be installed from the uphill (plant) side of the tunnel because the
corrosion. As with the pipe material and joint types, several IPS contractor is occupying the NCP site soon after completion
lining types were allowed in the specifications for each pipeline, of BT-1 excavation. The ETC contactor is only given a small area
based on the operational condition of the pipe. Table 3 lists the on the NCP site to access the IS shaft for ventilation and
linings specified as allowable for each pipeline. emergency tunnel evacuation.
Several options to install the pipes were considered, ranging
TABLE 3 from sequentially hanging the pipes from transverse beams
mounted in the tunnel, to mounting one section of each pipe into
Allowable steel pipe linings.
a large frame and transporting entire frame assemblies into the
Pipeline size (mm) Allowable lining tunnel one at a time. After many discussions with contractors
experienced in placing pipe in tunnels, a more conventional
1220 (influent) Polyurethane
approach was assumed for design. The effluent and reuse pipes
1675 (influent) Cement mortar, or polyurethane will be installed in the tunnel first, beginning at the NCP end and
2135 (effluent) Cement mortar, or epoxy moving east out of the tunnel. The reuse pipe will likely be
mounted along the tunnel wall on a support system while the
685 (reuse) Cement mortar, or epoxy
effluent pipe will be placed in the invert of the tunnel on
blocking. These pipes will be transported into the tunnel on rail
Polyurethane was specified for the 1220 mm influent pipeline and placed along the entire tunnel length, with lifts of cellular
because it is expected to be subjected to increased usage and concrete backfill being placed as necessary in the lower half of
abrasion. At least two options were given for the remainder of the tunnel. Rail equipment will then be installed on top of the
the pipelines. However, polyurethane was proposed for all of the backfill and the twin influent pipes will be installed in the upper
pipelines by the contractor. Polyurethane was originally not half of the tunnel, with backfill placed in the same fashion.
allowed in the 2135 mm pipeline due to the difficulty of Because flow within all of the pipelines is pressurised, specific
field-repairing polyurethane linings. This was a concern because pipe locations are not important in most of the tunnel.
the polyurethane lining is shop-applied, and backfill concrete Accordingly, specific pipe locations and inverts are only
equipment will move through the effluent pipeline during pipe specified at either end of BT-1, where connections with other
installation within the tunnel, damaging the lining and contracts are necessary. Pipe locations along the 4.2 km length
necessitating repairs. It was believed that cement mortar or may vary as deemed necessary by the contractor, so long as the
epoxy would be easier to repair in the field. However, after relative pipe positioning remains the same (ie the influent pipes
reviewing the product data and repair procedures proposed by the remain above the effluent pipe). The relative positioning
contractor, and meeting with the material manufacturer, requirement is necessary to eliminate drastic changes in the
polyurethane lining has been allowed for all four pipelines. influent pipe gradients, which could lead to very large surge
The design also addresses pipe thrust. High pressures in the pressures within the pipelines.
four pipelines, and associated bends in the pipelines, resulted in a Concurrently with determining how the pipes would be
large amount of thrust. This isn’t a concern for the middle arranged, attention was being focused on how large the tunnel
section of the tunnel, where unrestrained slip joints are allowed needed to be to house the pipelines. The following tolerances
because the pipes are completely encased with backfill to prevent were considered, all of which are included in the final project
movement. However, thrust presented a problem at either end of specifications:
BT-1 where the pipes exit the tunnel and lose their confinement, • 150 mm minimum backfill around each individual pipeline at
particularly at the west end in the IS. As a result, thrust restraint all times. All of the pipelines are designed against single lobe
zones were designed for each end of the tunnel. Pipes within buckling (Jacobsen) due to external pressure. This design

D N ADAMS et al
methodology assumes competent backfill being present Excavation of BT-1 is anticipated to be complete in November
around the entire pipe to help resist buckling and limit the 2008 (Figure 7). Pipe ‘stuffing’ will begin immediately following
mode of possible failure. This requirement is necessary to completion of mining and is expected to last approximately one
assure design assumptions in this area are valid. year.
• 255 mm minimum backfill thickness between the outside of
any pipeline and the wall of the segmental lining. This
criterion was added to augment the above criterion to allow
some additional access around the outside of the pipes if
needed during installation. Because of the small size of the
reuse pipeline, and the assumption that it would be mounted
to the wall, it was exempt from this tolerance.
• 100 mm tolerance on the TBM line and grade. This is a
requirement of the TBM and was considered during this
analysis to ensure that variability in the tunnel alignment
wouldn’t encroach on the room necessary for the final
pipeline arrangement.
• 25 mm segment roundness tolerance (on radius). This is a
requirement for the segmental lining system and was added
to ensure that potential loss of space within the tunnel was
considered.
• 25 mm line and grade of secondary lining. This tolerance
requires that line and grade of the pipelines within the tunnel
match those of the finished tunnel. FIG 7 - Brightwater tunnel one (BT-1) tunnel boring machine (TBM)
Based on the sizes of the four pipelines within BT-1, and the launch from influent structure (IS) shaft.
above tolerances, it was determined that a minimum 5.08 m
tunnel ID was necessary to adequately house the pipelines as
designed. This minimum tunnel diameter is specified on the REFERENCES
contract drawings. However, since pipeline installation methods
Hashash, Y M A, Hook, J J, Schmidt, B and Yao, J I-C, 2001. Seismic
are assumed and not specified, and specific pipeline placement design and analysis of underground structures, Tunneling and
within the tunnel is not specified, a specific ID for BT-1 is not Underground Space Technology, 16:4:247-293.
specified. The contractor was free to choose a larger tunnel ID if Puller, M, 2003. Deep Excavations: A Practice Manual, second edition
deemed necessary. (Thomas Telford Ltd: London).
As it turns out, the contractor has chosen to build a 5.08 m ID Wang, J N, 1993. Seismic design of tunnels, a simple state-of-the-art
tunnel, the construction of which began in September 2007. As design approach, in Seismic Design of Tunnels (Parsons Brinckerhoff
of the writing of this paper, the contractor has not submitted Quade and Douglas Inc: New York).
plans for installation of pipes within BT-1; however, discussions
have indicated installation will likely be similar to the methods
assumed and described here.

Recent Advances from the United Kingdom Tunnelling Industry –
The A3 Hindhead Project
T Ireland1 and T Rock2
ABSTRACT RECENT HISTORY OF UNITED KINGDOM

This paper looks at recent advances in the United Kingdom (UK) HIGHWAY TUNNELS
tunnelling industry with particular reference to the A3 Hindhead Project. The A3 Hindhead tunnel is the first bored UK Highway tunnel of
A 1.8 km long twin bore tunnel is the centrepiece of the A3 Hindhead
scheme, which commenced construction in 2007 and is being delivered
this millennium, and follows a pause in bored highway tunnel
under a UK Highways Agency early contractor involvement (ECI) construction since the flurry of activity in the 1990s when four
contract. tunnels were constructed, culminating in the Ramsgate Harbour
The proposed construction methodology is progressive mechanical Approach tunnel, which opened in June 2000. Table 1 shows the
excavation of a horseshoe-shaped tunnel with shotcrete installed close history of bored UK Highway tunnels over the last 20 years.
behind the face using robotic spraying equipment. The tunnelling
medium is a ‘soft rock’ sandstone for which there was little previous
TABLE 1
tunnelling experience, requiring extensive geotechnical investigations and
an innovative approach to lining design. A 240 m long section though Bored UK highway tunnels constructed in the last 20 years.
sandy material utilising a steel pipe umbrella is also required.
Tunnel Length Year opened
This paper describes the development of the tunnel planning and
design including the most recent developments in UK road tunnels. The Saltash Tunnel 800 m 1987
innovative approach to the design of the following is discussed: A55 Penmaenbach Tunnel 660 m 1989
• the ‘permanent’ primary lining,
Pen-y-clip Tunnel 1000 m 1993
• an observational technique allowing optimisation of the steel pipe
umbrella design, A20 Round Hill Tunnel 370 m 1993
• a plain concrete secondary lining designed for resistance to a A27 Southwick Hill Tunnel 490 m 1996
hydrocarbon fire, and
Ramsgate Tunnel 800 m 2000
• a spray-applied membrane. •
A3 Hindhead Tunnel 1830 m 2011
INTRODUCTION † Planned opening date.

The A3 Hindhead project located in Surrey is the United
Kingdom’s (UK’s) latest bored highway tunnel, and the first The majority of these tunnels were excavated through typically
bored road tunnel to be constructed since the Ramsgate Harbour soft rock, with the tunnels opened in the 1990s of similar
Approach tunnel opened in June 2000. The development of the construction, which was a temporary shotcrete primary lining with
design has incorporated the recent advances in tunnelling either rock bolts or steel sets, and a plain concrete secondary
technology resulting in an innovative approach to many aspects lining that was not designed for fire conditions. These details
of the tunnel support systems. provide the basis for comparison with the A3 Hindhead project.
The project is a 6.7 km dual carriageway trunk road that
includes a 1.83 km tunnel being delivered under a UK Highways PROJECT DESCRIPTION
Agency early contractor involvement (ECI) contract. This paper The A3 Hindhead project is one of the schemes in the UK
describes the development of the tunnel design through the Government’s targeted program of trunk road improvements. The
planning and design phases and outlines how successful project will complete the dual carriageway link between London
engagement and cooperation between the tunnel designer and and Portsmouth and remove a major source of congestion,
constructor can lead to the development of new approaches and particularly around the A3/A287 traffic signal controlled
details. In particular the innovative approach to the design of the crossroads. Refer to Figure 1 for location details.
‘permanent’ primary lining, steel pipe umbrella support system,
spray-applied waterproof membrane system and the secondary
lining is discussed.
The tunnel is to be constructed using a sequential excavation Proposed dual carriageway
method whereby shotcrete is sprayed at the face following each

excavation advance, also known as sprayed concrete lining
(SCL) in the UK and as the New Austrian Tunnelling Method
Existing A3
(NATM) in Europe. The various support types and additional
support measures are described and the design approach and
methodology including details of the numerical methods of
analysis are discussed.
London
1. Senior Associate, Connell Wagner, Level 4, 139 Carlton Gore Road, A3
Surrey
Newmarket Auckland 1149, New Zealand. Tunnel
Email: irelandt@conwag.com
2 Director, Mott MacDonald, St Anne House, Wellesley Road, Croydon
CR9 2UL, United Kingdom. Email: tony.rock@mottmac.com FIG 1 - Project location and alignment.

T IRELAND and T ROCK
The project will deliver quicker, more reliable journeys on a The majority of the tunnel passes through the more competent
safer road, and remove much of the present peak time Upper Hythe C and D, and Lower Hythe A units, described as:
‘rat-running’ traffic from unsuitable country roads around
Hindhead. The centre of Hindhead will be freed from the daily Weak, locally very weak to moderately strong,
gridlock that blights the area, with the result that the project will slightly clayey fine to medium SANDSTONE with
bring benefits to road users, local residents and the highly prized occasional thin beds of clayey/silty fine sand.
local environment. Construction of the project commenced in The remaining unit is Lower Hythe B, which has been avoided
January 2007 and the tunnelling is planned to commence in by the tunnel as clays and sand become dominant in the lower
January 2008. The tunnel is planned to be opened in 2011, with half of the unit.
the scheme completed in March 2012.
The sandstone within Upper Hythe C/D and Lower Hythe A
has typical unconfined compressive strength (UCS) values of
Early contractor involvement (ECI) contract between 2 and 5 MPa and is heavily fractured with six joint sets
The Highways Agency (HA) introduced the principle of ‘early including the subhorizontal bedding with mean fracture centres
contractor involvement’ in 2001. This new form of procurement varying between 190 and 815 mm.
is concerned with bringing suppliers and designers together The tunnel also intersects a small number of discrete thin
much earlier in scheme conception than previously occurred, bentonitic Fuller’s Earth Beds, formed from air- and water-borne
allowing them to work together more closely. This allows more volcanic ash, including crystal and lithic tuffs.
scope for innovation, improved risk management, better forward The tunnel is above the historically observed water table, with
planning of resource requirements and minimisation of long-term the maximum predicted water table exceeding the invert level in
environmental impacts, improved consideration of build-ability only one location by a depth of less than 1 m. Refer to Figure 2
and health and safety, shorter construction periods and reduced for the geological long section.
environmental impacts during construction. Overall, the HA
considers that the early creation of delivery teams offers the Ground behaviour model
opportunity for better value and improved performance.
A challenge for this project was to define a ground behaviour
model in an unusual material that had not been tunnelled
GEOLOGY
previously. The difficulties in interpretation stem from the weak
to very weak nature of the sandstone material in combination
Overview with the content of up to 20 per cent interbedded soil layers. A
The geology of the Hindhead area comprises a sequence of fine- recurring challenge in tunnelling is to determine the rock mass
grained sedimentary deposits laid down during the Lower strength and stiffness, with empirical methods such as GSI, RMR
Cretaceous period in near shore transgressive marine conditions or the Q-method (Bieniawski, 1984) often used. The strength and
on the margins of the subsiding Weald Basin. The tunnel is stiffness relationships that are the cornerstone of these methods
within the Hythe Beds – a 90 m thick sequence within the Lower are generally determined from data from significantly stronger
Greensand Series formation. rocks than the 2 to 5 MPa sandstone and do not take account of
the influence from the soil layers leading to a significant
The Hythe beds are variably sorted, highly glauconitic,
overestimate of stiffness.
variably bioturbated and cross-bedded sands and sandstones.
An extensive geotechnical investigation was undertaken with
The Hythe bed unit is divided into six litho-stratigraphic sonic testing, pressuremeters and triaxial testing all used to
subdivisions, four of which the tunnel passes through. determine the elastic modulus of the rock mass. Pressuremeter
testing was found to be the most reliable with the sonic testing
Tunnelling conditions overestimating the stiffness and the triaxial testing surprisingly
underestimating the stiffness in a number of cases. This was
The tunnel at the southern end passes through units Upper Hythe
thought due to the difficulty in finding a 300 mm long specimen
A and B, which are similar units with an increasing number of for testing in a material with six joints sets and an average
sandstone bands with depth, described as: bedding spacing of 190 mm. Fortunately some good quality rock
Medium dense thinly bedded and thinly joint shear box testing was undertaken, which provided a lower
laminated, clean to silty and clayey fine and bound for strength and stiffness interpretations.
medium SAND with subordinate weak to strong The interpreted model used in design was a small strain
sandstone, cherty sandstone and chert. stiffness model (E(εa)), which varied the stiffness of the rock mass
FIG 2 - Geological longsection and vertical alignment (1H:4V).

RECENT ADVANCES FROM THE UNITED KINGDOM TUNNELLING INDUSTRY – THE A3 HINDHEAD PROJECT
with strain, and a Mohr-Coulomb strain softening model used for

strength, shown in Figure 3. Due to the large variation in cover
from 16 m to 58 m the rock mass stiffness was also related to
depth (α) in order to take advantage of the positive effect of
larger in situ stresses at depth.
A continuous drainage system is utilised, located beneath the

curb and verge alongside the cable duct bank. Other services
such as the fire main, high voltage cables and pump mains are
buried beneath the carriageway, with jets fans, lighting and
FIG 3 - Ground model used for design. communication cables contained within the crown.
These requirements result in a horseshoe shaped tunnel
structure with an internal diameter of 10.6 m and an excavated
ALIGNMENT diameter of 11.6 m.
The horizontal alignment for the tunnel was determined based
on road design considerations and environmental constraints, Fire and life safety provisions
resulting in a reverse curve through the tunnel with a minimum
The tunnel has cross passages at 100 m nominal centres to allow
radius of 1050 m.
an emergency escape to the non-incident bore. Cross passages
The vertical alignment was determined based on geological include fire hydrants, dry pipe connections, fire extinguishers and
constraints with the desire to minimise the length of tunnel emergency telephones. Emergency points (EPs) are also provided
through the sand at the southern end, to keep the tunnel above the at 100 m nominal centres located at the mid-point between cross
water table and also to maximise the vertical clearance to the passages. Each EP has an emergency telephone and fire
Lower Hythe B material, which has insufficient strength to carry extinguisher.
horizontal stresses around the tunnel opening. The tunnel passes A longitudinal ventilation system comprising 20 jet fans per
beneath the Devil’s Punch Bowl, which is a re-entrant, primarily bore is provided for smoke control. Consideration was given
spring-sapped valley system with erosion feeding backwards during the preliminary design phase to the inclusion of a fire
from the Hythe Bed/Atherfield Clay interface at the valley base. suppression system; however, it could not be justified on cost
The crossing of the punch bowl provides a cover constraint to the benefit grounds. The decision was taken to make space provision
tunnel, and the cover changes rapidly from around the minimum for the future installation of a fire suppression system, should
cover of 16 m to the maximum cover of 58 m within a horizontal further evidence of the benefits become available or standards
distance of 130 m. and or technology change.
The decision to follow the optimal tunnelling material and to
avoid the softer Lower Hythe B material results unfortunately in TUNNEL EXCAVATION AND SUPPORT
a low point within the tunnel.
The presence of the sand layers, in one location up to 2 m thick,
led to the selection of a sequential excavation method whereby
DESIGN fibre reinforced shotcrete is sprayed at the face following each
excavation advance, also known as sprayed concrete lining
Cross-section (SCL) in the UK and as the New Austrian Tunnelling Method
(NATM) in Europe. Standard hard rock tunnel support
The Hindhead tunnel layout comprises twin two-lane bores with techniques such as pattern bolting were not considered suitable
cross passages at 100 m nominal centres. Refer to the typical due to the sand layers and the very low bond stress negatively
cross-section in Figure 4. Each bore has two 3.65 m lanes, with impacting the effectiveness of rock reinforcement.
full batter curbs and 1.2 m wide verges on each side of the
tunnel. The verge width is sufficient to allow for sight-lines due
to the horizontal curvature of the tunnel, to accommodate Construction sequence and support types
electrical services and also to provide wheelchair access to the Four basic support types have been designed for the standard
cross passages and emergency points at 100 m nominal centres tunnel cross-sections with minor variations required at cross
along the tunnel. passage junctions and emergency point niches. There is one main
The vertical traffic gauge provided is 5.03 m with an support type for the sandstone section, with three support types
additional clearance of 250 mm to the equipment gauge to allow covering the section through sand and the transition from sand to
for flapping tarpaulins and other transitory gauge infringements. sandstone.

Excavation and support types are specified based on tunnel • Probe drilling – probe holes drilled ahead of the face have
chainage and have been designed to cover all expected ground been specified for the entire length of support type one to
conditions. It is not proposed that support types be selected based relieve any potential hydrostatic pressure from perch water
on geological inspection. The Hythe beds have six joint sets and ahead of the face. If water is detected in the probe holes then
an average joint spacing of less than 200 mm. The UCS values additional holes will be drilled to drain any water.
are typically 2 to 5 MPa. This material is expected to act as a • Grout stabilisation – microfine cement or chemical grouts will
continuum, and given the heavily fractured nature of the be used to stabilise running sand bands, or other local areas of
material, and presence of sand layers, meaningful variations in instability caused by sandy layers. It is proposed to conduct
rock quality are expected to be difficult to detect. A suite of site trials prior to construction to determine the optimum
‘additional measures’ discussed below have been designed to method and materials for stabilisation of sandy materials.
account for any local stability issues. Geological inspection and
mapping of the open excavation and monitoring results will be • Invert strut or rib bolts – convergence monitoring will be
used to determine the advance length, which may vary between undertaken during construction and a three-stage trigger limit
1 m and 2 m, with 1 m advances specified at critical locations system implemented. Unplanned convergence resulting from
such as beneath surface structures and roads. worse than expected ground conditions will be addressed by
installation of an invert strut at bench level, and in the
unlikely scenario that convergence of the heading occurs
Support type one then GRP self-drilling rib bolts shall be installed.
At the northern end of the tunnel (Chainage 3120 to 4650),
excavation is in rock (UHC/D, LHA) and support type one is Support types two to four
specified throughout. The tunnel is generally excavated with a
At the south end of the tunnel (Chainage 2880 to 3120 (m001)
full face heading followed at a distance by the bench excavation.
excavation is in sand (UHA/B) and support types two, three and
Due to the generally stable nature of the ground and tunnel four are specified. Refer to Figure 6 for details. The excavation
location above the water table, a closed invert is not required and will be carried out on day shift only due to constraints on
the horseshoe-shaped primary lining is supported on elephant’s working hours and is made stable with the use of a steel pipe
feet. Refer to Figure 5 for details of the primary lining in the umbrella and face dowels. The pipe canopy comprises 12 m long
sandstone section. 139.7 mm diameter tubes at 425 mm centres with an overlap of
4 m. The advance length is a maximum of 1 m for these support
Additional support measures types.
In addition to the sequences and support requirements for each of Support type two has sandy material (UHA/B) in the heading
the support types, contingency ‘additional support measures’ only, with the heading elephant’s feet supported on the sandstone
have been specified. The requirement for the contingency material (UHC/D). This means GRP face dowels are required in
measures will be triggered by geological inspection and mapping the heading only, and the heading can advance ahead of the
and monitoring results and will include: bench. The face dowels are 12 m long with a 4 m overlap and are
installed with the same drill jumbo used to install the pipe
• Spilling – self drilling glass reinforced plastic (GRP) tubular canopy.
spiles will be installed when ground conditions result in Support type three has a full face of sandy material with the
excessive overbreak, or instability in the crown. Spiling is elephant’s feet of the bench supported on the sandstone material.
detailed as mandatory for approximately 30 per cent of the As the heading elephant’s feet are not supported on sound
support type one excavation in areas of known potential material, the heading must be advanced with the bench, with a
crown overbreak, such as where the tunnel crosses Fullers 2 m separation provided to maintain face stability. Face dowels
Earth bands, and where a 2 m thick layer of sand and are required for both the heading and the bench.
shattered rock intersects the crown.
Support type four has a full face of sandy material that extends
• Additional face support measures – geological inspections below the tunnel, and therefore a closed invert is required. The
will inform the selection of additional face support measures heading must be advanced with the bench, with the invert closed
such as sealing layers, face support wedge or face dowels. a maximum of 6 m behind the face.
FIG 5 - Shows support type one in the sandstone section.

FIG 6 - Shows support type three, which is typical for the sand section.
Design approach and methodology three-dimensional scanning survey equipment that provides
excellent shape control for both excavation and spraying, and
The excavation sequences outlined above are designed to control allows shotcrete lined tunnels to be constructed without lattice
strains in the ground so that as much as possible of the ground girders. This technique has been recently used successfully for
load-bearing capacity is used and the strains are maintained at the Heathrow T5 project (Williams et al, 2004). Historically, the
levels that minimise yielding.
inclusion of lattice girders meant the primary lining had to be
The main design approach was to utilise numerical methods of considered temporary due to the corrosion potential of the steel
analysis (FLAC Version 5.0) to model in two dimensions the lattice girder within the primary lining. Spiling is envisioned in
different excavation stages and predict the performance of the several locations due to adverse soil layers. This will be carried
linings in terms of the stresses and corresponding deformations. out with self-drilling glass reinforced plastic (GRP) dowels,
The model included the non-linear small strain stiffness material again with no adverse durability issues. The sprayed concrete
model and Mohr-Coulomb failure criterion with strain softening will be reinforced with steel fibres that are required for safe
to residual strength parameters.
installation; however, the design does not rely on the flexural
A modelling simplification inherent in two-dimensional capacity of the steel fibres, and the lining is designed as plain
modelling is the relaxation of the ground ahead of an excavation concrete. This is possible due to the curved shape of the section
face, a largely three-dimensional effect and the time-dependent with all moments resisted by axial forces within the lining. Some
development of lining strength and stiffness. In order to of the key aspects of a permanent primary lining relate to
determine the appropriate value for these ground conditions we construction techniques and workmanship, such the shotcrete
have utilised a three-dimensional numerical model (FLAC mix design and accelerator selection and use of robotic spraying
Version 3.0) which can accurately model the ground relaxation equipment. The ECI project delivery process allowed the
based on the proposed construction sequence and also the time-
designer to work hand in hand with the contractor during the
dependent strength and stiffness development of the shotcrete.
design development phase, thereby ensuring all the issues were
For the two-dimensional model we used the 28 day stiffness addressed.
value in accordance with Eurocode 2 divided by creep and
shrinkage factor of two. This factor reduces the stiffness of the
spayed concrete lining to take account of the creep and
Steel pipe umbrella design
relaxation that occurs when loading during early age (John and A steel pipe umbrella is required to tunnel through the sand for
Mattle, 2003). The two-dimensional model was then calibrated 240 m of tunnel at the southern end. The efficient design of steel
against the three-dimensional modelling to determine an pipe umbrella support, also known as canopy tubes, is difficult,
equivalent relaxation of 60 per cent. due to the interaction between the ground and the tubes.
In addition to providing calibration of the relaxation figure, the Normally this type of support is used in strain sensitive ground,
three-dimensional FLAC modelling was also used to model and the difficult ground conditions lead to uncertainties in
stability of the face, early age capacity of sprayed concrete lining inherent ground behaviour. An upper bound solution can be
near the face, and the effect of variations in advance length. found using simple statics and empirical formulae such as
The results of the analysis were checked in accordance with Terzaghi, although uncertainty still exists in the support provided
Eurocode 2 to ensure that the design complied with the ultimate by the ground to the tube. A three-dimensional model can also be
limit state. prepared; however, the difficulties in accurately modelling strain
sensitive ground behaviour remain. In our particular case the
RECENT DESIGN DEVELOPMENTS sandy material contained thin, irregular bands of sandstone that
contributed significantly to the strength of the ground, but due to
the uncertainty associated with the thickness and persistence of
Permanent primary lining design these bands, it was not possible to account for the positive effect
A principal innovation with the support measures is the design of in the design models prepared.
primary lining as permanent. This is possible due to a number of Whilst an upper bound solution could be determined, with
advances in tunnelling technology in recent years. Firstly, over 20 km of piping required for the project, an observational
non-alkaline accelerators are now available with no loss in technique was adopted that would allow optimisation of the pipe
shotcrete strength with time. A recent innovation is the use of design during construction.

The observational technique used involved incorporating a TABLE 2

horizontal inclinometer in each round of canopy tubes. The Problems on previous projects with spray-applied membranes.
measured deflection of the tube as the tunnel face advances
allows the back-calculation of the internal forces in the tubes. Problem Solution
These calculations allow the size of the tube to be optimised. The Masterseal 340 did not cure Masterseal 345 is cement based.
upper-bound calculations were used to size the tubes used monolithically.
initially, with 139.7 mm diameter tubes required. The horizontal
Poor thickness concrete. Apply robotically using laser
inclinometer results are then used to reduce the pipe diameter to scanning thickness control.
114.3 mm if the ground conditions allow. The potential saving
using this technique is 33 per cent of steel tonnage. Again the Surface roughness. Specify grading of primary lining
mix or use a smoothing layer.
ECI process had a positive impact in the development of this
solution, as the contractor was engaging with specialist suppliers Water content – too dry and not Specify site trials to determine
during the design phase, allowing specialist subcontractor input impermeable. optimal water:powder ratio.
to the design. Temperature variation during Specification and monitoring of
spraying and curing. temperature ranges.
Spray-applied membrane Water ingress during application If significant water ingress through
leads to leaks. the primary lining is generally
The tunnel is above the water table in all locations, and therefore observed, then use a sheet
the function of the waterproof membrane is to provide a drip membrane.
shield to percolating water. The contract documents for the
project required a PVC sheet membrane for waterproofing.
Having designed the primary lining as permanent, the function of Plain concrete secondary lining
secondary lining was limited to supporting the waterproof
membrane, providing fire resistance and to support services in The main function of the secondary lining besides providing
the crown. An in situ concrete secondary lining needed to be a support for the proposed sheet waterproof membrane is to
minimum of 200 mm thick for casting, and also needed to provide fire resistance to the tunnel. The secondary lining is
accommodate all the tolerances within the thickness, resulting in constructed from plain concrete, with all tensile loads in the
a maximum thickness of 340 mm. By utilising a spray-applied lining resisted by the tensile capacity of the concrete, as allowed
membrane a sprayed secondary lining could be used, resulting in by Eurocode 2. The main issue in controlling potential
a A$4 million saving in material costs, and a four to six month serviceability cracking is to minimise the heat of hydration and
program saving. shrinkage, and this is achieved with a 35 per cent pulverised fly
In order to realise this value engineering opportunity, an ash (PFA) cement replacement mix design with low shrinkage.
extensive evaluation was undertaken, including a detailed Other design controls include having a maximum fresh concrete
technical evaluation of the proposed spray-applied membrane temperature of 25°C, pour lengths of 12 m and controlled curing
product, Masterseal 345, a comparison of performance with PVC conditions.
sheet membranes, and a detailed examination of various Fire resistance is achieved by adding 1 kg/m3 of monofilament
application issues. fibres to the concrete mix in order to prevent explosive spalling.
The waterproofing principal is different for spray-applied The precise dosage of the fibres was confirmed by fire testing.
membranes as no drainage layer is provided, and therefore for a The monofilament fibres selected are 8 mm long 40 µm diameter
drained lining design, there is a reliance on jointing in the rock PVA (polyvinyl alcohol) fibres.
mass to provide the required horizontal permeability. The other PVA fibres provide fire resistance, but also contribute to the
difference when compared to sheet membranes is that the control of serviceability cracking. Commonly used polypropylene
spray-applied membrane is impervious to liquid, but is gas fibres provide the resistance to explosive spalling, and they also
permeable. restrain plastic shrinkage. But after the first 24 hours, they are
largely ineffective in restraining drying shrinkage or other
The critical application issues include accurate thickness
cracking. This is because the modulus of elasticity of
control, preparation of the substrate to provide a smooth layer, polypropylene is less than that of concrete.
correct determination of the water:powder ratio and managing
water ingress during application. Spray-applied membranes have Ideally to provide structural reinforcement, the fibre should be
been available for some time, and although they have been used stiffer than the concrete it is reinforcing. Bond strength between
fibre and concrete is another important consideration. PVA fibres
successfully on several projects, as is often common with new
form a molecular bond with the concrete during hydration, so
products there have some problems on projects. Table 2
you cannot easily pull them out.
summarises our investigation into problems that have occurred
on previous projects, and how they would be addressed on the Drying shrinkage cracking occurs mostly over the month
A3 Hindhead project. following the pour, especially if curing is inadequate, or hot and
dry conditions prevail. Extensive micro-cracking occurs as
During the evaluation of the spray-applied membrane drying and hydration continue over several weeks. PVA fibres
opportunity it was identified that the biggest risk to the have created a hydrophilic bond during this period, so the
successful application of spray-applied membrane is a wet low-elongation fibres restrain these microscopic cracks from
tunnel. Therefore both waterproofing and secondary lining opening any further.
systems have been designed, and the decision to proceed with the
spray-applied lining will be taken once the primary lining is Sprayed secondary lining
excavated and water ingress can be assessed.
In conjunction with the sprayed applied membrane a composite
Secondary lining design sprayed and cast in situ secondary lining was proposed. In order
to achieve the specified reflectance, walls up to 4 m above the
Due to the need to assess water ingress during construction, both verge level are proposed to be plain cast in situ concrete, with
a plain concrete secondary lining with a PVC sheet membrane the crown constructed from macro-fibre reinforced shotcrete.
and a shotcrete secondary lining with a spray-applied membrane Both the crown and the walls will contain PVA fibres for fire
were designed. resistance and serviceability crack control.

CONCLUSIONS • The ECI project delivery process allows the development of

design innovations as the contractor is intimately involved in
In the ten years since the previous bored highway tunnel was the development of the design. Whilst this also occurs for
designed and constructed in the UK, there have been several design and construct contracts, in that case the design is
advances in tunnelling technology. The A3 Hindhead project has invariably on the critical path, and also design sometimes
adopted several new approaches and details, in order to minimise needs to be undertaken out of sequence in order to match the
both the project risk and cost. The main conclusions are: contractors early works program. This pressure to deliver the
• Permanent sprayed concrete has been utilised for the primary design often means there is insufficient time to deliver design
lining due to the: innovations. The ECI process is managed by the contractor
throughout the environmental assessment process, and
• availability of non-alkaline accelerators; through a preliminary design phase, prior to detailed design
• use of 3D laser scanning survey technology for control of and documentation. Most the innovations on the A3
robotic spraying equipment to achieve tight shape Hindhead project were identified and developed through the
tolerances, avoiding the need to use lattice girders; and preliminary design phase, which included extensive option
• use of self-drilling GRP spiles in areas of poor ground. identification, evaluation and selection.
• A new observational technique is proposed for the
construction of the steel pipe umbrella that will allow
ACKNOWLEDGEMENTS
optimisation of the design during construction to take The authors wish to thank Paul Arnold of Highways Agency for
advantage of any improvements in the ground. his constructive comments, and Mott MacDonald who were
• Subject to not having a wet tunnel following excavation and responsible for the design of the A3 Hindhead project.
installation of the primary lining, use of a spray-applied
membrane is proposed, generating significant time and cost REFERENCES
savings. Bieniawski, Z T, 1984. Rock Mechanics Design in Mining and Tunnelling
• The plain concrete option for the secondary lining is (A A Balkema Publishers: Rotterdam).
proposed to use PVA fibres, providing both fire resistance John, M and Mattle, B, 2003. Shotcrete lining design: Factors of
and crack control benefits. influence, presented to Rapid Excavation and Tunnelling Conference,
Toronto.
• A sprayed secondary lining will be used in conjunction with Williams, I, Neumann, C, Jäger, J and Falkner, L, 2004. Innovativer
the sprayed applied membrane. This lining will also utilise Spritzbeton-Tunelbau für den neuen Flughafenterminal T5 in
PVA fibres. London, in Proceedings Österreichisher Tunneltag 2004, pp 41-62
(Austrian Committee of the ITA: Salzburg).

Design of Shallow Caverns in an Urban Environment
H Lagger1, A Amon2 and S Pollak3
ABSTRACT capital construction cost in the range of 16 billion dollars (2007

dollars). To make a project like this feasible and to acquire the
This paper describes the current and finished design work which has been
performed for shallow rock station caverns for New York City’s first new necessary funds and labour, the project must be broken up in
subway construction in 60 years. A new robust, sophisticated, design different construction phases (see Table 1 and Figure 2); each
procedure has been developed for two up to 30 m wide caverns, with designed to deliver maximum ridership for the investment and to
overburden of less then 12 m, and rock cover to span ratios (C/S) in the suit the construction market. For the SAS project, the phases
order of 0.25. The design is based on empirical input parameters like the shown in Table 1 have been developed based on passenger
Q-value, rock mass rating (RMR) values, rock mass class after Cording estimates, construction package sizes and importance to develop
(1984), cover to span ratios, which have been validated by the use of a redundant system along the east side of Manhattan.
structural computer models as well as two- and three-dimensional
numerical discontinuum models. The design approach is a staged
approach using first principles, empirical models and non-linear FEM and
TABLE 1
DEM models.
Construction phase split, ridership.
In addition, the paper describes the factors and circumstances why
shallow caverns have been selected instead of cut-and-cover structures
and why all the underground station structures have been developed as Ridership
drained structures. Phase I 220 000
Phase II 303 000 (cumulative)
INTRODUCTION Phase III 456 000 (cumulative)
The Second Avenue Subway (SAS) project, the first major Phase IV 560 000 (cumulative)
subway extension in over 60 years, in New York City, is being
planned for the east side of Manhattan Island in New York City.
The entire project will run in a tunnelled alignment from the GEOTECHNICAL CONDITIONS
north of Manhattan at 125th Street, along the east side of Central
Park to the south tip of the island at Hanover Square Station, the The geological setting of New York City poses many challenges
financial district (Figure 1). Currently only one subway tunnel, to subsurface projects because of the undulating rock profile, the
servicing three major subway lines, the so called ‘Lexington presence of shears and faults and deep-seated alteration and
Line’, is running north-south on the east side of Central Park. deterioration of the rock. The subsurface investigation for
These subway lines are currently under full capacity and any the SAS was a comprehensive phased program including
service disruption along this subway stretch causes major delays conventional drilling and extensive borehole, surface and
in the entire subway network, due to the lack of a redundant cross-hole geophysics. The investigation included the collection
system along this subway stretch. of existing information such as old maps from colonial to present
for Manhattan, construction records, geomorphology, geology,
The current plan for the entire project consists of around
land use and more than 600 historic borings. The field
13.7 km of bored tunnels, 16 subway stations (six mined station
investigation included more than 350 exploratory borings to
caverns with spans of up to 26 m, ten cut-and-cover stations with
sample soil and rock, laboratory and in situ testing and mapping
depth of up to 16 m), six crossover caverns along the alignment
exposed rock in existing tunnels and excavations.
and eight shafts for ventilation and emergency egress, in a
tunnelled alignment below 2nd Avenue. This project requires a The rocks in the project area are of the Precambrian
Manhattan Schist Formation, which are essentially strong and
abrasive crystalline quartz, mica and feldspar with abundant
1. Associate, Arup, Suite 260, 901 Market Street, San Francisco CA garnet, amphibole rich zones and pervasive alteration. Intrusions
94103, USA. Email: Hannes.Lagger@arup.com.au of varying size have been emplaced within the schist typically
along and occasionally across the foliation. The rock mass is
2. Senior Tunnel Engineer, Arup, Level 4, 190 - 200 Ann Street, characterised by three principal joint sets with subsets, and the
Brisbane Qld 4000. Email: Andreas.Amon@arup.com.au dominant joint set is parallel to the foliation in the schist. Faults
3. Tunnel Engineer, Arup, 155 Avenue of the Americas # 1, New York and shears occur throughout the project area with major fault
NY 10013, USA. Email: Seth.Pollak@arup.com zones in the vicinity of 64th to 69th Street, 86th Street and 92nd
FIG 1 - Map of Manhattan Island, including the Second Avenue Subway (SAS) alignment.

H LAGGER, A AMON and S POLLAK
FIG 2 - Construction phases for the Second Avenue Subway (SAS) project.
Street. The area is a region of high tectonic stresses and local

measurements for the SAS project and other projects indicate a
stress ratio of between four and ten. Groundwater generally
follows the interface between soil and rock or stands
approximately 5 m below ground surface. The rock mass
permeability is generally very low with locally high permeability
associated with fracture zones, faulting and alteration. Glaciation
has caused erosion followed by deposition of poorly sorted
granular and cohesive soils and the most recent deposits include
organic silts and made ground.
The intact rock demonstrated relatively consistent properties
(Table 2) from the laboratory testing; at an early stage in the
investigation it was decided that the key to understanding the
engineering behaviour of the ground was the structural geology.
TABLE 2
Typical intact rock properties, Manhattan Schist.
UCS CAI Axial point load FIG 3 - Manhattan Schist, as seen in core boxes
(MPa) index strength and with acoustic televiewer (ATV) imaging.
Quartz-mica-schist 103 4 3.1
Quartz-garnet-mica 103 g4.5 3.0 testament to the good quality of the Manhattan rocks for
Pegmatite 105 5.5 3.8 underground excavations. However, because of the faults and
shear zones the ground has been broken up into geological
Granofels 124 4.5 3.7
domains, essentially those that are controlled by the structural
features and those that are not. This is the basis for the
Because schistose rocks are extremely difficult to correlate modelling, analysis, classification and design and ultimately the
between boreholes an acoustic televiewer (ATV) was used. This construction contracts.
was a significant success in defining the location and orientation
of faults and shear zones in the rock mass and it was the basis for CUT-AND-COVER VERSUS SHALLOW CAVERNS
establishing discrete geological domains for the purposes of
tunnel support and contract provisions. The ATV images were The choice of construction method in the past was dependent
correlated with the core samples (see Figure 3) to provide almost purely on cost and generally cut-and-cover won. In
engineering properties of the structures and an orientation and addition, the techniques and ability to mine were not available
true thickness. This was an important part of the design and the (new blasting techniques, road headers, fibre reinforced
risk mitigation strategy. shotcrete, etc). Improved construction methods mean that
underground construction is now feasible in increasingly poor
Deep excavations in rock are commonplace in Manhattan and
ground conditions.
groundwater is not a significant consideration. However, there is
a risk of third party impacts such as mobilisation of groundwater In today’s tunnelling industry other factors come into play –
plumes due to sustained groundwater flows for the large tunnels utilities, environmental impacts, surface disruption to traffic,
and caverns. Therefore a program of constant head injection tests dust, noise, vibration, etc.
was carried out to identify the transmissive features and assign For the SAS project the application of cut-and-cover stations
them to a structural group so that specific measures could be was investigated by the project design team during the PE phase.
developed to mitigate the risk from inflows. The prevalence of From the start of the project it was clear that the following
tall buildings and proximate transportation and utility tunnels is a constrains and client suggestions were given for the alignment:

DESIGN OF SHALLOW CAVERNS IN AN URBAN ENVIRONMENT
• at 96th Street Station, the new subway line has to tie into
existing cut-and-cover tunnels constructed in the 1960s, and
the tunnels will be utilised as storage tunnels;
• to the south the project has to connect to the existing
63rd Street Station box, where the newly constructed line
will connect to an operating existing line;
• desire of shallow stations to make access time for passengers
as quick as possible; and
• reduce the surface disruption to a minimum on a heavy
traffic area, both for vehicles and pedestrians.
Multiple schemes have been developed showing pro and cons FIG 4 - Typical New York City •utility•situation.
for cut-and-cover versus mined station caverns. Based on
detailed studies in terms of utilities, disruption, ground • 3962 m of twin bore rock tunnel boring machine (TBM)
conditions, construction costs it was decided that a mixture of tunnels and 610 m of drill and blast tunnels with a diameter
cut-and-cover boxes and mined stations along the entire project of 6.4 m from 96th Station to 63rd Street Station.
corridor will be the best solution to make the project feasible, in
terms of construction program and overall cost. For cities like • 96th Street Station: 540 m of cut-and-cover station, up to
New York, one of the most challenging issues in a subway 18 m wide and 15 m deep, with 1.0 m thick slurry walls, and
construction is the investigation, exploration and due diligence of a 1.8 m thick reinforced invert slab. The structure is designed
existing ground conditions, infrastructure and utilities. During for full water pressures.
the PE the design team encountered major issues in terms of • 86th Street Station: 295 m long D&B cavern in Manhattan
utility assessments, which required extensive efforts in Schist with cover to span ratios C/S as low as 0.26. The
investigating utilities with multiple trial trenches to expose and cross-section width is ~21 m, with a cavern height between
investigate what is actually in the ground. The New York City 14.7 to 19.1 m. The cavity is designed as drained structure,
underground can only be described as a maze of sewer lines, with a flat invert as shown in Figure 6.
power lines, water pipes, steam liens, sewer lines, etc as shown in • 72nd Street Station and crossover caverns: 408 m long
Figure 4. Existing or as build drawings are available for all the drained D&B cavern in Manhattan Schist with cover to span
utilities but are almost never updated; therefore cut-and-covers ratios C/S as low as 0.22. The cross-section width is 29.5 m,
and open cut boxes add a lot of risk to the client in terms of with a cavern height of 15.1 m as shown in Figure 6.
utilities, or ‘you just don’t know what is there’.
Due to the strong and massive underlying rock in the areas of CAVERN DESIGN AND CONSTRUCTIBILITY
the 72nd and 86th Street Station, and a rapid drop of the ISSUES
Manhattan Schist to loose to medium dense fill overlaid by soft
organics over medium dense glacial deposits in the area of Having established the benefits and feasibility of cavern
96th Street, as well as the need to connect to existing shallow construction for the project, the designers were faced with
cut-and-cover tunnels in this area, the following excavation challenges which included large excavation spans with relatively
concept was chosen for Phase 1 of the SAS project and is low rock cover, variable geotechnical conditions, all located
depicted in Figure 5: within a complex urban environment.
FIG 5 - Construction methods along Phase 1.

FIG 6 - Typical cross-section cavern stations, minimum rock cover.
Geometrical issues • The groundwater flow was unlikely to introduce

contamination; however, space would be provided for in the
In an urban environment like the Upper East Side of Manhattan, design to include comprehensive treatment works in the
property acquisition is a major consideration for the project, so station, the actual treatment installed would be based on the
only certain properties have been identified by the client as quality of groundwater encountered during construction. This
feasible to acquire for entrances, many of these were designated would be adjusted over the working life of the cavern to
as such during the 1960s design work, when the SAS project was respond to changes in groundwater quality.
on the radar for the first time in New York City. These properties
A drained solution was therefore adopted.
determined the possible entrances to the station, and therefore
defined the general horizontal alignment of the stations, together
with the tie in at the existing cut-and-cover tunnels at 96th Street DEVELOPED DESIGN CONCEPT FOR THE
Station and the existing 63rd Street Station to the south of the SECOND AVENUE SUBWAY (SAS) CAVERNS
project.
Cavern design for shallow caverns with wide spans, as proposed
for the SAS station caverns (cover to span ratios C/S 0.22 - 0.25)
Drained versus undrained is an engineering challenge which hasn’t been performed that
In order to comply with the client’s specification of completely often around the world and no design procedures and limited
dry tunnels, the circular TBM tunnels were designed as guidance has been published to date. To overcome this challenge
undrained structures with 360 degree waterproofing. Discussions a detailed methodology, based on empirical, analytical and
evolved about whether the same 360 degree waterproofing numerical methods has been developed to guide designers
should be applied in station caverns, and thus be designed for full through the design process.
hydrostatic pressure, or, whether stations should be designed
with a drained invert and loaded by partial hydrostatic pressures. Initial ground support requirements (IGSR) chart
The proposed undrained design of station caverns with spans of The initial ground support requirements (IGSR) chart (Table 3)
up to 32 m would require arched concrete inverts, resulting has been developed by the SAS design team to select support for
in a larger volume of excavation and consequently higher the tunnels and caverns and to ensure that a consistent design
construction costs. A drained design, on the other hand, may lead approach is applied for all the mined structures along the project
to increased operation and maintenance costs, including pumping alignment. With these IGSR charts the tunnel engineer, as well as
and groundwater treatment and the associated risks of potential the cost estimating and quantity surveyor and the contractor on
contaminant transport and handling of unexpected groundwater site, can get an initial understanding of the type of support that
inflow. A detailed study was performed to evaluate the pros and will be applied to stabilise the cavern excavation. The functions
cons of drained versus undrained. The study concluded that: of the design chart are as follows:
• The best way to provide the client with a dry station • establish that the cavern is constructible,
environment was to manage groundwater, rather than trying • stipulate minimum support requirement to potential
to block it completely. This reflects the reality of major contractors and to assist them in bid preparation,
underground construction by reducing the emphasis for
groundwater management from installation quality to • define the design ranges of five support types by cavern
design. design rules that are selected to estimate ranges of similar
ground behaviour,
• The groundwater inflow anticipated would be manageable
and it would be economic to treat and pump groundwater and • estimate quantities of materials associated with the five
maintain the groundwater management systems. support types,
• There is a long history of drained tunnels and deep drained • provide guidance for excavation sequence design, and
inverts in New York, giving the approach precedent. • determine design rock loads for final lining design.

TABLE 3
Initial ground support requirements chart.
TBM Tunnel Drill and Blast Operation

21' 25'-35' 35'-45' 45'-60' 60'-75' 75'-90'
Rock Tunneling Quality Index Value Q Q 0.4 0.07 0.11 0.17 0.3 0.3
Rock Mass Rating Value RMR RMR 40 40 40 40 40 40
Conditions
Rock Cover [ft] 7 8 12 15 21 28

Rock Mass Class Crm Crm 1 1 1 1 1 1
No Adjacent Structures in close Proximity
Expected Rock Loading After Bolting (Equivalent feet) [ft] 12 8 10 11
Rock
Loads
Desing Intitial Lining Rock Load (feet) [ft] NA NA NA NA NA NA

Desing Concrete Final Lining Rock Load (feet) [ft] NA 10 15 20 22 24
Arch Rock Bolt Length [ft] 8 8 12 14 16 18
Pattern Bolting
Arch Rock Bolt Diameter [in] 3/4" GRP 1 1/8" Resin 1 1/8" Resin 1 1/4" Resin 1 1/4" Resin 1 1/4" Resin
Arch
Arch Rock Bolt Spacing [ft] 4 5 5 5 5 5

Crown Rock Bolt Length [ft] 6 8 12 12 14 16
Crown
Crown Rock Bolt Diameter [in] 3/4" GRP MN24C MN24C MN24C MN24C MN24C
Crown Rock Bolt Spacing [ft] 4 5 5 5 5 5
Side W all Rock Bolt Length [ft] 8 8 12 14 16 18
Side W all Rock Bolt Diameter [in] MN24C MN24C MN24C MN24C MN24C MN24C
Side
SUPPORT TYPE III
Side W all Rock Bolt Spacing [ft] Spot 10 10 8 8 8

Support Measures
Longitudinal Bolt Spacing Above/Below Springline [ft] Spot 8,10 8,10 8,10 8,10 8,10
Shotcrete/Lining
Smoothing Layer Shotcrete Thickness [in] 2 2 2 2 2 2

Structural Shotcrete Thickness [in] None None None None None None
Structural Fiber Shotcrete Thickness [in] None None None None None None
Structural Member [in] None None None None None None
Structural Member Spacing [ft] None None None None None None
T-Top Heading M-Multiple Side Drift C-Center Cut F-Full Face F F C-M C-M C-M C-M
Ex. Sequence
Maximum Advance Length for Ground Stability 10 10 10 10 10 8

Estimated Round Length due to Vibration Limitations 14 14 14 14 12 12
Install Rock Bolts current to Face after each Blast y y y
Complete Initial Lining as requried by Ground Conditions
Bolt Pillar as requried NA NA NA NA NA NA
Rock Tunneling Quality Index Value Q Q 0.04 0.007 0.012 0.025 0.09 0.1
Rock Mass Rating Value RMR RMR 20 20 20 20 20 20
Conditions
Rock Cover [ft] 7 8 12 14 17 21

Rock Mass Class Crm Crm 2 2 2 2 2 2
No Adjacent Structures in close Proximity
Expected Rock Loading After Bolting (Equivalent feet) [ft] 10 10 20 20
Rock
Loads
Desing Intitial Lining Rock Load (feet) [ft] NA NA NA NA NA NA

Desing Concrete Final Lining Rock Load (feet) [ft] NA 10 15 20 22 24
Arch Rock Bolt Length [ft] 8 8 12 14 16 18
Pattern Bolting
Arch Rock Bolt Diameter [in] 3/4" GRP 1 1/8" Resin 1 1/8" Resin 1 1/4" Resin 1 1/4" Resin 1 3/8" Resin
Arch
Arch Rock Bolt Spacing [ft] 4 5 5 5 5 5

Crown Rock Bolt Length [ft] 6 8 12 12 14 16
Crown
Crown Rock Bolt Diameter [in] 3/4" GRP 3/4" GRP 1 1/8" Resin 1 1/8" Resin 1 1/8" Resin 1 1/8" Resin
Crown Rock Bolt Spacing [ft] 4 5 5 5 5 5
Side W all Rock Bolt Length [ft] 8 8 12 14 16 18
Side W all Rock Bolt Diameter [in] MN24C MN24C MN24C 1 1/8" Resin 1 1/8" Resin 1 1/8" Resin
Side
SUPPORT TYPE IV
Side W all Rock Bolt Spacing [ft] Spot 8 8 6 6 6

Support Measures
Longitudinal Bolt Spacing Above/Below Springline [ft] Spot 8,10 8,10 8,10 8,10 8,10
[in]
Shotcrete/Lining
Smoothing Layer Shotcrete Thickness 2 2 2 2 2 2

Structural Shotcrete Thickness [in] 3 3 3 4 4 4
Structural Fiber Shotcrete Thickness [in] 2 2 2 2 3 3
Structural Member [in] None None None None None None
Structural Member Spacing [ft] None None None None None None
T-Top Heading M-Multiple Side Drift C-Center Cut F-Full Face F F C-M C-M C-M C-M
Ex. Sequence
Maximum Advance Length for Ground Stability 8 8 8 6 6 6

Estimated Round Length due to Vibration Limitations 12 12 10 10 10 10
Install Rock Bolts current to Face after each Blast y y y
Complete Initial Lining as requried by Ground Conditions
Bolt Pillar as requried NA NA NA NA NA NA
For the SAS five ground support classes were developed to • rock mass class after cording;
cope with the anticipated ranges of ground conditions and
boundary conditions in the vicinity of a cross-section • rock load;
(overburden, tunnel intersections, building loading, etc). The • peak friction angle; and
ground behaviour rules, which recognised impacts of both the • proximity to adjacent structures.
rock quality and the excavation geometry, arranged the five
support types in a hierarchy from bolt-reinforced rock to To update the developed ground support from preliminary
structural shotcrete arch in recognition of a boundary between engineering (PE) (IGSR) to final engineering (FE), a sophisticated,
‘good’ and ‘bad’ ground behaviours. The ISGR chart is based on well-structured unique design approach has been put forward as a
the following input parameters (Lagger et al, 2006): routine. It provides the tunnel and cavern engineer from the initial
ground support, developed based on empirical models, through 2D
• Norwegian Geotechnical Institute’s rock tunnelling quality and 3D numerical calculation, structural geology (kinematics), to
index (Q);
beam spring models, to the final initial ground support.
• geomechanics classification, rock mass rating (RMR); The design guideline is based on eight steps to ensure a robust
• rock cover to span ratio (C/S); cavern design solution.

Rule #1 – employ the initial ground support point of the excavation is 2 × D away from the boundaries of the
requirements (IGSR) chart to create design slices mesh to avoid boundary effects and to achieve reasonable
along the cavern computation times. Other boundary conditions include the
following:
The first step in the design procedure is to divide the cavern into
design slices that serve as a basis for modelling the cavern based • building loads are applied on top of the soil according to the
upon the cavern design rules as presented in the IGSR chart. The estimated loads from a building survey,
cavern will be divided into zones of similar rock support classes • horizontal stress ratio K0 is applied according to the
based upon the cavern design rules. Every design slice should geotechnical interpretive report, and
include the geological information of a minimum of two
boreholes. Each cavern penetration (entrances, auxiliary space, • no water pressures are applied because the caverns are
etc) is a separate design slice, including 3 m on either side of the drained.
penetration as shown in Figure 7.
Rule #5 – develop a two-dimensional Universal
Rule #2 – intact rock and rock mass, rock joint, Distinct Element Code (UDEC) numerical model
and soil properties per design slice
The Universal Distinct Element Code (UDEC) 2D is used to
For each design slice the available in situ data for the intact rock, evaluate the global stability of the main cavern sections due to
rock mass, rock joint and soil properties are interpreted and best the excavation, ie to evaluate the response of the discontinuous
estimate and lower bound values are given. For the intact rock media (such as a jointed rock mass) subjected to static loading.
mass the Hoek-Brown Strength Criterion, 2002 edition, is used to For each different IGSR class, different excavation sequences
determine the appropriate strength properties for the intact rock have been developed during FE. For Type I to IV either side drift
mass. Using the Rocklab 2005 software package, by Rocscience,
excavation (multiple drifts) or centre cuts can be chosen by the
the input parameters c’ rock and φ’ rock, as well as the rock mass
modulus Em rock, are calculated from lab data for each design contractor. For Type V ground (adverse ground conditions) only
slice. For the rock joint model, a Mohr-Coulomb joint model is side drifts will be allowed. Using the UDEC code these
adopted, using the existing shear box data where available to excavation sequences are modelled to ensure the stability of the
calibrate the joint behaviour. Where geometrically possible, the rock mass and adjacent structures and to limit displacements to
correct geometry of the joint is modelled, eg instead of a plane the specified levels. A typical calculations output is shown in
linear joint the waviness of the joint may be incorporated. Figure 8.
Rule #3 – evaluate structural properties of Rule #6 – kinematic block calculation via

materials UNWEDGE
The initial ground support elements for the cavern consists One of the major concerns in rock tunnels and caverns is the
of resin grouted, tensioned rock bolts, Swellex rock bolts and kinematic failure of discrete blocks in the excavation area, ie
unreinforced and fibre reinforced shotcrete. Lattice girders are rock blocks become loose and fall out of the rock matrix,
not included in the structural capacity calculations for the lining. destabilising the rock mass. Therefore the local stability of the
Shotcrete arches reinforced with steel sets, where used, are rock mass between the rock support necessary for the global
incorporated with increased stiffness properties. For rock, an
stability is checked using UNWEDGE. Based on engineering
elasto-plastic material model of the Mohr-Coulomb type is
assumed, where the soil is modelled as a stiff elastic media on geology input data (dip and dip direction) and excavation
top of the rock. direction, the maximum geometrically formable blocks between
the rock bolts are calculated. The rock wedges are scaled in
terms of excavation area, no larger than the bolt spacing of the
Rule #4 – development of geometry, boundary
surrounding rock support. Using gravity loading and hydrostatic
conditions and adjacent structure loads water pressure, the factor of safety (FSmin = 1.5) is then
The mesh size for Universal Distinct Element Code (UDEC) calculated for the local stability of the rock blocks between the
analysis is set to 12 × D (D = cavern width) width and the lowest rock bolts.
Adjacent
STEP I: Initial Ground Support Requirements IGSR for each “Design Slice” Structures
6
Borehole “Design Slice”
min. 15-ft, from Min. 2 Boreholes/Desing Slice
Penetration
Rock Load 4
2
1
½ Cavern span, or 3
max. 20-ft
Area of applicable
Q, RMR values
X-Foliation
Penetration
Foliation
Type IV
Type III
Type III
IGSR
Type V
Type II
Type III
Type I
Type II
Max. 10-ft 5
FIG 7 - Initial ground support requirement (IGSR).

Stage 1 excavation Stage 2 excavation Stage 3 excavation Stage 4 excavation
FIG 8 - Vertical displacements, Universal Distinct Element Code (UDEC) 2D model.
Rule #7 – shotcrete stress evaluation

After the global and local stability of the rock mass is achieved,
the internal forces of the shotcrete shell are checked using a
beam spring model.
Rule #8 – evaluate the stability of cavern

penetrations via a 3-DEC three-dimensional
model
During PE the global stability of the cavern section was checked
using empirical models and plain strain discontinuum 2D UDEC
models. The global stability in areas where the cavern cross-
sections were penetrated by entrances, ventilation structures and
auxiliary buildings has been calculated using a reduced Q-value.
Barton (2002) and Barton, Lien and Lunde (1974) recommend FIG 9 - Three-dimensional model, 3-DEC, 86th Street
that due to changes in the in situ stress state (transfer of Station, geometry.
membrane stresses) around a tunnel junction the calculated
Q-values should be divided by a factor of three to account for this
stress transfer. Using this method, initial ground support in the the project. Designed support can be modified and support
junction and penetration areas has been designed using Q-values quantities easily recalculated throughout the project. Multiple
only during PE to evaluate an indicative initial ground support for approaches are employed to cover the bases where geology may
cost estimation reasons. differ from what is anticipated. Finally, it provides for some
During FE a more sophisticated analysis was chosen to consistency with and between large-scale projects.
determine a more accurate ground support system in the areas of
the penetration. The main cavern cross-section is designed using REFERENCES
the seven previous steps with a 2D UDEC model. This model
incorporates various excavation sequences, overburden and Barton, N, 2002. Some new Q-value correlations to assist in site
building loads, etc to evaluate the global stability of the main characterization and tunnel design, International Journal of Rock
cavern section. Mechanics and Mining Sciences.
Barton, N R, Lien, R and Lunde, J, 1974. Engineering classification of
For the areas of penetrations and junctions a three-dimensional rock masses for the design of tunnel support, Rock Mechanics,
numerical model 3-DEC has been applied to evaluate the effect 6(4):189-239.
of the stress change in the initial ground support of the main Caiden, D, Sankar, J, Parikh, A and Redmond, R, 2006. Rock tunnels for
cavern station and to determine a detailed updated ground the Second Avenue Subway, in Proceedings North American
support in the penetration areas. Tunnelling Conference (Chicago).
The 3-DEC calculation is based on the same discontiuum Cording, E J, 1984. State-of-the-art: Rock tunnelling, in Tunnelling in
algorithm as 2D-UDEC code, but in all three dimensions. It is Soil and Rock, pp 77-106 (American Society of Civil Engineers: New
possible with the computer technology today (as shown in York).
Figure 9), that the entire station could be modelled in three- Desai, D, Lagger, H and Stone, C, 2007. New York subway stations and
dimensional space, including detailed modelling of joint systems, crossover caverns update on initial support design, in Proceedings
geometries and excavation sequences and ground support. Rapid Excavation and Tunneling Conference (RETC) 2007 (Society
for Mining, Metallurgy, and Exploration, Inc: Littleton).
Desai, D, Naik, M, Rossler, K and Stone, C, 2005. New York subway
CONCLUSIONS caverns and crossovers – A tale of trials and tribulations, in
The approach to cavern design for the large shallow caverns of Proceedings Rapid Excavation and Tunneling Conference (RETC)
the SAS has developed during the design phase into a robust 2005, pp 1303-1304 (Society for Mining, Metallurgy, and
procedure consisting of the best-available design tools. This Exploration, Inc: Littleton).
procedure has been employed to verify the designed ground Grimstad, E, et al, 2003. Q-System advance for sprayed lining, Tunnels
support system, incorporating cost savings opportunities into the and Tunnelling International, 1:44.
IGSR chart where possible. Numerical modelling via 3-DEC has Lagger, H, Stone, A, Parikh, A and Phillips, D, 2006. Shallow cavern big
been added during FE to verify ground support systems around span, Second Avenue Caverns New York, in Proceedings North
American Tunneling Conference, Chicago (Society for Mining,
penetrations. In this manner, the high risk arising from unknown Metallurgy and Exploration: Littleton).
conditions that could have severe impacts has been met with a
Parikh, A, Fosbrook, G and Phillips, D, 2005. Second Avenue Subway –
comprehensive analysis. Tunneling beneath Manhattan, in Proceedings Rapid Excavation and
Several advantages are offered by this approach. The design Tunneling Conference (RETC) 2005, pp 105-117 (Society for
can be implemented step by step throughout the design stages of Mining, Metallurgy, and Exploration, Inc: Littleton).

North Shore Connector Tunnel Project, Pittsburgh, USA
A J Miller1, M D Boscardin2 and P A Roy3
ABSTRACT
The North Shore Connector Project for the Port Authority of Allegheny
County involves TBM tunnelling twin light rail tunnels through cohesive
soils and rock under the Allegheny River and a narrow city street. Along
the tunnel alignment are a listed historic building on shallow foundations
as well as modern buildings on deep foundations; one major office block
was actually constructed directly over the alignment during the latter
phases of design process. This paper provides an overview of the
general site conditions, tunnel design and the technical basis for
excavation support and tunnelling decisions. Deformation limits, ground
improvement, monitoring and mitigation plans are also discussed.
Project construction has now commenced and a brief summary of
progress to date is included in this paper; this will be updated for the
presentation to be made in Melbourne.
INTRODUCTION
Downtown Pittsburgh is south-western Pennsylvania’s central
business district, as well as its cultural and recreational capital.
The compact, vibrant, urban centre of Pittsburgh is known as the FIG 1 - Overall view of North Shore Connector (NSC) project.
Golden Triangle. The new North Shore Connector (NSC) Light
Rail Transit (LRT) benefits the community and economy of the North Side Station (location 3, Figure 1). The station will be
Pittsburgh by offering Pittsburgh residents a convenient constructed using slurry walls, with the station platform about
connection to the city’s central downtown business and ±15 m below the ground level. Beyond this station, the alignment
recreational districts from the North Shore and by offering remains underground and crosses under an aerial approach ramp
convenient access from downtown to the newly constructed PNC to the historic Fort Duquesne Bridge (SR 0065). The tunnels then
Park (baseball) and Heinz Field (football) sports complex, new emerge from the ground in the new Heinz Field car park where
business and residential developments and cultural museums. they make a transition into an aerial structure behind Heinz
The NSC project will promote future North Shore development Field. The aerial structure connects to the North Shore Terminus
and possible future LRT service to Pittsburgh International platform station at Heinz Field.
Airport and local hospitals.
TUNNEL ALIGNMENT
PROJECT DESCRIPTION
One of the biggest challenges during the design phase of this
The NSC project, constructed by The Port Authority of
project was to find an alignment that complied with the client
Alleghany County (PAAC), is a 2250 m extension of the existing
requirement for the light rail system, whilst ensuring that the
light rail system from Gateway Centre in the Golden Triangle to
tunnels were buildable by proven tunnelling technology, having
the North Shore. The project consists of twin-bored tunnels from
to avoid a great many man-made obstacles encountered along the
the launch pit, tunnelling beneath the Allegheny River, to the
route and the requirement of the Port Authority that settlement as
reception pit, using a slurry tunnel-boring machine (TBM); a
a result of the construction of the tunnels was to be kept within
cut-and-cover tunnel along a busy city street and a 245 m aerial
strict limits to protect historic buildings as well as existing
viaduct structure to the North Shore terminus (see Figure 1).
highway and river retaining wall structures. The limitations
The southern end of the NSC alignment is at the existing applied to the alignment of the tunnels included a maximum
Gateway Centre Station and TBM reception pit (location 1, vertical gradient of seven per cent (for the light rail trains), a
Figure 1). On completion of the TBM drives, a new cut-and- minimum horizontal curve of 180 m radius (for the TBM) and a
cover tunnel will be constructed in the reception pit to connect maximum cant on the track to suit the design of the trains and to
the bored tunnels to a new station to be constructed at the ensure that we did not deviate outside the prescribed tunnelling
location of the existing Gateway Station. envelope. The minimum cover depth was set as one diameter;
North from the Launch Pit, the tunnels will be constructed however, this had to be relaxed as the tunnels approaching the
using cut-and-cover methods. The cut-and-cover tunnels will Receiving Pit had to be raised in order to tie into the existing
traverse westward underneath a highway aerial section (State LRT rail level at the nearby Gateway Station. The horizontal
Route (SR) 279) to a new underground station referred to as pillar between the bored tunnels was generally governed by the
required alignment but every effort was made to maintain the
pillar at half of the tunnel diameter or larger, again however this
1. Technical Director, Faber Maunsell Ltd, Enterprise House, 160 proved impossible, as where the tunnels approach the Receiving
Croydon Road, Beckenham BR3 4DE, United Kingdom. Pit and the pillar had to be reduced to only 1 m (see Figure 2).
Email: andy.miller@fabermaunsell.com
At this location an assessment of the structural performance of
2. Principal, Boscardin Consulting Engineers Inc, 53 Rolling Ridge the linings was carried out by the finite element method and the
Road, Amherst MA 01002-1420, USA. geometry has been modelled as plane-strain sections. Different
Email: marco@boscardinconsulting.com grouted ground properties were examined in order to derive the
3. President, DMJM Harris Inc, 20 Exchange Place, New York NY minimum requirements to reduce the ground movements to
10005, USA. Email: paul.roy@dmjmharris.com acceptable levels.

A J MILLER, M D BOSCARDIN and P A ROY
the north shore with increasing thickness to the north away

from the river. The alluvium generally consists of slightly
over-consolidated silty-clay or clayey sand and exhibits a fining
upward from more sandy soils at the bottom to more silty and
clayey soils at the top. The alluvial soils are soft to stiff when
fine-grained and very loose to loose when sandy, and generally
exhibit low shear strength and low permeability. The alluvium is
generally not within the tunnel bore or at the bearing elevation of
cut-and-cover tunnel segments. Its principal impact will be on
excavation support performance.
The fluvioglacial deposits form the lowermost part of the soil
zone and are generally thicker along the south shore of the river
than beneath the river or along the north shore. The fluvioglacial
deposits are typically coarse-grained consisting of medium to
coarse sands and gravels with cobbles encountered near the
bedrock surface. These deposits are typically medium dense to
very dense with high permeability. Most of the landside portion
FIG 2 - Tunnelling in Stanwix Street. of the tunnel bore will be in the fluvioglacial soils and
cut-and-cover tunnels will be founded on these soils.
Bedrock elevation along the bored tunnel section rises gently
An extensive pre-tender investigation was carried out to from south to north. The stratigraphic sequence consists of an
accurately identify potential obstructions along the route so that upper layer of silty shale with uniaxial compressive strengths
mitigation measures could be developed for their removal either (UCS) ranging from 37 to 81 MPa overlying a 3 to 6 m thick
prior to or during the construction of the tunnels. These included layer of soft calcareous claystone with UCS of 1.4 to 30 MPa. A
timber piled river walls, piled retaining walls to two major thin, 0.3 to 0.6 m thick, discontinuous layer of hard limestone
highways and deep foundation footings to a redundant elevated with UCS of 16 to 62 MPa, overlies the claystone, except
rail system. beneath the river, where an up to 150 mm thick, discontinuous,
bony coal seam is present over the claystone. Experience in the
REGIONAL GEOLOGY area indicates that the strength of this coal seam is likely to be
around 7 MPa. The next lower rock unit is a 3 to 4 m thick layer
The project is located in the Allegheny River valley at the of thinly bedded, blocky to massive siltstone with hard
confluence of the Allegheny and Monongahela Rivers where calcareous inclusions having UCS between 37 and 76 MPa. The
they merge to form the Ohio River. The project site is located in lowermost rock unit encountered in the borings is a fine-grained
the Pittsburgh Low Plateau section – prototypical area of the thinly to medium bedded, blocky to massive sandstone with UCS
Appalachian Plateaus Province. ranging from 29 to 61 MPa.
In the project area, bedrock is overlain by about 15 to 22 m of Groundwater in the general area of the project exists under
overburden soils on land and 6 to 9 m in the river. A generalised phreatic conditions. The valley fill deposits provide a relatively
subsurface profile along the project alignment is shown in permeable aquifer that is continuously recharged by the adjacent
Figure 3. rivers and the aquifer generally responds quickly to the river pool
elevations.
Fill forms the uppermost 2.4 to 4.6 m of the soil for most of
the alignment, but increases to as much as 11 m along Stanwix The geologic conditions revealed during the construction of
the Launching Pit, the slurry walls for the Northside Station, and
Street and is generally absent in the river. Typical of urban fill,
during the jet grouting for Launching Pit, the Receiving Pit and
the fill along the alignment is highly variable consisting of along Stanwix Street generally confirm the conditions described
reworked alluvium, gravel and miscellaneous debris, mixed with above. In particular, the fluvialglacial deposits encountered to
silty-clay and decomposed rock fragments. The maximum fill date have been dense to very dense coarse-grained strata with
thickness is typically near the river banks. The fill varies cobbly/coarse gravel zones.
significantly in composition and density, but is predominantly
coarse-grained with pockets of fine-grained materials.
TUNNEL DESIGN
Alluvium is encountered beneath the fill along most of the
alignment. The alluvium ranges in thickness from about zero to With the lowest point of the tunnel being directly under the river
4 m on the south shore and averages about 4.5 m in thickness on and as a result of previous experiences of a single reinforced
FIG 3 - Tunnel profile and geology.

NORTH SHORE CONNECTOR TUNNEL PROJECT, PITTSBURGH, USA
in situ concrete lining the bored tunnels were designed using a considered for constructing this 125 mm thick lining, including
segmental precast concrete lining. The lining incorporates an sprayed concrete methods. However, preferred method of
EDPM gasket to maintain a watertight tunnel. The bored tunnel construction is to construct the internal lining as cast-in-place
is also back grouted to fill the void around the tunnel to prevent using an articulated or rolling shutter.
the inflow of water. It was considered uneconomic and inappropriate to design the
In addition to the above, at the request of the client, a internal lining for accidental loads, such as impact loads, etc. In
waterproof membrane is to be applied to the internal face of the the case that the internal lining was subjected to such loads, the
segmental tunnel lining. The membrane is protected by an internal lining would be repaired locally, as required.
internal cast-in-place concrete lining. The internal lining The analysis shows that the 125 mm cast-in-place internal
supports the full applied hydrostatic pressure. A geotextile
lining is acceptable for the permanent works. Steel fibre
separation layer is applied between the precast concrete lining
reinforcement was proposed to minimise crack widths.
and the waterproof membrane to ensure the hydrostatic pressure
is equal all around the waterproof membrane. The lining is sufficient to support full hydrostatic pressure,
The construction of the bored tunnel also includes the trackbed allowing sufficient spare capacity to support the proposed cable
concrete within the tunnel invert. The trackbed concrete supports ducts and tunnel walkway. The fixings for these items are to be
the plinths and rails upon which the light rail vehicles run. A box limited to a 90 mm embedded length to prevent any damage to
out in the trackbed concrete has been provided at the low point. the waterproof membrane.
This forms the tunnel sump. Near to the completion of the tender design program, the
In addition to the structural design of the above elements of owner of the land on the North Shore notified the Port Authority
work, the design of the bored tunnel works has considered the of their intention to construct a six-storey steel-framed office
effects of the tunnel construction on the surrounding utilities and development, the Equitable Resources building, directly over the
structures. proposed tunnel; it was designed to be constructed on a
combination of bored CIP concrete and driven steel piles, with a
A seven-segment universal tapered lining is proposed for the
basement car park. The bored piles comprise of pile caps with
construction of the bored tunnel. The geometry for the lining
four or five piles of 450 mm diameter. The steel piles are type HP
must be such that the taper can achieve the proposed alignment
steel section installed as a group of either five or six piles.
with an allowance for the complex practical ring building
requirements where the vertical and the smallest horizontal Faber Maunsell and DMJMHarris, in liaison the building
curves merge together. By rotating the tunnel rings and altering designer, agreed a piling layout through which the bored tunnels
the construction sequence, the lining has been designed to could safely be constructed. A two-dimensional finite element
accommodate the alignment. analysis was used to examine the effect of the tunnelling induced
Depending on the radii required for each curve the build of the ground movements on the pile foundations.
tunnel rings can be rotated to accommodate the alignment. As The assessment has been carried out using the PLAXIS finite
the bored tunnel drives will not be driven to an exact tolerance, element computer program. The geometry has been modelled as
the tunnel drives must be monitored continually during plane-strain sections. The ground has been modelled using
construction to ensure that the ring build sequence is adjusted to elasto-plastic Mohr-Coulomb materials. The piles and the tunnel
meet the requirements for the tunnel drive. lining have been modelled as elastic materials of constant
To provide a straight tunnel drive each tunnel ring can be stiffness. Different pile lengths have been examined for the HP
rotated through 180° to the previous one. In order to achieve the piles in order to derive the minimum requirements to reduce the
tightest 180 m radius curve, the required taper is 20 mm. The ground movements to acceptable levels. The loading conditions
calculated required taper assumes the following design criteria: assume combinations of dead and surcharge loading.
• average width of ring = 1.200 m,
TUNNEL-BORING MACHINE LAUNCH PIT
• internal diameter of segmental tunnel lining = 6.812 m,
• radius of tightest curve on tunnel alignment = 180 m, and The TBM launching pit is an eight-sided structure 17 m deep,
and because of the limited amount of working site available for
• segment thickness = 275 mm. the construction and the necessity for the LRT alignment to make
The geometry of the tunnel segments has been designed to a sharp left-hand turn immediately after the tunnel portal, a
avoid the need for packing at the circle joints between tunnel complex arrangement for the pit had to be designed to allow for a
rings. Packing should only be used when absolutely necessary. safe launch of the TBM and for the tunnelling construction
In order to maximise the watertight finish to the segmental logistical management as well as the alignment change. Another
lining, the tunnel build sequence was specified such that complication was the limitation of time given by the landowners
cross-joints between adjacent segments are avoided. This means for the construction of the pit, which meant that a substantial
that the longitudinal joints are not in alignment. To avoid area of the pit had to be partially covered following initial
cross-joints, each ring is rotated to the next. excavation and a support system to maintain full road access to
the car parks for the two sports stadium had to be provided.
Taking this into account the ring build sequence can be Preliminary engineering was provided to the contractors as the
assembled using two, three, four (or more) rings to achieve the chosen construction methodology could well have influenced his
required radius. By considering the angle of curve created by Launch Pit requirements. The pit was constructed used soil mix
each ring the sum of the angles for any build sequence can be walls, a complex two level system of horizontal bracing and
averaged to provide the calculated radius of curve. lower level temporary tie backs. The soil mix walls were
The inner lining supports the full applied hydrostatic pressure. designed to provide a groundwater cut-off at the bedrock level.
A geotextile separation layer is applied between the precast The base slab was designed to resist hydrostatic pressure loads
concrete lining and the waterproof membrane to ensure the and to provide the necessary resistance to launch and manage the
hydrostatic pressure is equal all around the waterproof TBM tunnel drives. A full width 7 m long by full height block of
membrane. Therefore the internal lining is equally loaded. jet grout was specified as a means of stabilising the front soil mix
The internal diameter of the precast concrete lining is 6.096 m. wall and providing cohesive ground conditions for the TBM
The internal diameter of the internal lining is 5.97 m. Allowing launch. On completion of the construction of the twin bore
2.5 cm for the geotextile membrane, the internal lining is tunnels an independent cut-and-cover cast-in-place box structure
17.5 cm thick. Different construction techniques have been will be constructed with a waterproof membrane system.

CUT-AND-COVER SUPPORT SYSTEM

For cut-and-cover structures, stiff support of excavation systems
(SOE) are necessary to protect streets, to safeguard adjacent
buildings, foundations and utilities, to control groundwater
infiltration and to limit the area of excavation during
construction. Except for the North Side Station SOE, the
contractor is responsible for final selection and design of the
SOE to meet the ground movement and building movement
criteria set for the project. At the North Side Station, the
contractor is required to use concrete diaphragm walls, because
the diaphragm walls will be used as the permanent exterior
structural walls of the station and because of the proximity of the
existing SEA Garage. At the Launching and Receiving Pits, the
contractor has elected to use CDSM walls.
GROUND IMPROVEMENTS
Ground improvement consisting of jet grouting and compensation
FIG 4 - As constructed launch pit (October, 2007). grouting will be performed at several locations along the bored
tunnel alignment. Ground improvement for the project, starting at
the launching pit and proceeding south toward the receiving pit is
described below. An approximately 32 m wide by 14 m high by
TUNNEL UNDER THE ALLEGHENY RIVER 7 m thick jet grout block is to be installed prior to the start of
Although there are no structures in the river near the tunnel tunnelling at the breakout area of the launching pit to assist with
alignment, concerns were raised regarding the impact of the alignment of the TBM and to protect an existing utility manhole
construction on the river bottom habitat and species, in particular from tunnelling-related ground movements.
native oysters. Compensation grouting is to be performed beneath the
Equitable Resources Building basement slab to reduce potential
TUNNEL-BORING MACHINE TUNNELS FROM damage to the slab from tunnelling-related ground movements.
THE NORTH SHORE OF THE RIVER TO THE Compensation grouting is to be performed as the tunnel passes
beneath the building to fill voids that develop beneath the slab as
LAUNCHING PIT soil below the slab settles away from the slab.
The TBM tunnel extends from the river under a sheet pile Jet grouting has been performed at three retaining walls along
bulkhead on the north shore of the Allegheny River, past PNC Fort Duquesne Boulevard and the 10th Street Bypass, where
Park, to the TBM launching pit. After passing below the tips of foundation piles supporting the retaining walls were removed to
the bulkhead sheet piles, the tunnels pass under Riverfront Park facilitate tunnelling. Portions of the retaining walls were
and then an area presently occupied by parking lots and two city removed to facilitate pile extraction, and jet grouting was
streets. To the north, the tunnel alignment passes directly beneath performed below the bottom of the retaining walls to form a
the Equitable Life Building, which was designed and constructed foundation for reconstructed portions of the retaining walls. The
during final design of the tunnel project. initial removal of piles from beneath the first wall revealed the
piles did not extend into the tunnel envelope as the historic
TUNNEL-BORING MACHINE RECEPTION PIT information had indicated. Selected piles were removed from the
AND SOUTH SHORE TUNNELS other two walls to verify that they were similarly short and did
not penetrate into the tunnel envelope. The piles that were
The reception pit is located in a busy four-lane road, Stanwix removed were replaced with jet grout to provide vertical support
Street, and the contractor’s chosen method of construction of the for the reconstructed retaining walls.
pit walls was by cement deep soil mixing (CDSM) walls. The
tunnels are to be driven adjacent to an eight-storey office block to Ground modification design for northernmost 24 m of tunnel
the east side of Stanwix Street, and Two Gateway Centre and bore along Penn Avenue Place consists of low mobility
Allegheny Towers (both 24 stories) on the west side of Stanwix compensation grouting as the tunnel advances. Compensation
Street. Two Gateway Centre is a steel frame structure constructed grouting was selected to minimise the potential for interfering
in 1952 and Allegheny Towers is a concrete frame building with the high capacity (>45 L/s) cooling water well located at the
constructed in 1964; the buildings are supported by steel H-pile north-west corner of the building. The compensation grouting
deep foundations bearing in bedrock well below the bottom of will consist of compaction grouting methods to consolidate the
the tunnels. Historic Penn Avenue Place, formerly the Joseph ground above the tunnel quarter arch and to offset the ground
Horne Building, was built in three stages between 1892 and 1922 movements due to ground loss around the TBM.
and appears to be a concrete-encased steel frame building, with a Ground improvement, consisting of jet grouting, is designed
brick and stone masonry exterior, supported by stacked stone and for 104 m of Stanwix Street in front of Penn Avenue Place to
concrete-encased steel grillage spread footings bearing on reduce the building movements to tolerable levels. A solid jet
fluvioglacial soils about 6 to 8 m below the ground surface. The grout block is being constructed around both tunnels for distance
tunnel invert near the buildings ranges from 11 to 18 m below the of 15 m from the headwall of reception pit north along Stanwix
ground surface. The buildings along Stanwix Street have at least Street prior to tunnel boring operations. This block is intended to
one level of basement with vaults that extend under the provide a stable ground mass and reduce the need for Launch Pit
sidewalks. As the pit will take up the full width of the street it is bracing as the TBM for the west tunnel bore approaches and
prescribed that, following construction of the pit, it had to be enters the Reception Pit. The contractor plans to turn the TBM
covered with beams and steel road plates until the arrival of the around in the Reception Pit and launch the east TBM bore from
TBM in order to minimise the effect on downtown traffic there. Jet grouting is being installed for an additional 89 m along
movements in this very busy part of the city. the east tunnel alignment adjacent to the Penn Avenue Place

NORTH SHORE CONNECTOR TUNNEL PROJECT, PITTSBURGH, USA
building to create a shroud of improved ground around the tunnel 1960s as single-column welded steel bent structures. Viaduct
to reduce ground loss during tunnelling and thereby reduce the foundations required underpinning and the steel H-piles removal
potential for settlements that may affect the Penn Avenue Place to allow the cast-in-place cut-and-cover tunnels to be constructed
Building. Initially, this jet grouting was to create a jet grout block beneath. The underpinning system was designed not to impart load
with 75 per cent coverage that extended about 1.8 m beyond the on the tunnels and to control deflections of the SR-0065. The
limits of the tunnel bore. To expedite the jet grouting and to underpinning structure consisted of a post-tensioned transfer
reduce the amount of jet grouting, the 75 per cent shroud was girders supported on rock socket drilled shafts. The construction of
changed from a jet grout block that extended from below the the underpinning structure was instrumented and monitored during
invert to above the tunnel crown, to a jet grout improved mass of construction activities and will continue through the construction
soil in the form of a horseshoe shape with the 1.8 m wide legs of of cut-and-cover tunnels. The instrumentation and monitoring
the horseshoe on either of the tunnel extending 1.8 m below the program will monitor displacements of the underpinning
tunnel invert and the crown of the horseshoe between the legs structures and the viaducts, as well as strain of the viaducts. The
running from 1 m below the crown to 1.8 m above the crown of instrumentation data will be used to adjust the post-tensioning, if
the tunnel. The jet grouting performed in Stanwix Street will also needed, during construction of the underpinning structure and the
serve to protect the west tunnel (driven first). Due to the close excavation required for the tunnel construction. The support of
proximity of the bored tunnels to each other in Stanwix Street, excavation for the tunnel construction was coordinated and placed
ground stabilisation is required between the bored tunnels to simultaneously with the underpinning structure. After construction
protect the lining in the first tunnel from damage during the of the cut-and-cover tunnels flowable backfill will be placed
boring for the second tunnel. between the top of tunnels and underside of transfer girders.
The contractor has elected to install 2.1 m diameter columns
for the jet grouting for the base jet grouting pattern. Based on the INSTRUMENTATION MONITORING
jet grout column test program, this appears to be near the
maximum achievable in the dense to very dense soils at the site. Construction-related movements of adjacent streets, structures and
Smaller diameter columns and inclined columns are used to jet utilities are anticipated along the tunnel alignment in response to
grout near the building and around utilities. excavation support movements for cut-and-cover construction,
tunnel boring and construction operations, ground improvement
operations, dewatering operations and underpinning operations.
SETTLEMENT DUE TO TUNNELLING An instrumentation monitoring program was developed to verify
Tunnelling induced settlement typically occurs due to ground that construction-related movements meet the performance criteria
loss into and around the TBM, commonly referred to as ‘face for the project and to quickly identify construction-related
loss’, and is measured as a percentage of the theoretical tunnel movements that exceed performance criteria or that could
bore volume (per cent face loss). Face loss occurs during adversely impact streets, structures and utilities so that mitigating
tunnelling due to stress relief of the surrounding ground and and corrective actions can be implemented. In addition, the
‘over-boring’ causing ground loss in the vicinity of the tunnel, program will provide data regarding the performance of the TBM
which results in settlement troughs over the tunnels. The so that the TBM operator can adjust the tunnelling operations to
settlement profile depends on the external tunnel diameter, tunnel minimise ground movements. The contractor is responsible for
depth, percentage face loss and settlement trough width installing and monitoring the instrumentation.
parameter. The percentage face loss is dependent on the type of The monitoring and reporting frequency is also an important
ground, the tunnelling method, the quality of workmanship and feature of the instrumentation monitoring and reporting program.
the rate of tunnel advance. To minimise tunnelling induced Required monitoring frequencies vary depending on the type and
settlement, a pressurised, closed-face TBM system was required proximity of construction activities to structures and utilities, the
for this project. Using the pressurised, closed-face TBM system, sensitivity of structures and utilities and the type of instrument.
1.5 per cent face loss was assumed for design in the fluvioglacial In general, the more likely a construction activity is to impact a
deposits and one per cent face loss was assumed for design in structure or utility and the closer the activity is to the structure or
bedrock. The settlement trough width parameter varied utility the higher the monitoring frequency. Typical monitoring
depending on the ground conditions. Evaluation of ground frequencies range from daily to monthly depending on the
movements was generally performed using empirical methods, proximity of construction activities, but if response values are
except at the Equitable Resources Building, where a finite reached, monitoring frequencies increase. For normal reading
element analysis was performed for a more a detailed estimate of frequencies, the contractor is required to report the
ground movement patterns due to the close proximity of this instrumentation data to the engineer within 24 hours of data
structure to the tunnels. collection, but if a response value is reached, the contractor is
As a result, ground improvement was incorporated in the required to notify the engineer immediately.
design to reduce settlements to acceptable levels. In areas where
ground improvement is provided, tunnel construction related
ground movements were re-estimated, assuming that the CONSTRUCTION PROGRESS
effective face loss will be reduced to 0.75 per cent and result in The project was awarded to a joint venture of Obayashi and
settlement estimates about one-half of the greenfield settlements. Turnbull at the end of 2006. Early in the 2007 the contractor,
having assessed the anticipated ground conditions, opted to use a
CUT-AND-COVER TUNNEL ALIGNMENT WHERE Herrenknecht slurry TBM for the construction of these tunnels.
The TBM was manufactured in Germany, being finally factory
IT MEETS THE EXISTING STATE HIGHWAY
tested in May 2007. The TBM was conceptually specified to a
On the North Shore the alignment requirements of the cut-and- high level to give the client confidence that the proposed TBM
cover tunnel will intercept the SR-0065 roadway viaduct for this very difficult project would incorporate the latest
alignment and existing foundations. Several alternative alignments developments in tunnel boring machine technology. Some
were evaluated; however, based on operational needs, the conflict specific issues addressed by the manufacturer included the
could not be avoided. The solution to the problem was to provide necessity for a short TBM due to the restricted lengths of the
two independent underpinning structures to support SR-0065 and Launch and Receiving Pits, to assist with the contractor’s
allow the placement of the LRT cut-and-cover tunnels beneath. proposal to turn around the TBM in the receiving pit and
The viaduct structure and foundation was constructed in the late re-launch and drive to the Launch Pit, to take account of the

The construction of the Launch Pit, ground improvements

and the North Shore cut-and-cover section was started in early
2007, and will be substantially complete when the tunnelling
commences.
SUMMARY
Underground construction in a crowded urban environment can
be performed to manage and control underground construction
impacts on adjacent properties, related users and traffic, but it
does not eliminate them and may introduce new ones. This
project illustrates that attention to construction issues starting at
the early phases of design and continuing through construction
allows the project team to design systems to control and manage
those impacts in a cooperative working relationship with the
various stakeholders.
ACKNOWLEDGEMENTS
FIG 5 - Pittsburgh … Herrenknechttunnel-boring machine.
The authors acknowledge the following firms and individuals for
incline and decline drive in combination with a 150 m radius the information upon which this paper is based. Firms: The
S-curve and to recognise that as the alignment dives shallowly PAAC – Project Owner; DMJM Harris, Inc – Prime Design
from gravels into the bedrock, most of the drive under the river Consultant; GeoMechanics, Inc – Geotechnical Consultant and
will be in a hard/soft mixed face. The TBM arrived in Pittsburgh GEI Consultants, Inc – Building Protection and Instrumentation
in August 2007 and was installed in the Launching Pit in Consultant. Individuals: D Haines, K Chong, S Woodrow,
November 2007. Tunnelling is anticipated to start in January 2008. K DiRocco, T Boscardin and J Alvi.

Aspects of the Design and Construction of the Chong Ming
Tunnel Shanghai
F Ng1, R Frew2, E Wong3 and G Ferguson4
ABSTRACT
The Chang Jiang Tunnel and Bridge Project, when completed, will provide
a fixed link between Shanghai’s rapidly developing Pudong District and
Chong Ming Island, situated in the Yangtze River delta. The link includes
7.5 km of bored tunnel from the Pudong to the intermediate Changxing
Island from where the link comprises viaduct and a cable stayed bridge. Chongming Island
The bored section comprises twin 13.7 m internal diameter
segmentally lined three-lane highway tunnels. At its deepest point the
tunnel will be 55 m below the river. Cross passages will link the two
bores for passenger evacuation. Tunnel boring commenced in October
2006 and is scheduled for completion in mid-2009.
The paper describes the key features of the design and construction of
the bored tunnel by two 14.53 m diameter slurry TBMs and eight cross Bridge
passages using ground freezing techniques in alluvial sediments. Chongming Tunnel
A decision to include light rail below the road deck was taken after the
completion of the detailed design. This posed a number of design
challenges including passenger evacuation to the road deck, and the Zhangxing Island
redesign of the low point sumps. The various options considered are
discussed together with those adopted for construction.
INTRODUCTION Shanghai City
Location
The Chong Ming Tunnel comprises a principal component of a
highway linking the Pudong District of Shanghai to Chong Ming
Island in the Yangtze Delta. Since the early 1980s economic FIG 1 - Location plan.
growth has fuelled a development boom in China of which
Shanghai is a major beneficiary. Over the past two decades
Shanghai has expanded south of the Whampoa River into the The tunnel section of the crossing that is the subject of the
Pudong District, but this area is now reaching its limit and the paper runs from the Pudong to Changxing Island. This is
next phase of development is to take place on Chong Ming Island approximately one third of the total distance between the Pudong
located to the north of the city in the Yangtze Delta. and Chong Ming. The tunnel comprises twin bores:
• each 13.7 m internal diameter,
Project overview • with 3 × 3.75 m traffic lanes, and
At present Chong Ming is linked to Shanghai by ferry service. • provision for an LRT track.
Therefore, to facilitate the development a fixed link comprising
tunnel, viaduct and cable stayed bridge is currently under The total volume of excavation for the twin tunnels will be
construction. The fixed link will initially carry a twin three-lane approximately 2.7 million m3.
highway and eventually it is planned to add a light rail transit
system (LRT). The location of the link is shown in Figure 1. Parties to the tunnel construction
When complete the link will comprise: The Shanghai Chiangjiang Tunnel and Bridge Development Co
• 7.5 km twin bore tunnel: Pudong to Changxing Island, Ltd was formed to project manage the design and construction of
• 15.1 km viaduct and cable stayed bridge: Changxing to the link. The designer of the bored tunnel is the Shanghai Tunnel
Chong Ming, and Engineering Design Institute (STEDI) with the Shanghai Tunnel
Engineering Corporation (STEC) as the principal contractor.
• 2.9 km at grade approaches. Bouygues Asia are providing technical support to STEC for the
operation of the two Herrenknecht tunnel boring machines
1. President, Maunsell Geotechnical Services Hong Kong Ltd, 20/F (TBMs) and associated slurry treatment plant supplied by MS of
Grand Central Plaza, Tower 2, 138 Shatin Rural Committee Road, France.
Shatin, Hong Kong. Email: fred.ng@maunsell.aecom.com
2. Executive Director, Maunsell Geotechnical Services Hong Kong Ltd, Maunsell AECOM’s role
20/F Grand Central Plaza, Tower 2, 138 Shatin Rural Committee The tunnelling industry in China in general and Shanghai in
Road, Shatin, Hong Kong. Email: bob.frew@maunsell.aecom.com
particular is mature with thousands of miles of tunnels completed
3. Associate, Maunsell Geotechnical Services Hong Kong Ltd, 20/F in the most demanding of ground conditions. However, the
Grand Central Plaza, Tower 2, 138 Shatin Rural Committee Road, Chong Ming Tunnel is the largest sub-aqueous tunnel ever
Shatin, Hong Kong. Email: eddie.wong@maunsell.aecom.com attempted in the world. Therefore, the employer insisted that
4. Construction Advisor, Maunsell AECOM Shanghai. global expertise be mobilised for the project, not only by the
Email: george_ferguson2002@yahoo.co.uk contractor but also to supplement his own team.

F NG et al
In 2004 Maunsell AECOM Group received its first commission

to review the proposed tunnel ventilation system. The scheme
current at that time included an artificial island in the navigation
channel approximately at the third-point of the tunnel crossing.
This island was believed to be necessary for the tunnel
ventilation. However, its construction and permanent presence in
the main navigation channel had severe implications. Therefore a
key objective of the review was to determine whether the island
could be deleted from the scheme without compromising air
quality and fire life safety objectives. The review was completed
in 2005 and concluded that the island could be deleted. This
greatly simplified construction and eliminated a hazard to
navigation.
Maunsell AECOM’s current commission is to provide a range
of services to Shanghai Chiangjiang Tunnel and Bridge
Development Co Ltd during the construction of the tunnels.
These services include:
• provision of resident construction advisor,
• independent check of lining design,
• review of contractor’s method statements for critical
activities, FIG 2 - Typical ground conditions.
• technical presentations, and

• participation in expert panel meetings.
The above tasks are common to most major tunnel projects
with perhaps the concept and operation of the expert panel only
unique to projects in the People’s Republic of China (PRC).
The expert panel could be considered to be the equivalent of a
peer review group, but there are significant differences. For
example an expert panel is convened on an ad hoc basis
whenever the employer considers:
• permanent works design revisions, and
• complex/project critical temporary works.
Typically an expert panel meets only for a day to consider an
individual topic. In addition to relevant documents the
proponents of the topic under discussion give a detailed
presentation. Then each member of the expert panel has the
opportunity to present his views and opinions. There is no
requirement for the panel to achieve consensus. On completion
of the expert panel meeting each member must leave his own FIG 3 - Tunnel boring machine (TBM) without tail skin.
written opinion. The employer is not bound by any of the
opinions and advice given.
TBM characteristics
GROUND CONDITIONS The principal characteristics of the two Herrenknecht Mixshields
(S317 and 318) are summarised below:
The Yangtze estuary and flood plain are amongst the largest in
the world and the underlying inter-bedded alluvial and estuarine • dimensions:
sediments extend to depths in excess of 450 m. The sediments • diameter 15.43 m,
comprise normally consolidated soft silty clays and loose silty
sands. At the tunnels’ deepest point they are approximately 60 m
• length 125 m;
below river level. These conditions are extremely challenging for • weight:
subaqueous tunnelling. Refer to Figure 2 for typical ground • 2300 tonnes (total), and
conditions.
• 170 tonnes main drive unit;
TUNNEL BORING MACHINES (TBMs) • cutterhead power:
• 3500 kW.
TBM design and supply One special feature of the TBMs is that the six cutter wheel
spokes are hollow, allowing entry under ‘free air’ (atmospheric
The tunnels are being bored by the largest slurry type TBMs pressure) to change some of the drag picks through ‘stuffing
fabricated to date. The TBMs were designed and supplied by boxes’ (refer Figure 4).
Herrenknecht. The design and fabrication of the TBMs took
13 months and their assembly four months in a purpose-built Slurry treatment plant
workshop on the Pudong. After acceptance testing the TBMs
were stripped down and transported to the site for final assembly The slurry treatment plant (SPT) designed and supplied by MS
in the launch pit (refer Figure 3). has a maximum capacity of 2 × 3000 m3/h. The plant comprises

ASPECTS OF THE DESIGN AND CONSTRUCTION OF THE CHONG MING TUNNEL SHANGHAI
• width 2.0 m,
• thickness 650 mm, and
• reinforcement: 135 to 165 kg/m3 (dependent on over-
burden thickness);
• sealed against a maximum water pressure of 8.5 bar by
EPDM compression gaskets.
The segment production is shown in Figure 6.
FIG 4 - Cutterhead assembly.
rotating drum screens and two stage hydrocyclones. Water for the
SPT is pumped from the Yangtze and treated to remove
suspended solids prior to use in the plant. The slurry is in fact
being formed by the in situ materials as excavation proceeds with
only occasional polymer addition. A reserve tank of bentonite
slurry is maintained on surface at all times. The tunnel spoil is
transported to land fill by barges. Figure 5 shows the plant in
operation.
FIG 6 - Segment manufacture.

FIG 5 - Tunnel spoil at slurry treatment plant.
The characteristic strengths of the segment materials are:
Tunnel lining • concrete: fcu = 60 N/mm2, and
The tunnel lining comprises precast concrete segments except at • reinforcement: fy = 335 N/mm2.
some locations where fabricated steel segments are used either to It is worth noting that the reinforcement tensile strength is
facilitate construction or to increase clearances. The design of considerably lower than that typically used outside of China.
segments for large diameter bored tunnels in soft alluvial The segments are cast in a purpose-built yard located close to
deposits is driven as much by the need for ‘dead weight’ to the site. Once the steel moulds are stripped the segments are
counteract the buoyant uplift force on the tunnel as to the immersion cured.
conventional requirement of handling, shove ram forces and
ground loading. The improvement of segment transportation Fabricated steel segments are provided at the locations of the
handling and erection systems has resulted in permanent load cross passages, LRT sump and evacuation stairs. At the first
cases becoming increasingly dominant in segment design. location they are to facilitate construction whilst at the remaining
two they are necessary to increase available space.
The principal notable characteristics of the lining are set out
below:
PROVISION FOR LIGHT RAIL TRANSIT (LRT)
• 11 precast concrete segments per ring plus key:
• total 90 000 pieces; Constraints
• each segment: After the completion of the design and the award of tender a
• weight: 16 tonnes, decision was made to examine the feasibility of including a light

F NG et al
rail transit in the link. This posed some unique challenges as the
tunnel diameter had not only been very efficiently space proofed
but also the TBMs were already under manufacture, so any
changes to the principal dimensions (excavated diameter, etc)
would attract significant costs and potential delays in the project.
Therefore, the approach that had to be adopted was more that
required for a retro-fit than a new design.
The principal constraints on the addition of the LRT were:
• limited head room beneath the road deck and the tunnel
invert,
• relocation of the tunnel low-point sumps, and
• access to the cross passages for emergency evacuation at
road deck level.
Limited headroom
The available space beneath the road deck is not large compared
to the clearance and kinematic envelopes of most current LRT
rolling stock. Therefore options for increasing the headroom
were examined. These options were either modifying or
replacing the central precast concrete unit of the road deck.
Modification would have comprised the removal of the ‘invert’
section and anchoring the longitudinal bearing walls to cast
in situ strip footings secured by dowelling into the tunnel lining
segments. The principal disadvantages of this system were:
FIG 7 - Original sump layout.
• the need to provide temporary bracing to the bearing walls
whilst the unit was in transit, and
• the structural necessity of a fixed joint between the cast
in situ footing and the thin precast bearing walls.
The second option examined was to cast the bearing walls and
strip footings in situ. However, the additional space achieved in
the invert was lost at the crown as it was necessary to thicken the
road deck and the connections to the bearing walls.
A serious drawback associated with both options is that the
precast unit also provides access to the last TBM trailer for the
delivery of the lining segments and the TBM consumables.
Therefore it was concluded that specialised rolling stock using
linear induction motor (LIM) drive would have to be
manufactured to suit the space available.
Relocation of low point sumps

The original scheme had internal sumps each of 60 m3 capacity
located at the low point of each bore (refer Figure 7). The
adoption of internal sumps avoids ‘breaking’ the lining rings and
the risk this inevitably entails in poor ground as they are by
definition at the location of the highest hydrostatic head.
However, there was insufficient space to accommodate both a
‘standard’ internal sump layout and the LRT. Therefore, studies
were undertaken to determine the practicality of providing an
external sump, or sumps. The options studied included:
• an external invert sump at the low point of each bore (refer
Figure 8), and
FIG 8 - Option 1 sump layout.
• a common invert sump located beneath a cross passage
between the two tunnels.
base with the narrowest ring of lances being on a pitch circle of
Both schemes satisfied the design and service life criteria but 6.5 m diameter. Accordingly, the risk of a ‘blow-out’ failure was
there remained severe doubts concerning the constructability. considered to be unacceptably high and this option was rejected.
The first scheme would have required the ground below the The second option of locating a combined sump below a cross
tunnel invert to be stabilised. Ground treatment by injection in passage was rejected as, whilst a ‘closed’ freeze could be
these soils had already been ruled out due to their high clay accomplished, the volume of ground to be frozen would have
content and poor consolidation history. Therefore ground made the cost prohibitive.
freezing is the preferred method for soil stabilisation. The freezes Therefore after further consideration the concept of separate
for the cross passages ‘seal’ against the extrados of the tunnel sumps for the road deck and the LRT was developed. This was
linings and can be closely monitored at all times, but to construct based on splitting the ‘flows’ above and below the road deck and
a sump below the tunnel the freeze would have to be ‘open’ at the limiting the sump capacity below the deck to that arising from

seepage and wash down water. The deletion of the fire fighting were to be elliptical with internal dimensions of 2.4 m wide ×
water represented a deviation from the local design standards. 2.88 m high spaced at 830 m intervals along the tunnel.
Therefore it was necessary to provide supporting reference The principal problem with this arrangement was there was no
projects to reassure the regulatory authorities. These references access provision between the road deck and the service level
included projects from Singapore, MRTC North East Line and below in which the LRT was to run. Therefore two options had to
United States, Pittsburgh North Shore Connector. be considered to provide the safe evacuation from the LRT level.
Once the principal of a ‘reduced capacity’ had been accepted These options comprised:
for the LRT sump then there remained the problem of how to
incorporate it into the structure. The limited headroom has been • provision of dedicated cross passages for road and LRT levels,
highlighted above and this had already ‘pushed’ the rails down so and
that they were nearly running on the intrados of the lining • combined use cross passages serving both levels.
segments. Therefore an innovative solution comprising a ‘hollow’
fabricated steel segment has been devised taking advantage of the Dedicated cross passages
650 mm thickness of the standard segments.
In an ideal world the provision of dedicated cross passages to the
Emergency evacuation road deck and LRT would be the perfect solution. This would
allow the two modes of transport to operate as separate entities
When the Chong Ming Tunnel was only a highway tunnel with no ‘physical’ interface during normal day-to-day activity.
emergency evacuation was through cross passages linking the This scheme is shown in Figures 10 and 11. However, there are a
adjacent bores at road deck level (refer Figure 10). However, the number of practical issues against this otherwise appealing
decision to include for the LRT below the road deck made a option. These are: cost and risk.
fundamental review of, and amendment to, the evacuation
The first is very simple: that the increased provision of an
strategy necessary.
additional eight cross passages would approximately double the
cost of this element of the project. Whilst this might not appear
Original evacuation provisions to form a large percentage increase on such a major project
The original evacuation provision comprised eight inter- (estimated total capital cost 12.6 billion yuan or US$1.6 billion),
connecting cross passages at road deck level. The arrangement is this increase would be significant due to the construction
shown schematically in Figure 9. The original cross passages method, ground freezing.
FIG 9 - Schematic of original cross passage provisions.
FIG 10 - Dedicated cross passage option.

F NG et al
FIG 11 - Schematic of dedicated cross passages.
The main tunnels are being bored using closed face tunnel • a folding ramp would be required to evacuate from the road
boring machines (TBMs) with concurrent lining providing a deck level so that:
secure and safe working environment as the tunnelling
progresses. However, to ‘step outside’ the protective shell of the
• simultaneous evacuation could not be carried out from
both levels,
main tunnel to construct the cross passages requires the use of
the highly specialised, and expensive, ground freezing technique. • its operation could be confusing in an emergency
The cost of ground freezing is dependent upon a number of situation, and
factors but it is unlikely to be less than 1000 yuan (US$125) per • the ramp would require regular inspection and
cubic metre of ground frozen. Therefore the ‘freeze’ alone for maintenance.
each cross passage could cost in the order of 24 000 000 yuan
(US$3 000 000). The first negated the cost and construction safety benefits that
drove the choice of a ‘standard’ cross passage. The second
The highest risk activity in the tunnel construction is appeared over complex for people potentially in panic fleeing a
‘breaching’ the segmental lining for the construction of a cross fire. Therefore detailed consideration was given to providing the
passage, as even with the ground freezing there is always a stairs within the main tunnel cross-section.
residual risk of collapse or inundation. Therefore it is proper risk
management to balance the operational safety requirement for
Internal escape stairs
cross passages against the construction safety requirement to
determine the absolute minimum requirement. At first sight this appears to have been the obvious solution but it
must be remembered that the LRT was a late addition to the
Combined use cross passages project and that the permanent lining segment moulds had
already been ordered prior to this issue arising. Indeed if it had
After rejecting the concept of dedicated cross passages on the been raised in detailed design the solution would in all
basis of cost and increased construction risk detailed study was probability have included increasing the tunnel diameter. The
made of the options of combined use allowing evacuation from escape stairs are to be provided at 175 m centres along the length
both levels. A combined two level cross passage was briefly of the tunnels. The stairs are shown in section and in plan in
considered, but this would have required an excavation diameter Figure 13. It can be seen that one stair ‘goer’, the headroom, is
of approximately 6.0 m and the cost was considered to be only 1800 mm and construction tolerances for tunnel and the
prohibitive, notwithstanding the difficulties of its construction. road deck could reduce this to 1750 mm. Similarly, the required
Therefore both sets of passengers would have to access a minimum stair width of 900 mm has only been achieved by the
‘standard’ cross passage of 3.5 m excavated diameter. use of special steel segments at the stair location.
The principal difficulty to overcome was the level difference The stairs ‘daylight’ in the marginal strip of the nearest road
that required either the use of stairs to ascend to road deck level lane. Therefore, during normal operation of the tunnel the stairs
or stairs (or chutes) to descend to the LRT level. The projected are sealed off by a steel access hatch 2750 mm long by 920 mm
patronage figures of the highway are far in excess of those for the wide (refer Figure 14). Consideration was given to the
LRT. Therefore it was decided that the cross passages would construction of a protected canopy structure with a conventional
align with the road deck, leaving the LRT passengers to ascend fire door eliminating the hatch. However, this required reducing
using stairs. the lane widths from 3.75 m and was rejected for road traffic
operational reasons.
Initially, it was proposed to locate the stairs in an enlargement
to the cross passage located immediately adjacent to the main From the above it can be seen that a number of local
tunnel lining (refer Figure 12). modifications were necessary to the permanent lining of the
tunnel to enable an evacuation route to be provided from the LRT
However, it can be seen that there are two serious problems
beneath the road deck to the cross passages. However, it is one
inherent in this concept: thing to develop such a solution in the design office, but when
• approximately, half of the cross passage excavation would be the tolerances are so tight there is no substitute for prototype
‘over size’ to accommodate the stairs; testing (refer to Figure 15).

FIG 12 - Enlargement adjacent to main tunnel lining.
FIG 13 - Escape stairs.
CONSTRUCTION December 2006 and January 2007 with an average of 42 rings

(84 m) per week.
Initial challenges Purpose-made flatbed transporters (refer Figure 16) were used
to deliver the segments, tanks with 14 m3 of mortar for grouting
The East Drive started first with the TBM launched on 23 and precast centre units for the road deck to the back of the
September 2006. After the east TBM had advanced 36 rings TBM. However, the transporter’s axles and wheels began failing
there was sufficient clearance to install all the backup gantries due to the heavy loads and steep grade, resulting in the TBM
and full production commenced on 18 November 2006. After a standing waiting for deliveries of segments and grout. More
short learning period, the TBM made good progress throughout transporters were added to the fleet but, despite this, delays

F NG et al
FIG 14 - Elevation on escape stairs and access hatch detail.
FIG 15 - Wooden prototype of escape stairs. FIG 16 - Flat bed transporter.
persisted and caused a loss of TBM availability of up to units only. This had an immediate impact on the progress and
20 per cent per week. Consequently, the advance rate dropped to over 50 rings (100 m) per week were achieved. However, now
an average of 32 rings (64 m) per week from mid January to mid bottlenecks were being created at the back of Gantry No 3 as the
March 2007. The problems with the transporters prompted the central road deck unit was too narrow for vehicles to either pass
contractor to change the grout delivery system by installing a or turn on. The nearest point where vehicles could turn around
Schwing pump at the rear of the last gantry (Gantry No 3) and a and pass on was the completed full width road deck,
pipeline to the grout holding tanks on Gantry No 1. The grout approximately 650 m behind Gantry No 3 (refer Figure 17). This
was delivered using standard 6 m3 truck mixers to the transfer resulted in congestion, not only of the traffic supplying the TBM
pump. Not only did this allow flexibility for the timing of the but also to that required for the road deck construction. Therefore
delivery of truck loads of grout, it gave a better grout product as the next modification was to install another gantry to act as a
the mortar was continually agitated from the batching plant until passing and turning bay for the truck mixers.
it was injected behind the rings. However, the breakdowns of the transporters continued and
The use of the truck mixers also allowed more availability for their availability remained a concern. This was resolved by the
the transporters, which then transported segments and road deck introduction of segment trucks into the contractor’s now growing

Tunnel boring machine (TBM) performance
General
To date, the performance of the 15.43 diameter slurry TBMs has
been exceptional through difficult ground conditions, consisting
mostly of alluvium deposits of sensitive clays and silts under
high hydrostatic pressure. The TBMs have also proved
consistently reliable for availability with very few breakdowns
throughout the drives. The only major delays were for
modifications for improving some of the support equipment on
the TBM. These improvements include modifications to the:
• segment feeder, and
• slurry lines.
Cutterhead advance
The torque and penetration readings for both cutterheads have
FIG 17 - Road deck construction. proved to be consistent and indicate minimal wear on the
cutterhead tools. Therefore, after 60 per cent of the East Drive
being completed, no tools have been replaced. The cutterheads
fleet. The trucks deliver two segments at a time and can turn are easily excavating through the soil and 45 mm/min has been
around on the passing bay. The transporters have now been achieved for the advance with only 40 per cent of the maximum
relegated to carrying the road deck centre unit and slurry pipes thrust being used.
only. This reorganisation of the transportation has almost
completely eliminated TBM delays due to transportation and Annular grout
production in the East Drive averages 50 rings (100 m) per
week. The grout is placed behind the lining concurrent with the TBM
advance. There are six delivery lines, two in the crown, two at
the axis and two in the invert. The grouting conduits are located
Progress within the tail skin with the outlets immediately behind the tail
The West Drive commenced on 21 January 2007 and initially skin’s brush seals. There are three Schwing KSP 20 injection
pumps and three holding tanks (60 m3) with agitators. The
experienced the same transportation problems as the East. At the
efficiency of this grouting system has been a key factor
time of writing production in this drive averages 48 rings (96 m)
influencing the good quality of the lining.
per week and the best advances achieved are summarised in
Table 1.
Tail skin brushes
TABLE 1 There is still no indication of wear for the tail skin brushes with
only tail skin grease evident through leakage. The main
Tunnelling progress.
contribution for this is the good ring building and the semi-active
TBM Drive TBM advance rings built No (m) grout mortar. There was an incident in the East drive when the
TBM retracted due to the ram pressures inadvertently failing.
Best shift Best day Best week Best month
There was an immediate concern for the brushes, but after
East 6 (12.0) 11 (22.0) 65 (130.0) 241 (482.0) removing a key the brushes were considered acceptable.
West 6 (12.0) 11 (22.0) 62 (124.0) 255 (510.0) Therefore there is a reasonable expectation of completing the
drives without having to replace them.
The progress achieved compares favourably with that recorded Segment feeder
on other projects using large diameter slurry TBMs, as
Frequent delays were experienced with the segment feeder (refer
demonstrated in Table 2.
Figure 18), mainly due to failed lift and push rams. The problems
were attributed to uneven loading from the segments and the
TBM supplier modified the entire unit to make it more robust. At
TABLE 2 the same time these alterations were made, a turntable for
Comparison with similar projects. receiving the segment on the back of the segment feeder was
Project TBM Year Progress
introduced. The modified system is proving effective and few
diameter delays are now attributable to the segment feeder.
Best Average
(m)
(month) (day)
Lining ring build
Lefortovo 14.20 2002 226 6
(Russia) The quality of the ring building is good, with steps and lips
Groene Hart 14.87 2003 616 12 within the construction tolerances. There are very few damaged
(Holland) segments and hardly any cracks have been observed in them. The
main problem encountered has been with the gasket not adhering
SMART 13.26 2006 357 10
to the segments. This has resulted in some minor leaks in the
(Malaysia)
tunnel and was the probable cause of a major grout leak in the
Chong Ming 15.43 2007 482 11 East Drive. Therefore the procedure for fixing and gluing the
(PRC) gaskets is under review to ensure that sufficient time is allowed

F NG et al
FIG 18 - Segment feeder. FIG 20 - Refurbishment of erector plate.
for the adhesive to cure prior to the segments being transported

into the tunnel. The segments are placed to within ±10 mm with Cross passage construction
plastic guide rods placed in preformed grooves in the radial joint
faces (refer Figure 19). At the start of tunnelling ring building Each of the cross passages will be 3.34 m internal diameter and
was taking 150 minutes on average but now the average build approximately 15.4 m long. Temporary support to the
time is 55 minutes. excavation will be provided by shotcrete and steel arches with a
final lining of in situ reinforced concrete. Ground freezing
is required to stabilise the soil prior to excavation (refer
Figure 21).
The preparatory work for the construction of the first cross
passage started at the end of September 2007. First attempts to
drill from the East Drive and through the precast lining of the
adjacent tunnel failed as the soft soils could not provide
sufficient support to prevent the pipe string from buckling as it
‘hit’ the lining extrados. After three failed attempts this strategy
was abandoned and the freeze pipes were drilled to the lining
extrados only. Subsequent drilling operations have proved to be
remarkably smooth.
At the time of writing calcium chloride brine solution is being
circulated through the pipes to establish the ground freeze for the
first cross passage. The progress of the freeze is being monitored
using thermo-couples placed in drill holes. Once the ice ‘wall’ is
confirmed to have achieved the design thickness of 3.0 m and
internal propping placed, the lining rings will be ‘broken’ and
cross passage excavation commence.
FIG 19 - Ring build.
CONCLUSIONS
Segment erector
A recurring problem has been the loss of vacuum on the segment At the time of writing, 50 per cent of the main tunnel drives are
erector. Initially this was thought to be solely attributable to the now complete. The tunnelling has proved to be successful due to
rubber seal rings being either poorly fixed or deteriorating. a combination of factors. The geology has been as predicted. The
However, despite their regular inspection and replacement the TBM cutterhead and slurry system have had no difficulties in
problem still persisted and vacuum loss was found to be caused dealing with the water-bearing clays and silts and hydrostatic
by leaks through the welds and the location cones in the erector’s pressure of approaching six bar. The main components on the
steel plate. The plates on both TBMs were removed and TBMs have proved to be reliable, with only one major delay of
refurbished (refer Figure 20). ten days on each TBM for modifying the segment feeders.
The seals are still being replaced at regular intervals but there The SPT is operating as designed and the ‘sticky clays’ do not
have been no more incidents with segments since the pose any problems for recycling.
refurbishment and introduction of regular vacuum tests. The The quality of the precast segmental lining is of a high
test is carried out at the start of each shift. The procedure is standard with minimal damage and almost no cracking of the
very simple; the erector lifts a segment clear of the feeder and segments. A contributing factor has been the grout mix and the
holds it there for 20 minutes and only if the vacuum efficiency control of the synchronised grouting during the advance.
does not drop below 86 per cent can ring build proceed. In the The rate of progress (average of over 11 m/day) so far, and still
event of a failure then remedial work is carried out on the improving, compares favourably with other large similar TBMs
vacuum plate. on other projects in recent times.

FIG 21 - Freeze lance layout.
ACKNOWLEDGEMENTS publish this paper and their continuing support as this

challenging project drives to completion.
The authors would like to thank the Shanghai Chiangjiang
Tunnel and Bridge Development Co Ltd for their permission to

The Bosphorus Rail Tunnel Project
V Tellioglu1 and A Unlutepe2
ABSTRACT Passenger demand

The Bosphorus Rail Tunnel Project, located in Istanbul, Turkey, aims to The city of Istanbul is heavily populated by some 12 million
provide a Euro-Asian rail link, via an immersed tube tunnel crossing the people who have settled along both shores of the strait. Due to its
Bosphorus Strait, along which will run all commuter, freight and intercity highway-oriented policies, the city suffers from many traffic
passenger trains of Turkish State Railways (TCDD), as well as the future
extension to the European rail network. The total length of upgrading and
problems. Transportation is the most important problem of
new railway construction will be approximately 76 km. The main the city. Two cable-suspension motorway bridges cross the
structures include the immersed tube tunnel; mechanised shield tunnels; Bosphorus Strait. A 49.6 km urban rail network currently
new Austrian tunnelling method (NATM) tunnels; cut-and-cover, at-grade operates on both sides of Istanbul. A 51 km extension (costing up
and retained-cut/fill structures; and some service structures. This paper to US$1136 M) is under construction, and a 90.4 km extension
discusses Phase 1 implementation of the project, one of the major planned for the near future (costing US$2760 M) will include
transportation infrastructure projects in the world today, whose varied underground, light rail, tram and funicular facilities. However,
structures present stimulating engineering and construction challenges.
Istanbul urgently requires another 220 km of railways (Transport
Corporation, 2006). Once the Bosphorus Rail Tunnel Project is
INTRODUCTION complete, a maximum of 65 000 passengers per hour per
direction will use the system in 2015, while in 2025 this figure
Project location will have increased to some 75 000 passengers. Design speed is
100 km/h and design life of the project is 100 years.
Istanbul is one of the most historically significant cities in the
world. Civilisation in the Istanbul area dates back to 3000 BC.
Objectives of the project
The Bosphorus is a 30 km long strait that separates the European
part of Turkey from the Asian part, and connects the Sea of Major goals of the project are (The Marmaray Project, n/d):
Marmara with the Black Sea. Its width varies between 0.7 km
• provide a direct rail link between Asia and Europe;
and 3.5 km, but averages 1.3 km at the surface. The width
reduces gradually towards the bottom of the channel to a typical • provide a long-term solution to the city’s current urban
average of 500 m at a depth of 50 m. The depth of the strait transportation problems;
varies from 30 m to 100 m (Yuksel and Yalciner, 2002) (Figure 1). • relieve existing operating problems on the mainline railway
services;
• increase capacity, reliability and safety on the commuter rail
services;
• reduce travel time for, and improve comfort on, commuter
trains;
• provide uninterrupted passenger and freight transportation
across the Bosphorus Strait; and
• reduce air and noise pollution.
Phases of the project

The Bosphorus Rail Tunnel Project comprises three major phases
(Table 1) (The Marmaray Project, n/d):
• Phase 1 consists of a 13.6 km long double-track railway
alignment, which includes an immersed tube tunnel crossing
the Bosphorus Strait, construction of three new underground
and one at-grade stations, and bored tunnels (Figure 2).
FIG 1 - Istanbul and the Bosphorus Strait.
European Bosphorus
side Bridge
The Bosphorus Strait is an international waterway and one of
the most intensely trafficked seaways in the world. Numerous
large vessels pass through the strait to and from the Black Sea, Golden Horn
and there is also heavy daily traffic by passenger and car ferries
across the strait. Historic peninsula Uskudar
(Old city center) asian side
Yenikapi Sirkeci
1. Formerly: Taisei-Gama-Nurol (TGN) Joint Venture, Istanbul, Turkey.
Currently: Senior Tunnel Engineer, Parsons Brinckerhoff, Level 4,
Northbank Plaza, 69 Ann Street, Brisbane Qld 4000.
Ayrilikcesme
Email: v.tellioglu@tr.net Kazlicesme
2. Formerly: Taisei-Gama-Nurol (TGN) Joint Venture, Istanbul, Turkey.

Currently: Bogazici University, KOERI, Geodesy Department,
Istanbul, Turkey. Email: ahmet.unlutepe@boun.edu.tr FIG 2 - Project Phase 1 alignment (Taisei Corporation, 2005).

V TELLIOGLU and A UNLUTEPE
TABLE 1
Technical brief of the project (based on Track #1 alignment only; entrance structures and cross-passage tunnels excluded).
Phase 1 Phase 2 Phase 3

Asian side European side Asian side European side
Immersed tube tunnel (km) 1.4 -
Procurement of rolling stock

Shield tunnels (km) 4.2 5.7 - -
NATM tunnels (km) 0.1 0.1 - -
At-grade, retained-cut/fill, bridges (km) 0.5 0.9 43.4 19.6
Cut-and-cover (km) 0.3 0.4 - -
New underground stations 3 - -
New at-grade station 1 - -
Upgrade/rebuild of existing at-grade stations - 26 10
Total length of alignment (km) 13.6 63.0
• Phase 2 upgrades 63 km of the existing commuter rail • The majority of Phase 1 will be constructed in the oldest part
system in Istanbul, connecting Halkali on the European side of the city where civilisation dates back 5000 years.
with Gebze on the Asian side via an uninterrupted, modern, Therefore, preservation and rescuing of historical heritage is
high-capacity commuter rail system. The main works are the crucial, particularly during excavation of deep cut-and-cover
renovation of 36 existing at-grade stations, construction of an structures.
operations control centre, workshops, maintenance facilities, • The immersed tube tunnel under the Bosphorus Strait will be
upgrading of existing tracks including a new third track the deepest in the world to date, with its lowest elevation
on-ground and installation of completely new electrical and some 60 m under the water surface and strong bi-directional
mechanical systems. The average distance between the currents of up to 3 m/s.
stations will be 1.5 km to 2.0 km.
• Because of the geotechnical conditions in the Bosphorus
• Phase 3, the last stage of the project, covers the procurement Strait, two tunnel boring machines (TBMs), one at either end,
of modern rolling stock. A single train will consist of ten will bore directly through the rock and connect to the special
cars, each with five doors. It is planned to have 44 trains (that terminal joint of the immersed tube tunnel.
is, 440 cars) in operation by the end of year 2025.
• The marine works for the immersed tube tunnel will have a
Project management serious impact on navigation in the Bosphorus Strait.
• Fish migration adversely affects the immersion work
The Bosphorus Rail Tunnel Project is a performance-based schedule. Dredging activities are partly restricted during
design-and-build project using FIDIC EPC/Turnkey conditions. spring and autumn so as not to endanger fish migration.
The project employer is DLH (General Directorate of Railways,
Harbours and Airports Construction) under the Ministry of
Transportation of Turkey. The Employer’s Representative, SEISMICITY AND GROUND CONDITIONS
Avrasyaconsult, is a multinational corporation comprising
several partners from Turkey and Japan assisted by international Seismicity
consultants from the USA. Turkey is a tectonically active region that experiences frequent
Design and construction activities for Phase 1 are undertaken destructive earthquakes. The project is located near the North
by Taisei-Gama-Nurol Joint Venture (TGN JV). Phase 1 of the Anatolian Fault and in a seismically active zone (see Figure 3).
project is financed by the Japan Bank for International The project tunnel alignment ranges between 13 km and 20 km
Cooperation (JBIC). Construction works commenced in October from the fault. There is a high probability that a strong
2004 (The Marmaray Project, n/d). Completion of the Phase 1 earthquake with magnitude M = 7.5 will occur during the
works is estimated to be 2011; however, sequential delays to project’s life.
construction activities have been experienced because of The southern part of Istanbul and the Sea of Marmara are
archaeological surveys and excavations that have been ongoing located in the most active zone (Zone I). The devastating Kocaeli
for more than three years. (Izmit) earthquake of 1999 (M = 7.6) broke a section of the North
Anatolian Fault 1500 km to the west of the recent quake, killing
TECHNICAL CHALLENGES 17 000 people, injuring 50 000 and leaving 500 000 homeless
(US Geological Survey Earthquake Hazards Program, 2003).
Implementation of Phase 1 of the project requires various
technical challenges to be met, both on land and offshore. The Ground conditions
most important are as follows:
Preliminary site investigations were completed between 1985 and
• Since the ultimate capacity of the commuter rail system will 1987; additional investigations were completed by the employer
be 75 000 passengers per hour in one direction, special fire
in 2002 - 2003 during the tender period. A comprehensive site
safety, evacuation and emergency ventilation provisions are investigation plan was developed by the contractor for both
required to ensure passenger safety. onshore and offshore areas in 2004 - 2005 before and during
• Istanbul is situated near the North Anatolian Fault, a basic design stage. In general terms, the investigations revealed
seismically active zone. Therefore, there is a high probability that the groundwater level is high, and the site is overlain by a
that a strong earthquake with magnitude of Mw = 7.5 significant and varying thickness of soil overburden with highly
(moment magnitude) will occur during the project’s lifetime. variable soil conditions along the project alignment.

THE BOSPHORUS RAIL TUNNEL PROJECT
FIG 3 - Rupture history (1939 - 1967) of the North Anatolian fault and Geological Survey of Japan (GSJ); Mineral Research and
Exploration of Turkey (MTA) trenches (Okumura, Yoshioka and Kuscu, 1993).
The European-side soils mainly consist of an uncontrolled containing shell fragments and gravels (SM-SC, Kusdili
man-made fill layer (F) that contains brick pieces, sand, silt, clay formation); clayey silty gravelly sand (SC-SW); low-plasticity
particles and some gravels and shells. Underneath the fill layer clay (CL); low-plasticity silty sandy clay (CL-SC); and
there is an alluvial deposit which is mainly comprised of silty, sandstone–mudstone partially interbedded by andesite, generally
clayey sand with shell fragments and gravels (SM-SC, Kusdili highly fractured and containing crush and shear zones (R,
formation); medium-to-hard stratified limestone, plastic clay and carboniferous Paleozoic Trakya formation) (Figure 4c).
marl (LMST-CH-MRL, Bakirkoy formation); highly plastic clay,
partly with granular bands (CH, Gungoren formation); a very BUILT ENVIRONMENT AND PRESERVATION
dense, silty clayey sand layer (SM-SC, Cukurcesme formation);
and sandstone-claystone-mudstone partially interbedded by
OF HERITAGE
diabase, generally highly fractured and containing crush Most of the excavation work is being conducted in the historic
and shear zones (R, carboniferous Paleozoic Trakya formation) peninsula of Istanbul, which has been registered as a world
(Figure 4a). heritage site by UNESCO. Therefore, great care is being taken to
The Bosphorus Strait soils are mainly of sandy stratum (S) preserve national and world heritage. Subsurface antiquities
approximately 5 m down from the seabed surface, underlain by a found by archaeological excavations are preserved. In designing
sandy clay layer (CH) approximately 5 m thick, and then a sandy above-ground structures, such as ventilation shafts and station
clay stratum (CH) between 5 m and 25 m thick. A thin layer of entrances, special care has been taken to ensure both design and
construction methods suit the very limited land available for
gravelly sand (SW) lies at the bedrock contact. The strata near
work areas and to maintain right-of-way, in order to protect
KM: 7+800 consists of a sediment of loose sandy material (S), historic sites and the built environment.
between 20 m and 30 m thick, below the seabed; the upper parts
of this sediment are susceptible to liquefaction. Beneath Many of the existing buildings on the project route are old and
in poor condition. Therefore, excavation-induced ground
the sediment there are alternating layers of clay (CH) and sand
deformations are of major concern when designing tunnels and
(S); the sand becoming more compact with increasing depth deep excavations. As highly populated and historic areas of the
(Figure 4b). city are located within the influence zone of the proposed bored
The soils on the Asian side mainly consist of an uncontrolled tunnels, mechanised shield tunnelling methods have been
man-made fill layer (F) that contains brick pieces, sand, silt, clay selected to limit ground deformations and damage to the built
particles and some gravels and shells. Underneath this fill layer environment. Since groundwater level is high and close to the
there lies an alluvial deposit which is mainly silty clayey sand surface at almost all locations where deep excavations for
FIG 4a - Geotechnical profile (European side) (Taisei-Gama-Nurol Joint Venture, 2006).

FIG 4b - Geotechnical profile (Bosphorus Strait) (Taisei-Gama-Nurol Joint Venture, 2006).
FIG 4c - Geotechnical profile (Asian side) (Taisei-Gama-Nurol Joint Venture, 2006).
cut-and-cover construction will take place, secant piling and TABLE 2

diaphragm walls are preferred as vertical earth-support elements Track characteristics (Taisei-Gama-Nurol Joint Venture, 2004).
to control settlements due to pore pressure losses. Some
irregularly shaped deep excavations have been replaced by Unit Track 1 Track 2
elliptical or circular shafts, which are geometrically more stable.
Circular curve radius R m 314 300
Excavation-induced deformations are continuously monitored
Cant D m 0.100 0.100
and assessed for their impact on both heritage and the built
environment. Noise and vibration control is specially observed Cant deficiency I m 0.099 0.099
for potential heritage impacts, particularly on ancient city walls. Maximum speed v k/h 72 71
Track width l m 1.435 1.435
STRUCTURE GAUGING ANALYSIS State of repair - Good Good
As one of the objectives of the project is the future extension of
the railway Bosphorus crossing to get a connection to the Gauging analysis showed that TCDD structure limit gauge is
European rail network, calculations for a hybrid structure gauge ruling at lower parts, while UIC gauge is governing the hybrid
have been made by taking into account a combination of structure gauge at upper parts (Tellioglu, 2007).
structure gauges of UIC and TCDD freight trains. The largest
envelope of these two gauges was used in design of structures.
MAJOR COMPONENTS
Table 2 summarises the track characteristics that were used in
structure gauging analysis for the most critical section of the The major components of Phase 1 include an immersed tube
alignment with respect to curve radius, cant and speed. Figure 5 tunnel, mechanised shield tunnels, NATM tunnels and deep
shows TCDD and UIC506 GC structure limit gauges with excavations for cut-and-cover stations (Table 3).
primary clearances. Additional clearances and tolerances such as Project alignment starts at Kazlicesme with an at-grade station.
potential differential movements, fire-proofing, construction After this station and up to Yedikule, over a stretch of 670 m,
tolerances, rail adjustment, architectural finishing, electrical and retained-fill, at-grade, retained-cut, U-section and cut-and-cover
mechanical (E/M) items and chorded construction tolerances, structures, as well as two bridges, will be constructed. The dual
were considered. segmental EPB tunnel starts at Yedikule and ends at Yenikapi.

Station buildings for Yenikapi, Sirkeci and Uskudar have been

designed as underground structures to minimise the impact on
the historical environment and, consequently, the need for land
acquisition. All these stations will have the main concourse
underground and only entrances will extend above ground.
At Yenikapi Station, passengers will transfer from/to the
Metropolitan Metro Network station along a short underground
passageway at the concourse levels. Yenikapi Station will be
constructed by the cut-and-cover method, in a 20 m deep
excavation pit 245 m long and 30 m wide. As the two stations are
very close, a common large excavation pit will be built using
anchored secant pile walls. Platform length is 225 m and width is
18.60 m (Figure 7).
Sirkeci Station will be constructed mainly by deep/mined
tunnelling method. It will have cut-and-cover entrance structures,
and ventilation and emergency shafts that extend to ground level.
Platform tunnels, access passageway tunnels between them, the
main passage tunnel between the shafts, and passenger access
tunnels to the surface will be constructed using the NATM
tunnelling method. In each tunnel tube, the platform is 50 m
below the ground surface; each is 225 m long and 4.80 m wide
FIG 5 - TCDD and UIC506 GC structure limit gauges with primary (Figure 8).
clearances. Uskudar Station is the only station on the Asian side of the
Bosphorus Strait. The station will also be used for transfers to the
From Yenikapi to Sirkeci, dual SPB TBMs will be launched; proposed 19 km Metropolitan Metro Network line. The station
they will be transferred through the Sirkeci underground station, body will be located at the Bosphorus coast at a significant
then connect to the European-side terminal joint of the immersed depth, which requires a state-of-the-art design. Uskudar Station
tube tunnel which crosses the strait. Another dual slurry shield will be constructed using the cut-and-cover semi top-down
tunnel will be constructed from the Asian terminal joint of the method in a 29 m deep excavation pit 274 m long and 32 m wide.
immersed tube to the nearest proposed underground station at Platform length is 225 m, and width is 17 m. The excavation
Uskudar. The same type of dual tunnels will pass through the support system consists of 1.5 m thick diaphragm walls socketed
Uskudar Station and continue to Ayrilikcesme; this construction into bedrock. The diaphragm walls extend down to 57.5 m at the
includes cut-and-cover and at-grade structures and road deepest section. The interior will be temporarily braced by
interchange arrangements over a stretch of 450 m (Figure 6). reinforced-concrete struts supported by a single king post in the
mid-span and reinforced-concrete waling beams (Figure 9).
Stations
Immersed tube tunnel
Kazlicesme Station is the only at-grade station to be built in
Phase 1. This station has a platform length of 225 m, and a width The immersed tube tunnel under the Bosphorus Strait will be
varying from 6 m to 11 m. 1387 m long. Its 11 units are 15.3 m by 8.6 m in cross-section,
TABLE 3
Major components of Phase 1.
Length (m) Specifications

Tunnels
Yedikule – Yenikapi 2 × 2480 Tunnel bore diameter 7.97 m/earth pressure balance (EPB) TBM
Yenikapi 22 NATM tunnel for road underpass
Yenikapi – Sirkeci 2 × 2073 Tunnel bore diameter 7.84 m/slurry pressure balance (SPB) TBM
Sirkeci 73 NATM tunnel for crossover track
Sirkeci station 225 Underground station/deep tunnel
Sirkeci – immersed tube 2 × 970 Tunnel bore diameter 7.84 m/SPB TBM
Immersed tube tunnel 1387 Total of 11 elements, 8.60 m × 15.30 m in cross-section each
Immersed tube – Uskudar 2 × 783 Tunnel bore diameter 7.84 m/SPB TBM
Uskudar 127 NATM tunnel for crossover track
Uskudar – Ayrilikcesme 2 × 3433 Tunnel bore diameter 7.84 m/SPB TBM
At-grade, retained-cut/fill, cut-and-cover
Kazlicesme station 225 At-grade station
Kazlicesme – Yedikule 631 Retained-fill, at-grade, retained-cut
Yenikapi 138 Cut-and-cover
Yenikapi station 242 Underground station/cut-and-cover
Uskudar station 271 Underground station/cut-and-cover
Ayrilikcesme 430 Retained-cut, at-grade, retained-fill

FIG 6 - Major components of the project (Taisei Corporation, 2005).
FIG 7 - Typical cross-sections of Yenikapi Station (Taisei-Gama-Nurol Joint Venture, 2006).
FIG 8 - Perspective view of Sirkeci deep tunnel station (Taisei FIG 9 - Cross-section of Uskudar Station (Taisei Corporation,
Corporation, 2005). 2005).

with a typical unit length of 135 m ranging to 98.5 m to fit the wiring systems. Winches on the barging platform control the
vertical curve (Figures 10 and 11). The tubes will be totally vertical position until the unit is located down on the foundation.
embedded in the seabed. Waterproofing will be provided by When the tube is fixed properly, locking backfill is made to
7 mm thick steel membrane up to the top slab, which is ensure stability and protection. There will be more than
waterproofed by ethylene vinyl acetate (EVA). Two rail tracks 130 000 m3 of stone and 800 000 m3 of soil provided for trench
will travel through the same immersed tube unit, separated by a backfilling. The thickness of backfilled cover down to the
central dividing wall. While the Bay Area Rapid Transit (BART) immersed tube will vary from 4 m to 8 m, maintaining the
Tunnel in San Francisco is 41 m deep, the Bosphorus crossing, at original seabed level.
60 m deep, will be the deepest immersed tunnel tube ever placed, The concept of tube-to-bored tunnel connection (terminal
with the additional challenges of strong bi-directional currents joint) is shown in Figure 12. After the tube unit is immersed, the
(flow velocity up to 3 m/s at the strait) and one of the heaviest external endshell is removed, then that end of the trench is
international marine traffic areas in the world. The installation backfilled by soil premixed with a stabilising agent. Next, the
sequence of tube units will be from the Asian to the European TBM bores directly into the binocular steel sleeve of the tube
side (E11 to E1). Two TBMs at both ends will bore out the rock unit, leaving the TBM’s steel shield in place. Connection is
and connect directly into the special terminal joint of the completed by additional water cut-off grouting and concreting to
immersed tube tunnel. This has been done only once before – in create a permanent lining.
Hong Kong (Ingerslev, 2006).
FIG 10 - Typical cross-section of immersed tube tunnel (Taisei

Corporation, 2005).
FIG 12 - Installation of terminal joint (Taisei Corporation, 2005).
Mechanised shield tunnels and new Austrian

tunnelling method (NATM) tunnels
Approximately 12 km of tunnels will be constructed by TBMs
and NATM. Waterproofing and ventilation of all tunnels are of
major importance. Maximum allowable groundwater seepage is
limited to 5 mL/m2/h of internal surface for the completed tunnels.
FIG 11 - Longitudinal alignment of immersed tunnel (tube units E1 The main running tunnels will be built by closed-face shield
to E11) (Taisei Corporation, 2005). TBMs with bore diameters of 8 m approximately. One tunnel,
with a single track in each direction, will be provided. Main track
The immersed tube tunnelling involves prefabrication of the tunnels will be interconnected by cross-passages at every 200 m
tube units, seabed treatment, dredging and disposal, towing and to ensure passenger and personnel safety in case of an
immersion of the tube units and backfilling of the trench. Tube emergency. NATM tunnelling will be employed to open
units are prefabricated in a dry dock and jetty in the Tuzla area, cross-passages and for tunnels where the cross-section changes
40 km from the project location. The base slab and the first half considerably at crossover tracks.
of the walls are concreted in dry docks, then the unit is towed All TBMs will be boring underneath a rapidly growing city
and moored at the jetty for casting of the remainder. Tubes are where national and world heritage must be preserved, and where
towed out to the site when the trench has been prepared. The tube many buildings are in poor condition and sensitive to ground
is immersed into the trench and connected to the final tunnel. deformation. Along the project route, groundwater level is high,
Detailed geotechnical seismic analyses indicated that a soil cover is less than 10 m at some locations, hard formation is
potentially liquefiable loose sand layer 470 m long is located generally highly fractured and contains crush and shear zones,
close to the Asian side. This soil layer has been improved by the and connection to the immersed tube tunnel will be carried out
compaction grouting method. Grout columns were inserted to a under high water pressures. Abandoned water wells in the old
city comprise a significant level of the potential risks. To manage
depth varying from 4 m to 10 m below the tunnel foundation
all these constraints, as well as the geological conditions, the
(Van de Kerk and Koyama, 2006). The trench is dredged from
route from Yedikule to Yenikapi (which contains relatively soft
the surface using heavy dredging equipment. More than ground) will be excavated by one EPB TBM (Lovat). After
1 000 000 m3 of soil must be excavated. Yenikapi, two SPB TBMs (Hitachi) will start boring through
The expected duration of the immersion process for each unit hard formations, passing through Sirkeci deep tunnel station,
is 24 - 48 hours. There are three decision points on the towing then towards the immersed tunnel. Another pair of SPB TBMs
route; the first is at the starting point (fabrication yard), the (Hitachi Zosen) will bore from Ayrilikcesme and pass through
second is somewhere closer to the Bosphorus Strait, and the third Uskudar Station to join the immersed tunnel. The shields of the
is at the project location. Immersion of tube units is managed by four SPB TBMs will be left in place after docking with the
barges and tugboats, and controlled horizontally by anchor and immersed tube.

The finished intrados of the main track tunnels will be REFERENCES

7040 mm. Deviation tolerance from top of rail for TBM tunnels
is 100 mm. One ring length is 1500 mm, and each ring comprises City of Istanbul, n/d. City of Istanbul web site. Available from: <http://
seven tapered reinforced-concrete precast segments, one of www.ibb.gov.tr>.
which is the key element. Segment thickness is 30 and 32 cm. Gama Nurol Joint Venture, 2005. Monthly progress report 9, Istanbul.
Reinforcement ratio is around 130 - 135 kg/m3. Continuous Ingerslev, C, 2006. Istanbul Strait immersed tunnel, considerations and
grouting of the annulus void will be provided by either strategies behind design and construction requirements, Istanbul.
circumferential tailskin injection or radial grouting through holes International Tunnelling Association, n/d. International Tunnelling
on the segments. The tunnel invert will be cast in situ. Mucking Association web site. Available from: <http://www.ita-aites.org>.
will be done by continuous belt conveyors for the EPB Mitani, S, Sakaeda, H and Sahin, H, 2005. Marmaray project: Tunnels
TBM-driven tunnel, and by pressurised piping system for SPB and stations in BC contract, presented to World Tunnel Conference,
TBM-driven tunnels. Istanbul.
Cross-passages will be built by NATM. Cross-passage tunnels Okumura, K, Yoshioka, T and Kuscu, I, 1993. Rupture history (1939 -
1967) of the North Anatolian fault and GSJ-MTA trenches
vary between 7 m and 36 m long. Steel segments will be used, in (Geological Survey of Japan (GSJ); Mineral Research and
particular rings of the main track shield tunnels where the Exploration of Turkey (MTA)).
cross-passage opening is located; where needed, pregrouting will Simsek, O, Mitani, S and Altun, O, 2005. Marmaray project: Geological
be done in soft ground. and geotechnical investigations, World Tunnel Conference, Istanbul.
Taisei Corporation, 2005. Connecting Asia and Europe – Railway
CONCLUSIONS Bosphorus tube crossing, tunnels and stations brochure (Marmaray
Project: Istanbul).
Istanbul, where civilisation dates back to 3000 BC, is one of the Taisei Corporation, 2006. Contract BC1 – Railway Bosphorus tube
most historically significant cities in the world. The project aims crossing, tunnels and stations (Marmaray Project: Istanbul).
to link Europe and Asia in an old city where the built Taisei-Gama-Nurol Joint Venture, 2004. Marmaray Project Contract BC1,
environment, marine environment and national and world quality plan for immersed tunnel, Istanbul.
heritage sites need to be carefully preserved. Taisei-Gama-Nurol Joint Venture, 2006. Geotechnical design parameters
The need for deep excavations within a limited work area in a report, Istanbul.
highly populated and historic urban environment is one of the Tellioglu, V, 2006. An overview to the Bosphorus rail tunnel (Marmaray)
major construction problems. project, Chamber of Turkish Civil Engineers, Izmir.
The rigidity of EPC contract could not accommodate the Tellioglu, V, 2007. Analysis of structure gauging for the cut-and-cover
variations of underground works which were complicated by and retained-cut structures on the Bosphorus rail tunnel project,
Brisbane.
archaeological findings. This has resulted in considerable time
and budget overruns on the project. Special environmental and The Marmaray Project, n/d. The Marmaray Project web site. Available
from: <http://www.marmaray.com>.
historical characteristics of the site should have been considered
Transport Corporation, 2006. Istanbul Metropolitan Municipality,
and therefore more flexibility should have been provided in the
Istanbul.
contract conditions.
US Geological Survey Earthquake Hazards Program, 2003. Magnitude
Phase 1 implementation is one of the major transportation 6.4 Eastern Turkey preliminary earthquake report [online]. Available
infrastructure projects in the world today. Its unique features and from: <http://neic.usgs.gov/neis/eq_depot/2003/eq_030501/neic_tgac
technical challenges are briefly reviewed in this paper. .html>.
Realisation of this project will significantly expand the expertise Van de Kerk, F and Koyama, F, 2006. Marine operations, The Bosphorus
and knowledge base of both local and international engineering Crossing, Istanbul.
and construction practitioners. Yuksel, Y and Yalciner, A C, 2002. Hydrographic survey report, Istanbul.
ACKNOWLEDGEMENTS
This paper reflects the view of the authors, who are solely
responsible for the reliability and accuracy of the information
presented.

Lower Lea Valley Cable Tunnels – A Case Study of a Program
Critical Project
S Woodrow1
ABSTRACT
The purpose of the Lower Lea Valley Cable Tunnel project is to relocate
the overhead power lines circuits, which currently cross the proposed site
for the 2012 London Olympics in East London. This was the first contract
to be awarded as an Olympic project and is on the critical path for the
proposed Olympic Park as the construction of the Olympic village,
stadium and other venues cannot begin until the tunnels are complete, the
cables installed and the overhead power lines removed. The tunnelling
works for the scheme include two parallel tunnels between Hackney and
West Ham. Each tunnel is approximately 6 km in length. One tunnel is
4.15 m ID and connects the National Grid substations. The other is
2.82 m ID and connects the EDF Energy substations. The tunnels were
constructed through mixed ground using four earth pressure balance
tunnel boring machines. These were driven simultaneously from two
drive shafts within a single site. The 12 km of main tunnels were
constructed within a year from start to finish, with completion in June
2007.
The shafts range between 6 m and 15 m ID. These were constructed
using a combination of caisson sinking and underpinning techniques.
Dewatering was adopted to suit the groundwater conditions.
Other works include the design and construction of the head house
buildings, cable and ventilation culverts, mechanical and electrical
(M&E) installations and all associated works.
In addition to the above, a further 1 km of tunnel and two shafts were
added to the project scope connecting the EDF Energy tunnel to the
substation at Bow. These additional works provided further challenges to
the project to ensure that these works were constructed within the program
constraints for the 2012 London Olympics. This involved refurbishing one
of the tunnel boring machines from the main EDF Energy tunnel drives and
relaunching the machine to construct the Bow tunnel. The Bow tunnel was
constructed within two and a half months, with the tunnel boring machine
breaking through in August, ahead of schedule.
The main challenge presented by this project is the program
constraints. This project outlines the requirement for team work between
the client, stakeholders, contractor and designer in order to provide FIG 1 - View of shaft and electricity pylons.
program certainty. A close working relationship between the contractor
and the designer is required to provide value engineered, time-saving
solutions to mitigate the risks associated with the design and construction Energy in order to install the cables underground. Separate assets
program. are required for National Grid and EDF Energy as these separate
stakeholders have their own specific requirements.
INTRODUCTION This paper provides an outline of the project and will describe
the various interfaces and program issues for the construction of
The site for the Olympic Park for the 2012 London Olympics is the tunnels, shafts and head house structures. The paper will also
situated in Stratford, East London. The park is currently a highlight the specific requirements for cable tunnels.
brownfield, industrial site which requires a substantial amount of
redevelopment in order to host the Olympic Games and to realise
the goals of the Olympic legacy. The site itself is dissected by CONTRACT DETAILS
high voltage electricity cables supported on overhead pylons (see The Lower Lea Valley Cable Tunnel project is the first contract
Figure 1). These cables form part of the National Grid and EDF let for the 2012 London Olympics. As this project is on the
Energy utility system. National Grid and EDF Energy are two of critical path for the development of the Olympic Park, this design
the main electricity suppliers in the United Kingdom and provide and construct contract was carried out to challenging program
electricity to a large area of London. In order to allow the constraints. It was essential that this project be completed
development of the London Olympic Park, the overhead cables on time and the mechanical and electrical (M&E) systems
must be removed and the pylons dismantled. Before the cables operational prior to the removal of the existing overhead cables.
can be turned off and removed, an alternative cable circuit must The works included the design and construction of the two
be installed, energised and online for both the National Grid and electricity cable tunnels, shaft head houses and the associated
EDF Energy networks. To facilitate this, it was proposed to civil and M&E works. Once complete the installation of the
construct separate cable tunnels for the National Grid and EDF cables for both the National Grid and EDF Energy circuits could
be installed (by separate contracts) prior to removing the
1. Technical Director, Faber Maunsell Limited, 160 Croydon Road,
overhead cables and pylons.
Beckenham Kent BR3 4DE, United Kingdom. The National Grid cable tunnel consists of 6 km of 4.15 m ID
Email: steve.woodrow@fabermaunsell.com tunnel linking the substations at West Ham and Hackney. The

S WOODROW
National Grid tunnel also incorporated three main shafts to Physical obstructions along the route of the tunnels include the
facilitate the construction, to provide access and egress and to deep piled foundations for the existing cable pylons, and a
assist with the ventilation and operational constraints placed on number of existing buildings, tunnels and other existing
the tunnel. The main shafts are 15 m in diameter. There is also a infrastructure. For example, the tunnels pass beneath the
short length of 3.05 m ID segmental tunnel to make the Stratford Box, which forms part of the Channel Tunnel Rail
connection into the existing substation at Hackney. Each of the Link. This is a deep cut-and-cover box structure, which forms
shaft locations has a head house building constructed over the part of the high speed rail line which links London to Paris and
top of the shaft in order to house the ventilation equipment and Brussels. The tunnels pass beneath the floor slab of the Stratford
associated M&E systems. box with a minimum 6 m cover, and approximately 2 m cover to
the toe of the secant piles which form the walls of the box
The EDF tunnel consisted of 6 km of 2.82 m ID tunnel and
structure. As the Stratford Box is a particularly sensitive
four main shafts linking the substations at West Ham and structure, detailed discussions with the Union Rail, who are the
Hackney. The shafts vary in diameter between 7.5 m and 12.5 m, third-party owner of the structure, were required. Other
with the four main shafts incorporating a head house structure to third-party discussions included London Underground (Central
house the ventilation and M&E systems. In addition to this, there Line Tunnels and District Line surface railway), Docklands Light
was an additional 1 km of tunnel and two main shafts constructed Railway, the Silverlink Metro, Network Rail and a number of
in order to link the main tunnel drive to the existing EDF Energy river crossings.
substation at Bow. This additional length of tunnel was essential
to the proposed plans and as such had to be constructed within SCOPE OF WORKS
the same program timescales.
Tunnels
TUNNEL ALIGNMENT The scope of works for the tunnels included 12 km of bored
tunnel, with an additional 1 km of tunnel required for the
There are a number of constraints associated with the tunnel connection to the EDF Energy (EDFE) substation at Bow (see
alignment (see Figure 2). These include the ground conditions, Figure 3). The tunnels were sized to suit construction, access,
physical obstructions, environmental constraints and third party cabling and ventilation requirements. The tunnel linings were
approvals. The ground conditions are mixed, consisting of made fitted with EPDM gaskets as the primary waterproofing system
ground, gravels, Lambeth Group (which includes silts, sands and to the tunnel to achieve the maximum hydrostatic pressures of up
clays), Thanet sand and chalk. to three bar.
FIG 2 - Aerial view of scheme showing tunnel alignment.

LOWER LEA VALLEY CABLE TUNNELS – A CASE STUDY OF A PROGRAM CRITICAL PROJECT
• building services;
• lifting equipment; and
• drainage pumps.
COORDINATION AND INTERFACE ISSUES

Originally, the ultimate client for this scheme was the London
Development Agency (LDA). This project has since been passed
on to the Olympic Delivery Authority as part of the infrastructure
works for the 2012 London Olympics. The major stakeholders in
the scheme are National Grid and EDF Energy, who are the main
electricity suppliers in London and are the end users for the
project. The principal contractor for the construction works is
J Murphy and Sons. Faber Maunsell was appointed by the
contractor as the designer for the scheme. There are also a
number of appointed specialist subcontractors and suppliers.
A project of this nature has a number of detailed design
interfaces. Specialist design items, such as the M&E packages,
FIG 3 - EDF Energy tunnel (2.82 m ID) showing temporary are designed by the various subcontractors and suppliers. These
crossing. designs are then checked to ensure that the various systems are
integrated and to ensure that these designs are in accordance with
The National Grid tunnels consist of 6 km of 4.15 m ID the client’s requirements.
segmental precast concrete trapezoidal linings. The lining design There were also a number of interfaces with third parties in
consisted of a six plate ring. The lining was 200 mm thick and order to obtain approval for the works. These included London
the rings were 1.4 m wide. A single ‘universal’ lining design was Underground, Network Rail, Docklands Light Railway, Thames
adopted, with the tunnel rings tapered in order to achieve the Water and the Channel Tunnel Rail Link. There were also a
required tunnel alignment. number of interfaces with the future cable installation contracts
The National Grid tunnel also included a 65 m drive of 3.05 m to ensure that the design of the civil works was able to
ID segmental precast concrete tunnel lining to provide the accommodate cable installation.
connection into the National Grid substation at West Ham.
The EDF tunnels consisted of 7 km of 2.82 m ID segmental
precast concrete tunnel linings. This included the additional 1 km
PROGRAM
of tunnel connecting the main tunnel into the EDF Energy As this project is on the critical path for the 2012 London
substation at Bow. The design of the EDF Energy tunnel lining Olympics, the program is the most important element of the
included a six plate ring. The segments were 180 mm thick and delivery for this project. In order to achieve successful delivery, a
the rings were 1 m wide. Left-hand, right-hand and straight fully integrated program was produced combining the design,
tunnel linings were provided in order to achieve the required construction and procurement of all of the civil and M&E items
tunnel alignment. The EDF tunnel also included 50 m of 2.525 m of work. The front end of this project was particularly design
ID precast concrete pipejacked tunnel lining to provide the intensive. Particular attention was given to assessing the various
connection into the substation at Bow. methods of construction during the design stage in order to
minimise the construction program. This required immediate
Shafts mobilisation of both the design and construction teams, with
The scope of works for the shafts included a total of ten shafts. sufficient resources required to execute the program on time to
The National Grid tunnels included three 15 m ID main shafts, allow the successful handover for cable installation.
and an additional 6 m ID shaft to accommodate the cable The contract was awarded in September 2005 with
connection into the existing substation at West Ham. The tunnel construction on site beginning in November that year. Tunnelling
drives for the EDF Energy scheme included a 12.5 m ID shaft, commenced in April 2006, with the main tunnel drives
three 10.5 m ID shafts and two at 7.5 m ID. This includes the completed by June the following year. The EDF Energy tunnels
additional works associated with the connection into the Bow were handed over to enable the first stage of the cabling
substation. installation in September 2007, with the National Grid cable
tunnel being handed over for cable installation in November
2007.
Mechanical and electrical (M&E)
Following the completion of cabling, the tunnels, shafts and
The scope of works for the mechanical and electrical systems head houses will be handed back to Murphy for the final
included the following systems: commissioning of the M&E systems. Final handover to the client
• SCADA system; is planned for July 2008. This is a construction program of
156 weeks, which has been fully integrated into the overall
• tunnel ventilation; program for the Olympics.
• distributed temperature sensing system; The key risks to program include delays with planning
• fire-fighting, detection and alarm systems; consents and third-party approvals, the availability of shaft sites
and compound areas and production rates for the tunnel
• gas detection;
construction. However, the main risk to the program was the
• tunnel vehicle (National Grid only); procurement of the M&E systems, particularly the tunnel
• radio communications; ventilation and SCADA systems, which had a lead-in time of
approximately 18 months. Therefore, to mitigate this risk it was
• security systems; necessary to award the subcontracts for the design and
• lighting; manufacture of these systems at the earliest opportunity.

S WOODROW
FIG 4 - Tunnel breakthrough (Sonia, May 2007). FIG 5 - Temporary vertical conveyor within drive shaft.
efficiently. This also provided a safe working area for the

CONSTRUCTION METHODOLOGY tunnelling works by minimising the number of truck movements.
The spoil was stockpiled on the adjacent site to be used in the
Tunnels future for landscaping of the Olympic Park. This reduced time
and cost associated with handling and disposing of the excavated
The tunnels were constructed using Lovat earth pressure balance material. This was also environmentally beneficial due to the
(EPB) tunnel boring machines (TBMs). In order to meet with the reuse of the excavated material and the reduction of construction
construction program, these were constructed by four traffic.
simultaneous tunnel drives constructed from two shafts on a At tender the contractor bid on the basis that the TBM would
single site. These were constructed in mixed ground conditions, be available for 85 per cent of the time, with the delivery and
with the south drives in the Lambeth Group and the north drives handling systems available 95 per cent of the time. This
predominantly within the Thanet sands. contractor’s assessment also allowed for reduced productivity of
The tunnel machines used to construct the 4.15 m ID tunnel the tunnelling works based on the fact that two TBMs would be
lining for the National Grid Cable Tunnel (Sonia and Lucille) driven from a single shaft. These targets were achieved and the
had been previously used on the Los Angeles Sewer Project. tunnels were delivered on time.
These were purchased by the contractor and were refurbished at The 4.15 m ID National Grid tunnels averaged between 12 m
the Lovat works in Toronto prior to being shipped to the United and 15 m per shift, based on three shifts in a day, with each shift
Kingdom. Using refurbished machines saved time on program being eight hours. The long drive north was given priority as this
compared to the procurement of new machines. was on the critical path. Allowing for the time associated with the
The tunnel machines used to build the 2.82 m ID EDF Energy TBM launch, maintenance and installation of the rail crossings
tunnel drives (Fionnuala and Helen) were Murphy owned. These within the tunnel, these averages were reduced to 9 m and 11 m
were refurbished by Murphy at their works in North London. respectively. The average construction rates for the smaller 2.82 m
Fionnuala had been used previously on the Limerick main ID EDF Energy tunnel drives were between 14 m and 17 m per
drainage scheme in Ireland. Helen was first used on the Thames shift. Again, the long drive north was given priority. These
Water London Ring Main project in 1999, and more recently on averages were reduced to 12 m and 14 m respectively, allowing for
the Elstree St Johns Wood Cable Tunnel. the TBM launch, maintenance and crossings.
In order to ensure the most efficient service to the TBMs, the
contractor carried out a detailed analysis of the program for Shafts
different methods of delivering segments to the machine and
removing the excavated material from the tunnel face. Based on Dewatering was used at each of the shaft sites to aid
the proposed working layouts at the drive shafts and the lengths construction. The shafts were sunk as caissons through the upper
of the tunnel drives, the most efficient method was considered to aquifer and the gravels. Once into the clay material of the
be the use of diesel-powered locomotives. The locomotives Lambeth Group, the shafts were grouted up and underpinning
delivered tunnel segments to the TBM by means of specially techniques were used to complete the construction of the shaft
adapted wagons. The locomotives also removed the excavated over the remaining depth.
material from the face by means of ‘muck skips’. The muck In order to speed up the construction process, value
skips were side tipping. On arrival at the drive shaft, a hydraulic engineering workshops were carried out by the contractor and
system was used to tip the skips such that the excavated material the designer in order to achieve the most efficient, buildable
was deposited into a hopper. The hopper then transferred the solution. A number of examples are described below.
material onto a conveyor at the bottom of the shaft. The conveyor The shaft portals were designed in three sections rather than as
then ran vertically up the shaft, carrying the spoil material (see a complete ‘picture-frame’ structure. These sections were lowered
Figure 5). At the top of the shaft the excavated material was then down and bolted into place at the bottom of the shaft. This
deposited onto a horizontal conveyor to carry the spoil away minimised the height of unsupported ground and reduced the
from the site to an adjacent area used for storage. requirements for the temporary works support. This also
Taking the spoil away from the shaft areas meant that the drive minimised the weight of each lift for the installation of portable
site could be kept clear of trucks used to transport the spoil. This frames. This not only provided time savings on the program but
meant that the working area around the drive shafts worked also provided health and safety benefits.

LOWER LEA VALLEY CABLE TUNNELS – A CASE STUDY OF A PROGRAM CRITICAL PROJECT
The construction of the shaft roof slabs and head house SPECIFIC REQUIREMENTS FOR CABLE
structures were on the critical path. Based on the reference TUNNELS
design, these could not be constructed until after the completion
of the tunnel drives and the TBMs had been removed. However, Cable tunnels have different requirements to other utility
a value engineered solution was to construct the majority of the tunnelling projects. These are described below.
shaft roof slabs as an in situ concrete design prior to the TBM
breakthroughs. Using an in situ concrete design enabled the shaft Ventilation
roof slabs to incorporate the complex shapes and locations of the
required openings within the slab. Once the in situ concrete slabs In order to ensure that the electricity cables work efficiently and
to ensure that they achieve the required design life, the working
were complete, the scaffolding and formwork could be removed
temperature within the tunnel must be maintained to the required
prior to the arrival of the TBM. Once the TBM had broken
limits. For the Lea Valley Cable Tunnels, the specified
through into the shaft, it could be lifted through the opening in
requirement was that the temperature of the air at the outlet
the shaft roof slab. Precast concrete sections were designed and shafts was limited to a maximum of 35°C. A detailed ventilation
cast on site prior to the arrival of the TBM. Once the TBM had model was carried out to assess the various conditions in order to
been removed the precast concrete slabs could be lifted into confirm the design of the ventilation system in accordance with
place to complete the shaft roof slab. This enabled the the contract specification.
construction of the head house to commence within a matter of
days following the removal of the TBM. This saved a
considerable amount of time on program.
Safety and access requirements
In order to minimise the requirement for man access, a remote
SHAFT HEAD HOUSE controlled tunnel vehicle was installed within the National Grid
tunnel. This vehicle was fitted with a close-circuit TV system in
Key issues associated with the design and construction of the order to inspect the cables and the tunnel without the need for
head houses included cost and program. There were also man access. This vehicle was in the form of an electric car
architectural requirements, particularly for those head houses mounted on a monorail beam in the crown of the tunnel.
constructed within the Olympic Park. Architectural and planning
approvals were agreed in conjunction with the master planners Fire protection and safety
for the Olympic Park. The reference design for the head houses
included an in situ concrete proposal. A value engineering Due to the risk of fire from the electrical cables within the
exercise resulted in the in situ concrete design being revised to a tunnel, the precast concrete tunnel and shaft linings were
steel frame structure with cladding (see Figure 6). This meant designed to incorporate a passive fire protection system. This
that the head house structure could be built and the cladding was in the form of polypropylene fibres, which were added to the
installed within one to two months of completion of the concrete mix for the precast concrete segments with a
tunnelling works. This saved a considerable amount of time on concentration of 1 kg/m3.
program. Pressurised staircase access in the shafts was also provided to
ensure smoke free access and egress in the event of a fire.
Active fire protection is also provided by the M&E systems.
The combined M&E systems are controlled by SCADA, such that
in the event of a fire it is detected and the alarm raised
automatically. The SCADA system then closes the ventilation
louvers and dampers, before shutting down the ventilation system
to starve the fire of oxygen. The tunnel ventilation system is also
designed with reversible fans and a manual override such that, in
the unlikely event of persons being in the tunnel at the time of a
fire, the ventilation fans can be used to force smoke away from the
populated areas to help increase the time for escape.
CONCLUSIONS
In summary, the main challenge of this project was the program.
This project required the close cooperation between the client,
contractor and designer in order to achieve the project goals. An
integrated design and construction program was required to
FIG 6 - Shaft head house construction. ensure that the impacts made during the design and construction
process could be easily monitored. This ensured the successful
completion of the tunnelling works and the timely handover for
MECHANICAL AND ELECTRICAL (M&E) the cable installation.
SYSTEMS
The design of the civil and M&E aspects of the project were ACKNOWLEDGEMENTS
developed together in a coordinated approach in order to ensure a The author would like to acknowledge Olympic Delivery
combined design and to ensure that the civil works could Authority, London Development Agency, National Grid, EDF
accommodate the M&E systems (and visa versa). Energy and J Murphy and Sons.

Soft Ground Tunnelling in Melbourne – Investigation and Design
of the Melbourne Main Reliever
P Clark1, M Dixon2 and T O•Shannessy3
ABSTRACT This project represents the first large-scale, modern

mechanised tunnel project in Melbourne’s Yarra Delta
Melbourne Water (MW) is responsible for a section of existing gravity
trunk sewer servicing the Melbourne central business district, Docklands, Quaternary sediments. There is little precedence known to the
Port Melbourne and other adjacent areas, known as the Melbourne Main authors of similar projects in these particular geological units.
Sewer (MMS). MW has determined that the 2.2 km long 110 year old During the recent detailed investigation and design stages of the
sewer will not adequately service these areas into the future or provide project significant effort has been spent on characterising the
the level of reliability needed. The Melbourne Main Sewer Replacement geotechnical conditions along the alignment and predicting the
project (MMSR) involves the replacement of the MMS with a new effects of the new tunnel on the existing environment.
gravity sewer main and six key manhole shafts, known as the Melbourne Difficult ground conditions, crossing of the Yarra River,
Main Reliever (MMR).
extensive new surface developments in the area and the risk of
The majority of the MMR sewer tunnel is situated south of the Yarra settlement damage to houses have all been major design
River and will be constructed using an earth pressure balance (EPB)
tunnel boring machine (TBM) and will be lined with precast concrete
obstacles to overcome. Simply selecting a horizontal and vertical
segments. The tunnel will be 2.4 m internal diameter and will have a alignment for the tunnel was very difficult. Considerable effort
1.8 m diameter glass fibre reinforced plastic (GRP) sewer pipe positioned was required to inform and liaise with stakeholders, asset owners
within it. and the community to achieve the best, least cost community
This project represents the first large-scale, modern, mechanised tunnel solution for the project.
project in Melbourne’s Yarra Delta Quaternary sediments. There is little The project’s design and construction is being delivered under
precedence known to the authors of similar scale tunnelling projects in a partnering incentive-based arrangement involving GHD as
these particular geological units. During the recent detailed investigation designer, John Holland as constructor and Connell Wagner as
and design stages of the project, significant effort has been spent on project manager.
characterising the geotechnical conditions along the alignment and
Construction of the new MMR sewer tunnel is expected to
predicting the effects of the new tunnel on the existing environment.
commence in mid-2008 with a capital cost of approximately
Some of the key design issues that have been identified and managed $160 million. Sewer system commissioning is scheduled for
through the design process include short-term surface settlement due to
tunnel excavation and the predicted effects on surface infrastructure,
completion by early 2012.
potential spalling of the steel fibre reinforced concrete segments under
full TBM ram loads and tunnel lining design in geological units with PROJECT BACKGROUND
highly variable stiffness.
Construction of the new MMR sewer tunnel is expected to commence The original MMS was constructed in the late 1890s to collect
in mid-2008 with a capital cost of approximately $160 million. Sewer sewerage from the city of Melbourne and adjacent residential
system commissioning is scheduled for completion by early 2012. areas. The existing sewer transfers flows from the city, parallel to
the north bank of the Yarra River, to the downstream side of the
Charles Grimes Bridge. It then crosses the Yarra River and flows
INTRODUCTION south-west to join the HBMS in Port Melbourne.
Melbourne Water (MW) is responsible for a section of existing MW has identified that due to the operational impacts of
gravity trunk sewer servicing the Melbourne central business increased flows and difficulties in inspecting this sewer, it poses
district, Docklands, Port Melbourne and other adjacent areas, an unacceptable risk and requires replacement.
known as the Melbourne Main Sewer (MMS). MW has The MMS was constructed by the Melbourne Metropolitan
determined that the 2.2 km long 110 year old sewer will not Board of Works (MMBW) using a variety of techniques.
adequately service these areas into the future or provide the level Section 1 of the MMS from the Yarra River to the HBMS was
of reliability needed. constructed using seven different tunnel shields. A section of the
MW is undertaking the Melbourne Main Sewer Replacement tunnel was lined using a cast iron shell with concrete lining
(MMSR) Project to replace the existing MMS between the north whilst other sections were lined using bluestone blocks.
bank of the Yarra River and the Hobsons Bay Main Sewer Compressed air was used only in one section where the tunnel
(HBMS) in Port Melbourne. This new infrastructure will consist alignment came close to a number of brick houses on the surface.
of 2088 m of driven, segmentally lined sewer tunnel, having an The Yarra River crossing was constructed using a cast iron
internal diameter of 2.4 m. The new sewer, known as the tube to act as a partial siphon. The top of the cast iron lining is
Melbourne Main Reliever (MMR), will provide increased approximately 6 m below the low water level in the river. The
hydraulic capacity for anticipated future population growth of the tube was laid in a trench that was excavated across the bed of the
city of Melbourne and the Docklands precinct. It will also river. Crushed basalt was used to support the pipe in the trench.
improve accessibility for maintenance and monitoring, and Bags of concrete were used to retain wet concrete that was
reduce the risk of failure associated with the existing, ageing tremmied in place around the pipe by divers. A 1 m thick block
sewer tunnel. of concrete protects the top of the sewer pipe from river scour
and debris.
1. Senior Project Manager, Melbourne Water, PO Box 4342, Melbourne Figure 1 shows inspection of the MMS Yarra River crossing
Vic 3001. Email: peter.clark@melbournewater.com.au during construction.
2. Principal Tunnel Engineer, GHD, Level 8, 180 Lonsdale Street,
Melbourne Vic 3000. Email: malcolm.dixon@ghd.com.au PROPOSED SEWER SCHEME
3. Senior Geotechnical Engineer, GHD, Level 8, 180 Lonsdale Street, The horizontal alignment for the MMR tunnel begins with a
Melbourne Vic 3000. Email: trevor.o’shannessy@ghd.com.au crossing of the Yarra River at the northern end of the project just

P CLARK, M DIXON and T O’SHANNESSY
TABLE 1
Summary of Melbourne Main Reliever (MMR)
construction techniques.
Construction technique Length (m)

Pipe jacking 1.8 m reinforced concrete pipes 36
Yarra River crossing using a dry cofferdam 142
Segmentally lined 2.4 m ID driven tunnel 2088
Overburden cover to the crown of the driven tunnel ranges

from 9 m to 13 m. The sewer will operate under gravity with a
design gradient of one in 800.
There will be six new major sewer manhole shafts constructed
along the alignment to facilitate access for sewer operation and
maintenance. These shafts will be constructed as both
FIG 1 - Inspection of the Melbourne Main Sewer (MMS) Yarra rectangular and circular reinforced concrete structures using cast
River crossing during construction in 1895 (Melbourne in situ techniques. The intrados of the manholes will be lined
Metropolitan Board of Works, 1900). with a polyethylene plastic corrosion liner to achieve the
required 100-year design life.
The MMR sewer tunnel will be constructed as a 2.4 m
upstream of the Charles Grimes Bridge. The sewer then passes diameter segmentally lined tunnel. The tunnel will be excavated
within a narrow corridor adjacent to the new Melbourne using an earth pressure balance (EPB) tunnel boring machine
Convention Centre (MCC), which is currently being constructed. (TBM). Precast steel fibre reinforced concrete segments will be
The tunnel then traverses south along Johnson Street and down to used to line the driven tunnel behind the TBM. Steel fibre
the light rail reserve at Boundary Street. The tunnel then heads reinforcement was chosen for the segments to keep the segment
south along the light rail reserve until it sweeps westerly under thickness to a minimum. The thickness of the segments would
the Graham Street overpass along Swallow Street. Here it have been at least 50 mm thicker if conventional steel bar was
connects into the HBMS. specified in the design. Other advantages such as lower risk of
Figure 2 provides an overview of the proposed sewer scheme. corrosion and lower cost of production helped to justify this
The new sewer will be constructed using a variety of decision.
construction techniques. Table 1 provides a summary of these Design properties of the tunnel lining segments are provided in
different methods. Table 2.
FIG 2 - The proposed alignment of the Melbourne Main Reliever (MMR) through Port Melbourne.

SOFT GROUND TUNNELLING IN MELBOURNE – INVESTIGATION AND DESIGN OF THE MELBOURNE MAIN RELIEVER
TABLE 2 The annulus between the segmental lining and the liner pipe
will be filled with a controlled low-strength backfill material
Details of steel fibre reinforced concrete segments.
consisting of cement grout.
Tunnel segment properties A diagrammatic representation of the proposed MMR tunnel
Geometry 5 segments + key lining configuration is shown in Figure 3.
Internal diameter 2400 mm
GEOTECHNICAL INVESTIGATIONS
Segment thickness 200 mm
Maximum ring taper 14 mm (for 250 m radius curve) The geotechnical field investigation program was broken up into
3 two major stages undertaken during 2006 and 2007. Findings
Total cementitous content 475 kg/m
from the initial investigations during 2006 were used to target
Water:cement ratio (min) 0.38 later investigations with the aim of filling in remaining
Fibre type and dosage 40 kg/m3 of Dramix RC 80/66 knowledge gaps in the subsurface geological model.
Minimum 28-day compressive 50 MPa The field program included:
strength • geophysical surveys (magnetics, resistivity and seismic
Minimum characteristic flexural 4.60 MPa refraction surveys);
strength (first crack)
• 72 boreholes drilled to a maximum depth of 37.4 m (but
Minimum residual flexural strength 3.80 MPa generally around 20 m depth);
(for 3 mm deflection)
• 50 cone penetrometer tests to a maximum depth of 34 m (but
generally around 20 m depth); and
The current segment arrangement is for a triple ring system
• three dilatometer tests were undertaken to a maximum depth
(left taper, right taper and parallel rings). The taper on the rings
of 24 m.
has been calculated for the design 250 m radius curves within the
alignment. An additional margin of ten per cent has been allowed Borehole test sites were predominantly drilled using a
for to account for possible TBM misalignment. The segments are combination of wash boring and HQ diamond coring.
joined on the circumferential joint using dowels and on the Undisturbed thin wall tube samples and standard penetrometer
longitudinal joint using spear bolts. All joints will be sealed with tests were undertaken in the boreholes. In cohesive soils vane
an EPDM rubber gasket. The gasket provides a seal once the ring shear or pocket penetrometer tests were carried out in the
is in compression. Water tightness tests have been specified on trimmed base of the undisturbed tube samples.
test rings to check the integrity of the final segment gasket The cone penetrometer testing included pore pressure
configuration. dissipation testing in selected fine grained soil layers to assist in
The segmental lining will provide the long-term ground determining permeability and consolidation parameters.
support for the tunnel. To address the issue of corrosion to the A total of 44 open standpipe groundwater monitoring wells
concrete from sewerage gases, a series of durable DN1800 glass were installed to target geological units of interest. Allowance
fibre reinforced plastic (GRP) liner pipes will be grouted in was made to fit some of the open standpipes with gas sampling
position inside the segmentally lined tunnel. These pipes have well caps to monitor and allow assessment of potential harmful
been designed to withstand the external hydrostatic load. gases, such as methane, occurring in the tunnel alignment. The
The GRP liner pipes will be installed within the segmentally monitoring showed no elevated concentrations of soil gases.
lined tunnel in 3 m and 6 m lengths. The plastic liner pipes will Groundwater recovery tests were undertaken in the open
be supported internally using spider supports and locked in place standpipe installations to assess the permeability of the
against the segmental lining using timber blocks and wedges. geological units along the alignment. In addition to the single
FIG 3 - Proposed Melbourne Main Reliever (MMR) sewer tunnel lining.

standpipe recovery testing a constant rate-pumping test was also Bay due to tectonic movement during the Tertiary period. The
carried out in the Port Melbourne Sand (Qrp) aquifer in the subsequent depression created favourable conditions for the
southern part of the tunnel alignment. deposition of younger soil and rock formations during the
A large number of soil and groundwater samples were Tertiary period.
collected during the field investigation and laboratory analysis Further subsidence during the Quaternary period coupled with
carried out at geotechnical and chemical analytical laboratories. rapid fluctuation in sea level led to changes in drainage and
The results of the laboratory testing were used to characterise created a deltaic environment known as the Port Phillip
the ground conditions for tunnelling. These tests included: Sunkland, suitable for the deposition of large thicknesses of
alluvial sediment.
• soil classification and particle size (Atterberg, PSD and field
moisture); The Silurian sedimentary rocks occur well below the proposed
tunnel alignment and are not discussed further in this paper.
• undrained and effective shear strength (triaxial methods);
Shallow Tertiary units intersect the tunnel in the southern part
• compressibility (1D oedometer testing); of the proposed alignment; however, most of the tunnelling
• permeability (constant head permeability); alignment lies within the province of soft alluvial sediments,
collectively termed the Yarra Delta Group.
• abrasion indicators for TBM cutters (CERCHAR, AV, paddle
The Yarra Delta Group is a geologically young sequence of
and petrological testing);
clays, silts, sands and gravels deposited during the Quaternary
• soil and groundwater aggressiveness to buried pipeline period within the last two million years. Soil type and
(EC, pH and aggressive anions such chloride and sulfate depositional modes within the Yarra Delta Group have been
concentration); significantly influenced by multiple changes in sea level
• chemical contamination (eg heavy metals and hydrocarbons), occurring through the interglacial Quaternary period.
for spoil and groundwater disposal and compliance in The occurrence of the Yarra Delta Group is mainly confined to
accordance with EPA criteria; and the south of Melbourne’s central business district, but is also
found in and along the margins of present and ancestral water
• groundwater salinity and major anions to assess potential for
courses of the Yarra and Maribyrnong Rivers.
responsible reuse or disposal options.
The extent of the Yarra Delta Group in relation to the proposed
tunnel alignment is presented in Figure 4.
GEOLOGICAL MODEL
A thin veneer of anthropogenic fill materials can be found in
The proposed MMR tunnel alignment is located within the Port some areas along the proposed alignment, where the low lying
Melbourne and South Melbourne area. The complex geological ground has been built up since settlement of Melbourne through
setting of this area contains Silurian through to Quaternary aged to today. The fill materials do not intersect the tunnel horizon;
materials. however, they are present at some of the proposed shaft locations
The stratigraphic succession of the geological units of where they may have an impact on construction.
relevance to this project are presented in Table 3. The major geological units occurring within the tunnel horizon
(youngest to oldest) include:
TABLE 3 • Port Melbourne Sand,
Stratigraphic column of geological units relevant to Melbourne • Coode Island Silt,
Main Reliever (MMR) tunnel alignment.
• Fishermens Bend Silt,
Unit abbreviation Period Geological unit • Tertiary Brighton Group, and
Fill Anthropogenic deposits • Older Volcanics Basalt.
(man-made ground)
Recent It should be noted that the term ‘silt’ used in the title of the
RAMS Recent Alluvial Mud Coode Island and Fishermens Bend units is generally a historical
Sequence (confined to
Yarra River)
misnomer, with the majority of these soils being classified in
geological terms as clays.
Qrp Port Melbourne Sand
A geological long section of the tunnel alignment is presented
Qri Coode Island Silt in Figure 5.
Qpf Fishermens Bend Silt The major geological units encountered during the geotechnical
Quaternary (Yarra (undifferentiated, fine investigation are described in more detail below.
Delta Group) grained)
Qpf1 Fishermens Bend Silt Port Melbourne Sand (Qrp)
(localised, granular subunit)
Qpg Moray Street Gravels
The Port Melbourne Sand unit represents the youngest
Quaternary formation occurring along the tunnel alignment. The
Tpb Brighton Group unit is typically 5 - 10 m thick and lies above the tunnel zone for
Tvo Tertiary Older Volcanics much of the alignment. The occurrence of Port Melbourne Sand
Tew Werribee Sand material within the tunnel zone is limited to the southern part of
the alignment, where it reaches a maximum depth of up to
Sud Silurian Melbourne Formation
approximately 19 m below surface. The unit thins to the north,
eventually pinching out between the Coode Island Silt and
Melbourne’s basement geology comprises Silurian sedimentary overlying fill deposits, prior to reaching the Yarra River.
rocks consisting of interbedded sandstone and mudstone The Port Melbourne Sand unit commenced its deposition
sequences. These rocks provide structural control for the during the final stages of a postglacial marine transgression and
deposition of overlying materials. continued to accumulate in a terrestrial shoreline environment as
The eroded surface of the Silurian basement has been tilted the sea level fell (Neilson, 1996). This resulted in a combination
and down warped in a south-west direction towards Port Phillip of upper aeolian dune and lower sublittoral sand deposits.

Yarra Delta
Trough
Approximate
position of tunnel
FIG 4 - Regional extent of Yarra Delta Group (shown as central shaded orange area) (source: Birch, 2003).
Fine- to medium-grained, subangular to subrounded quartz The lower contact between the Coode Island Silt and the
sand characterises this formation, with colour varying between Fishermens Bend Silt is sometimes visually indistinct due to
yellow, white or grey. The sands are relatively clean but in areas staining of the overlying dark coloured silty clay; however, there
can be silty or clayey, particularly towards the base of the unit. is generally a marked change in strength between the weaker
Occasional inclusions of fine angular shell grit, or more rarely, Coode Island Silt and the stronger Fishermens Bend Silt.
concentrated thin shell beds, occur within the unit. The relative
density of the unit is typically loose to medium dense, but was Quaternary Fishermens Bend Silt (Qpf)
found in places to be very loose in near its base, where it
transitioned into the underlying Coode Island Silt. The Fishermens Bend Silt unit is typically over-consolidated clay
sediment of marine origin, which can be subdivided into the
The Port Melbourne Sand is a freshwater sand aquifer where it
following subunits:
occurs over the southern half of the sewer alignment. The aquifer
is unconfined and generally occurs less than 6 m below surface • Undifferentiated (Qpf) clay and sandy clay dominates the
level. formation, these soils are typically mottled grey/brown of
The contact between the Port Melbourne Sand and the intermediate to high plasticity and are often fissured.
underlying Coode Island Silt is generally conformable and in Minor gravel-sized carbonate nodules were occasionally
places somewhat gradation with interbedded transitional silty encountered within this unit during the geotechnical
sand and clay banding being exhibited near the base of the unit. investigation. The strength of the soil varies between firm to
very stiff.
Coode Island Silt (Qri) • A localised permeable subunit (Qpf1), which typically
consists of grey or brown fine-grained silty sand and clayey
Deposition of this unit occurred in sheltered shallow marine to sand type soils of medium density. Gradational changes to
estuarine conditions and is characterised by darkly-coloured fine- sandy clay or sandy silt sometimes also occur within this
grained soil types. subunit.
The unit is present along much of the tunnel alignment and
predominantly comprises black to dark grey, clay soil of Facie change transitions between the undifferentiated Qpf
intermediate to high plasticity. White mollusc shells are common clays and more granular subunit Qpf1 occur in the vicinity of the
as inclusions within the clay and some thin bands of sand and Yarra River between the Johnson Street and Wurundjeri Way
brown peaty organic matter also occur infrequently. manhole shafts. These transitions to sandier conditions within the
main undifferentiated clay unit may represent localised changes
At tunnel depth clays are generally of firm consistency, with
undrained shear strengths typically around 25 - 50 kPa. in deposition, possibly as a result of migratory paleochannels
within the larger clay dominated unit.
The Coode Island Silt is normally consolidated to slightly over
consolidated and exhibits significant primary and secondary
consolidation settlements on loading. Tertiary Brighton Group (Tpb)
It is generally of low permeability and although saturated, This unit has been identified in the southern part of the proposed
yields little water. tunnel alignment, where it overlies the Older Volcanics and
The Coode Island Silt unconformably overlies the eroded forms two distinct Tertiary inliers of older geology surrounded
irregular topography of Fishermens Bend Silt. by sediments of the Yarra Delta Group.

FIG 5 - Interpreted geological long section along Melbourne Main Reliever (MMR) tunnel alignment.

The Brighton Group encountered along the alignment however, traces of quartz gravel were also present, indicating an
typically consists of poorly bedded fine-medium quartz sand, erosional surface. Below this the basalt consisted of highly
clayey sand and sandy clay soils types. Sands are generally fractured (RQD = zero per cent), slightly weathered rock. The
medium dense to dense, whilst clay soil types are stiff to hard. rock was typically grey and non-vesicular in appearance. Point
load testing suggests the intact rock is of very high strength
The Brighton Group encountered along the alignment consists
(approximate UCS range 130 MPa to 220 MPa).
of clay and sandy clay soil types that typically range from very
stiff to hard consistency; however, layers of clayey sand, sand Intersections of weathered basalt rock were encountered
elsewhere in the investigation boreholes drilled along the
and sandy silt were also encountered. Colouration within the unit
alignment; however, these were generally significantly below the
varies from pale grey to yellow or reddish brown and is often
tunnel invert.
mottled, particularly in cohesive soils.
The basalts represent a fractured rock aquifer often displaying
Sand fractions encountered within the unit were mainly of a thick upper horizon of weathered soils. The weathering may
fine-grained quartz. Gravel-sized (<60 mm) ferruginous and create some hydrological confinement; however, in regional
siliceous inclusions were found to occur as strongly cemented context the basalt is expected to be unconfined to semi-confined
rocky material within the soil matrix. The soil mass also displays and at least partially hydraulically connected with overlying
weakly cemented zones of finely disseminated ferruginous saturated sediments.
binder, this commonly leads to patchy reddish mottling within
the soil matrix and localised increased strength. The ferruginous SUMMARY OF INTERPRETED GEOTECHNICAL
cemented zones are a result of lateritic conditions during the
Tertiary and frequently occur in the soil mass; rarer siliceous PARAMETERS
secondary cementation has also been observed as pale grey, The geotechnical parameters presented are based on interpretation
gravel-sized inclusions, typically restricted to sandy layers. of in situ and laboratory test results. The values presented are
Based on the borehole results, the extent and occurrence of based on typical ranges for particular material types present at
cementation within the unit appears to be relatively minor and the tunnel horizon.
unlikely to significantly disrupt tunnelling operations. It is The subsurface conditions are known to vary both laterally and
recognised; however, that elsewhere in the Melbourne area vertically along the tunnel alignment. The interpreted ranges
significant cementation has been observed in the Brighton Group given should be considered specific to this project and may not
sediments and that such cemented zones are generally difficult to be applicable to engineering problems at other sites in similar
discern during geotechnical investigations due their localised materials.
nature and limited extent. Table 4 presents a summary of the typical geotechnical
SPT N values ranged between seven to greater than 50 (or tunnelling design parameters for the MMSR project.
refusal) within this unit. The upper range of the SPT N values
generally reflects the presence of secondary cementation
occurring within the soil mass.
KEY GEOTECHNICAL ISSUES
Groundwater
Tertiary Older Volcanics (Tvo)
The MMR sewer tunnel is to be constructed below the
The Older Volcanics Formation consists of multiple basalt flows, groundwater table. At least two significant aquifer systems have
which have occurred sporadically during the Tertiary period. been identified along the alignment, which the tunnel will
The formation often displays a deeply weathered profile and intersect, these are:
is in places intercalated with sediments derived from the
upper Werribee Formation. Weathering and post-depositional • Port Melbourne Sand (Qrp) – unconfined aquifer, and
sedimentation indicates significant periods of quiescence • Fishermens Bend (Qpf1) – semi-confined aquifer (granular
between eruptive events. subunit).
At shallow depth the upper part of the Tertiary basalt is deeply The piezometric surface within the Port Melbourne Sand is
weathered and appears predominantly as fissured, very stiff to around RL -1.0 to -2.0 m AHD (approximately 3.0 - 4.0 m below
hard, clay and silt soil with little remaining rock structure (ie existing surface level).
residual soil (RS) to extremely weathered basalt (XW)). The
upper weathered horizon contains gravel-sized inclusions of The piezometric surface in the Qpf1 it situated at around RL
ferruginous cementation, often present as veining within the soil -0.5 to -1.0 m AHD (around 2.0 - 2.5 m below existing surface
mass. The SPT N values in the weathered (Tvow) zone were level), which is generally coincident with the river level in the
found to range between 11 to greater that 50 (or refusal). Yarra, suggesting some hydraulic connection.
The lower zones of this unit are typically basalt rock, which is Uncontrolled groundwater inflows have the potential to not
dark grey to black, highly fractured in places. Weathering profile only cause tunnel face instability but to also trigger settlement in
and strength is generally highly variable. The weathering profile the sensitive Coode Island Silt.
in the basalt is uneven but generally rock mass weathering While the groundwater within the Port Melbourne Sand is
decreases with depth. Some predominantly highly weathered considered fresh (<1000 mg/L TDS), groundwater sampled from
rock is predicted to occur in the lower part of the tunnel between other geological units is quite saline. The salinity of the remaining
Raglan Street and Boundary Street, below approximately 12 m units including the Fishermens Bend Silt, Coode Island Silt and
depth. This rock is generally of low strength and highly fractured Tertiary units has been found to be up to 30 000 mg/L TDS.
with rock quality designation (RQD) values generally between The saline groundwater has the potential to impact on the
zero and 25 per cent. The discontinuities within the rock mass bentonite slurry used during tunnelling and will require special
are predominantly infilled with secondary iron oxide minerals or consideration with respect to disposal, although some
clayey seams. Occasional layers of hard residual soil persist opportunities exists to reuse fresh water from the Port Melbourne
within the rock mass. Sand for local irrigation.
An isolated stony ridge of fresher basalt was encountered near Other aquifer systems exist deeper within the project area.
the base of the tunnel approximately half way along Johnson These aquifers are not predicted to be encountered by the tunnel
Street. The upper contact of the basalt consisted of a gravelly drive but have the potential to be intersected by deep temporary
layer, which was up to 1 m in thickness. This gravelly layer was works such as CFA contiguous piling utilised during shaft
predominantly of fine to medium gravel of angular basalt; construction.

TABLE 4
Summary of the typical geotechnical tunnelling design parameters for the Melbourne Main Sewer Replacement (MMSR) project.
Geology at Description Consistency/ Bulk unit Undrained Effective Young•s modulus (MPa) Poisson•s ratio Co-efficient
tunnel relative weight shear friction of earth
Undrained Effective Undrained Effective
horizon density (kN/m3) strength angle pressure at
Eu E• u •
Su (kPa) rest
(cohesive) (granular (cohesive) (granular)
(degrees) (Ko)
Qrp Sand/silty Very loose to 15 - 18 - 27 - 35 - 2 - 10 - 0.25 - 0.35 0.55
sand medium
dense†
Qri Clay/sandy Firm 16 25 - 40‡ - 2-8 - 0.5 - 0.7
clay
Qpf Clay/sandy Firm to very 20 35 - 120§ - 5 - 20 - 0.5 - 0.7
clay stiff
Qpf1 Clayey Medium 20 - 31° - 15 - 20 - 0.25 - 0.35 0.65
(subunit)* sand/sand dense
Tpb Clay/sandy Very stiff to 20 100 - 200 - 40 - 50 - 0.4 - 0.5 - 1.5
clay hard
Tvow Clay/sandy Very stiff to 20 100 - 250 - 30 - 75 - 0.5 - 1.5
(weathered clay/silt to hard
zone) XW basalt
Tvo Basalt 23 - 28 Highly weathered basalt: UCS 2 - 5 MPa. RQD 0 - 25 per cent (highly fractured). Some XW
(HW-SW) and residual zones.
Slightly weathered basalt: small isolated occurrence of significantly less weathered rock. Occurs
in lower 25 per cent of tunnel between Chainage 1500 m to 1515 m. Erosional coarse gravels,
overlying highly fractured basalt rock mass. UCS (intact pieces) = 130 to 220 MPa.
Notes:
† Typical interpreted range in tunnel horizon although dense layers do exist above tunnel (refer CPT traces on geological long section Figure 5).
‡ Undrained shear strength increases with depth in normally consolidated to slightly over consolidated clay soil.
§ Undrained shear strength 35 - 75 kPa in southern half of alignment. In northern half of alignment undrained shear strength was higher, typically
between 50 - 120 kPa.
* Localised granular subunit within the Fishermens Bend Silt. Subunit occurs intermittently along northern part of tunnel alignment, near the Yarra
River crossing.
Soil variability and strength rock. In the upper weathered zone these minerals remain as
cemented inclusions of gravel size within a residual soil matrix.
The geological materials within the tunnelling horizon are
mainly dominated by low-strength granular and cohesive soil Brighton Group
types of the Yarra Delta Group. As can be seen in Figure 5 the
geological setting lends itself to complexity, leading to changes Cementation within the Brighton Group has been of concern
in major material types over relatively short tunnel drive where it has been encountered by other tunnelling projects in the
distances. Melbourne area.
Geological transitions often occur near the proposed tunnel Regionally, considerable cementation is recognised as occurring
and/or undulate through the tunnel zone. The potential for within the Brighton Group. This cementation is often due to iron
rapidly changing mixed face conditions is expected to be oxide minerals and can result in the development of ferruginous
challenging ground for the TBM and will require fine balancing sandstone layers; however, some minor siliceous cementation has
or pressure and bentonite mud mixtures to keep the sensitive face also been documented. Ferruginous cementation is predominant in
material stable and minimise ground loss during excavation. the upper part of the Brighton Group; however, it also occurs
within the lower part of the unit, albeit to a lesser extent.
Corestones and cemented strata Rare occurrences of siliceous layers sometimes described as
‘silcrete’ or ‘grey billy’ are known to exist as sandy layers within
Older Volcanics the Brighton Group. These layers are typically much rarer and
discontinuous than the common ferruginous cementation
The Tertiary Older Volcanics basalt presents a deeply weathered described above, but can be of extremely high intact strength
upper profile. The contact between the residual soil and basalt
(UCS >400 MPa) and be highly abrasive.
rock was found by investigation boreholes to vary considerably.
The erratic nature of weathering in this volcanic unit can result in Along the MMR alignment cementation within the lower
the formation of harder corestones within the weathered soil Brighton Group is due to staining by iron oxide minerals
material. Minor inclusions of gravel to cobble sized basalt (limonite). This commonly occurs as weak, patchy, red or orange
corestones were evident in the investigation drill core. The size zones of mottling. Stronger cemented inclusions of limonitic
and development of these core stones is consistent with advanced gravel also occur within the soil matrix.
chemical weathering, acting on closely spaced discontinuities The relatively minor cementation within the unit is not
within the rock mass. expected to cause large problems with tunnelling operations,
Weathering has also resulted in the deposition of secondary particularly where the TBM cutterhead is assisted by the
iron oxide minerals predominantly along discontininuties in the installation of roller disc cutters.

Other naturally occurring subsurface An attempt was made to identify remaining timber pile head
obstructions locations using ground penetrating radar (GPR). The GPR
survey met with limited success due to a combination of clay soil
The presence of preserved logs and stumps has been documented (Coode Island Silt) and shallow saline groundwater conditions,
as occurring near the base of the Coode Island Silt layer. Notable which impeded the signal.
examples include a large ancient red gum stump, which was From the mapping conducted timber pile obstructions have the
uncovered during construction of the Spencer Street Bridge potential of being encountered prior to TBM breakthrough into
foundation at approximately 20 m depth, near the base of the the South Wharf manhole shaft.
Coode Island Silt unit.
Intersection of these preserved logs or stumps, as shown in Potential trapped soil gases
Figure 6, during tunnelling is considered unlikely but not
impossible. The most plausible area where such a phenomenon Evidence of trapped soil gases have previously been mentioned
might be encountered is between Fennel Reserve manhole shaft by Neilson (1961) as occurring within the Coode Island Silt and
and South Wharf manhole shaft, where the tunnel skims the found in boreholes drilled for the Westgate Bridge Crossing on
the bank of Stony Creek.
lower boundary of the Coode Island Silt.
No evidence of gas emissions were detected during drilling
investigations for the MMR; however, peaty layers were noted in
the soil profile and strong sulfurous odours were noted in most
of the CIS soil samples recovered.
Two small gas anomalous emissions were detected whilst
drilling in the Older Volcanics unit below the tunnel invert level.
These emissions were noted as being of low pressure, with
drillers noting gas slowly bubbling up through the water in the
drill casing. In both cases these emissions were not sustained and
were too brief to be measured accurately by gas detection
equipment. The source of these anomalous gases remains a
mystery, but it is possible that gas may have migrated through
the fractured basalt rock from another source and were confined
by the residual clays above.
Monitoring of selected open standpipes fitted with gas
sampling caps in the Coode Island Silt and Older Volcanics did
not detect any elevated gas concentrations.
FIG 6 - Red gum stump (8800 years old), uncovered in Coode
Island Silt unit at approximately 20 m depth during foundation
excavations for Spencer Street Bridge (source: Birch, 2003). Ground settlement due to consolidation of Coode
Island Silt
Man-made obstructions – timber piles The Coode Island Silt is a problematic, highly compressible
cohesive soil unit that is sensitive to consolidation deformation
Where the MMR tunnel alignment intersects the southern bank due to loading. It is likely that many of the ground settlement
of the Yarra River, potential tunnelling obstructions exist due to compensation claims arising during construction of the original
the existence of old timber piles that have traditionally been used sewer were attributable to increases in effective soil stress in this
to support wharf structures in the area. The timber piles have unit as a result of tunnel and shaft dewatering activities.
been filled around and paved over, obscuring their position. Most of the alignment selected for the new sewer runs below
It was possible to map some of the pile positions in local parkland or road reserve and is remote from residential
trench excavations made for placement of a stormwater drain properties. The use of an earth pressure balance TBM will assist
during 2006. The size and spacing of the piles mapped in the in minimising tunnel groundwater leakages that may, if poorly
open excavation are shown in Figure 7. managed, result in consolidation of the Coode Island Silt above
the tunnel triggering excessive surface settlement.
Temporary shaft works will involve either sheet piling or
concrete contiguous piles. It will be critical to minimise leakage
of groundwater through temporary works during construction.
Soil and groundwater disposal

Soil contaminants were encountered along the alignment,
including at some of the proposed shaft sites. Most of the
shallow contamination encountered involved heavy metals and
hydrocarbons, which related to anthropogenic sources.
The Coode Island Silt, Fishermens Bend Silt and lower part of
the Port Melbourne Sand are classified as acid sulfate soils in
terms of the Environmental Protection Agency (EPA) soil
disposal classification system.
Large volumes of soil from these units will need to be
managed on-site to minimise the generation of acidic leachate
prior to disposal off-site at an appropriate EPA registered facility.
The Tertiary soil types encountered were found to have heavy
metal concentrations in excess of the EPA criteria for clean fill.
FIG 7 - Pile heads exposed adjacent to the Yarra River (South The elevated metal content in these soils is likely to be a result of
Wharf manhole shaft) during a drain construction by a local natural chemistry and therefore may not strictly be classified as
contractor. contaminated soil.

Further disposal advice for the Tertiary soils will need to be Following a detailed analysis of the lining at this location,
sought from the EPA by the construction contractor. these concerns were dispelled. All results were found to be
The anthropogenic and acid sulfate soils will require disposal within the capacity of the section with an adequate factor of
as a low level contaminated waste. safety. Relatively low overburden loads assisted in this regard.
Most of the groundwater tested was found to be of high The structural capacity envelope for the tunnel segments and
salinity and will be collected and disposed to the sewer. the resultant moment-thrust result combinations for the tunnel at
Potential irrigation reuse opportunities for fresh water the geological contact described above have been plotted in
contained in the Port Melbourne Sand unit exist, which are Figure 8.
currently being explored. Another critical assessment concerned bursting stress due to
the anticipated TBM ram loads on the circumferential joints of
the steel fibre reinforced segments. The TBM will be fitted with
TUNNEL DESIGN CONSIDERATIONS 12 hydraulic rams, each with an ultimate jacking capacity of
The detailed design of the MMR sewer tunnel has recently been 1017 kN. Ram shoes in contact with the segments will be 450 m
completed. A number of key design considerations have been long by 90 mm wide. These rams are used to lock the segment
addressed through this process. rings together and to propel the TBM forward.
Of major interest has been the structural performance of the The design approach for end blocks in post-tensioned concrete
segmentally lined tunnel within the very weak and soft members, as outlined in BS 8110: Structural Use of Concrete,
Quaternary silts of the Yarra Delta. The moment-thrust was used to calculate the tensile stress within the concrete behind
combinations in the lining were determined using both the joint face. These calculated stresses were then compared
closed-form elastic methods as presented by Muir-Wood (1975) against the characteristic tensile fracture strength of the concrete.
and finite element models (FEM) for the anticipated live and Factors of safety against bursting failure on the circumferential
dead load combinations. These moment-thrust combinations joints were found to be in excess of 2.3.
were then checked against capacity envelopes for the steel fibre A finite element model using the software Strand7 was used to
reinforced concrete. The primary capacity envelope was verify these results as shown in Figure 9. Longitudinal joints
developed using Eurocode ENV 1992-1-1 and verified by were also checked for bursting stress assuming a one per cent
Bekaert. ring build tolerance on the diameter of the ring. The assessment
Of particular interest was the section of tunnel north of the of ‘birds mouthing’ at these joints also took into account the
Fennell Reserve Shaft. At a distance of 30 m from the shaft, the amount of deflection calculated in the ring analysis. Factors of
safety against bursting failure on the longitudinal joints were
tunnel is anticipated to transition from the Older Volcanics into
found to be in excess of 2.5.
the Coode Island Silt over a distance of 3 - 5 m. As outlined
earlier, the stiffness of these two geological units are Long-term consolidation settlement of the sewer was another
considerably different. It has been predicted that the stiffness of critical consideration of the design. Secondary consolidation
the Older Volcanics could be as much as 40 times greater than settlement or creep is the generally accepted cause of observed
the stiffness of the overlying silt. ongoing land subsidence in parts of the Yarra Delta. Significant
secondary consolidation is a typical feature of normally
During the design phase, there was concern over the amount of consolidated, fine-grained materials such as the Coode Island
deformation or ‘squatting’ that the lining may experience at this Silt.
location. The stiff, weathered Older Volcanics below the invert of
The two most likely causes of the large-scale settlements in the
the tunnel were unlikely to enable any real deformation due to its
Yarra Delta sediments are:
relatively high stiffness. It was anticipated that the sidewalls of
the tunnel in the Coode Island Silt would suffer significant 1. Consolidation of the Coode Island Silt under its own weight
sidewall deformation and bending as the elastic modulus of this and due to burial by Port Melbourne Sands (circa 8000
material has been predicted to be between 2 - 5 MPa. years ago).
FIG 8 - Moment-thrust analysis for the segmental lining … interface between older volcanics and Coode Island Silt.

FIG 9 - Strand7 finite element model to predict the effect of the tunnel boring machine (TBM) ram loads on the circumferential joint.
2. The reclamation filling of the low-lying areas with Current subsidence rates at this location appear to be of the
localised and long-term lowering of the groundwater table order of 4 mm/yr and this is understood to be primarily due to
(circa 100 years ago). In both cases the primary component the placement of reclamation fill in the area. Up to 12 m of
of settlement has already occurred. Coode Island Silt is present under the tunnel invert and if the
apparent settlement trends continue then it is projected that the
A significant proportion of the MMR sewer tunnel alignment
surface at this location may settle up to a further 300 mm during
is either within the Coode Island Silt or has Coode Island Silt
the design life of the MMR.
under the tunnel invert. Table 5 summarises the distribution of
the thickness of this material along the tunnel route. At tunnel horizon only a portion of this settlement is expected.
It is estimated that up to 100 mm of this settlement may occur
under the tunnel invert and hence the tunnel may be subject to
TABLE 5 this local settlement. As a result a number of protection measures
Summary of tunnel invert sections with Coode Island Silt (CIS) have been included in the design. A rubber sheet bond breaker
under the invert.
has been specified between the low strength backfill grout and
Chainage Thickness of Baseline Comments the outside surface of the GRP liner pipe. In addition, shorter
(m) CIS under monitoring … lengths of GRP pipe with couplings that can take up to
tunnel invert observed one degree angular deflection will also be used at location.
(m) subsidence A potential point of weakness identified early in the design
rate (mm/yr)
was the interface between the sewer tunnel lining and the
120 - 300 0-5 <1 No reclamation fill manhole shaft structures. Whilst the sewer tunnel will be within
515 - 990 2 - 10 <1 the same geological unit as the manhole shaft structure, it is
1285 - 1380 0 - 12 4 Buried swamp deposits
possible that some minor creep of the silts beneath the sewer
and up to 3 m of may cause some rotation between the sewer lining and manhole
localised reclamation structure. A compressible filler material will be used to fill the
fill annulus between the segments and the GRP liner pipe at these
1515 - 1660 0-2 <1 2 m of reclamation fill interfaces. A ‘rocker’ pipe will also be used with an additional
coupling to help compensate for any long-term ground
1745 - 1850 0 - 1.5 <1 Buried swamp deposits
and up to 1 m of
consolidation effects. Figure 11 provides the details of the
reclamation fill interface design.
2035 - 2109 0-1 <1 2 m of reclamation fill
2250 - 2340 1 <1 2 m of reclamation fill KEY PROJECT CONSTRUCTION RISKS
During the detailed design phase of the project a number of key
A critical location was identified just north of the Fennell construction related risks have been identified.
Reserve manhole shaft. This shaft is located mainly within the As discussed earlier, damage to existing surface infrastructure
Brighton Group and the Older Volcanics. As the tunnel heads resulting from short-term surface settlement during tunnel
north out of the shaft it is also within the Older Volcanics and construction is a major concern with the Yarra Delta Group of
Brighton Group for a distance of 30 m. The tunnel is then sediments. A report was prepared during the detailed design that
predicted to pass into the Coode Island Silt. Details of the assessed the extent and magnitude of the ground movements and
geological conditions at the Fennell Reserve manhole shaft are made a prediction on the effect that these movements may have
provided in Figure 10. on third party assets along the alignment.

FIG 10 - Fennell Reserve manhole and predicted long-term settlement of the Melbourne Main Reliever (MMR) tunnel.
FIG 11 - Proposed design protection for glass fibre reinforced plastic (GRP) pipe at Manhole Shaft Interface.
Two sources of ground movement associated with construction Assessment of surface settlement above the MMR tunnel took
of the MMR tunnel are expected. These are due to volume loss into account the depth to the tunnel, its diameter, the thicknesses
(VL) at the face of the tunnel during TBM operation (ie over- of granular and cohesive soils and the expected volume loss
excavation of ground), and short-term consolidation settlement through the TBM. The analysis considered a range of volume
due to dewatering associated with shaft and tunnel construction. loss values ranging from one per cent to four per cent. Settlement
The assessment of ground movements due to volume loss was profiles (trough shapes) were developed at several tunnel cross-
undertaken using empirical methods developed by the United sections targeting distinct changes in geology and significant
Kingdom construction industry organisation, CIRIA (Mott, Hay buildings and structures adjacent to the tunnel.
and Anderson, 1996). Results of this settlement analysis are summarised in Table 6.

TABLE 6 effective stress conditions were expected to yield relatively large

Maximum expected settlement due to volume loss at the tunnel surface deflections.
boring machine (TBM). The results of this analysis are summarised in Table 7.
Several major third party assets, including pipelines and
Chainage Location Trough Maximum expected commercial structures, were found to be within the predicted
(m) width (m) settlement directly above
tunnel centreline (mm)
settlement profile. These were then assessed in more detail.
(>1 mm
settlement The results of the ground movement prediction for the MMR
4% VL 2% VL 1% VL tunnelling works indicated that no residential properties would
@ 1% VL)
160 Graham 36.0 17 9 5
be at risk of damage for the calculated settlement values.
and Ross However, a number of measures have been recommended
Street during construction to manage this risk. A construction phase
780 Evans 35.4 17 9 5 instrumentation network and monitoring schedule was developed
Street with set target and alarm levels for the buildings and services
within the predicted zone of influence. The purpose of this
1250 Evans 40.2 15 8 4
Street and
monitoring can be summarised as:
Boundary • monitoring to verify the assumptions and methodology used
Street to calculate the settlements from tunnel volume loss and
1500 Johnson 35.0 17 9 4 groundwater drawdown, and
Street
• monitoring along the length of the MMR to assess the
2000 South Bank 29.0 21 11 6 ongoing performance of the tunnelling operations and
demonstrate that the target levels have not been exceeded.
Ground movement due to localised dewatering during shaft In addition, the selected contractor for the project will be made
construction was analysed during the detailed design phase of the to conduct dilapidation surveys along the alignment both before
project. The prediction of ground movements associated with and after construction.
this dewatering was undertaken using the numerical modelling The impact of the MMR tunnelling works and risk of damage
software Plaxis, taking into account the size and depth of the is not restricted to residential properties on this project. As
shafts, ground conditions, temporary shaft support systems and shown in Figure 12, the MMR sewer tunnel passes within 3 m
the rate and duration of dewatering. Significant changes in of the western boundary of the new $1 billion Melbourne
TABLE 7
Maximum expected settlement due to dewatering during shaft constriction.
Shaft location Geology Shaft depth (m) Dewatering rate Dewatering Maximum Radius (m) for
(L/day) lined base duration (months) expected S >1 mm
settlement (mm)
Swallow St PMS 14 m 1090 15 6 70
Fennell Reserve PMS and CIS 12 m 900 30 5 15
Johnson St CIS 13 m 640 24 12 40
Note: CIS = Coode Island Silt, PMS = Port Melbourne Sand.
FIG 12 - Plan of Melbourne Convention Centre (MCC) piles adjacent to the Melbourne Main Reliever (MMR) sewer tunnel.

Convention Centre (MCC). At this location, the MCC The MCC piles were constructed using a continuous flight
development consists of a 30-story high-rise building. The auger (CFA) to a depth of 30 m. The piles were reinforced with
building will be supported on a piled foundation. The MCC 5-N24 bars to 16 m depth from the top of the pile. The pile caps
project will be constructed prior to the construction of the MMR. were longitudinally connected to the other pile groups by a
Therefore, it has been essential to understand any potential perimeter beam and were considered to be fixed in the analysis.
impacts that tunnel construction may have on this structure. Shown in Figure 13 is a prediction of the pile deformation
The anticipated effect of the tunnel construction on the MCC (bending moment) as the tunnel passes the MCC development
structure is to introduce an additional bending moment and an and the adjacent Charles Grimes Bridge. The piles at the
axial force into the piles. As the tunnel passes the piles, north-west corner of the MCC site are labelled P1 and P2.
horizontal and vertical soil movement will occur. Vertical soil Using results for pile bending moment, shear force and axial
movement toward the tunnel will place additional axial load into load, a detail structural analysis was conducted. This compared
the piles. The horizontal soil movement around the piles will the analysis results against the piles’ inherent structural capacity.
cause some lateral deflection and increase the bending moment. The assessment indicated that the MCC piles, with reinforcement
Soil movement toward the tunnel will be limited via the use of only at the top 16 m (4 m below tunnel horizon), were structurally
the earth pressure balance type of TBM. However, some adequate when compared to the required piling code (AS 2159)
percentage of volume loss around the TBM is typical for load configurations.
operations of this kind. The amount of soil passed through the
head of the machine should equal to the cut diameter of the CONCLUSIONS
tunnel. However, it is common to have volume loss as mentioned Construction of the MMR sewer tunnel is expected to commence
earlier. The amount of volume loss is directly related to the in mid-2008 and the sewer system commissioning is scheduled
magnitude and extent of ground movement. The MCC piles were for completion by early 2012. There is little precedence for
analysed for a volume loss range of one per cent to four per cent, large-scale mechanised tunnelling activities within Melbourne’s
and compared against their structural capacity once the existing Yarra Delta sediment units. Consequently, significant effort has
in-service loads were added. been spent during the investigation and design phase activities on
Free-field soil movements due to volume loss at the TBM was the project.
predicted using finite element modelling software. The response It is known from past experience that limiting settlement of
of the embedded pile to these predicted ground movements was structures on the surface above the tunnel in this area will be of
then modelled using boundary-element modelling techniques. paramount importance to the success of the project. Therefore,
This allowed prediction of full three-dimensional pile responses the use of an EPB TBM with segmental lining will provide the
as the tunnel excavation approached the piles and then moved best possibility of limiting ground movement as the tunnel
past the piles. excavation face advances.
FIG 13 - Melbourne Convention Centre (MCC) pile deformation analysis results.

Monitoring of instrumentation during construction will help to GHD, 2007a. Melbourne main sewer replacement project – Factual report
ensure that identified ground movement limit levels have not on geological, geotechnical, and hydrogeological investigations
been exceeded. Careful TBM alignment control and adherence to (Phases 1 and 2), Report No 31/207775/05/133487, October 2007.
tight segment installation tolerances will result in a quality finish GHD, 2007b. Melbourne main sewer replacement – Draft interpretative
for the tunnel lining. Results of the monitoring will also be used report on geological, geotechnical, and hydrogeological
to either verify design assumptions made or provide the required investigation, Report No 31/20748/07/122978, August 2007.
evidence to change critical elements of the design during the GHD, 2007c. Report for Melbourne main sewer replacement, Ground
construction phase activities. movement and third party asset impact assessment, Report No
31/20748/08/136956, November 2007.
Ongoing consultation and liaison with the developers of the Melbourne Metropolitan Board of Works, 1900. Blue Book, Sewerage
MCC and other new projects in the area will be critical to Scheme – A History of its Inception and Description of the
minimising disruption during construction. The MMR sewer Engineering Works Carried on in Connection with the Scheme,
tunnel is a vital piece of infrastructure for Melbourne’s future (Periodicals Publishing Company: Melbourne).
and cooperation will be sought and required from all adjacent Mott, Hay and Anderson, 1996. Prediction and Effects of Ground
third-party asset owners along the alignment to achieve the sewer Movements Caused by Tunnelling in Soft Ground Beneath Urban
operation target of 2012. Areas (CIRIA: London).
Muir Wood, A M, 1975. The circular tunnel in elastic ground,
REFERENCES Geotechnique, 25:115-127.
Neilson, J L, 1961. Preliminary report on the geology of the vicinity of the
Australian Standards, 1995. AS2159-1995. Piling – Design and proposed Yarra Crossing at Spotswood, Department of Mines Victoria.
Installation. Neilson, J L, 1996. The geological setting of the Coode Island Silt –
Bekeart, 2005. Tunnelling is an Art, p 341 (Bekaert: Belgium). Building on Coode Island Silt lecture series, sponsored by Australian
Birch, W D (ed), 2003. Geology of Victoria, Geological Society of Geomechanics Society (Victorian Division) and The Institute of
Australia special publication 23, pp 349, 353 (Geological Society of Engineers Australia.
Australia: Victorian Division). Plaxis, 2006. Finite element code for soil and rock analysis, version 8.
BS8110-1:1997 Structural Use of Concrete. Strand7, 2007. Finite element analysis for structural engineering, version
EN1992-1-1:2004 – Eurocode 2: Design of Concrete Structures. 2.4.

Big Diameter Tunnelling Beneath Low Rock Cover
D Meyer1, F Brodbeck2 and N McKenzie3
ABSTRACT
The North-South Bypass Tunnel is the first project to get underway as
part of Brisbane’s transport plan, which aims to improve the urban road
network. The total length to be excavated is 6.8 km, which includes
4.8 km of driven tunnel and associated road connections.
Construction commenced in August 2006 with project completion
targeted well before the contractual completion date of October 2010.
Due to the local geology, in particular the hard Brisbane tuff and
neranleigh-fernvale formation, a combination of tunnel excavation methods
are used. The majority of the tunnel is excavated by two tunnel boring
machines which have a rate of progress of 16 - 20 m per day in rock having
a compressive strength of between 80 and 150 MPa. Ten roadheaders
operate at a rate of up to 2 m per day excavating the remaining tunnels,
such as ramps, access tunnels, cross passages and merges.
The tunnel team are managing the challenges and complexities
associated with tunnelling through the hard Brisbane rock. A major
challenge arose during the planning of the initial mainline excavation
underneath the Royal National Association Showground in Bowen Hills.
This section contains low rock cover and historical maps indicate that the
showground is located within a former topographic depression (alluvial
valley), which a creek once flowed through.
Due to traffic merge design requirements, both tunnel boring machine
(TBM) and roadheader excavation methods were required to be used in this
challenging geological profile. The answer was to stabilise the alluvium
above both TBM section tunnels from the surface prior to excavation and to
operate the TBM in single shield mode with immediate grouting of annular
void from the tail shield. In addition, the roadheader section of tunnel
required additional support by spiles and canopy tubes installed from the
tunnel face.
INTRODUCTION
The North-South Bypass Tunnel (NSBT) is the latest and longest
road tunnel in Queensland’s history. The Brisbane tunnel is
6.8 km long and includes dual twin lane tunnels, approximately
4.8 km in length with connecting ramps to and from the Inner
City Bypass and Lutwyche Road in the north and the Pacific
Motorway and Ipswich Road in the south (Figure 1). A
connection to Shafston Avenue in Kangaroo Point will provide
access to the eastern suburbs.
It is the first project to get underway as part of Brisbane City
Council’s Transport Plan for Brisbane (2002 - 2016) and the
Lord Mayor’s TransApex Project – the biggest urban road plan
proposed in Australia, aimed at filling gaps in Brisbane’s
transport network to allow traffic to bypass the central business
district.
Brisbane City Council chose to deliver the NSBT using a
public private partnership model that will see the private sector
consortium, RiverCity Motorway (RCM), build, own, operate
and maintain the tunnel for approximately 45 years.
1. Tunnel Manager – North-South Bypass Tunnel Project, Leighton

Contractors and Baulderstone Hornibrook Bilfinger Berger Joint
Venture, PO Box 3830, South Brisbane Qld 4101.
Email: Dieter.meyer@lbbjv.com.au
2. Senior Project Engineer – North-South Bypass Tunnel Project,
Leighton Contractors and Baulderstone Hornibrook Bilfinger Berger
Joint Venture, PO Box 3830, South Brisbane Qld 4101.
Email: Frank.brodbeck@lbbjv.com.au
3. Senior Project Engineer – North-South Bypass Tunnel Project,
Leighton Contractors and Baulderstone Hornibrook Bilfinger Berger
Joint Venture, PO Box 3830, South Brisbane Qld 4101.
Email: Nick.mckenzie@lbbjv.com.au FIG 1 - North-South Bypass Tunnel (NSBT) alignment.

D MEYER, F BRODBECK and N McKENZIE
RiverCity Motorway has contracted the design and • dedicated smoke duct within the tunnel ceiling,
construction of the tunnel to the Leighton Contractors and
Baulderstone Hornibrook Bilfinger Berger Joint Venture (LBB). • cable tunnel (8 km box culverts), and
This joint venture unites the infrastructure expertise of Leighton • mechanical and electrical fit-out.
Contractors and Baulderstone Hornibrook and also the tunnelling In addition, extensive work is carried out above ground including:
experience of Bilfinger Berger.
LBB engaged the following consultants to provide the project • two ventilation stations and outlets,
design: • tunnel control centre,
• Maunsell Parsons Brinckerhoff Joint Venture – principal • 18 new bridges or bridge widenings,
engineering design; • widening of 3 km of arterial roadway, and
• Bilfinger Berger Technical Bureau, Munich – permanent • noise wall and retaining wall erection.
tunnel lining design;
The work has been designed to minimise the impact on
• Golder Associates – geotechnical engineering; businesses and residents living and working near construction
• EDAW – urban design and landscape architecture; and sites. Tunnel machinery is lowered down purpose-built
construction access shafts or ramps and tunnel enclosure
• United Group Infrastructure – tunnel services and traffic buildings surround each tunnel worksite to reduce effects on the
management systems. neighbouring community.
Leighton Services and Bilfinger Berger Services will maintain
the NSBT during the concession period. Site locations
The main worksites are located in Bowen Hills and Windsor,
PROJECT INFORMATION AND STRUCTURES north of the Brisbane River and Woolloongabba and Kangaroo
Construction of the two billion dollar project commenced in Point south of the river.
August 2006 and early results indicate that LBB are on track to
achieve completion prior to the contractual completion date of NORTH-SOUTH BYPASS TUNNEL GEOLOGY
October 2010.
At the peak of construction, almost 2000 people work for/with Five major geological formations (Figure 3) have been identified
LBB and thousands more will supply services or goods. along the tunnel alignment, these are:
• Quaternary alluvium;
Project structures • Aspley formation (sandstone, claystone, shale, conglomerate);
A cross-section of the NSBT tunnel is depicted in Figure 2 and • Brisbane tuff (welded tuff);
work underground generally consists of: • unconformity tuff/Neranleigh Fernvale (tuffaceous claystone,
• two mainline tunnels each with two lanes, shale, coal, breccia, conglomerate, siltstone); and
• two Y junctions where road carriageways merge and diverge, • Neranleigh Fernvale (arenite/quartz, phyllite, metagreywacke,
• three single lane connecting ramp, quartzite).
• four double lane connecting ramps, The basement geology comprises Neranleigh Fernvale (NF)
beds of Devonian-Carboniferous age. They consist of a sequence
• one triple lane connection, of deep water marine sediments and marine volcanics, which have
• two ventilation tunnels, undergone low-grade regional metamorphism. Consequently, the
original bedding and sedimentary structures within the NF is
• 41 cross passages, indistinct or else completely obscured by a pervasive foliation
• four substations, which has developed as a result of post-depositional deformation.
FIG 2 - Mainline tunnel cross-section.

BIG DIAMETER TUNNELLING BENEATH LOW ROCK COVER
FIG 3 - North-South Bypass Tunnel (NSBT) geology.
The NF basement rock made up the land surface on which the The TBMs have a diameter of 12.34 m and a cutterhead
volcanic ash falls, and flows of the Brisbane tuff were deposited driving power of 4200 kW and were custom-made for this
in the late Triassic. A range of features were present on this land project by Herrenknecht AG. The cutterhead is equipped with
surface and the evidence suggests that it consisted of localised 78 disc cutters each with a 19 inch diameter (Figure 4).
deeply incised valleys with lakes connected by streams with
areas of woodland in between. Conglomerate and boulder scree
deposits imply that elevated areas were present. Therefore the
volcanic ash settled on a very irregular land surface and
progressively buried soils, lake deposits and stream sediments.
The volcanic eruptions initially proceeded in a series of
short-lived episodes and resulted in the formation of tuffaceous
claystone (unwelded tuff) in places. Later, more massive
eruptions occurred and rhyolitic tuff was deposited as a series of
hot ash falls or pyroclastic flows to form welded tuff or
ignimbrite. The abrupt change between the underlying
Palaeozoic bedrock and the Brisbane tuff is referred to as an
unconformity, generally comprising claystones with underlying
conglomerates and breccias with some siltstone layers and minor
thin coal lenses (Golder, 2006).
Alluvial sediments were deposited in the eroded valleys of the
uneven surface of the tuff, forming conglomerate, sandstone and
shale beds. Recent quaternary alluvial deposits have also infilled
broad depressions in the tuff and Aspley formation surface, ie at
Royal National Association (RNA) Showground near the
Northern Portal.
TUNNELLING METHODS
Key tunnelling issues FIG 4 - Tunnel boring mahcine (TBM) cutterhead.
The following key issues had to be considered during the selection

of the tunnelling methods: The TBMs can be driven in single shield or double shield
mode according to the encountered geological conditions. In
• geology: high strength rock mass, which contains fault zones with insufficient bearing capacity for gripper forces
unconformities and faults; or in zones of low rock cover single shield mode is used. In this
• water: general low permeability, but possibility of high mode the telescopic front shield is retracted and the TBM is
inflows through faults; driven forward by the auxiliary thrust cylinders only, supported
• water inflow: underneath the Brisbane River the tunnels have on the segmental lining. In double shield mode the torque and
to be undrained; axial and longitudinal forces are transferred into the rock by
grippers.
• vibration: restrictions on blasting and night time mechanical The tunnel spoil is transported by conveyor from the
excavation; and
cutterhead up to a storage silo outside the tunnel portal. The
• time: lead times for tunnel plant. conveyor belt is extended as excavation progresses. The rock is
loaded into trucks within the silos and removed by purpose-built
Tunnelling solutions connection ramps to the aerial road network. The rock is being
used in reclamation projects by the Brisbane Airport Corporation
and TradeCoast Australia.
Tunnel boring machines
The TBM is equipped with drilling and grouting equipment to
Both of the sections of twin-lane mainline tunnel are excavated facilitate probing (through cutterhead and/or front shield) as well
by two double-shield tunnel boring machines (TBM) with a fully as grouting operations in front of the face. Prior to excavation
sealed segmental lining as permanent support. probing is carried out up to 60 m ahead of the TBM.

Segmental lining is installed in the tail shield so that a

continuous roof protection for the workers is achieved as well as
the permanent lining. The segment ring has a width of two
metres and is made up of eight segments and a small key stone.
The thickness of the segments is 400 mm.
In double shield mode the annular void between rock and
segment is filled with pea gravel at gantry 1.1 (Figure 5) and
grouted at a second stage at the end of the 260 m long back-up.
Pea gravel and secondary grout are filled through a special grout
hole in each segment. In single shield mode the annular void is
mortar filled through grout lines in the tail shield.
In case of high water inflow (>100 L/s) the shield section can
be closed by sealing the muck ring in the front shield and sealing
the telescopic shield and the grippers with inflatable hoses.
Culverts for the cable tunnel underneath the roadway and
backfilling of the invert are installed in parallel to excavation
and/or ring erection. This occurs approximately 60 m behind the
tail shield and underneath the 70 m long bridge of the back-up
system (Figure 6). FIG 6 - Box culverts for cable tunnel.
With the simultaneous processes of excavation, ring erection,
culvert installation and invert backfilling the TBM advance rate The roadheaders with a gross weight of up to 120 tonnes are
can be maximised. The current predicated rate of excavation is equipped with inline or transversal cutterheads and have an
16 - 20 m per day. installed cutting power of up to 300 kW.
The first TBM started excavation in January 2008, followed by Steel fibre reinforced shotcrete (SFRS), rock bolts or lattice
the second machine in March. The machines are expected to girders are installed for temporary support. The permanent lining
reach their final destination in Woolloongabba early 2009. Up to consists of lattice girders and SFRS. For sections of tunnel with a
height of more than 7 m the excavation is split into heading and
75 per cent of the total excavation will be undertaken by TBM.
bench.
The roadheader tunnels are drained permanently. Strip drains
Roadheaders and a sprayed waterproofing membrane are installed between
The ramp, merges, diverges and cross passages are excavated by temporary support and the permanent lining.
roadheaders. In total ten roadheaders will be used for excavation The cross passages between the TBM tunnels will be
(four Wirth T3.20, two Voest Alpine AM105, two Mitsui S300 excavated by a Mitsui S200 roadheader during a weekly
and two Mitsui S200). shutdown of TBM operations.
FIG 5 - Tunnel boring machine (TBM) back-up system.

The roadheader operation commenced in February 2007 and very clean sand and gravel lenses encountered were up to 3 m
will continue until early 2009. thick; however, at most locations they are mixed with significant
amounts of fine-grained material, typically clay silt. The rock
ROYAL NATIONAL ASSOCIATION (RNA) cover above the mainline tunnel is generally less than one metre.
SHOWGROUND – LOW ROCK COVER
Tunnel methodology
Background Both roadheader and TBM excavation methods were used in
At the northern end of the project both portals for the mainline this area, requiring different solutions to the low cover issue
tunnels are located just to the north of O’Connell Terrace, Bowen (Figure 7). The roadheader drives are indicated in blue, while the
Hills. The tunnel drives pass underneath O’Connell Terrace and TBM excavation sections are indicated in green.
continue in a southerly direction towards the Brisbane River, The northbound tunnel starts with a 30 m section of two to
passing under the RNA Showground pictured in Figure 7 (the three lane diverge and a 20 m TBM start chamber, which was all
arena is located towards the left-hand side of the figure). excavated by roadheaders. The TBM launch cradle extended full
The RNA is the largest venue and event hire organisation in length to the face. The southbound tunnel starts with a 180 m
Queensland, featuring 22 hectares of quality convention and section of three lane tunnel, which merges into two lanes
exhibition facilities. The venue is made up of indoor and outdoor underneath the showground and a 20 m TBM start chamber, all
arenas with events ranging from sporting activities, music of which was excavated by roadheaders. For this tunnel, the
festivals, home shows and the annual Royal Queensland show – TBM was assembled in front of the portal and was used to
the EKKA. excavate the invert of the roadheader tunnel to create its own
launch cradle (Figure 8). In this partial excavation mode the
Geological conditions underneath RNA thrust forces of the TBM advance are supported by invert
segments, installed behind the TBM and anchored in a thrust
Showground
block in front of the portal.
Historical maps indicate that the RNA Showground is located
within a former topographic depression (alluvial valley) which a Tunnel boring machine (TBM) advance
creek once flowed through. The creek alignment as shown on
historical plans dated February 1874 has been superimposed over The detailed geotechnical information identified two major
the current site and tunnel layout as shown in Figure 7 (Golder, geotechnical risks for the TBM drives underneath the RNA
2007). Showground. Both risks are related mainly to the low rock cover
Additional geotechnical investigations have been carried out to above the tunnel crown and the presence of alluvial soils with
provide a realistic assessment of the geotechnical model in this some lenses of water-laden sand and gravel immediately above
area, including the nature of the alluvial soils, presence of the top of rock. These conditions have the potential for
groundwater, type of rock and quality of rock. These groundwater and soil material to flow in through the face of the
investigations confirmed fluvial sediments in the overburden. tunnel if blocks of rock in the top of the tunnel face are dislodged
The former creek traversed the arena from the John McDonald by the TBM cutterhead or a collapse occurs due to the weight of
stand to the southeast corner and typically coincides with the the overburden material.
thickest areas of the very low to medium strength tuff; therefore, To reduce these risks to a minimum two preventive measures
areas of deeper weathering. It also coincides with the area of the were taken.
alluvial soils, which are mainly granular – gravel and sandy with The alluvium was stabilised above both TBM tunnels from the
variable fines content and containing groundwater. Locally, the surface prior to TBM excavation. A 45 m long section of the
FIG 7 - RNA Showgrounds map.

FIG 8 - Tunnel boring machine (TBM) partial excavation. FIG 9 - Three-dimensional model.
northbound tunnel and 20 m section of the southbound tunnel columns. With a grout body diameter of 3.5 m and a drilling
was stabilised. Soil replacement by open cut excavation and pattern of 2.8 m the SuperJet grouting allowed a significant
concrete backfill was not possible due to time constraints; reduction of the number of columns, from originally 900 columns
therefore, the alluvium was grouted by the jet grouting method. (1.2 m diameter with a spacing of 1 m) to just 120 columns.
Secondly, the TBM excavation was undertaken in single shield Prior to commencement of the main grouting work a trial was
mode with immediate grouting of annular void from the tail undertaken and three adjacent columns were grouted. The tops of
shield. the test columns were exposed for inspection (Figure 10) and the
targeted column diameter, mixing of the grout with soil and the
Jet grout columns overlap between adjacent columns verified by visual inspection
and unconfined compressive strength (UCS) tests. The trial was
The design criteria for the grout columns specified that the top of successful and even in clay and sandy clay alluvium the grout
column level related to a minimum height above the tunnel columns reached the specified requirements.
crown together with a required embedment into the rock. The The SuperJet system uses computerised monitoring equipment
resulting average grout column length was approximately 3 m at for control of the jetting operation as well as for recording data
the northbound tunnel and 2 m at the southbound tunnel. for quality assurance/quality control purposes. For each column
The 3D model at Figure 9 shows the grouting area above the the parameters flow, lift speed and pressure versus depth were
mainline tunnels together with the top level of the very low to recorded. This monitoring system on the drill rig also assisted in
medium strength tuff. identifying the top level of the bedrock.
Due to the heavy demand for use of the showground facility, In just six weeks the 120 SuperJet columns with a diameter of
LBB were given just a two month window to undertake the 3.5 m and a total length of 350 m were completed. After 28 days
grouting work. Consequently, jet grout specialist Keller the grout reached an unconfined compressive strength in the
Engineering Pty Ltd proposed an alternative solution of SuperJet range of 1 MPa to 6 MPa (Golder, 2008).
FIG 10 - Test grout area.

Single shield mode and within the upper third of the face to effect forward support.
The top three rows of bolts were angled up at approximately 20°
In order to avoid any horizontal pressure from the TBM grippers to consolidate the crown. Figure 11 depicts the ring cut and
and a consequential destabilising effect on the tunnel roof the fibreglass dowels installed in the face and crown at this point.
TBM drives underneath the RNA area are excavated in single
shield mode. In this mode the reaction forces (torque, axial and
longitudinal forces) arising during TBM excavation are taken in
the segmental lining without any impact on the surrounding rock.
The annular void between rock and segment is backfilled with
mortar and pea gravel right behind the tail shield to reach a
proper bedding of the segmental lining. The required stand-up
time of the roof arch above the shield can be minimised in this
mode.
Roadheader excavation
The geological conditions encountered during the roadheader
excavation of the southbound tunnel, coupled with the
geotechnical investigation prompted further investigation and
consultation as to what the appropriate level of support should be
for the TBM launch chamber under the RNA Showground.
Finally it was decided that this support would consist of an
array of 114 mm diameter canopy tubes extending 22 m to
provide roof support for the TBM launch chamber area. The start
point of the canopy tube support was at the beginning of the FIG 11 - Ring cut and fibreglass dowels.
launch chamber with the end of the chamber/roadheader
excavation fixed at chainage (CH) 5820. A new profile was
designed for this section including a new transition and profile Four more advances were undertaken in this nature until the
from CH 5850, to allow the tunnel profile to be belled out to start point of the TBM launch chamber. The tunnel profile was
allow installation of canopy tubes at CH 5838. This resulted in stepped down at this point to form a flat face for installation of
raising the height of the crown relative to the previous profile by the canopy tubes and installation of the TBM thrust ring anchors,
1 m. which were installed at a later date.
Probe drill results indicated that from the beginning of the The canopy tube support consisted of an array of 34 × 114 mm
transition, the available rock cover was less than 1 m and thick canopy tubes at 500 mm centres, supplied by ALWAG-
decreasing. By the time the excavation reached the TBM launch TECHMO. Canopy tubes were installed using a TAMROCK
chamber, the available rock cover had dropped to just under Paramatic twin boom jumbo. Drilling records suggest that at
500 mm at the one o’clock position in the crown. To complicate least two of the canopy tubes between the 12 to one o’clock
matters further, a shear zone running NW-SE (contiguous with positions exited the rock cover for a section of 3 m, before
the main pattern of subvertical jointing) was encountered in the re-engaging into rock. Excavation continued under the canopy
heading at this point. Rock conditions in the bottom half and left tubes, once grouted, installing lattice girders at 1000 mm centres
of the face up to about the 11 o’clock positions were generally with 300 mm SFRS to the end of the launch chamber at CH
good, with medium-high strength, fresh tuff observed. From the 5820. Figure 12 shows the section through support pattern class
11 to two o’clock positions, the rock conditions were generally 5C.
observed to be low-medium strength tuff with some weathering
and with highly weathered rock/stiff clay visible in the crown at Settlement monitoring
the one o’clock position.
Tunnel convergence and surface settlement monitoring was
Spile spacing was decreased to 500 mm centres radially and
carried out throughout roadheader excavation of the southbound
1000 mm longitudinally, for every excavation round in the
drive. Due to the sensitivity of the nature of the ground
transition area. Probe holes were drilled every round, at varying
positions around the crown to act as both observation holes and conditions additional monitoring locations were installed in the
drainage relief holes for the perched water table above. These low cover zone. The monitoring results from convergence prisms
were subsequently used for consolidation grouting undertaken installed in the transition zone show that at the 11 and 12 o’clock
from within the tunnel, in an effort to consolidate the alluvium positions, convergence overall was measured to be less than
observed to be overlying the rock cover above and displace the 1 mm (+ or -). Convergence at the one o’clock position overall
groundwater. was observed to be between 4.5 - 5 mm. It is interesting to note
The combination of harder substrate in the left-hand side of that immediately after excavation, all points recorded 1 - 2 mm
the face, and the softer, diminishing rock cover in the right-hand of uplift, before settling down to a gradual convergence. This
side of the face presented some interesting questions as to what may be as a result of the dewatering carried out as part of the
advance length was considered prudent under the circumstances grouting regime.
and with the available equipment. It was decided that a ring-cut Monitoring undertaken within the canopy tube section shows
from the 12 o’clock to two o’clock positions was to be effected a similar pattern, the one o’clock position showing most
for the last four metres of the transition. The ring-cut was to be convergence at 4 mm, while the remainder showing 2 mm or less.
excavated first, supported with 75 mm SFRS and was allowed to
gain 2 MPa in strength before proceeding with the remainder of CONCLUSIONS
the excavation.
Forward support was still considered a priority; however, with The underground geology of the North-South Bypass Tunnel is
the existing spiling regime, it was difficult to secure the required hard rock of different geological origin, causing varying rock
overlap within the thin crust of rock over the crown. Cuttable strength up to 140 MPa (UCS). While high cutting forces are
fibreglass bolts were installed across the crown, into the brow required for excavation, the roof of the rock has to be stabilised

FIG 12 - Longitudinal section view support class 5C.
in zones of low cover. For the TBM tunnels stabilisation was REFERENCES
carried out from the surface by a jet grout plug, while at the
Golder Associates Pty Ltd, 2006. Geotechnical interpretative report –
roadheader tunnel additional support by spiles and canopy tubes
Driven tunnels (unpublished), December.
was installed from the tunnel face. Both stabilisation methods
Golder Associates Pty Ltd, 2007. Tunnelling at the RNA Main Arena,
have been found as the appropriate solution for the two different geotechnical model and interpretation (unpublished), June.
tunnelling methods. Golder Associates Pty Ltd, 2008. RNA jet grouting – As constructed
summary (unpublished), January.

Planning and Investigation of the Airport Link Tunnel and
Northern Busway, Brisbane
D Stewart1, A de Aboitiz2 and T Peglas3
ABSTRACT
The Queensland Government, via the special purpose company vehicle –
City North Infrastructure Pty Ltd – is currently developing Brisbane’s
Airport Link underground toll road and Northern Busway (Windsor to
Kedron).
Airport Link is a predominantly underground toll road planned
between Brisbane’s northern suburbs, the airport and the Brisbane Central
Business District (CBD) frame. The Northern Busway forms part of
Brisbane’s expanding busway network, sections of which will be jointly
delivered with Airport Link.
Airport Link will connect the North-South Bypass Tunnel, Inner City
Bypass and local road network at Bowen Hills to the northern arterials of
Gympie Road and Stafford Road at Kedron and Sandgate Road and the
East-West Arterial in the city’s north-east.
The Northern Busway is a two-lane, two-way bus-only roadway
proposed to connect the existing Inner Northern Busway at Herston with
Windsor, Lutwyche, Kedron, Chermside, Aspley and Bracken Ridge.
Airport Link and Northern Busway (Windsor to Kedron) is one of the
largest infrastructure projects planned in the first phase of the State
Government’s South East Queensland Infrastructure Plan and Program.
The paper will provide an overview of the projects, including a
discussion on the technical and environmental aspects as well as the
procurement of the Airport Link as a public private partnership.
INTRODUCTION
Background
A key aspect of achieving sustainable growth in the South East
Queensland (SEQ) region is the development of an accessible,
attractive and efficient transport system. The greater Brisbane
transport system is critical to the SEQ region as the Brisbane
central business district (CBD) is the primary activity centre
generating and attracting a large number of transport trips.
SEQ is the fastest growing metropolitan region in Australia.
By 2026, the population is expected to reach around 3.7 million
people – an increase of more than one million people. The FIG 1 - The proposed routes for Airport Link and the
Queensland Government is tackling the challenges associated Northern Busway.
with such rapid growth through the implementation of the South
East Queensland Infrastructure Plan and Program (SEQIPP). CBD frame in the Bowen Hills/Fortitude Valley area and the
Airport Link is part of the Queensland Government’s SEQIPP, northern suburbs, Brisbane Airport and the Australia Trade Coast
Council’s Transport Plan for Brisbane 2002 - 2016 and precinct, which is a trade and industry hub including the Port of
TransApex (Figure 1). Airport Link is predominately an Brisbane and Brisbane Airport.
underground toll road proposed between Brisbane’s northern The busway network is a key strategy for improving public
suburbs and the Inner City Bypass (ICB) and North–South transport infrastructure within the greater Brisbane area and the
Bypass Tunnel (NSBT) at Bowen Hills. It is envisaged Airport Northern Busway is an integral part of this strategy. The
Link will provide a primary orbital function for traffic to bypass Northern Busway is being procured for TransLink. TransLink
the CBD (via NSBT and the ICB). It is envisaged Airport Link is part of Queensland Transport and is tasked with the
will also deliver a secondary radial traffic function between the responsibility for coordinating public transport in SEQ. The
Northern Busway forms part of Brisbane’s expanding $1.9
billion busway network and directly supports the Queensland
1. Deputy Coordinator General, Queensland Government, Level 30, Government’s long-term plan to meet the transport needs of the
Comalco Place, 12 Creek Street, Brisbane Qld 4001. city’s growing northside communities. The Northern Busway is a
Email: david.stewart@infrastructure.qld.gov.au
two-lane, two-way bus-only roadway proposed between the
2. Technical Director, City North Infrastructure Pty Ltd, Level 30, existing Inner Northern Busway at the Royal Children’s Hospital
Comalco Place, 12 Creek Street, Brisbane Qld 4001. (RCH) in Herston, north through the suburbs of Windsor and
Email: alex.deaboitiz@cni.qld.gov.au Kedron to Aspley and Bracken Ridge (Figure 2). The
3. Engineering Team Leader, Connell Wagner Pty Ltd, Level 30, Queensland Government has approved the staged delivery of the
Comalco Place, 12 Creek Street, Brisbane Qld 4001. Northern Busway from Herston to Kedron. Sections of the
Email: tony.peglas@cni.qld.gov.au Northern Busway will be jointly procured with Airport Link.

D STEWART, A DE ABOITIZ and T PEGLAS
Northern Busway
Once the Northern Busway is complete between the RCH and
Kedron, it is expected to cater for 47 000 trips per day in 2016 –
five times more public transport trips than today – rising to
78 000 in 2026.
Other benefits of Northern Busway include:
• reduced commuter travel times by more than 20 minutes a
day in 2016, and more than 35 minutes a day in 2026;
• catering for a bus every 30 seconds in peak hour in peak
direction in 2016;
• reduced growth in car travel – for example, the Northern
Busway and Airport Link could reduce traffic on Lutwyche
Road by up to 45 per cent; and
• reduced congestion, pollution and traffic noise – there are 40
fewer cars on the road for every full bus of commuters.
Projects overview
Airport Link
The Airport Link project is a system of road tunnels, with the
main running tunnels approximately 5.7 km in length and the
overall project being approximately 6.7 km long. The Airport
Link project will be constructed predominantly in hard rock
below Lutwyche Road to Kedron and continuing to the
north-east under the suburbs of Wooloowin and Clayfield.
Airport Link will connect to the NSBT, ICB and the city,
through connections at O’Connell Terrace and Campbell Street,
in the south, Gympie Road and Stafford Road in the north-west,
and with Sandgate Road and the East-West Arterial in the
north-east. The Airport Link will include:
FIG 2 - TransLink•s busway network, which will eventually span
the city. • two separate unidirectional north-south tunnels between
Bowen Hills and Kedron;
• two separate unidirectional east-west tunnels between
Benefits of the projects Kedron and Clayfield;
The two proposed projects are transport initiatives that will assist • tunnel portals at Bowen Hills, Kedron and Clayfield, with
in the management of Brisbane’s continued growth. cut-and-cover and transition structures;
Airport Link • safety systems including emergency egress points, fire

protection and monitoring systems;
Airport Link is expected to cater for 95 000 motorists a day in • a ventilation system to manage air quality in the tunnels and
2012, rising to 120 000 by 2026. near portals, including an elevated ventilation outlet near
Airport Link’s most significant benefit will be traffic each of the connections in Bowen Hills, Kedron and
reductions, with more than 25 per cent less traffic predicted on Clayfield; and
several major northside roads, including Lutwyche Road, Kedron
Park Road, Junction Road and Sandgate Road, in 2012 than • surface road improvements at local intersections and around
without the project. the connections to the tunnel.
Other benefits of Airport Link include: The Airport Link project is part of the proposed framework of
• improved traffic flow, strategic road connections that would allow Brisbane’s cross-city
travel movements to bypass the CBD and inner suburbs. As a key
• improved travel times, component of this proposed strategic road network, Airport Link
• reduced through-traffic and heavy vehicles on suburban is envisaged to complete another sector of the City’ orbital road
streets, network and thereby improve connectivity between NSBT and
• improved freight connections, and the proposed Northern Link, Brisbane Airport and other key
travel generators in the Australia Trade Coast region.
• opportunities for urban regeneration.
Airport Link will allow motorists to bypass 16 sets of traffic Northern Busway
lights between Bowen Hills and Kedron and 14 sets of traffic
lights between Bowen Hills and Toombul. Airport Link is The proposed Northern Busway is a two-lane, bidirectional
predicted to cut approximately seven minutes off a trip from dedicated roadway, approximately 5.35 km in length, with
Chermside to Fortitude Valley and allow motorists to travel busway stations that are dedicated to buses and allows access for
between Bowen Hills and the Brisbane airport roundabout in as on-duty emergency services vehicles.
little as six minutes. The Northern Busway will connect the Inner Northern Busway
Airport Link will also generate a range of economic benefits, at Herston to Bracken Ridge via Windsor, Lutwyche, Kedron,
including approximately 6000 full-time jobs during construction. Chermside and Aspley. It will be built in stages with the highest

PLANNING AND INVESTIGATION OF THE AIRPORT LINK TUNNEL AND NORTHERN BUSWAY, BRISBANE
priority sections – in Herston, Lutwyche and Kedron, to be The ultimate busway layout (Figure 4) is the same as the
delivered first by 2012, with an interim solution through Windsor interim busway layout south of Federation Street and north of
to include bus lanes and bus priority measures. This is based on Truro Street. Additional tunnels and busway stations are
the expectation that the Airport Link project would reduce traffic proposed to be constructed between Federation Street and Truro
on Lutwyche Road, providing an opportunity to use this freed up Street in the ultimate solution. A new Federation Street busway
road space for bus priority measures such as ‘on-street’ bus lanes. station is proposed to be built just to the west of the interim
It is anticipated that the ultimate Northern Busway would busway. From here the busway dives down into tunnel from
be completed by 2026 and would involve constructing the Federation Street to daylight just north of the Ferny Grove
remaining part of the busway through Windsor to replace the Railway line at the proposed Windsor busway station located on
interim measures. the eastern side of Lutwyche Road. The busway then continues
northwards in tunnel up to the proposed Albion busway station,
The interim Northern Busway alignment (Figure 3) is located just south of the intersection of Albion and Lutwyche
proposed to generally follow Lutwyche Road mainly on an Roads. The busway then continues in tunnel, daylighting in
elevated bridge from the RCH busway station, around the Royal Truro Street and connecting into the already constructed busway
Brisbane Hospital complex, across Enoggera Creek and across as part of the interim solution.
Lutwyche Road to connect with a proposed interim Federation Preliminary planning for the Kedron to Bracken Ridge section
Street bus stop. There is also a proposed connection to Victoria of the Northern Busway is currently being undertaken as part of a
Street and Northey Street. From the proposed interim Federation prefeasibility study. The aim of this study is to determine in
Street bus stop, the busway is proposed to run on bus lanes along broad terms the corridor’s suitability as a route for the busway
the surface of Lutwyche Road up to Truro Street, Lutwyche. before moving on to more detailed investigations in late 2007. As
From here it is proposed that the Northern Busway will dive into part of the SEQIPP, the Northern Busway between Kedron and
tunnel, daylighting at the Lutwyche busway station in a cutting Bracken Ridge is expected to be completed by 2026.
(below the level of Lutwyche Road). The busway then continues
back into tunnel beneath Lutwyche Road, daylighting just north Project scope
of the intersection of Lutwyche Road and Norman Avenue. The
Northern Busway then ramps up to the surface to connect into The Airport Link project will incorporate the following principal
the Kedron busway station. From there it passes on elevated elements:
structure over Kedron Brook, continuing on the surface to a • connections to the existing road network including the ICB,
tunnel portal just south of the Stafford Road/Gympie Road CBD frame Gympie Road and Stafford Road at Kedron, and
intersection. The busway remains in tunnel, where it splits Sandgate Road and the East-West Arterial at Clayfield;
underground in tunnel to two separate carriageways, north and • direct connectivity between the East-West Arterial and
southbound between Brookfield and Homebush Roads. The Stafford Road;
northbound carriageway then daylights in Gympie Road, just to
the north of Somerset Road. The southbound carriageway tunnel • safe and efficient interaction with the NSBT, the road
portal is located in Gympie Road, just north of Homebush Road. network and future toll roads, including traffic management,
emergency response and incident management;
The construction of the interim Northern Busway from
Windsor to Kedron, referred to as Northern Busway (Windsor to • provision of high-quality, accountable customer service;
Kedron), is to be jointly procured with Airport Link. • traffic management facilities, signage, roadway lighting,
The RCH to Windsor section will be delivered in an alliance CCTV and radio re-broadcast;
arrangement between the Queensland Government and the • mechanical and electrical systems including tunnel
private sector. Construction of this section is expected to start in ventilation, power supplies, fire protection facilities,
early 2008 and be completed in late 2009. communication and security systems and emergency egress;
FIG 3 - The interim Northern Busway in 2012.
FIG 4 - The ultimate Northern Busway in 2026.

• plant management and control systems; The request for proposals marks the start of the tender phase,
which, together with the evaluation process, is expected to take
• tunnel control centre including building works, associated about 15 months to complete. Once the proposals have been
facilities and appropriate fitting out;
evaluated the CNI Board will recommend a preferred tender to
• electronic tolling system which is interoperable with all other the Queensland Government (see Figure 5).
Australian toll roads;
• modifications to utilities and other existing infrastructure to
accommodate the works;
• temporary works to meet the needs of construction, the
general public and road users including associated
environmental, security, safety, and maintenance works; and
• environmental management, including adherence to
approvals, environmental laws, applicable environmental
guidelines and standards.
The Northern Busway (Windsor to Kedron) project would
incorporate the following principal elements:
• an interim busway between Windsor and Kedron, which
accommodates the efficient future construction of the
ultimate Northern Busway, including the extension of the
busway north to Bracken Ridge;
• high-quality busway stations in terms of safety, design,
operation and maintenance at Lutwyche and Kedron;
• provision of new bus stops and replacement of existing bus
stops near bus stations for feeder bus pick up and drop off;
• passenger pick up and drop off (‘kiss n ride’) areas;
• bus access locations from the local road network to the
busway and bus turnaround facilities;
• pedestrian and cyclist access to busway stations;
• an intelligent transport system (ITS) compatible with
TransLink’s existing network management system; and
• enhanced urban community outcomes including shared use
facilities, particularly with regards to busway station and bus FIG 5 - The timeline for delivering Airport Link.
stop access.
It is likely that the contract will be awarded in mid-to-late
Joint delivery 2008, allowing construction of the Airport Link and Northern
Planning for the Airport Link has been undertaken in partnership Busway (Windsor to Kedron) projects to begin soon after. It is
with the planning for Northern Busway as the two projects have expected that both projects will be completed in late 2012.
a shared corridor between Bowen Hills and Kedron. The
Queensland Government has recognised the importance of PLANNING AND ENVIRONMENTAL
undertaking an integrated planning approach to planning the
projects. Integration of the projects has been investigated to
maximise benefits and minimise impacts on the local and wider History of the projects
community. Opportunities include efficiencies in terms of The Queensland Government has a long-standing interest in
planning, assessment, staging opportunities, construction costs
improving transport outcomes along Brisbane’s inner-northern
and operational impacts and to minimise impacts on existing
infrastructure and services and the local community. arterial roads. With similar and consistent objectives in mind,
Brisbane City Council has actively pursued development of its
The Queensland Government has established a wholly TransApex plan to create a motorway standard ring-road around
government-owned company, City North Infrastructure Pty Ltd
Brisbane’s CBD through a suite of projects including the NSBT,
(CNI), to manage the delivery of the Airport Link and Northern
Hale Street Link and Airport Link.
Busway (Windsor to Kedron) projects on behalf of the State
Government. This will include a tender and evaluation process. In May 2004, Brisbane City Council commissioned a
CNI will also be liaising with property owners and local prefeasibility study into TransApex. During the nine-month
stakeholders about the benefits and impacts of the joint projects. study, two routes for Airport Link – a central option and a
western option – were found to be technically feasible and
Project timeline financially worthy of further investigation.
During 2005 and 2006, these routes (and others, including a
In June 2007, CNI asked private sector consortia shortlisted combination of the two) were investigated further as part of the
though an expression of interest (EOI) process to submit Airport Link detailed feasibility study, conducted jointly by the
proposals for the delivery of the Airport Link and Northern Queensland Government and Brisbane City Council.
Busway (Windsor to Kedron) projects. The consortia are
encouraged to propose innovations in their proposals to enhance An early decision point for the Airport Link detailed feasibility
the effectiveness of each project and develop solutions that study was the selection of a preferred corridor in which to
minimise the impact of construction on the environment, develop the project reference design. The western corridor was
including local communities, in line with the Coordinator selected as it was considered to have more benefits and fewer
General’s recommendations. impacts on the local and wider community.

It also became apparent that sections of the proposed Northern TECHNICAL

Busway would share sections of the western corridor with
Airport Link, and hence TransLink brought forward the detailed Geotechnical
feasibility study for the section from the RCH at Herston to
Kedron to run concurrently with the Airport Link detailed There has been no coordinated geological or geotechnical
feasibility study. investigations in the Airport Link/Northern Busway study
Both project teams worked closely during the development of corridors to date with little deep drilling having been undertaken
the separate studies to identify opportunities to optimise the within Brisbane’s northern suburbs. The recent investigations
benefits of a joint procurement. The two projects also conducted undertaken for the Airport Link and Northern Busway projects
an integrated community consultation to inform the public of have led to a greater understanding of the ground conditions in
both projects’ progression and allow for community feedback to the area and have resulted in some revisions of the geological
be incorporated in the development of the projects. base map.
The alignments of the Airport Link and Northern Busway
Environmental impact statement projects pass repeatedly over, under or through five distinct
geological formations. The complicated geological and
As part of the detailed feasibility study for Airport Link an geomorphological history of the Brisbane area and limited
environmental impact statement (EIS) was undertaken. The EIS investigation in the northern suburbs resulted in stratigraphic
considers the environmental, economic, traffic and social benefits relationships between these units that required further
and impacts that are associated with the construction and investigation and interpretation.
operation of the Airport Link project. As the EIS comprises part
of the detailed feasibility study the preferred alignment, Formation characteristics
construction method, traffic managements and other mitigation
strategies for both the construction and operation phases were The Neranleigh-Fernvale Beds constitute the local basement
developed with the EIS. rocks of Brisbane, which recent studies indicate are of the
The EIS was finalised in October 2006 and was followed by Devonian-Carboniferous age and consist of uplifted marine
a display period, which included community consultation. meta-sediments. Recent drilling investigations for the NSBT,
Display period comments from community, government Airport Link and Northern Busway have shown in the
authorities and other stakeholders were sent to the Coordinator Neranleigh-Fernvale Beds a north-south oriented valley that is
General, an independent Queensland Government position, for steep-sided and almost canyon-like in places. The complex
assessment. More than 200 submissions were received on the geometry and steep-sided valleys were further investigated using
EIS. The submissions identified a broad raft of issues for three-dimensional modelling of the structure to identify the rapid
consideration including potential construction impacts, traffic variation of rock strength in the Lutwyche/Kedron area of the
impacts, property impacts, air quality, tolling, location of project (see Figure 6).
ventilation outlets, pedestrian and cycle access and the impact There is generally an unconformity zone between the Brisbane
on sensitive receptors and local community facilities such as Tuff and the Neranleigh-Fernvale Beds that consists of
local schools. conglomerates in a competent rock sequence. This unconformity
A supplementary EIS was undertaken to address the comments was formed in the base of these valleys as breccia beds, derived
that had been received on the EIS. The supplementary EIS was from scree deposits, which formed thick conglomerate beds
finalised in April 2007 and publicly displayed. Following the along the central axis of the main palaeo-valley with the angular
display of the supplementary EIS the Coordinator General rock fragments rounded by fluvial action in the streams, which
finalised his assessment of the project and a set of conditions for flowed along the valley floor. In some places there are zones of
the project was issued in June 2007. weakness that is characterised by claystones having formed.
There is also the presence of irregular sandstone and shale beds
Concept design impact management plan with some associated thin coal lenses.
The deposition of the Brisbane Tuff as a welded tuff or
As part of the investigations into the Northern Busway, the ignimbrite is uncertain, with either a single massive eruption or
project team prepared a draft Concept design and impact several eruptions considered to have deposited the rhyolitic tuff
management plan (CDIMP). The draft CDIMP considers the within the valley-fill deposit that trends in a north-south direction
environmental, social and economic benefits and impacts of the through central Brisbane (through Kangaroo Point and Story
busway between Herston and Kedron (which includes the Bridge). The Brisbane Tuff was deposited as an extremely hot
Northern Busway (Windsor to Kedron)). The CDIMP also ash fall, possibly as a nuee ardente (fiery gas-charged lava
identifies the preferred busway alignment, including busway avalanche), to form welded tuff or ignimbrite. The total thickness
station locations, and sets out strategies to maximise benefits and of the Brisbane Tuff is not definitely known but drilling
minimise impacts of the busway both during and after investigations indicate that the maximum thickness of the tuff
construction. deposits is of the order of 150 m.
The CDIMP was finalised following a review of public During the recent project investigations there have been two
feedback on the draft CDIMP in October and November 2006. discrete tuff beds, a lower water-lain tuff and the upper Brisbane
More than 160 submissions were received on the draft CDIMP Tuff ignimbrite, separated by predominantly coarse clastic
from organisations, individuals and government agencies. The sediments that have been intersected in three boreholes. The
submissions identified a range of issues for consideration in the extent and origin of the zone containing the ignimbrite and lower
final CDIMP, including potential construction impacts, property tuff beds is unclear at present.
impacts, design of busway stations, pedestrian and cycle access After the deposition of the Brisbane Tuff, erosion commenced
and impacts on community facilities such as local schools. and the surface of the tuff itself became deeply incised. These
Changes were made in the final CDIMP to address the issues incised channels were filled with gravels, which formed
raised in the submissions and following more detailed conglomerate beds, sandstone and shale beds that constitute the
investigation of engineering issues. The final CDIMP was issued overlying Aspley Formation of the Late Triassic. The
in May 2007 prior to release of the request for proposals. geotechnical investigations infer that the Aspley Formation is a

FIG 6 - Long section showing geology along the Airport Link alignment.
predominantly coarse-grained channel-fill deposit that is were overlain by the Quaternary alluvium that is potentially
confined to the deepest parts of the palaeo-valley incised into the hydraulically connected to Kedron Brook/Schulz Canal.
top of the Brisbane Tuff. The tunnel profile consists of the structural requirements,
The finer sedimentary sequences extended beyond the valley mechanical and electrical equipment, including ventilation ducts,
system and buried a major part of the surrounding elevated smoke ducts, jet fans and tunnel utilities and traffic envelopes.
topography. These sedimentary sequences include sandstone, With all of these factors affecting the tunnel cross-section the
siltstone, shale and coal beds and form the finer-grained Tingalpa determining factor was predominately the number of traffic lanes
Formation. required for each section of the tunnel (Figure 7). The traffic
Enoggera Creek and Kedron Brook within the study corridor demand generated through strategic traffic models indicated that
have changed to a depositional regime with incised channels the north-south tunnel required three lanes and the east-west
filled with a thick sequence of gravel, sand, silt and clay. The tunnel required two lanes.
geotechnical investigation has mapped an increased extent of The north-south tunnel would be generally constructed
Quaternary alluvium throughout the project. in competent rock, Neranleigh-Fernvale and Brisbane Tuff
Formations, and would have a large three-lane tunnel profile that
Tunnelling methodology would vary to four lanes at the tunnel portals at Kedron
and Bowen Hills. It was considered with the large tunnel
cross-section, which varied in size and the competent ground
Airport Link conditions, that tunnelling would be undertaken using multiple
The tunnelling methodology was largely determined by the road headers.
community/social impact of construction, anticipated The east-west tunnel was to be constructed in soft weathered
geotechnical/hydrogeological conditions and the proposed tunnel rock, Aspley and Tingalpa Formations overlain by the Quaternary
profiles. alluvium, which was potentially hydraulically charged. The
The consideration between driven tunnelling and cut-and- tunnel had a two-lane profile that was generally consistent
cover tunnels was largely based on the construction impact and throughout the east-west alignment and the required widening
for merge/diverge structure could be accommodated in cut-and-
the associated community and social impacts. Although more
cover works near the portals. A face pressurised tunnel boring
expensive, driven tunnels were considered to provide a better
machine with segments was considered for the east-west tunnel
community outcome as they required less land to be acquired at due to the soft ground conditions and potential groundwater
surface, less disruption from construction and less impact to drawdown with associated settlement, which required active
sensitive receptors. ground support and the consistent tunnel cross-section.
The ground conditions can be separated into two distinct areas.
The north-south tunnel alignment was predominately located in Northern Busway
competent hard rock and included the Neranleigh-Fernvale and
Brisbane Tuff formations. The east-west tunnel was generally Two types of tunnels are proposed for the busway: cut-and-cover
within the softer rock of the Tingalpa and Aspley Formations that and driven tunnels. These link to the surface roadway via

FIG 7 - The Airport Link tunnel profile ranges between two and four lanes.
transition ramps. The cut-and-cover tunnels would be constructed • High level ventilation outlets, which would be located within
either by top-down or bottom-up methods. The Northern Busway purpose-built buildings at each main connection to the
is located within the Neranleigh-Fernvale and Brisbane Tuff surface road network. That is a ventilation station and outlet
formations, which is generally competent ground. Therefore the will be situated at Windsor for the southbound tunnel,
extent of weathering, rock head levels, busway alignment and adjacent to the north-western connections at Kedron for both
depth to the surface affect the extent and location of the driven the northbound and westbound tunnels, and adjacent to the
tunnels. north-eastern connection at Clayfield for the eastbound
It is envisaged that the busway driven tunnels would consist of tunnel.
an initial primary lining consisting of rock bolts and shotcrete. In the event of a fire in the tunnel, the extraction air is
Steel sets and canopy tubes would be used in poor ground automatically switched over to operate through a smoke duct,
conditions and/or low cover environments. Permanent support which is housed in the roof of the tunnel. In the region of the fire,
would generally consist of a cast in situ unreinforced concrete dampers on the underside of the smoke duct are opened to allow
lining along with a waterproof membrane. the smoke to be drawn in. Ventilation stations at each end of the
affected tunnel are activated, drawing the smoke out both ends of
Ventilation the smoke duct.
A longitudinal ventilation system is proposed for the Airport Similar to the NSBT project, provision will be made in the
Link tunnels. Each of the mainline tunnels will be equipped with ventilation chambers or at the ventilation outlet site for each
its own ventilation system, which draws air in at each of the tunnel for filtration systems such as electrostatic precipitators to
portals (entry and exit) to achieve acceptable in-tunnel air quality be installed, should they prove in the future to be effective and
as well as to minimise the potential for vitiated air escaping from efficient in terms of energy consumption and environmental
the exit portals. benefits and impacts.
The tunnel ventilation system performs two functions: the The Northern Busway is proposed to have a longitudinal
maintenance of an acceptable air quality in the tunnel under ventilation system with portal discharge due to its short sections
normal operations and the extraction of smoke in the event of a of tunnel, lower traffic numbers and higher proportion of ‘clean’
fire in the tunnel. It is proposed to maintain acceptable air quality vehicles such as buses that run on compressed natural gas,
in each tunnel base on air quality standards recommended by compared to the Airport Link.
the Permanent International Association of Road Congresses
PIARC). PROCUREMENT
Predominantly airflow in the tunnels would be in the same
direction as the traffic flow until the areas near the exit portal.
Here, the airflow would be reversed between the portal and the
Delivery method
extraction point, to avoid discharge of air at the portals. The Queensland Government and Brisbane City Council have
The proposed Airport Link ventilation system would undertaken a detailed feasibility study into Airport Link in
comprise: response to the long recognised traffic and transport issues that
are associated with South East Queensland’s continued growth.
• No net discharge from the portals during normal operations. At the same time the Queensland Government undertook a
• A simple and efficient in-tunnel longitudinal ventilation voluntary concept design and impact management plan for the
system (Figure 8). Northern Busway.

FIG 8 - Airport Link will have a longitudinal ventilation system.
These studies were undertaken and developed as separate Upon completion of construction and commissioning, and
projects; however, it was always understood that to enable both prior to opening the Airport Link project, the private sector will
projects to be constructed there was a benefit to coordinate the be required to hand over the Northern Busway (Windsor to
two projects and enable them to be jointly delivered. Kedron) to the Queensland Government for operation and
Wide-ranging community consultation in 2006 - 2007 was maintenance.
undertaken jointly by the two projects to ensure that anyone with
a strong interest in either Airport Link or Northern Busway was Procurement structure
made aware and kept informed about the projects and given the
opportunity to provide feedback on the projects. The projects are being delivered in accordance with the
Queensland Government’s value-for-money guidelines. Under
The joint community sessions indicated the strong desire by this process, a reference project is developed for the purposes of
the Queensland Government and Brisbane City Council to jointly project evaluation and planning approval and subsequently for
deliver these projects. Joint delivery would enable the most comparing private sector delivery model outcomes.
benefit to be realised from these significant projects while The reference projects were developed through an integrated
minimising the impact on the community. project team approach as part of the EIS and CDIMP
In December 2006, CNI was created and assumed development, wherein the engineering, environment, traffic,
responsibility for the procurement of the Airport Link and the financial, legal and property teams directly interact with each
Windsor to Kedron section of the Northern Busway. Since then, other in a single dedicated project office.
the company has continued to keep the community up-to-date The Airport Link business case found the project was
with the progress of the projects. technically and financially viable and would be best delivered via
For Airport Link, the private sector will be responsible for the a Queensland Government-led public-private partnership (PPP).
financing, design, construction, commissioning, operation, The business case for the Northern Busway between Herston and
maintenance, repair, levying and collection of tolls (fully Kedron found the busway was viable and affordable with
electronic), customer service and handover of Airport Link and significant benefits for passengers and the local community. Each
associated works at the end of the 45 year concession period. business case recommended joint delivery of the projects.
Airport Link is expected to cost about $2.5 billion (in 2007 costs) The key features of the procurement of the projects are as
to design and construct. This does not include the cost of follows:
financing, which will be borne by the private sector.
• The development of Airport Link and the Northern Busway
At the end of the concession period, the private sector will be (Windsor to Kedron) projects are to be undertaken as a joint
required to hand over the Airport Link infrastructure to the procurement process, whilst retaining the separate functions
Queensland Government. and identities of each project.
The BOOT-style contract (build, own, operate and transfer) for
Airport Link will be based on recent Australian toll road projects • Airport Link to be procured as a PPP as this is expected to
such as the NSBT, which is currently being built under the provide the best value for money outcome for the State. The
Brisbane River to link Bowen Hills to Woolloongabba and Northern Busway (Windsor to Kedron) is to be funded by the
Kangaroo Point. Queensland Government delivered via a fixed price design
and construct style mechanism and following commissioning
For the Northern Busway (Windsor to Kedron) payments will will be part of TransLink’s busway network.
be made by the Queensland Government through a series of
milestone payments during the construction period and the • An allocation of funding by the Queensland Government will
private sector will be responsible for the design, construction and be provided for an expected contribution to the successful
commissioning. consortia.

The Queensland Government has established CNI to manage ACKNOWLEDGEMENTS

the procurement of the Projects. CNI is wholly owned by the
Queensland Government. The CNI Board includes representatives The authors acknowledge the contributions by the Airport Link
of the key Queensland Government agencies (being the and Northern Busway project teams.
Department of Infrastructure and Planning, Queensland Transport, Project team:
Department of Main Roads and Queensland Treasury) and a • client – Queensland Government,
representative from Brisbane City Council.
• project directorate – City North Infrastructure Pty Ltd,
CONCLUSIONS • transaction advisors – Everything Infrastructure,
• technical advisors – SKM-CW Joint Venture (being a joint
With projects of this magnitude come challenges for local venture between Sinclair Knight Merz and Connell Wagner),
communities in and around the projects corridor. The joint
delivery of the two projects together will minimise impacts and • traffic and transport advisors – SKM-CW Joint Venture,
maximise benefits for the local and wider community. • financial advisors – Ernst & Young,
The Queensland Government and Brisbane City Council also • legal advisors – Clayton Utz, and
embarked on an environmental approvals pathway that has
provided an opportunity for the broader community to have its • probity advisor – BDO Kendalls.
say and to provide well developed and constructable reference
projects. REFERENCES
The PPP delivery process run by City North Infrastructure Brisbane City Council, 2005. TransApex prefeasibility report, March.
further provides the private sector the opportunity to innovate Brisbane City Council and Queensland Government, 2006. Airport Link
and to provide value for money outcomes for the community. – Environmental impact statement (EIS), October.
When completed, Airport Link and Northern Busway will Brisbane City Council and Queensland Government, 2007. Airport Link –
further provide SEQ with a platform of critical transport Environmental Impact Statement (EIS) supplementary report, April.
infrastructure that will meet the population growth challenges Queensland Government, 2007. South East Queensland infrastructure
faced by the region, facilitating continued economic prosperity. plan and program (SEQIPP) 2007 - 2026, May.
TransLink, Brisbane, 2007. Northern Busway – Concept design and
impact management plan (CDIMP), May.

Improving Roadway Development in Underground Coal Mines
G Lewis1 and G Gibson2
ABSTRACT of this emerging sustainability challenge ACARP established the

Roadway Development Task Group (RDTG) to identify,
Realising that current roadway development performance levels were
unlikely to sustain new generation high-capacity (15 Mt/a) longwall facilitate and coordinate research aimed at achieving the
mines then being planned, the Australian Coal Association Research necessary improvements in roadway development performance
Program (ACARP) established a Roadway Development Task Group across Australian longwall mines.
(RDTG) in 2005 to develop a research strategy targeted at improving The paper outlines initiatives undertaken by the RDTG to
roadway development performance in Australian longwall mines. improve roadway development performance, including the
The initial phase of the project identified a number of factors that development of an overarching CM2010 research and
differentiated best practice mines from others, and proposed a development strategy aimed at developing and integrating new
multi-faceted research strategy encompassing both short- and long-term technologies and systems to underpin development of a new
research initiatives, including: generation, high-capacity roadway development system.
• conducting regular benchmarking studies across the industry to
identify factors contributing to improved performance and to monitor
performance trends, UNDERGROUND COAL MINING IN AUSTRALIA
• conducting regular industry roadway development operators’ Australia produces 317.1 Mt of saleable coal (Coal Mines
workshops to facilitate the transfer of successful roadway Insurance Pty Ltd, 2006) of which some 70.7 Mt is produced
development improvement initiatives throughout the industry and
facilitate networking between development practitioners,
from the nation’s 46 underground mines. Ninety-one per cent of
underground coal production is produced from some 30 mines
• development of alternative skin reinforcement and containment
measures that would eliminate the use of steel mesh and enable face
that employ the retreat longwall mining method, with the balance
support systems to be fully automated, being derived from smaller, bord and pillar mines. Clearly, the
• development of automated bolting and mesh handling systems that
evolution of a high capacity, high productivity retreat longwall
would enable operators to be removed from the immediate face area, mining system over the past 40 years has been fundamental to
• development of a body of knowledge of industry roadway
the continuation of underground coal mining in Australia.
development practice, The retreat longwall mining system as adopted in Australia is
• development of a web-based information management system to based on establishing a series of longwall blocks typically
capture and transfer emerging developments in roadway development 200 - 250 m wide and up to 3.5 - 5.0 km in length prior to the
practice and technology, secondary extraction retreat longwall mining phase (although
• reviewing the Australian civil tunnelling and underground block width ranges from 100 to 400 m while block length may be
metalliferous mining sectors to identify practices and technologies as little as 0.8 - 1.0 km due to geological and other factors).
that could potentially be utilised to improve roadway development Longwall blocks are developed off a multiple entry (five to
performance, and
seven roadways) ‘mains’ system (or in the case of highwall
• developing a new generation high-capacity mining system capable of mines directly off the open cut highwall), with each block then
+10 metres per operating hour for 20 or more hours per day
(CM2010).
being delineated by two (or three) adjacent and interconnected
roadways (‘gateroads’) driven for the entire length of the block.
The paper reports on the progress of the above initiatives and outlines
strategies to continue the pursuit for improved roadway development A ‘face installation roadway’ is driven at the ‘inbye’ or innermost
performance. end to interconnect adjoining gateroad panels and form the
longwall blocks. The longwall mining equipment is then
installed and longwall mining proceeds continuously for up to
INTRODUCTION eight to 12 months while each longwall block is extracted.
Roadway development performance levels in Australian longwall ‘Continuous miners’ are utilised to excavate both the mains
mines have largely remained static over the past 30 years despite and gateroad roadways, with roadways being driven 4.8 - 5.4 m
longwall production levels doubling each ten years, to current wide, and 2.5 - 4.0 m high depending upon the coal seam
best practice levels of 7 Mt/a. While longwall mines have thickness. Roadways are typically driven at 30 - 50 m centres and
introduced a range of operational strategies to address this interconnected by ‘cut throughs’ at 90 - 130 m intervals to form a
shortfall in roadway development performance, it is unlikely that series of mains or gateroad (chain) pillars.
new generation high-capacity (15 Mt/a) longwall mines now
Longwall mines typically require 2.7 - 3.3 m of roadway
being planned will be sustainable unless significant gains in
development to be completed for each 1000 tonnes of longwall
roadway development performance can be realised.
production, hence typical 3 - 5 Mt/a longwall mines each require
Despite considerable support for earlier research projects 9 - 15 km of roadways to be developed per annum. In overall
targeted at improving roadway development equipment and terms, approximately 320 km of roadways are developed in
systems it was obvious by 2005 that promised gains in roadway Australian longwall mines each year, with a similar amount of
development performance had not been realised. In recognition
roadway development being completed in bord and pillar mines.
The challenge faced by longwall mines is that despite
1. Chairman, ACARP Roadway Development Task Group, General improvements in roadway development technology, equipment
Manager Underground Operations, Xstrata Coal NSW, PMB 8, and systems over the past 30 years, roadway development
Singleton NSW 2330. Email: glewis@xstratacoal.com.au productivity has largely remained unchanged, while improvements
2. FAusIMM, Principal, Gary Gibson and Associates, Project Leader,
in longwall technology, equipment and systems has enabled
ACARP Roadway Development Improvement Project (Project longwall productivity to be doubled each ten years over that period
C17010), Unit 8, 11/13 Virginia Street, North Wollongong NSW (current Australian best practice longwall mine production is
2500. Email: gary@yarrowlumla.com.au 7 Mt/a). Static roadway development performance levels has

G LEWIS and G GIBSON
resulted in multiple development units being employed in most 2005 AUSTRALIAN ROADWAY DEVELOPMENT
mines (mines typically utilise two to three development units with REVIEW – CURRENT PRACTICE
up to five or six units in some cases), the introduction of seven day
24 hour roadway development operations and the advent of A review of roadway development at Australian longwall mines
roadway development contractors, all with a consequential was undertaken on behalf of the RDTG in 2005 to identify
increase in capital and operating costs. Even then, many mines current practices and performance levels, to identify barriers to
continue to pursue wider longwall faces and longer longwall improved roadway development performance and potential
blocks in order to improve development to extraction ratios. research opportunities and to build support for an industry-based
Given that the top seven longwalls in the USA produce at rates long-term research and development initiative aimed at
some two to 2.5 times higher that the top seven Australian addressing those barriers and opportunities (Gibson, 2005).
longwall mines, there is little doubt that longwall productivity Key personnel with roadway development responsibilities
improvements will continue to be achieved across Australian were interviewed at all longwall mines, together with
longwall mines. The industry vision of 15 Mt/a longwall mines representatives from mining company corporate offices, mining
within ten years is sustainable from a longwall technology, contractors, mining and tunnel boring original equipment
equipment and systems perspective. However, the issue remains manufacturers (OEMs), suppliers, researchers and consultants,
as to whether the gains in roadway development performance and mining regulators. In overall terms some 160 persons
required to support and sustain new generation high-capacity participated in the review process.
longwall mines can in fact be realised, or if gains in roadway Key findings in respect to the establishment of efficient, high-
development performance required to sustain current generation capacity longwall mines included:
mines in a more competitive, environmentally sensitive and • in later generation, best practice mines with good conditions
lower priced market can be achieved. it is likely that 15 Mt/a mines could be established and
sustained without major developments in mining equipment
AUSTRALIAN COAL ASSOCIATION RESEARCH and systems, ie deployment of two development units
PROGRAM (ACARP) achieving current best practice levels of 340 - 400 m/week
each could readily satisfy the 530 - 680 m/week development
The Australian Coal Association Research Program (ACARP) burden required to support a 15 Mt/a longwall mine
was established in 1992 as an industry funded and managed operating a 300 m wide face at a mining height of 3.0 m (the
research program with the specific objective of pursuing development burden of 530 - 680 m/week depends upon the
fundamental improvement in all aspects of the Australian black overall block length, which ranges from 2.5 - 6.0 km in this
coal sector, including underground and open cut (surface) example);
production and safety, coal preparation, coal marketing and
utilisation, and the environmental impacts associated with the • further, it was considered unlikely that ‘worst in class’ later
production, processing, transport and utilisation of black coal. generation mines achieving say ≤100 m per week per
ACARP’s research program is managed by a research board continuous miner, or in the case of super unit mines ≤130 m
comprising senior industry executives, with administrative per week per super unit, could reasonably sustain 15 Mt/a
support being provided by Australian Coal Research (ACR), a longwall mines (mining heights 3.0 to 4.0 m), unless
company specifically established to administer ACARP’s longwall block lengths and face widths were extended to or
day-to-day affairs. The research board is supported by technical beyond current technological limits;
committees in each of the core research streams (ie underground, • infrastructure limitations would constrain older mines from
open cut, coal preparation, coal marketing, greenhouse gas making major improvements in mine capacity, while adverse
mitigation and low emission coal utilisation) with each conditions generally associated with depth (eg stress and gas)
committee consisting of relevant technical experts drawn from pose additional productivity challenges to these mines (and
across the industry. The technical committees are responsible to to later generation mines as they mature); and
the research board to make recommendations in respect to
research priorities, and for the selection of suitable research
• technology developments are currently underway that are
likely to address a number of key process constraints in the
projects. Individual committee members subsequently mentor
short to medium term, thus providing the potential to
approved research projects, from inception, through start-up and
improve system capability across all mines.
execution to completion.
Member companies have committed funding through to 2010 Major constraints to roadway development were identified as:
based on a five cents per tonne per annum levy on all saleable • roof and (particularly) rib support were typically identified as
coal produced, with some $13 million being contributed the most significant constraint, unless support requirements
annually. ACARP is totally industry funded and receives no were minimal and difficult floor conditions were
government funding or support. experienced;
Despite considerable support for earlier research projects • the cyclic, stop-start nature of shuttle cars and other coal
targeted at improving roadway development related technologies, haulers was seen to limit development rates, particularly
equipment and systems it was obvious by 2005 that the promised once haulage distances increase beyond 70 m;
gains in roadway development performance had not been • advancement of the conveyor and panel services was a
realised, whilst significant gains had been achieved in respect to significant constraint, particularly in mines employing dual
improving longwall performance. In recognition of the emerging continuous miners to advance two entry gateroads;
development challenge being faced by the industry ACARP
established the Roadway Development Task Group (RDTG) with • the routine installation and advancement of ventilation duct
a specific objective to identify, facilitate and coordinate research is a problem at mines that have not adopted integrated
aimed at achieving the necessary improvements in roadway monorail services management systems;
development performance across Australian longwall mines. The • the logistics of supply, transport, distribution and handling of
RDTG consists of experienced underground operational and roof and rib support consumables is an issue at older,
technical personnel drawn from member companies, with extensive mines now, while the achievement of higher
administrative support also being provided by ACR. development rates will compound this issue at most mines;

IMPROVING ROADWAY DEVELOPMENT IN UNDERGROUND COAL MINES
• the installation of long tendons (greater than mining height) reliability and availability engineered into the equipment.
as a primary support measure is becoming more widespread, This commitment to provide and maintain fit for purpose
yet installation technology and hardware remains fairly equipment necessitated higher levels of equipment to permit
rudimentary; the routine overhaul and modification of equipment, with
surplus plant capacity being available at times for
• the physical demands of the work environment and the extent
of manual handling required, coupled with an ageing contingencies and breakdowns.
workforce, is not conducive to the achievement and • Best practice mines were more aware of developments in
sustainability of high development rates; and new technology, equipment and systems and were more
• coal cutting was not seen as a constraint at any mine; aggressive in applying those developments to improve safety,
however, the ability of machines to cut breakaways for cut productivity and costs.
throughs was considered to be a major failure of all machine Other factors evident between better performers and others in
configurations. similar conditions included:
While few participants could conceptualise a new high- • The better performers exhibited a higher focus on and
capacity roadway development mining system, key attributes of prioritisation of roadway development, as compared to other
such a system were identified as: operating processes at the mine. Development teams were
• an integrated, continuous cutting, bolting and coal clearance typically independent of other teams and were held
system – ‘continuous mining’; accountable for their performance.
• automated bolting, with self drilling bolts; • There was typically a strong linkage between development
performance and mine incentive schemes at better performing
• alternative skin reinforcement and confinement measures to mines. It was generally viewed that the Australian culture was
eliminate the use and handling of steel mesh; more responsive to performance-based incentive schemes than
• alternative systems to mine interconnecting roadways (eg to salaried arrangements.
coal auger) or the development of risk control measures to
permit the adoption of single entry roadway development;
• Better performers were more likely to have developed
balanced, sequential cutting and bolting processes with
• integrated materials supply and logistics with components 12CM configured machines and high-capacity shuttle cars
stored in magazines or cassettes, requiring minimal manual than the alternate integrated cutting and bolting processes
intervention; utilised on ABM20/25 configured machines. The latter
• extensible (monorail mounted) face services (eg ventilation, operators typically noted that the integrated cutting and
power, water, compressed air, pump out); bolting configuration was not effective in high bolting
densities (ie >8 - 10 bolts/m).
• an extensible, self advancing panel conveyor; and
• Better performers were more likely to complete a typical
• high-capacity, automated installation of long tendon primary
100 m panel advance in less than 12 hours with single
and secondary supports.
continuous miner unit, or less than 20 hours with dual
During the review a wide range of performance levels were continuous miner panels or super units, as a result of their
reported across a wide variety of mining conditions and attention to detail, good planning and coordination, process
equipment, with significant differences in performance levels control and accountability.
being noted between mines with similar equipment and similar
The 2005 review made a series of recommendations based on
mining conditions. Better performers in difficult mining
what mine operators and mine managers should do to improve
conditions requiring intensive ground support were typically development performance, what mine owners should do to
achieving similar development rates to poorer performers in address key constraints, and what incremental change (short
more favourable mining conditions requiring a minimum of term) and step change (long term) research initiatives should
ground support. Factors other than equipment and mining be pursued by ACARP to improve roadway development
conditions were clearly impacting development performance at performance.
individual mines, while a number of factors appeared to
consistently differentiate best practice mines from other mines,
including: ROADWAY DEVELOPMENT IMPROVEMENT
PROJECT
• Best practice mines exhibited a driven culture, a strong desire
to succeed, and a focus on getting things right, all factors The Roadway Development Improvement Project has evolved at
emanating from positive leadership models. a RDTG level to incorporate many of the ACARP related
recommendations from the 2005 review, and a number of
• These mines typically had very well defined and very emerging initiatives that have been developed by the RDTG in
prescriptive development processes, with supervisors held
response to industry feedback, including:
accountable for performance against that process.
Performance rates were monitored on an hourly basis against • the conduct of regular benchmarking studies across the
expected standards, and delays were examined to the minute. industry to monitor performance trends and identify factors
• They demonstrated a high degree of involvement of contributing to improved roadway development performance,
employees across all facets of the operation, from process • the conduct of regular regional-based roadway development
definition to equipment specification, evaluation and operators’ workshops to facilitate the transfer of successful
selection for both new equipment and overhaul, and in the roadway development improvement initiatives throughout
continuous improvement of processes through a structured the industry and facilitate networking between development
improvement process. practitioners,
• Rather than focusing on maximising the utilisation of capital • a review of the Australian civil tunnelling and underground
equipment, best practice mines focused on maximising the metalliferous mining sectors to identify practices and
utilisation and effectiveness of personnel through the technologies that could potentially be utilised to improve
provision of fit for purpose equipment with high levels of roadway development performance in longwall mines,

• the development of alternative skin reinforcement and PRELIMINARY PERFORMANCE DATA

containment measures aimed at eliminating the use of steel 6
mesh as a support measure and thereby enabling face support
systems to be fully automated,
5
• the development of automated bolting and mesh handling
Metres per Operating Hour

systems that would enable operators to be removed from the
immediate face area, 4
• the development of a web-based information management
system to capture and transfer emerging developments in
roadway development practice and technology (with the 3
system now being extended across all facets of the
underground coal mining sector – undergroundcoal.com.au), 2
• the development of a body of knowledge or handbook of
industry roadway development practice,
1
• the development of a roadway development simulation
system that will facilitate optimisation of the roadway
development system and practices, and 0
• the development of a new generation high-capacity mining 10 20 30 40 50 60 70 80 90
system capable of +10 metres per operating hour for 20 or Operating Hours per Week
more hours per day (CM2010).
Benchmarking roadway development Metres/Operating Hour Single CM Units

performance Metres/Operating Hour Dual/Super Units
Three benchmarking studies have been completed to date on a six Metres/Operating Hour Single CM within Dual Units
monthly basis to monitor performance trends and identify factors
contributing to improved roadway development performance, with
a fourth study being in progress at time of writing (January, 2008). FIG 1 - Continuous miner uptime and performance rates
ACARP has also recently committed funding to extend the six months to 31 December 2007.
benchmarking process through to end 2009.
The studies are of a voluntary ‘self reporting’ format and round comprises a one day ‘workshop’ in Mackay, Pokolbin and
initially comprised a detailed, Excel spreadsheet-based Penrith to enable operators in the three mining regions (eg
questionnaire which included questions on mine specific Central Queensland, Newcastle/Hunter Valley and Southern/
operational and process performance details, and other questions Western New South Wales) to participate at a local level, and
relating to the management of roadway development at mines. hopefully overcome the tyranny of distance often associated with
Survey responses have been compiled into a consolidated information and technology transfer.
spreadsheet and forwarded to participating mines, while The objective of the workshops is to provide a forum whereby
statistical analysis of the data has been undertaken by University personnel involved in the management, coordination and conduct
of Wollongong mining undergraduates. of roadway development operations at mines can meet to learn of
Participation rates to date have been some 50 per cent, a rate emerging best practice and roadway development improvement
that is disappointing given the reported level of support for such initiatives, to learn of developments in equipment and technology
a benchmarking process by mines in the 2005 review. The study and to identify potential areas for targeted research and finally, to
format has now been restructured into a web-based questionnaire, network with peers.
which is reportedly far more user friendly and less daunting in its While the emphasis is on operators sharing experiences with
presentation. Participation rates will be closely monitored in the other operators via PowerPoint presentations and discussions,
current study to determine whether the revised format has researchers and OEMs also provide research, technology and
resulted in improved participation rates. equipment updates. RDTG members also attend each workshop
Statistical analysis of the data has identified a number of weak and provide update reports on elements of the Roadway
relationships between performance levels, continuous miner Development Improvement Project and facilitate group
machine types, strata support measures and equipment, and shift discussion and workshops aimed at identifying both barriers and
lengths and shift rosters. Higher participation rates are required solutions to improved development performance.
to better populate data sets and enable such relationships to be Following each round of workshops ACARP distributes to all
confirmed. One simple analysis of machine uptime and participants a CD containing a compendium of PowerPoint-
performance rates on data from the December 2006 study based presentations given at the workshops, and a summary of
illustrates the difference between best practice and industry the key issues discussed by participants in plenary sessions.
average performance levels (as shown in Figure 1), with better Participation in the four rounds to date has ranged from a total
performers achieving high machine uptime per unit and best 170 to 250 across the three venues, with some mines even
performers also achieving higher operating rates (metres per allowing full development crews to attend and participate in the
operating hour). It is also worth noting that the best performing learning process. Participation levels in the Newcastle/Hunter
mines in this analysis were also identified as being typical of best Valley and Southern/Western New South Wales regions appear to
practice mines as reported in the 2005 review. be higher than that in the Central Queensland region, possibly
due to the impact of fly-in, fly-out rosters, the sheer size and
breadth of this region and the level of activity and scarcity of
Roadway development operators• workshops resources in this area. This is expected to be an ongoing
Four rounds of regional workshops have been conducted to date challenge.
on a six monthly basis, with ACARP recently committing Participants in the March 2008 workshops noted an improved
funding to extend the workshops through to end 2009. Each awareness of operating practices adopted across the industry,

with mine visits being organised to follow up on particular areas • Typical development rates and associated development costs
of interest both during and after the workshops. Participants also being achieved by mine operators and mining contractors in
noted that ACARP’s development of an integrated R&D strategy single and multiple entry drill and blast development drivages
and its recent funding of four roadway development related were unlikely to warrant consideration of drill and blast as a
research projects demonstrated a sound commitment to viable alternative to existing longwall gateroad development
fundamentally improving roadway development. practices, unless other factors such as a high propensity for
outburst precludes utilisation of continuous miners.
Review of Australian civil tunnelling and • Roadways are typically mined 5 - 6 m wide and 5 - 6 m high
underground metalliferous mining sectors in Australian underground metalliferous mines to allow large,
The review was commissioned by ACARP in June 2006 with the high-capacity equipment to be applied across all facets of the
objective of identifying what technology, equipment, systems and process, particularly high-capacity (>50 t) haul trucks. The
practices were being utilised in the underground metalliferous and adoption of larger profile roadways also creates space in the
civil tunnelling sectors that could potentially be applied to immediate working environment to facilitate the application of
improve roadway development performance in Australian other technologies, or higher capacity systems (including
longwall mines (Gibson, 2007). larger diameter, higher capacity ventilation ducting).
Due to the extensive nature of both the civil tunnelling and • Metalliferous mines typically excavate arched roadways to
underground metalliferous sectors in Australia and overseas it was form a stable roadway profile, thereby minimising roof
determined that desktop investigations would initially be control issues that would otherwise result if flat backs (roofs)
conducted to identify if there were technologies, equipment, were mined.
systems and practices that could potentially be applied, with
further investigations by way of site inspections being undertaken Civil tunnelling sector
in the event that relevant technologies, equipment, systems and
practices were identified. • Civil tunnels are typically constructed in and around urban
areas to extend or ease congestion on major infrastructure,
The approach to the study comprised three main components
with new infrastructure being designed for a 50 - 100 year
as outlined below:
service life. This necessitates that appropriate safety factors
• an extensive literature review of civil tunnelling projects and be applied in design to ensure that construction of tunnels
underground metalliferous mine operations in Australia and does not adversely impact on existing urban facilities (eg
overseas, including relevant conference proceedings and Lane Cove Tunnel), and that tunnels remain serviceable with
industry publications, coupled with limited interviews and minimal maintenance requirements throughout their service
discussions with Australian tunnelling and underground life.
metalliferous contractors and mine operators;
• Although considered to be inflexible and require major
• an extensive literature review of civil tunnelling and infrastructure for mobilisation and disassembly, tunnel
underground metalliferous original equipment manufacturers’ boring machines (TBM) were considered to be the
(OEMs) product information in Australia and overseas, ‘equipment of choice’ for civil tunnels greater than 500 m
coupled with limited interviews and discussions with OEMs; length, unless highly variable ground conditions were likely
and to impact their effective utilisation, or the proposed tunnel
• attendance at the 2006 Queensland Mining Exhibition cross-section was not compatible with available TBM
(Mackay) and Goldfields Mining Exposition (Kalgoorlie) to configurations. This inflexibility includes limited ability to
view and inspect relevant technology and equipment, and to reconfigure entry dimensions once design and manufacture
meet with metalliferous sector research coordinators and of the TBM has proceeded.
researchers at the Minerals and Energy Research Institute of • TBMs are individually manufactured in accordance with site
Western Australia (MERIWA) and the Kalgoorlie School of specific geological conditions and tunnel design parameters.
Mines (Curtin University). Each TBM is in effect a prototype, with extensive
In all, some 60 persons participated in the review process modifications sometimes being necessary to address design
by way of face-to-face or telephone interviews, including issues and/or optimise performance. Refurbishment of used
representatives from mining and tunnelling consultants, mining TBMs is sometimes preferred as a means of shortening lead
equipment and TBM OEMs, mining hardware and consumables times and to capitalise on earlier modifications and
suppliers, mining industry regulators, research organisations, enhancements to the TBM.
technology suppliers and tunnelling and mining contractors.
• TBMs now achieve sustained production rates of up to
1200 m/month over the life of a project (eg Blue Mountains
Key observations sewer tunnels), while an experienced Australian TBM
Key observations in respect to the potential application of contractor proposed that sustained rates of 400 m/week were
underground metalliferous and civil tunnelling sector technology, achievable in coal roadway development.
equipment, systems and practices in Australian longwall mines • TBMs are not self-powered and cannot retreat, and require
were as follows. disassembly chambers to be preconstructed in order to
facilitate their disassembly and potential redeployment.
Underground metalliferous sector Strategies would need to be developed to facilitate their rapid
redeployment on completion of gateroad development,
• While metalliferous sector OEMs produce a range of
otherwise any benefits achieved from higher advance rates
equipment that could, subject to addressing compliance
may be quickly lost.
issues, be readily adapted and applied in the coal sector in
the event that drill and blast mining methods were employed, • In the soft ground conditions (<20 MPa UCS) typically
greater potential probably exists to apply discrete automation experienced in gateroad development roadheaders are far less
and remote control technologies that are routinely used on productive than the wide head continuous miners almost
metalliferous equipment to coal sector equipment and exclusively utilised in longwall mines, even though the
processes. level of technological sophistication on roadheaders was

reportedly more advanced than on continuous miners • a reduction in equipment damage, and hence increased
(particularly those technologies that enabled remote machine uptime and lower maintenance costs;
operation and full automation of roadheader functions,
including boom-mounted automated bolting rigs). These • higher consistency and repeatability of automated
enabling technologies were now likely to be directly operating functions, without the need to employ highly
transferable to continuous miners, subject to compliance skilled operators;
issues being satisfactorily addressed. • the removal of operators from the immediate, unsupported
• As is the case with underground metalliferous mining, it is face area, resulting in fewer injuries and fatalities at the
unlikely that drill and blast technology and practices face area;
currently utilised in the civil tunnelling sector could be • reduced exposure to and incidence of manual handling
seriously considered as an alternative for existing continuous injuries associated with handling of drills and ground
miner-based roadway development systems, unless some control consumables; and
other factor necessitated adoption of drill and blast, ie a • potential improvements in operating rates.
mine’s inability to operate continuous miners due to the
mine’s outburst propensity. • There could be significant benefit from driving larger
dimension roadways in all phases of mine development,
including:
Civil construction and surface mining sectors
• lower ventilation pressures and hence lower mine
Like the mining sector, the civil construction sector is faced with ventilation costs, and reduced risk of spontaneous
severe shortages of skilled operators; however, it is embracing combustion in mines so prone;
technology as a means of combating those shortages. Similarly,
contractors in the surface mining sector were utilising mine site • avoiding the development of a third entry in longwall
training simulators to train new operators to work safely and gateroads and subsequent formation of a second row of
productively with large expensive equipment and overcome chain pillars;
severe shortages of skilled operators. • ability to utilise larger diameter and less resistant
ventilation ducting;
Report conclusions • potential to restructure the continuous miner and enable
• The underground metalliferous, civil tunnelling, civil the fitment of automated bolting and material handling
construction and surface mining sectors all utilise enabling systems; and
technologies that could be applied in the underground coal • potential application of higher capacity coal haulage and
sector to improve roadway development performance. material distribution systems.
Potential technologies and applications include:
• TBMs could provide an integrated roadway development
• integration of current state-of-the-art machine guidance system, particularly in punch longwall applications. However,
and control systems to enable continuous miner operating indicative costs ($21 - 22 M) may limit their immediate and
functions to be automated during the breakaway process widespread application in the underground coal sector
to ensure consistency, repeatability and reliability of unless it can be demonstrated that significantly improved
breakaways without the need for highly skilled operators; development rates can be achieved.
• similarly, integration of current state-of-the-art machine • The application of TBMs in gateroad development will pose a
guidance, sensing and control systems to enable number of regulatory challenges, particularly in relation to
continuous miners to be operated remotely from a equipment certification and approvals of flameproof and
non-hazardous environment, and/or to be operated free of intrinsically safe apparatus, the use of high voltage substations
delays due to the operator’s inability to sight the position and motors in the hazardous/explosion risk zone, and single
of the cutter head and machine body relative to the roof, entry drivage and the provision of emergency escape.
floor and sides, or other persons; • Ishikawajima-Harima Heavy Industries (IHI) and Pacific
• utilisation of extensible conveyor systems to facilitate the Tunnelling have both developed engineering concept designs
continuous operation of continuous miners, TBMs and for application of TBM tunnelling technology to underground
roadheaders; coal mines, while other OEMs (eg Herrenknecht, Lovat,
Robbins, Wirth) are also likely to pursue any such initiative.
• incorporation of carousel bolting systems to continuous Experienced civil and mining contractors also expressed
miner mounted drill rigs (as was reportedly being interest in participating in any such initiative.
progressed by Joy Mining Machinery), as a precursor to
the potential development of other automated bolting • Application of TBMs (and other integrated high-capacity
systems; development systems) will require a major reconsideration of
how the roadway development process is managed, with the
• the application of drill control systems for remote, semi- current level of management resources applied at most mines
automated operation of miner mounted drill rigs; being insufficient to ensure the technology is both utilised at,
• the adaptation of carousel drilling systems for continuous and performs to, a level that could sustain the high capital
miner mounted cable bolting systems, potentially cost.
including cable storage and insertion systems; • Utilisation of TBM-experienced mining and/or tunnelling
• application of remote control technology to enable shuttle contractors will be necessary to ensure that the technology,
cars and continuous haulage systems to be operated equipment, systems, expertise and skills that are available
remotely from a non-hazardous environment; and can be transferred to and developed within the coal sector in
an effective, efficient and sustainable manner.
• application of immersion technologies to train operators
in the safe and productive operation of roadway
• Existing borer miners and continuous haulage/extensible
conveyor systems as utilised in Canadian potash mines could,
development equipment. with integration of on-board bolting and support systems be
• Benefits that are likely to result from the application of such utilised as the basis of an integrated, high-capacity roadway
technologies include: development system in Australian coal mines.

• Conventional widehead continuous miners could, with The project will build upon the successful development of
further enhancement, similarly be utilised as the basis of an manually installed self drilling bolts in an earlier ACARP
integrated, high-capacity roadway development system. project, to enable the full potential of SDB to be realised. The
project aims to design, build and demonstrate new manipulation
Alternative skin reinforcement and containment and magazining equipment integrated with continuous miner
measures bolting machines in a way that creates a fully automated system
that self-loads drilling consumables with minimum human
From an underground coal mining perspective automated roof intervention. In addition, the project will develop methods for the
and rib bolting with self-drilling bolts is almost a reality; magazining, automated presentation and fixing of steel mesh to
however, the full benefits of automated bolting systems will not enable the primary support process to be fully automated.
be realised until roof and rib reinforcement measures are An important component of the automated systems will be the
similarly automated and personnel are removed from the design of cassettes and magazines and transportation systems,
immediate face area. In addition, it is likely that the rate of which allow for the preloading of roof support materials,
roadway development could be considerably increased with including bolts, mesh and all associated components, into
automation of bolting and rib reinforcement measures, with magazines that can be safely transported and conveniently loaded
considerable flow-on economic benefits. onto the continuous miner for automatic dispensing by the
The University of Wollongong, in collaboration with RDTG automated fixing systems. Attention will also be paid to ensuring
member companies, has been undertaking research since July that the automated system can deal with alternative SDB, or
2006 into the development of alternative, polymer-based roof and alternative skin reinforcement systems, as they may become
rib reinforcement measures, and in September 2007 gained direct available in the future.
ACARP support to proceed further development of polymeric The project will build upon existing collaborative
skin reinforcement materials in a six stage plan through to full arrangements between mine operators, mining machinery OEMs,
commercialisation, including: developers of SDB technology, experienced mining consultants,
• Comprehensive polymeric material development and and the University’s mining and automation research centres.
geotechnical assessment of the role of steel mesh in The project will also seek to build upon similar automated
underground roadway support. This is expected to lead to systems within the tunnelling and mining sectors and to utilise
identification of the required properties of any polymeric the latest advances in automation and robotic technology to deal
replacement for steel mesh, and to further guide the with the specific challenges of the underground coal mine
development of a viable polymeric alternative. environment.
• Development of spray application technologies and The project is expected to be completed over a two year period
automation strategies to complement the development of commencing early 2008, and includes the following.
self-drilling bolt technology and systems.
• Optimisation and fine-tuning to ensure that the product Phase 1 (months 1 - 18)
complies with other material requirements such as fire
• Redevelopment of current continuous miner mounted roof
retardancy, lack of pH sensitivity, odour, anti-static
bolting machinery to accept the SDB one-shot bolting process
properties, temperature tolerance, colour, non-sensitivity to
as well as sufficiently automating the process to relieve
water, adhesion to rock and wet coal during cure and
operators from directly operating the machinery and manually
adhesion to roof and rib bolts.
inserting drilling consumables (nuts, bolts, washers, plates,
• Pilot-scale trials involving both laboratory-based and mine etc).
site small-scale testing of candidate materials.
• In parallel with the automated drilling operation, development
• Full-scale trials, involving on-site underground testing. of a subsystem to automate application and installation of steel
• Commercialisation. mesh to the support cycle. This system will be designed to
automatically retrieve steel mesh from a repository (magazine)
Dr Chris Lukey from the University of Wollongong will
and correctly position and orientate it to unsupported strata
separately detail progress with this project in his paper
(Polymer-Based Alternative to Steel Mesh for Coal Mine Strata prior to drilling.
Reinforcement). As industry ‘operators’ the authors would like to • Critical to the success of automating the process will be the
note that the research shows considerable promise to date, and is supply of large quantities of bulk drilling consumables to the
also likely to have application in the civil tunnelling and drilling units themselves. Hence mechanisms will be
underground metalliferous mining sectors when Dr Lukey and developed to convey bulk materials to the roadway
his team prove to be successful. development face in a way that will reduce manual handling
injuries and disruption to the roadway development process.
Automated bolting and mesh handling systems • It is envisaged that the system will allow the remote
The overall objective of this project is to improve roadway preloading of consumables into cassette or magazine style
development rates in longwall mines by reducing primary roof repositories that can be conveniently transported to the
and rib support cycle times and to reduce the exposure of continuous miner and safely loaded. This phase of the project
personnel to injury in the immediate face area by automating the will require the development of methods to safely load the
primary roof and rib support process. consumables into the cassette mechanisms, transport the
This project gained ACARP support in December 2007 cassettes to the drilling machine, then allow automatic
following conduct of a prefeasibility study by the University of unloading of their contents to the drilling and steel mesh
Wollongong, with funding from both the University and RDTG application units as required. A major challenge will be to
member companies. The two year project will develop a system interface the cassettes to the automated system within the
that can be fitted to a continuous miner platform to fully space restrictions of the continuous miner and face area.
automate the process of installing self drilling bolts (SDB) and At completion of this phase a prototype roof and rib and mesh
steel mesh for the primary support of the roof and ribs during support system together with accompanying magazining and
roadway development. transportation systems will be demonstrated by computer-based

simulation modelling as adopted in best practice design and • means of informing:

manufacturing processes, or in an above ground environment
on a mock-up continuous miner as a ‘proof of concept’ • the industry’s roadway development key performance
demonstration. parameters, as well as the good/adverse key factors
which affect mine’s productivity; and
Phase 2 (months 19 - 24) • the wider community on improvements and innovations
adopted by the coal mining industry;
The objective of this phase is to demonstrate the ability to
overcome the constraints of adverse underground mining • ease of use and accessibility;
conditions including, amongst other things, the restricted use of • availability of knowledge resource to the coal mining
electrical sensors and the practical space limitations of industry, free of charge, on a seven day 24 hour basis; and
retrofitting existing continuous mining machinery. A significant • undergroundcoal.com.au will feature a ‘technical note page’,
part of this research will focus on making the system robust so thus providing opportunity for industry personnel to share
that it is simple to operate and maintain. The electrical control
their experiences with others.
and interfacing with the continuous miner and other systems will
also require significant effort in this phase. While initially conceived as purely a roadway development
related web site ACARP has extended the basis of the project to
Web-based information management system include all aspects of underground mining, including
incorporation and integration of ACARP funded Outburst and
(undergroundcoal.com.au) Longwall Mining web sites previously developed by the
Undergroundcoal.com.au is being developed by the University of University of Wollongong.
Wollongong on behalf of ACARP to provide a virtual library or Undergroundcoal.com.au will comprise a three-tiered system
‘body of knowledge’ of coal mining practices, systems and which will involve the industry community in the various
equipment from both domestic and international resources. activities of the site, including:
It will electronically disseminate information and references on
underground coal practices to the Australian coal mining • Tier one will serve an information delivery-level function. As
industry. The basic elements of the undergroundcoal.com.au with traditional web pages, information will be available for
system are illustrated in Figure 2. those who are browsing for such information and it will
Key attributes of the proposed undergroundcoal.com.au system primarily consist of links to other web resources. Tier one
include: will be a journal cognate system, in that there will be a panel
of users/experts who will make decisions on a review basis of
• maintenance of the coal mining industry’s ‘body of what resources will be referenced from the site. Users will be
knowledge’ of practices, procedures and experiences; able to receive notification when new content becomes
• material to be posted via undergroundcoal.com.au resource available.
database will be obtained from a range of sources including • Tier two will support research and will be organised so that
ACARP, best practice workshops and conferences, mine users can easily search across the resources referenced on the
sites, OEMs, researchers and developers, universities,
site. By using the search engine to gather the knowledge, the
government departments and inspectorates, industry
resources will be collected to the site for reviewing, rather
publications, journals and other conferences, and by direct
than the user having to go to numerous sites to review the
personal contributions from roadway development operators
and practitioners; information at source.
• availability of dynamic hyperlinks to: • Tier three will introduce levels of interaction with users.
Discussion forums will be established to provide
• proceedings of the current and past best practice opportunities for interaction between users of the web site
workshops and conferences; and and experts in the field. Users will be able to request
• national and international websites to provide additional notification of changes to the site, rather than having to
sources of information; remember to go and check.
External sites
Conferences, mine sites,
OEMs, researchers and
developers, universities,
government departments
and inspectorates,
industry publications,
journals
Database of documents
and dynamic links
Search
UNDERGROUND COAL Mine sites, ILN,

ACARP advertisement
Resources
LONGWALL OUTBURSTS DEVELOPMENT
FIG 2 - A web-based underground coal mining information management system.

In regards to future directions, it is expected that ‘what if’ variations to the model setup. It will provide a means
undergroundcoal.com.au will allow industry events to be for assessing the operational limitations of current roadway
organised and hosted from the site, especially those making use development practices at a coal mine. Output will be in the form
of technologies such as streaming files, making sharing of of a dynamic visualisation as well as summary reports and time
information much more accessible. Presentations will be able to logs which can be imported into Excel worksheets.
be recorded in video or audio, and made available in real-time or The tool kit will enable more competent and computer literate
‘live’ by web-cast technology, or for download, streaming or users to develop more sophisticated models within the Arena
pod-cast. These tools could, for example, provide users with environment. This provides the potential to not only model a
either audio or audio and video recordings of the ACARP wider range of options but to also extend the scope of modelling
Roadway Development Operators’ Workshop presentations, to other aspects of the overall mining process, eg materials
therefore leveraging their accessibility across the industry. Such handling. Models developed using the RoadSim tool kit, while
activities will also be able to be archived so that they can then be requiring sound computer skills will not require knowledge of
accessed as part of the site’s library of resources at any time. formal programming languages. Input to the more complex
It is expected that undergroundcoal.com.au will progressively models will be via an Excel spreadsheet interface. Output will be
go online late 2008, with full functionality being developed dynamic visualisation of the roadway development process,
mid-2009. Excel interface and ASCII files.
In summary the key attributes of the RoadSim simulation
Handbook of roadway development practice system will include:
This project will develop a handbook of roadway development • The ability to respond to ‘what if’ questions. For example,
practice as adopted in Australian underground coal mines in impact on roadway development rate if the development
order to capture the industry’s body of knowledge for current and resources, technologies or practices are altered.
future generations of mine operators and practitioners, and to • Reproduction of the randomness of roadway development
provide a framework to leverage improvement in roadway processes.
development performance across the industry. • The use of animation to view roadway development operations
Mine fact sheets will detail basic operational parameters of all and bottlenecks.
underground coal mines and summarise roadway development
practices on a mine by mine basis. Key aspects of the roadway • A ‘standard two-heading’ roadway development configuration
development process from exploration through mine design and and pillar sequencing as a base model.
layout, equipment selection, operating and maintenance practices, • A tool kit for use with the Arena modelling system to allow
logistics and supply, manning and supervision, planning, custom configurations to be modelled.
coordination and management will be reviewed and discussed
on a chapter by chapter basis, with current best practice and • The use of ‘standard’ well-supported commercial software
contemporary developments in managing performance (Arena and Excel).
improvement being fully documented. It is expected that the recently approved project will be
The handbook will be formatted as a soft copy manual being completed end 2008, with the model and tool kit then being
accessed on a subject by subject and/or mine by mine basis available for use through the University of Wollongong and
via the undergroundcoal.com.au industry-based management Simulation Modelling Services or, subject to licensing, for
information system currently being developed by the University in-house use by industry stakeholders.
of Wollongong on behalf of ACARP (Project C16022).
The overall project is expected to be completed over a NEW GENERATION HIGH-CAPACITY MINING
15 month period commencing early 2008, and will include SYSTEM (CM2010)
detailed underground inspections and discussions with operating,
maintenance and support staff at all underground coal mines in The Roadway Development Improvement Project, which evolved
Australia. Contributions will be sought from best practice from recommendations contained in the 2005 review, is
operators and from recognised industry experts and consultants undergoing further evolution. The objective now is to build upon
covering the entire roadway development process. It is current research initiatives to develop an overall framework for
envisaged, however, that much of the material provided will be the development and integration of new technologies and
sourced directly from interviews and discussions at mine sites, systems that will underpin a new generation, high-capacity
and from mine documentation and reports. roadway development system. The RDTG recently developed
and circulated to industry for comment a strategic framework for
Roadway development simulation model implementation of what has become known as the CM2010
Project (Roadway Development Task Group, 2008). Key aspects
Dynamic system simulation provides a proven technique to study of this project include the following.
interaction between elements of a complex system. The
technique allows for the modelling of a system over time and the
specific inclusion of variability/randomness inherent in a mining Vision
system. Such an approach allows bottlenecks to be identified and An integrated, remotely supervised high-capacity roadway
to establish if local improvements are likely to have a system development mining system that enables 15 Mt/a longwall mines
wide impact, and provides the opportunity to optimise an to be established and sustained with a single mining unit. The
operation and allocate resources efficiently. system will also enable mining to be safely undertaken under
This roadway development simulation model being developed adverse or extreme mining conditions, thus opening up access to
by the University of Wollongong and Simulation Modelling reserves previously considered unminable.
Services on behalf of ACARP is aimed at mapping the
development process at a number of operations and using the Measures
information obtained to develop a basic simulation model
(RoadSim) and a supporting tool kit (RoadSim tool kit). The • A sustained performance rate of 10 m per operating hour
basic model will allow mine personnel with minimal training and (m/oh) for 20 hours per day, based on installing primary
computer literacy to simulate a roadway system. The model will support of six roof and two rib bolts per metre advance
have inbuilt randomness and the ability to respond to simple together with roof and rib confinement measures (mesh); and

• improved health and safety through reduced exposure to • Develop peoples’ behaviour and skills to better lead,
hazards in the immediate face area. communicate, plan, supervise, operate and maintain
technologically complex systems and equipment.
Goals • Hazard management and safety compliance systems that
• By end 2010, demonstrate key enabling component enable sustained high performance levels to be achieved,
including gas content testing, the detection and location of
technologies that will form the basis of an integrated high-
geological structures and the management of variable strata
capacity mining system, eg remote operation of the
conditions.
continuous miner, automated self drilling bolts and mesh
installation, continuous haulage, integrated panel services; • Process management tools that enable sustained performance
levels of 200 m per day of roadway development to be
• by end 2010, establish programs that enable the key achieved.
organisational and technical competencies required to
support a high-capacity mining system to be developed • Development of mining and ancillary equipment that reduces
throughout the industry, eg improved engineering the exposure of personnel to workplace hazards, eliminates
availability, people behaviour and skills and planning, manual handling and improves ergonomics.
organisation and process control; The strategic framework also details a range of key actions that
• by end 2011, improve industry roadway development are required to bring the project to fruition and attempts to
performance to current industry best practice levels of identify the roles and responsibilities of key stakeholders,
5 m/oh for 12 or more hours per day; including ACARP, researchers, OEMs, mining companies and
mines. It is anticipated that the overall program will require a
• by end 2012, demonstrate an integrated, remotely supervised combination of direct industry funding by mining companies and
high-capacity roadway development system; and mines, together with $1 - 2 million per annum funding from
• reduce the physical demands on personnel engaged in the ACARP over a period of five years or more. Subject to ACARP’s
roadway development process and reduce their exposure to approval of the overall framework, it is envisaged that the RDTG
workplace hazards. will continue to work with researchers, OEMs, mining
companies and mines over the ensuing months to develop and
implement detailed action plans across all aspects of the project.
Key objectives
• A high-capacity roadway mining and support system that is CONCLUSIONS
able to complete one metre roadway advance cycles in three
minutes (including cutting and loading, primary support and The CM2010 roadway development strategy now provides a
advancement of face services), with all functions of the framework for future research and development and is expected
to be utilised by ACARP to develop research priorities and
system able to be supervised remotely with no personnel
funding allocations. Clearly, its goals and objectives are
being required in the immediate face area to operate aggressive; however, development of the enabling technologies
equipment. and achievement of such levels of performance is rapidly
• A coal clearance system that enables the mining and support becoming a business imperative if underground coal mining is to
system to achieve the target cycle times, without impacting be sustainable in Australia. The highly successful, ACARP
the ability to service and support that (mining and support) funded, Longwall Automation Project, which has resulted in the
system. automation of longwall face operations (the ‘Holy Grail’ of
longwall operators for 40 years or more), provides the RDTG
• A system that enables panel services to be advanced without with a proven research and development model, and a structure
impacting operation of the mining, support and coal to successfully engage industry stakeholders. It is expected that
clearance systems, including advancement of the panel the RDTG will continue to play a pivotal role harnessing and
conveyor, ventilation devices and appliances, power, focusing industry efforts to ensure that the project’s outcomes are
monitoring and communications, raw water and pumping, achieved.
compressed air and gas drainage services.
• A mine logistics system that ensures on-time delivery of AUTHORS’ NOTE
mining and maintenance supplies and consumables, and
Copies of the ACARP reports and the CM2010 research and
panel infrastructure and services. The system also includes development strategy referred to in this paper can be obtained
the construction and maintenance of roadways to facilitate from Australian Coal Research by contacting ACARP directly by
the rapid distribution of personnel, materials and equipment. either telephone: (07) 3229 7661 or by email: anne@acarp.com.au
• Premining systems that remove potential impediments to
high performance levels, including gas drainage, seam REFERENCES
dewatering and the location and pretreatment of faults and
other geological anomalies. Coal Mines Insurance Pty Ltd, 2006. Australian black coal industry
statistics 2006.
• Mine design systems that optimise the high-capacity Gibson, G A, 2005. Australian roadway development – Current practices,
roadway development system, including roadway geometry 17 October 2005, Australian Coal Association Research Program,
and panel design, strata support systems and the management Project C15005 (Gary Gibson and Associates: North Wollongong).
of geological structures and features. Gibson, G A, 2007. Review of the civil tunnelling and underground
metalliferous sectors, 30 January 2007, Australian Coal Association
• Achieve significant improvements in engineering availability Research Program, Project C15005 (Gary Gibson and Associates:
and reliability levels through improved equipment North Wollongong).
specification, design, premanufacture simulation and Roadway Development Task Group (Australian Coal Association
equipment manufacture and improved operating and Research Program), 2008. CM2010 research and development
maintenance standards. strategy, March 2008, Project C17010.

Polymer-Based Alternative to Steel Mesh for Coal Mine Strata
Reinforcement
C Lukey1, G Spinks2, E Baafi3, I Porter4 and J Nemcik5
ABSTRACT the Australian coal mining industry has been actively engaged in
the search for an alternative to steel mesh, the requirements of
Spray-on liners used in the mining industry for ground support and
stabilisation applications are either cement based (‘shotcrete’) or polymer
which are:
based (‘thin spray-on liners’). Some thin spray-on liners are a blend of • provides an effective skin confinement measure equivalent or
both polymer and cement (eg Tekflex). A small number of thin spray-on superior to that of steel mesh,
liners (TSLs) have been trialled in Australia as potential replacements for
steel mesh in roadways and other underground mining applications; • requires minimal human intervention in its installation,
however, they were found to cure slowly and the cured coatings became • removes personnel from the immediate face area,
brittle after an extended time in place.
• enables higher underground roadway development rates to be
The University of Wollongong in collaboration with the Australian
achieved,
coal mining industry has shown that a viable polymer-based alternative to
steel mesh in underground roadway support applications can be • is safe to use, and
developed to eliminate the use and handling of steel mesh. The work to
date has:
• is cost effective.
• established the feasibility of developing polymeric alternatives to
steel mesh in underground roadway support applications; Polymeric materials used underground in
• identified the physical and material constraints to be endured by any support applications
new polymeric skin reinforcement system by measuring the
mechanical properties of steel mesh;
Some polymeric materials are already used underground, in the
form of thin spray-on liners (TSLs). Potvin et al (2004) present
• identified materials that can be spray applied; and
the ‘ideal’ properties of a thin spray-on liner, based on the
• demonstrated that polymer mechanical properties can be optimised to analysis of Espley-Boudreau (1999), as follows:
produce similar mechanical properties (elastic modulus, yield stress,
elongation-at-break, etc) to steel mesh. • tensile strength (>5 MPa), toughness (Shore A, hardness 80),
The identified materials will: shear strength (>1 MPa), dynamic loading and creep;
• allow the face support cycle to be fully automated, or at least • adhesion to rock (>1 MPa);
remotely operated and installed;
• deformability (100 - 150 per cent elongation without ripping)
• remove personnel from the immediate face area; and and ripability;
• substantially improve underground roadway development rates.
• combustibility (flame spread rating <200);
INTRODUCTION • application rate (>1 m2/min);
Steel mesh has been used in underground coal mine roadways for • ease of application (minimal or no surface preparation);
some years. The main role of mesh is to provide passive • rapid cure time (<1 h) and long pot life (>2 h);
confinement, especially in locations where poor ground
conditions prevail. Reinforcement of strata is largely achieved by
• water resistance;
the use of rock bolts, and mesh is installed to prevent fragments • environmentally friendly (mild solvents only);
of rock and coal from falling from the roof and ribs in the • temperature tolerance (0 - 40°C); and
spacing between the reinforcing bolts.
The mesh is installed manually, which is a slow step in the • cost (<$15/m2).
roadway advancement process and is inherently dangerous. The majority of thin spray-on liners currently in the market
Self-drilling bolting technology, with the potential for full fall into one of two categories: cross-linking polyurethane or
automation, has been widely investigated over recent years; polyurea-based systems; and cement-reinforced water-dispersible
however, the meshing process remains necessarily a manual systems based on ethylene-vinyl acetate copolymer. These
operation. materials have been around for over 15 years, yet with
A recent survey of roadway development practices in continuous improvement and over 20 products to choose from,
underground longwall coal mines has identified a need for an they still do not possess the right mix of properties that make
alternative to steel mesh, the installation of which could be them universally acceptable as mesh replacements in primary
automated. The University of Wollongong in collaboration with support applications. TSLs are mostly designed to provide
secondary support in addition to steel mesh. The relatively
narrow range of polymeric materials that form the basis of the
1. Senior Research Fellow, Faculty of Engineering, University of
majority of TSLs restricts the range of properties somewhat, and
Wollongong, Wollongong NSW 2522. Email: clukey@uow.edu.au
hence the general applicability. Also, the use of cementitious
2. Professor, Faculty of Engineering, University of Wollongong, additives in some TSLs improves the structural strength but
Wollongong NSW 2522. Email: gspinks@uow.edu.au reduces the flexibility. Hence in order to design a polymer-based
3. MAusIMM, Associate Professor, Faculty of Engineering, University replacement for steel mesh, a radical change of thinking was
of Wollongong, Wollongong NSW 2522. Email: ebaafi@uow.edu.au required.
4. MAusIMM, Associate Professor, Faculty of Engineering, University
of Wollongong, Wollongong NSW 2522. Email: iporter@uow.edu.au Prevailing underground conditions
5. MAusIMM, Senior Lecturer, Faculty of Engineering, University of The prevailing underground conditions are different in every
Wollongong, Wollongong NSW 2522. Email: jnemcik@uow.edu.au mine. Roadway rib support practices can range from a single rib

C LUKEY et al
bolt per development metre and no mesh to three or more rib

bolts and complete ceiling to floor meshing, depending on the
structural soundness of the rib coal and the degree of ground
movement experienced. Mesh usage in the roof, however, is
commonly full width and continuous with a typical ‘metre
square’ bolting pattern. Roadway development practices also
vary, depending on the stability of the strata. In the more stable
mines, the continuous mining machine cuts a few metres of
roadway, then backs out to allow access for meshing and bolting
(known in the industry as ‘cut-and-flit’). In less stable strata,
bolting and meshing is done from the continuous miner platform
directly behind the cutting head. In some mines gas drainage
is an issue, whereas others have problems with mine water at
low pH. Any new material will have to be able to be successfully
applied and provide the requisite level of long-term support
under these widely-varying conditions.
POLYMERIC SKIN CONFINEMENT PROPERTY

ATTRIBUTES
The ideal material attributes of an alternative skin confinement
system include:
• able to be spray-applied without slumping;
• no toxic or irritant emissions during application, initial set or
the development of full strength (curing);
• rapid initial set (seconds), and develops full strength over
longer term (minutes to hours);
• good adhesion to coal, rock, roof and rib bolts prior to full
cure;
• not sensitive to water, rock dust or coal dust;
• not pH sensitive;
• semi-permeable to water and gases;
• high strength, yet flexible (distorts within limits without FIG 1 - Flow chart for selection of candidate materials.
rupturing);
• able to arrest or retard flaking and spalling of roof and ribs; • material must be anti-static and not propagate fire, and
• strength enhanced by reinforcing fillers; • ideally the product should have no adverse effect on coal
• light coloured; preparation plant or coal clearance systems.
• anti-static; and Work to date has focused on achieving the appropriate cure
characteristics and mechanical properties.
• fire retardant/intumescent.
Some of these attributes are considered to be ‘desirable’, such Cure characteristics
as light coloured or semi-permeable to gases, whereas others are
‘must-haves’, such as spray application, lack of toxic emissions The conceptual sequence of events when driving a roadway
and the like. Within the constraints of these attributes, there would be to cut the roadway using a continuous mining machine,
remains considerable design flexibility. install the confinement measure (whether steel mesh or some
polymeric alternative), and then drill and install the bolts. In
order to achieve this in minimum time, a polymeric confinement
SELECTION OF CANDIDATE MATERIALS material would need to progress from liquid to solid in a matter
A number of polymeric alternatives have been investigated that of a few seconds (referred to as ‘cure’) after spray application.
appear to have all of the chemical and physical property There is a range of cure chemistries that are rapid-cure (several
attributes required. The flow chart shown in Figure 1 summarises seconds) with no small molecule emissions, or that emit only
the material selection process. water.
Results to date show that some reinforced cross-linking Polymer cross-linking (cure) is commonly a two-stage
polymers can have appropriate mechanical properties as steel process: gelation and vitrification. Gelation can occur from a few
mesh replacements. A number of issues, however, need to be seconds to hours after mixing, depending upon the promoters and
addressed before any potential material could be considered accelerators used, at which point the material is dimensionally
suitable for underground use. In order to identify these issues, a stable but not structurally sound or strong. The material could
comprehensive product and process risk assessment has been then be drilled and bolted. Over the next period of time, which
carried out, which has identified the following: could also range from seconds to hours, vitrification occurs
(second stage cure – the material becomes a glass) and the
• application quality control, material attains structural strength.
• health issues such as toxicity and irritancy during application
and in the finished material, Mechanical properties
• appropriate product mechanical properties, The mechanical properties (including strength, toughness,
• longevity, adhesion and flexibility) of a cross-linked polymer are

POLYMER-BASED ALTERNATIVE TO STEEL MESH FOR COAL MINE STRATA REINFORCEMENT
significantly affected by the cross-link density (number of to a bending load. Figure 3 compares an unreinforced and a
cross-link points per unit volume) and the nature of the polymer reinforced polymer in a flexure test, and demonstrates the
chains between the cross-link points. The longer the polymer toughening effect of the reinforcement. The unreinforced
chain between the cross-links, the lower the cross-link density, polymer exhibits elastic behaviour (linear relationship between
and the more flexible the cured polymer tends to be. The load and deformation) followed by sudden brittle failure. Short
chemical nature of the polymer chain between cross-link points fibre reinforcement of the same polymer allows the material to
can also have a significant effect on the final physical properties. sustain a much higher load before the beginning of failure
In order to determine the appropriate mechanical properties of (100 MPa compared with 29 MPa), and although the onset
a steel mesh replacement, it is first necessary to determine the of failure occurs at about the same deformation in both samples,
properties of steel mesh itself. This can be achieved by a number the reinforced sample exhibits a much more gradual loss of
of means. Steel mesh is constructed using drawn low carbon steel mechanical strength. This has obvious advantages for underground
wire welded in a square mesh pattern. Mesh is typically five per strata support.
cent steel by volume; thus a very rough estimate of the tensile
properties of mesh in the direction of the wire can be made based 120
upon measured properties of the wire. Typical tensile properties

of steel wire and mesh and a reinforced polymer of the types 100
described above, are shown in Table 1. It can be seen that, with

Reinforced:
the exception of failure strain, the reinforced polymers possess 80
Stress (MPa)
Gradual failure
tensile properties similar or superior to steel mesh.
60
TABLE 1 40
Typical tensile properties of steel wire, mesh and reinforced
cross-linking polymer. 20
Unreinforced:
Young•s Yield Tensile Failure Sudden brittle failure
0
modulus strength strength strain 0 5 10 15 20 25
(GPa) (MPa) (MPa) (%) Deformation (mm)
Low carbon steel wire 205 - 215 500 - 600 500 - 600 4-6
Low carbon steel mesh 8 - 10 25 25 4-6 FIG 3 - Effect of reinforcement on flexural behaviour.
Cross-linking polymer 10 - 17 25 - 55 30 - 70 1-2
30 - 50 vol % fibre
The flexure behaviour of a number of reinforced polymers was
measured at a constant deformation rate, and the results are
The results of tensile testing of a number of in-house shown in Figure 4. Note that none of the materials exhibited
formulations (unreinforced) are shown in Figure 2, compared to catastrophic brittle failure. Instead, a gradual loss of strength was
the calculated properties of two types of steel mesh. It can observed, due to the presence of the reinforcing filler. As shown
be seen that the properties of a number of the formulations in the figure, some formulations were strong but too brittle,
are approaching those of steel mesh. Adding short fibre whereas others were less strong but more flexible.
reinforcement will have the effect of increasing the modulus and
strength without compromising the breaking strain. In addition, 120
Too Brittle
reinforcement will improve the overall toughness of the material. Strong and tough
100
60 80
Stress (MPa)
Tensile Strength (MPa)
50
60
40
40
30 Roof and Rib Mesh
20 20
Too flexible
10
0
0 5 10 15 20 25 30 35
0
Deformation (mm)
0 5 10 15 20 25 30
Breaking Strain (%)
FIG 4 - Flexure testing of reinforced polymers.
FIG 2 - Tensile properties of mesh and unreinforced polymers.
Larger-scale testing of mesh replacement
Geotechnical modelling of the role of steel mesh underground Simple, small-scale tensile and flexure testing of unreinforced
will lead to a more robust and realistic system for the samples is a useful technique for screening potential candidate
determination of the mechanical properties to be endured by any materials. Materials that are obviously too brittle, too soft, too
polymeric replacement for mesh. low modulus, etc can easily be identified and not subjected to
As movement occurs in underground strata, flexural loads will further study. In order to determine whether a material may be
develop in any containment measure, so it is important to genuinely suitable for underground use, however, it is necessary
understand the flexural strength of both mesh and the polymeric to investigate its behaviour under flexural loads similar to those
replacements for mesh. Flexural strength is best measured in the that would be encountered underground. To this end, a larger-
laboratory by subjecting test specimens to a three-point bend scale test apparatus has been designed and constructed. This
test, in which a rectangular beam of the test material is subjected consists of a 1 m × 800 mm wooden frame, in which a sample of

C LUKEY et al
test material can be clamped. Strain gauges and a deflection These results suggest that at least one of the reinforced
gauge can be attached to the sample, which is then loaded with polymeric materials investigated to date has a higher flexural
bricks, and the deflection and strains developed in the material modulus (bending stiffness) and greater load-bearing capacity
can be monitored. than steel mesh under a loading regime similar to that which
Two materials have been investigated to date using this would be encountered underground.
apparatus:
• roof mesh, 5 mm diameter steel wire, 100 mm square mesh; CONCLUSIONS
and
Reinforced cross-linking polymers have the potential to replace
• cross-linking polymer with short fibre reinforcement. steel mesh in underground coal mine roadway primary support
Vertical deflection of the test materials as a function of applied functions. The principal advantages of rapid-cure systems are
load is shown in Figure 5. A total load of one tonne was applied. their ease of application (spray from heads installed on the front
It can be seen that the measured vertical deflection for the of the continuous miner) and safety (personnel are removed from
reinforced polymer was about half that recorded for the steel the immediate face area). It has been demonstrated that materials
mesh. It is also interesting to note that when the loads were can be developed that possess equivalent or superior physical
removed, ~90 per cent recovery was recorded for the polymer, property attributes to steel mesh, with the added potential
whereas the steel mesh recorded only ~60 per cent recovery, advantage of being adherent to the cut surface, thereby providing
suggesting that a one tonne load exceeded the elastic limit of the additional reinforcement.
steel but not that of the polymer. Future work will be focused on the further development of
suitable materials, especially in relation to environmental issues
such as pH sensitivity, the control or prevention of toxic or
Steel mesh irritant emissions during application and cure. In addition, a
comprehensive geotechnical study will be undertaken into the
role of steel mesh in roadway support, and this will further guide
the development of a polymeric alternative.
REFERENCES
Reinforced polymer
Espley-Boudreau, S J, 1999. Thin spray-on liner support and
implementation in the hardrock mining industry, MSc thesis
(unpublished), Laurentian University, School of Engineering,
Ontario.
Potvin, Y, Stacey, T R, Hadjigeorgiou, J and Yilmaz, H, 2004. Thin
spray-on liners – A quick reference guide, in Surface Support in
Mining, p 7 (Australian Centre for Geomechanics: Crawley).
FIG 5 - Vertical deflection as a function of applied load.

Stability of Raise Bored Shafts in Australian Mines
W A Peck1 and M F Lee2
ABSTRACT
In order to make good decisions, as to whether large diameter raise bored
shafts can be constructed in blocky rock at a particular location, mine
planners, management, geotechnical engineers and contractors must
understand and consider a range of geotechnical issues.
Firstly, mine management must ensure that adequate time and
resources are available to find appropriate shaft sites. Deep weathering,
adverse structures, groundwater, etc might mean that the most desirable
location, with respect to other mine development, might not be suitable.
Special site investigation drilling, etc may be necessary. Even then,
FIG 2 - Poor quality, very blocky rock; associated with a thick,
alternative construction options might be necessary, other than just
reaming through to the surface. brecciated, clay-rich and moderately dipping fault. The drilling
was done very carefully using triple-tube gear.
A site investigation borehole should then be drilled to investigate
specific and general ground conditions along the raise alignment. Often,
only small sections of weak blocky rock dictate raise stability. While the ‘will the raise be sufficiently stable, in the short term, to allow
empirical McCracken and Stacey method is typically used in Australia to the support of meta-stable sections?’
assess raise stability and assess geotechnical risk, until recently it had no Mine management must allow sufficient time in mining
published performance data. schedules to consider alternative locations, adequately investigate
An Australian database of raise performance now exists and is presented ground conditions and alternative construction options.
below, courtesy of an industry survey by the Eastern Australian Ground
Control Group. Raise diameter and ground conditions (in terms of a lower
All parties require a good understanding of the factors that
bound Qr value) is presented for 50 cases versus raise performance. affect stability, in particular the geotechnical assessment and risk
jargon used.
OVERVIEW Despite the very best of intentions and endeavours, it must also
be appreciated that rocks can be highly variable, stability
Raise bored ventilation shafts have occasionally collapsed at assessments have limitations and the stability of raise bored
Australian mines during construction, including two in the last shafts cannot be guaranteed.
18 months. Planners, mine management, geotechnical engineers If the tight mining schedule dictates that an X metre diameter
and contractors must understand and consider a range of shaft is required at point Y by time Z, risk taking should be left
geotechnical issues involved with site selection, stability to the casino or the stock market. The key mine management
assessments and risks associated with bored shafts, especially decision drivers should be the stability and availability of the
large diameter raise bored shafts. finished raise, not the time nor the cost of construction. Raise
Very large and stable raise bored shafts can be mined in good bored shafts might be the safest and cheapest option, per linear
quality, massive rock (see Figure 1), but for a variety of reasons, metre, but collapsed raises are invariably very expensive in terms
even small diameter raises (say, >1.0 m) shouldn’t even be of unachieved or delayed production. A range of construction
considered for poor quality, very blocky rock (see Figure 2). options must be considered if a shaft has to be located at a
specific location in poor quality rock.
Despite the above ‘words of caution’ there really is no reason
why, in 2008, stable shafts cannot be routinely mined safely, on
time and on budget; so long as they are planned, investigated and
constructed in an appropriate manner.
RAISE BORED SHAFTS – SAFER, QUICKER,

CHEAPER
Working near or within vertical openings is recognised as being
FIG 1 - Good quality, massive rock; typical ‘unjointed’, hazardous, but so long as strict procedures are adhered to, it is
quartz-veined dolerite from Western Australia. not unsafe.
To avoid risks associated with working near or within vertical
Planners and mine management need to be more flexible about openings, a few companies have tried to adopt a policy of ‘no
the location of shafts and construction methods. Often, more one will work in shafts’. Commendable as this approach might
suitable sites need to be found. Even then it may still not be be, and as much as we would all like it to be possible, strict
possible to ream through to the surface at these sites and expect application of it is not yet practical.
the entire raise to be stable; ‘but will the unstable sections The Australian push to reduce miners’ exposure in vertical
adversely affect the long-term use of the raise’, or alternatively openings began in the early 1970s with the introduction of raise
bored ventilation shafts, escape ways, orepasses, etc (eg
Minahan, 1974). At that time, raise boring was faster, but more
1. MAusIMM, Principal Geological Engineer, AMC Consultants Pty expensive than traditional methods of shaft construction. Small
Ltd, Level 19, 114 William Street, Melbourne Vic 3000. diameter raises (<2.4 m) were typically bored over short lengths,
Email: wpeck@amcconsultants.com perhaps as pilot raises for subsequent stripping, supporting and
2. FAusIMM, Principal Geotechnical Engineer, AMC Consultants Pty lining to construct larger diameter shafts. The stability of these
Ltd, Level 19, 114 William Street, Melbourne Vic 3000. small diameter raises was typically not an issue, and largely
Email: mlee@amcconsultants.com taken for granted.

W A PECK and M F LEE
Subsequent advances in raise bore technology have led to the

ability to ream much larger diameter raises (up to 6 m), over
longer distances (up to 1100 m), using various configurations and
in a variety of rocks and rock masses (see Figure 3). Apart from
being safer and quicker than alternative methods of shaft
construction, raise boring is also now much cheaper (per
constructed metre).
Where it is technically feasible, it is now the method of first
choice for shaft construction in Australia. Often it is the only
method of shaft construction considered, regardless of the local
ground conditions. Unfortunately, the quality of Australian rock
masses has not improved over the past 30+ years, in step with our
ability to ream larger and longer raises! Some raises have therefore
experienced one or more of the following stability issues.
Wedgy overbreak
Wedgy overbreak can occur onto the head during boring
(Figure 4), or subsequently from the smooth raise walls (Figure 5).
The first is a construction issue for the contractor. It can cause
highly variable loading of the rods, possibly leading to fatigue
failure. Wall overbreak can be critical to the final use of the raise,
and it may be desirable to stabilise broken zones by manual
bolting (+ mesh), remote fibrecreting, or lining the walls (eg by FIG 3 - Typical reamer from a successful large diameter raise
installing a steel liner and grouting, concreting lining, etc). bored shaft; photo supplied by Lawrence Newnham (RUC).
Unravelling
Uncontrolled overbreak (unravelling) of the face or wall is also
possible; perhaps leading to damage or loss of the reaming head,
some of the rods and the raise itself. These situations must be
avoided by good planning, site investigation, stability assessment
and decision making. Everybody loses, except perhaps lawyers
who often become involved after collapses and insurance
premiums tend to rise.
The contractor loses equipment, perhaps goodwill and the next 600 mm
job may need to be re-scheduled. The client doesn’t get the raise
that was required to meet production schedules. Of course the rock
is blamed, along with the advising geotechnical engineer.
Time-dependent deterioration
Time-dependent deterioration of raise walls is also possible in
some rock masses, maybe leading to collapse. Common causes
include weathering and sensitivity of exposed rocks to changes in FIG 4 - This joint-bound wedge fell onto a raise bore head and
moisture (eg seasonal), and mining-induced stresses and made further reaming problematic; photograph supplied by Ruth
displacements due to subsequent nearby stoping. Some of Western Stephenson (Sons of Gwalia).
Australia’s weak (talcose) ultramafic rocks can also swell and
squeeze.
Where time-dependent deterioration is considered possible, the
raise walls should be supported (eg bolts + mesh) or lined (eg
fibrecrete or concrete) as soon as possible after construction.
Impact, attrition and air-fracturing are special stability issues
for raise bored orepasses.
LOCATION, LOCATION, LOCATION

Mine planning engineers typically specify the location of raises
to suit mining activity, but they should do so with the best
possible appreciation of the local geology. A brief chat with the
site geologist should quickly resolve some of the issues below.
Specific structures
The influence of specific structures on raise stability must be
assessed first. For subvertical raises, the obvious features to
avoid are thick weak steeply-dipping faults and shears (Figure 6).
Even thin, steeply-dipping structures can mean significant wall FIG 5 - Minor wedgy overbreak from a small diameter ventilation
overbreak, but perhaps not unravelling and collapse, depending raise wall in blocky rock, but assisted by locally elevated stresses
on ground conditions either side of the structure. (with respect to the strength of the rock mass).

STABILITY OF RAISE BORED SHAFTS IN AUSTRALIAN MINES
Deep weathering
Deep weathering is common throughout Australia (see Figure 6),
often below a much stronger silcrete, calcrete or lateritic cap.
The weathered-fresh rock interface can be sharp and it often
correlates with the water table. Therefore, a zone of wet and
weak rocks is common just above this interface.
For the assessment of general raise bore stability, it is critically
important to thoroughly investigate the weathered zone; both the
rock mass and the influence that wet weak rocks and inflows
might have on raise stability. This is not a trivial text book
assignment; the rock mass is often highly variable over short
distances (both vertically and laterally). It is very difficult to give
unequivocal answers to the maximum stable unsupported raise
diameter, or the stand-up time, and no amount of fiddling with
empirical geotechnical parameters will make the rock mass more
stable!
The best strategy, if possible, is to relocate the shaft collar on
an outcrop, or on a rock type that is not prone to deep weathering
or has better weathered ground conditions. Other alternatives
might include excavating down to better rock, grouting, installing
piles around the final shaft perimeter, etc; all have their own set
of issues. Alternative construction methods must be considered if
FIG 6 - Deep weathering and steep bedding-parallel faulting at a the proposed raise diameter is not definitely stable through the
proposed raise boring site. A 1.8 m raise through the thick weak weathered zone, and none of the above ground improvement
fault over-broke out to 3.6 m. options are viable.
Numerous large diameter raises (say >2.5 m) have collapsed
when trying to ream through wet and weak weathered rocks. One
The site geologist should be able to confirm whether any
common management method is to ‘hope’ that they will be stable
structural features are present, and describe their character. If
for a short period of time; sufficient to remove the head and raise
very little is known or there is uncertainty, specific drilling may borer, then install and grout steel cans through the weathered
be required to investigate particular problematic features. zone. We’ve all heard stories about cases where this was not
‘A few years ago at an anonymous mine’, five subvertical site successful, particularly in Western Australia’s saprolite; ‘we just
investigation boreholes were drilled before the last finally recovered the machine before the raise collapsed’, ‘the cans
reached the target depth. The previous four holes had bogged in a wouldn’t fit in the squeezing hole’, ‘we didn’t have to use much
thick and very weak subvertical shear zone that had to be grout’, etc. In 2008, ‘hope’ and ‘she’ll be right’ are not valid risk
intersected by the proposed raise bore site for a desperately management strategies!
needed ventilation shaft. The mine continued to persevere with
this site; ‘because there was no other suitable location for the Groundwater
desperately needed ventilation shaft’. Caving occurred above a
small diameter raise bore head, which was lost along with a No matter how difficult and inconvenient it might be, it’s very
considerable length of the rod string. What were they thinking? important to define past and current water tables, and likely
If it was difficult to drill a borehole through this material, why groundwater inflows.
did they think a larger raise would be stable? None of the site Apart from influencing raise stability, groundwater inflows
investigation boreholes were logged, and a stability assessment and wet clay-rich weathered rocks can make it difficult, perhaps
was not done. The mine is now operated by another company, impossible, to support raises using remote fibrecreting.
who easily found an alternative site for the ventilation shaft. Raises are significantly more stable if the weathered rocks are
drained and ideally they should be dry. Then the best strategy to
Cavities and old mine openings increase raise stability (ie reduce the risk of significant overbreak/
collapse) is to dewater early and keep pumping; well, at least until
Significant face and wall instability is possible if raises intersect, the exposed weathered rocks in the raise wall have been
or just clip large cavities. The reamer can be subjected to adequately supported and drains installed (if required).
anomalous forces, possibly leading to snapped rods.
Near-surface cavities can be an issue in carbonate rocks (eg Squeezing and swelling ground
limestones and dolomites). Lost and forgotten shafts and mine Squeezing and swelling mechanisms often occur in the same
openings are also an issue in old mining areas (eg Ballarat, rock masses, and ideally these rocks should be avoided. If this is
Bendigo, Kalgoorlie, etc). One investigation strategy is to closely not possible, realistic estimates of stand-up times will be
probe-drill the proposed site. required and significant support or lining costs should be
One of the authors had the experience of locating a raise on a anticipated. Alternative construction methods should also be
large limestone outcrop, in a known karstic area where large considered, other than raise boring.
cavities are rare. Despite good knowledge of the local geology Squeezing refers to the deterioration and dilation of weak rock
and an almost unjointed rock mass, a borehole was drilled down masses due to small movements on numerous joints, often driven
the centre of the proposed raise location, just to check for by excessive wall stresses (see Figure 7). This style of behaviour
unexpected ground conditions. Four exploration boreholes had is typically restricted to weathered, altered or highly stressed
previously been drilled at the same site and no cavities were rocks (in relation to their strength). In Western Australia and for
found. At about 8 m from surface breakthrough, the reamer some fresh ultramafic rocks, excessive stresses and squeezing
suddenly deviated sideways into a large cavity, the rods snapped can begin at depths as shallow as 300 m, and become
and there was a lot of swearing. Murphy was blamed! increasingly worse with depth. In one case, a 600 m escape raise

to a meta-stable, semi-oval shape. Very little can be done to

avoid this issue by design, but planners and contractors must be
aware of the potential problem.
The authors do not know of any collapsed raise bored shafts in
Australia, which have just been due to high stresses. However at
two different mines, a highly stressed escape raise (loose rock
barred down and supported) and a raise bored orepass (impact
and attrition) both suffered extreme overbreak; from 3 to +15 m
diameter.
Active high-stress spalling (eg with associated seismicity)
above or around the reamer, can also mean large loose rocks,
with possible clamping of the reaming head and hence large rod
torques.
SITE INVESTIGATION
Once a suitable raise location has been found, which may have
included special drilling (eg to locate and define specific faults,
cavities, etc), a specific site investigation borehole should be
drilled down the centre of the proposed raise; triple tube with a
core diameter ≥50 mm at the bottom of the borehole, and
Nav-drilled (as required) to minimise deviation.
FIG 7 - Squeezing (bucking) of highly stressed foliated siltstone; The site investigation borehole has two functions:
photograph supplied by Cameron Tucker. • confirm earlier assumptions about thick weak faults and
shears, the weathered zone, groundwater, etc; and
through ultramafic rocks, which appeared to be stable • it is also the primary source of ground condition data along
immediately after reaming, slowly deteriorated and had to be the length of the proposed raise, which is used to assess
supported (fibrecreted) after about two years of service. general raise stability.
Swelling is associated with a volume change and it is often Of course core handling, logging, testing and documentation
due to the presence of swelling clays (smectite) and changes in must be commensurate with and adequate for subsequent
moisture content. Some fresh strong ultramafic rocks can also be stability assessments. It is very important to photograph the core
prone to swelling, on exposure to air or in the presence of water as soon as possible after it is retrieved from the core barrel.
(eg if brucite is present; Figure 8).
At this stage of the planning process, management typically
wants to know ‘the maximum stable unsupported diameter
(MSUS) of a raise bored shaft at the chosen location’. This
question already suggests willingness by management to accept
risk; in that the shaft will be the ‘largest possible, up to the
required diameter’.
The answer is not simply based on the average rock quality of
the entire proposed raise. The MSUS of the raise will often be
dictated by specific features, or one weak blocky zone that has a
width greater than about one raise diameter; hence the concept of
the lower bound Qr value. MSUS should be calculated using
FIG 8 - Before the bottom two rows of core deteriorated, due to the RSR = 1.3 from the following relationship:
local presence of brucite, it appeared to be as strong and as intact
MSUS = 2 RSR Qr0.4
as the top two rows.
So in geotechnical jargon and after a lot of logging and
Expert peer review is strongly recommended if raise bored analysis, management really wants to know the lower bound
shafts are being planned in ultramafic rocks; most of the value for Qr, not the average rock quality.
geomechanics texts and empirical assessments do not deal with
these special materials. STABILITY ASSESSMENT
Loosened or highly stressed ground Specific issues
Large diameter raises should not be located within areas that are, Raise stability, as it relates to specific issues such as faults and
or will become, significantly loosened or highly stressed due to shears, weathered zone, cavities, stress versus strength, etc must
stoping or extensive mining. be assessed using first principles. They are the most important
Low confining stresses on joints in loosened ground simply and often the most difficult to assess.
means that it is easier for wedgy overbreak to occur, possibly
leading to significant unravelling and loss of the raise, etc. This General stability – blocky rock
mechanism is most likely in blocky rock. At one old mine, a
ventilation raise was kept open by regularly mucking overbreak, Empirical rock mass classification systems are typically used to
including the original concrete liner! assess the general stability of raise bored shafts and estimate
High stresses and associated spalling of raise walls is a associated risks.
common issue in stope abutments and deep mines, especially in The empirical McCracken and Stacey (M&S) method has been
Western Australian’s gold and nickel mines. Unless slabs are widely used in Australia (McCracken and Stacey, 1989). It is
progressively removed, these raises tend to overbreak (dog-ear) essentially a slightly modified version of the popular Q-System

developed by Barton, Lien and Lunde (1974), but with some diameter of the raise being assessed. In Australia there is,
extra factors for raises and comments on how to evaluate the unfortunately, a tendency for Jn to be calculated using the
geotechnical risk of failure. number of joint orientation sets that an enthusiastic geologist
might find in the entire rock mass. This is typically a much
General stability – competent and highly stressed larger number, and its use leads to conservative stability
rock predictions.
• Jr and Ja should relate to the properties of the joint set that is
Both the Q-System and M&S method only apply to
(locally) worst for stability; which may be different for the
moderately-stressed blocky rock. For highly-stressed or
raise face and wall. Jr and Ja are not, necessarily, the
competent rock, stability assessments should consider stress
properties of the least stable joint set in the rock mass. For a
versus rock mass strength issues.
subvertical raise, the worst joint for stability is usually a
The following loose definitions apply: steeply-dipping joint set. Again, inappropriate characterisation
• competent rock has a Q’ > 30, and can lead to conservative stability estimates.
• highly stressed rock is where the maximum tangential • As the RQD/Jn and Jr/Ja ratios are used by the M&S method
stresses in the raise walls > 50 per cent of the compressive to assess the geotechnical risk of failure, it is important that
strength of the intact rock material (UCS50). these values are estimated in a consistent manner and with
due care.
Wedge analysis • SRF is perhaps the most controversial parameter. Q-System
ratings have varied since the first paper by Barton, Lien and
In addition to the above specific and general stability Lunde (1974) and the M&S method specifies that a South
assessments, analyses should also be done to estimate the likely African approach developed by Kirsten (1983) should be
size, shape and stability of credible wedges, which might loosen used. Peck (2000) published similar SRF equations for
and overbreak from the face onto the head, or from exposed raise Australian conditions and these should be used.
walls.
• The M&S method specifies that RSR = 1.3 for ventilation
shafts. RSR is a risk term, which is used to calculate the
EMPIRICAL McRACKEN AND STACEY METHOD maximum stable unsupported raise diameter, for each logged
For a full description of the M&S method, the reader should refer geotechnical domain or interval. Some geotechnical
to McCracken and Stacey (1989). Like the Q-System, the method engineers use higher RSR values, which will suggest that
gives insight into the parameters that are critical to general raise larger diameter raises are ‘stable’, but for a higher risk of
stability, but care is needed when calculating or assigning failure. This practice is flawed and is not recommended.
parameter ratings. When they are reviewing geotechnical assessments for raise
The M&S method has been successfully applied to a number bored shafts, planners, managers and contractors should note
of large diameter raise boring projects; eg the No 5 Ventilation conformance to the above parameter issues.
Shaft at Broken Hill (Bennett and de Bruin, 1993). Overbreak
was predicted for the initially proposed 6 m diameter raise, and it Performance database
occurred in the 1.8 m raise bored diameter pilot hole prior to
enlarging it to 6.7 m by V-moling. A slip form concrete liner was Until recently (Peck and Lee, 2007), the M&S method did not
placed only a few metres behind the V-mole. have a published database of raise diameter and rock mass
conditions versus actual performance. It is updated below with
some recent raise experiences.
Parameter estimates and issues
Stability predictions for most of Australia’s raise bored shafts
Unfortunately and also like the Q-System, application of the have therefore been done assuming that the ideas expressed by
M&S method is not straight forward, and it has not been used in McCracken and Stacey were correct. Fortunately, the M&S
a consistent manner by the Australian geotechnical community. method was based on the Q-System, which does have a
A few of the more important parameter issues are mentioned performance database, albeit mostly for horizontal openings.
below:
• Specific features (eg faults and shears) must be logged and Stand-up time
assessed as separate features. Neither the Q-System nor the M&S method provide a basis for
• Cores should be logged by dividing it into similar estimating ‘how quickly an unstable raise might deteriorate,
geotechnical domains, but the minimum domain length become unserviceable and perhaps collapse’.
should be ≥30 per cent of the proposed raise diameter (ie This is an important issue when planners need a larger raise
more than 1.5 m for a 5 m diameter raise). than the rock mass will allow, and managers are prepared to
• Rock quality designation (RQD) should only be calculated accept some risk of short-term failure; eg before sections of the
for ‘hard and sound’ sticks of core, which excludes highly raise are lined, fibrecreted or otherwise supported.
weathered rocks. Deere and Deere (1989) regarded Bieniawski’s RMR rock mass classification system (Figure 9)
moderately weathered rock as being ‘hard and sound’. can be used to estimate likely stand-up times (Bieniawski, 1993).
Unfortunately, this is often ignored in Australia and RQD is A few raise bore case histories have been plotted on Figure 9:
commonly calculated and presented for highly weathered • Case 1 had a predicted stand-up time of about one hour. The
rocks. Similarly, RQD should not be calculated for weak raise collapsed during construction, despite preconstruction
broken fault materials. grouting of fault zones. While grouting can improve the
• Although allowances can be made, the Q-System and M&S stability of some rock masses, it may not work where the
method do not, strictly, apply to highly weathered or weak joints have clay-infill and, if excessive grout pressure is used,
broken fault materials. the rock mass can be made less stable.
• Jn should apply to the number of joint orientation sets that • There were no reports of wall stability problems with Case 2,
contribute to instability at the design location and for the which plots in the ‘No Support Required’ sector of Figure 8.

To facilitate analysis and presentation of rock mass quality,

site investigation core should be logged over 1 to 1.5 m intervals.
Qr is then determined and plotted over 3 m intervals using
‘rolling average’ techniques (Figure 10).
FIG 9 - Stand-up time (after Bieniawski, 1993).
• A stand-up time of six months was predicted for the 140 to

145 m interval of the Case 3 raise. It was inspected by a
closed circuit television camera about two months after
reaming and displayed minor overbreak. The adjoining
FIG 10 - Example raise stability assessment; Qr versus depth
intervals showed slight fretting associated with thin, steeply-
and lower bound Qr values.
dipping faults. This raise was fibrecreted to inhibit
continuing overbreak from possible softening of the clayey
infill on these faults. Performance survey
Courtesy of an Eastern Australian Ground Support Group
AUSTRALIAN RAISE PERFORMANCE (EAGCG) survey and from AMC’s own records, an Australia
database of raise boring performance has been compiled
Lower bound Qr (Figure 11). It comprises 50 data points of raise diameters, lower
bound Qr values (3 m rolling averages) and actual performance,
The concept of a lower bound Qr was first presented by from 25 Australian and Papua New Guinean mines. All of the
McCracken and Stacey (1989), but the method of determining it raises are known to at least one of the authors, who also had
was not fully defined. access to the site investigation reports and borehole logs.
The authors have observed that for poor quality rock to The following trends are illustrated in Figure 11. The data
significantly impact raise wall stability, zones of poor quality suggests that the lower bound Qr values are critically important,
rock need to be wider than about 3 m. While thinner zones can and if an RSR > 1.3 is required, there is a greater chance of
experience overbreak, it doesn’t continue to unravel. having to support the raise to improve its long-term stability:
FIG 11 - Updated Peck and Lee (2008) raise diameter and lower bound Qr values versus actual performance.

• Lower bound Qr values < 0.10; there is a high chance (nine International Workshop on Rock Mass Classification in Mining,
in ten) of raise collapse or significant overbreak, irrespective Vancouver.
of the proposed raise diameter. The data came from an EAGCG survey of raise bore stability
• Lower bound Qr value is between 0.10 and 1.0, and a raise and numerous raise bore projects that AMC people have been
diameter > 1.8 m; raise bore performance varies from stable involved with over the last 30+ years.
to collapsed. A detailed analysis is required to assess stability Specific mines are not mentioned, and it is purposely difficult
for these situations and the M&S method recommended a to identify the specific mines being referred to by the authors.
detailed stability analysis for such cases.
• Lower bound Qr value > 1.0, and raise diameter < 5 m; there REFERENCES
is an excellent chance of constructing a stable raise (11 stable
Barton, N, Lien, R and Lunde, J, 1974. Engineering classification of rock
and three stable with support). If an RSR > 1.3 is required, a masses for the design of tunnel support, Rock Mechanics,
detailed stability analysis should be done. 6(4):189-236.
For an RSR = 3.0, McCracken and Stacey (1989) considered Bennett, A G and de Bruin, N J H, 1993. Investigation and development
that there was a probability of failure of one in four. In Figure 11, of Pasminco No 5 ventilation shaft, Broken Hill, in Proceedings VIII
of the 13 data points above RSR = 3.0, only four were stable Australian Tunnelling Conference, pp 55-63 (The Australasian
without support. Institute of Mining and Metallurgy: Melbourne).
Bieniawski, Z T, 1993. Classification of rock masses for engineering: The
RMR system and future trends, in Comprehensive Rock Engineering
CONCLUSIONS (ed: Hudson), vol 3, pp 553-573 (Pergamon: Oxford).
With better planning, particularly regarding the location of raises, Deere, D U and Deere, D W, 1989. Rock quality designation (RQD) after
the percentage of stable raise bored shafts in Australia should twenty years, US Army Corps of Engineers, contract report GL-89-1.
increase. Consistent rock mass characterisation and stability Kirsten, H A D, 1983. The combined Q-NATM System – The design and
assessments, using the above principles, should also lead to a specification of primary tunnel support, South African Tunnelling,
6(1).
better understanding of the geotechnical risk of failure. It is the
responsibility of mine management to ensure that this happens. McCracken, A and Stacey, T R, 1989. Geotechnical risk assessment of
large diameter raise-bored shafts, in Proceedings Shaft Engineering
Contractors can also play a significant role in reducing the Conference, pp 309-316 (Institution of Mining and Metallurgy:
number of collapsed raises, by not undertaking jobs where they London).
believe there is a chance of the raise failing. They have the Minahan, P J, 1974. The impact of raiseboring on a major mining
expertise to suggest viable alternative construction methods, and operation, presented to AusIMM Regional Meeting, Recent
they should therefore be involved very early in the planning Technical and Social Advances in the North Australian Minerals
process. Industry, Mt Isa.
Geotechnical engineers must use a consistent approach to data Peck, W A, 2000. Determining the stress reduction factor in highly
collection, stability assessment and communicating risk to clients. stressed jointed rock, Australian Geomechanics, 35(2).
The Australian database of actual performance must also continue Peck, W A and Lee, M F, 2007. Application of the Q-System to
to grow. Mines are encouraged to supply data to the EAGCG. Australian underground metal mines, presented to International
Workshop on Rock Mass Classification in Mining, Vancouver.
ACKNOWLEDGEMENTS
This article is an expanded version of a paper by Peck and Lee
(2007), which was published and presented at the 2007

Geotechnical Shaft Reconciliation at Oyu Tolgoi, Mongolia
P Voulgaris1, M F Lee2, A Purvee3 and L J Mollison4
ABSTRACT Extensive site investigations have been completed for a

production shaft farm. Foundations and the presink for Shaft 2
Oyu Tolgoi is a large Cu-Au porphyry deposit in the south Gobi desert,
Mongolia. The first of several deep, large-diameter, concrete-lined shafts,
are presently being constructed. It is therefore timely to compare
Shaft 1, is nearing completion. It will have a finished depth of 1380 m at predictions from the Shaft 1 site investigations, against actual
a diameter of 6.7 m. These shafts will provide access to and hoisting experience, and apply this knowledge to Shaft 2 and other shaft
capacity for block caving of deep underground ore. developments.
Geotechnical site investigations, and associated predictions of stability Ivanhoe Mines Limited owns 100 per cent and operates the
and ground support requirements, are compared against actual project. Rio Tinto PLC has taken a 9.9 per cent stake in Ivanhoe
construction performance. Routine mapping is essential, along with Mines. Shaft 1 is being constructed under a contract between
checks against predictions and informing the contractor of ground Ivanhoe Mines and J S Redpath Limited. Construction began in
conditions and variances. February 2005 with the foundation excavation and presink to
Advance rates are compared against predicted rock mass quality. A 27 m. Sinking commenced on 1 February 2006 and completion
reasonable correlation exists between Qwall and advance rate. Overbreak to 1380 m is expected in January 2008.
and concrete liner thickness is related to the blockiness quotient, RQD/Jn.
A ‘tool-bag’ of just a few support elements (chain-link mesh, fibrecrete Location
and 2.4 m long friction anchors and resin grouted re-bar bolts) was able
to cope with the ground conditions encountered. QA/QC procedures are Oyu Tolgoi is located in the south Gobi Desert, Mongolia, in the
essential from the factory, through site storage to installation. Aimag (province) of Omnogobi (latitude 43.0°N, longitude
106.8°E). The property is about 600 km south of the national
INTRODUCTION capital of Ulaanbaatar and 80 km north of the Chinese border
(Figure 2). Access is via regular charter flights and unpaved road
Oyu Tolgoi (Turquoise Hill) is a very large, world-class porphyry from Ulaanbaatar.
copper-gold deposit. The project is a greenfields development.
There is very little infrastructure at the site and it is remote from
supplies. Shaft 1, the subject of this paper, is the first significant
mining at Oyu Tolgoi (Figure 1). It will initially provide access
for characterisation of the rock mass for a large block cave mine.
1. MAusIMM, Manager Mining Technical Services, Ivanhoe Mines

Mongolia Inc, 26 Zaluuchuud Avenue, Ulaanbaatar 210349,
Mongolia.
2. FAusIMM, Principal Geotechnical Engineer, AMC Consultants Pty
Ltd, Level 19, 114 William Street, Melbourne Vic 3000.
Email: mlee@amcconsultants.com
3. Senior Geotechnical Engineer, Ivanhoe Mines Mongolia Inc, 26
Zaluuchuud Avenue, Ulaanbaatar 210349, Mongolia.
4. MAusIMM, Senior Geotechnical Engineer, AMC Consultants Pty
Ltd, Level 14, 114 William Street, Melbourne Vic 3000.
FIG 2 - Location of Oyu Tolgoi project.
The region is covered by sparse semi-desert vegetation and is

used by nomadic herders who tend camels, goats and sheep. The
closest community is 35 km to the east at Khanbogd Soum with a
population of 2500. Dalanzadgad, the capital of Omnogobi
Aimag, is 220 km north-west and has a population of 14 000.
The area has seasonal extremes of temperature (-25 to 35°C)
and wind (gusts up to 180 km/h). Dust storms are frequent in
spring from the northwest. The site is about 1160 m above sea
level. The topography over the mining license is generally flat to
gently sloping and most of it is covered by about 25 m of stiff
clay. Rocky outcrops form low hills in the northwest corner of
the license.
OYU TOLGOI PROJECT
Geology
The Devonian Oyu Tolgoi porphyry copper-gold deposit is
6 km long and plunges shallowly north north-west. A detailed
FIG 1 - Shaft 1 head frame, note the additional head frame legs to geological description of the deposit can be found in Perello et al
brace it against the Gobi•s high north-westerly winds in spring. (2001); Kirwin et al (2003) and Khashgerel et al (2006).

P VOULGARIS et al
The geology of the deposit is illustrated in plan and east-west

section in Figures 3 and 4. Also shown are the proposed mining
areas, and the positions of the Bulk Sample Shaft, Shaft 1 and
Shaft 2.
As at March 2007, resources in the Hugo deposits were
820 Mt at 1.82 per cent copper and 0.42 g/t gold in the Indicated
category, with an additional 1309 Mt at 1.02 per cent copper and
0.22g/t gold in the Inferred category.
Geological units intersected in Shaft 1 include:
• Biotite granodiorite (BiGd) is a post-mineralisation
porphyritic dacite dyke characterised by the presence of
fine-grained biotite (chlorite or sericite altered). The main
dyke rapidly thins with depth.
FIG 4 - East-west section through the Hugo North Deposit and

Shaft 1; showing the main faults and geological units.
• Dacitic ash flow tuff (Ign), buff to dark green, often with
intense sericite and advanced argillic alteration.
• Augite basalt (Va), a dark green basalt with augite
phenocryst, biotite and chlorite altered. This unit hosts the
South West Oyu mineralisation.
• Quartz monzodiorite (QMD) intrusions, predominately QMD
strongly sericite altered. At the Shaft 1 site, the QMD is
weakly mineralised (copper <0.3 per cent) with a low intensity
of quartz veining. QMD hosts economic mineralisation in the
Central Oyu and the Hugo deposits.
• Numerous late intrusive dykes of rhyolite (Rhy) and basalt
(Ba).
Several steep and moderate dipping faults intersect the
sequence. Most of the mine-scale faults and intrusive styles are
present in the Shaft 1 area.
Proposed mine plan

The large size and grade of the Hugo North orebody dictates that
block caving is the most appropriate mining method. The
mineralised rock mass is also sufficiently blocky and veined to
encourage caving. Given the proposed depth of the first Hugo
North block cave undercut (1300 m), shaft access is the only
viable means of egress.
FIG 3 - Surface geology of Oyu Tolgoi; showing the major faults Block caving is a ‘bottom up’ mining method and unlike other
and shaft positions (Bulk Sample Shaft, Shaft 1 and Shaft 2). techniques, most of the capital is spent prior to full production

GEOTECHNICAL SHAFT RECONCILIATION AT OYU TOLGOI, MONGOLIA
being reached; about $2.5 billion for the first block cave at Oyu cave optimisation resulted in deepening of the extraction level.
Tolgoi. Project financing is therefore often very dependent on Shaft 1 is now planned to be 1380 m deep, with a finished lined
being able to classify the ore resource as a reserve. However, to diameter of 6.7 m and characterisation level at 1300 m.
do this, confidence is required in key geotechnical design Areas to the west and south of Oyu Tolgoi are prone to large
parameters, and for deep mines, this can only be achieved with terrestrial earthquakes, but the chance of large earthquakes
underground exposures. This is one of the main objectives affecting the site has been assessed as low (Bayasgalan, 2004).
behind the construction of Shaft 1.
On completion of the shaft, approximately 1.5 km of Sinking technique
development is planned on 1300 level beneath the extraction
level of the first block cave. The drive will intersect the major Shaft 1 has been sunk with rope guides. Two hoists are used for
lithologies and faults and provide an underground platform the main sink; a double-drum sinking hoist with two sinking
for confirmatory drilling and exposures for geotechnical buckets in counterbalance (maximum capacity of 5.6 m3), and a
characterisation. The key geotechnical parameters requiring single-drum auxiliary hoist for personnel, light service hoisting
confirmation and characterisation include fault and dyke and to provide emergency service (1.9 m diameter, with a
interpretations, orientation, persistence, spacing and roughness of 373 kW motor).
discontinuities, rock mass deformation and rock stresses. This
data will form the basis of mine design criteria for the feasibility The shaft is being conventionally sunk using hand-held drills.
study of the first block cave. Blastholes are drilled using pluggers and interim exposed walls
are supported using mesh plus bolts installed using jacklegs.
Following a decision to take the project into production, other
deep large diameter production shafts will be required. Shaft 1 This low-technology approach had the advantages of training
will be used to access initial preproduction development and Mongolian miners and easier maintenance of drilling equipment
later form part of the ventilation circuit. in the remote location.
The face is advanced as alternating half-face benches; 55 holes
Bulk sample shaft are drilled in each bench by six miners supported by an
expatriate miner. Each blast advances the bench 2.2 m.
As a precursor to mining Shaft 1, a 76 m deep, 3.5 m diameter It was planned that ground support would be installed on a
Bulk Sample Shaft was mined on the South West Oyu deposit.
separate cycle to facilitate the training of the miners. After a
The shaft was mined almost entirely within mineralised
augite basalt, with minor post mineralisation rhyolite dykes. suitable length of time, ground support would then be installed in
Groundwater was intersected with inflows up to 7 L/s. the sump on the opposite wall while the bench is being drilled
(Figure 5).
The Bulk Sample Shaft served several less tangible, but
important purposes. Mining studies completed to date have
assumed a ‘China factor’, a term used to reflect capital cost
saving by using material suppliers from China. The Bulk Sample
Shaft allowed Ivanhoe to investigate issues associated with the
procurement of materials from China, on a small scale, before
embarking on larger construction and mining projects. As
Mongolia has no active underground mining industry, it was also
an important first step in the training and development of
Mongolian miners and engineers.
Shaft 1 permitting, procurement and construction greatly
benefited from experiences with the Bulk Sample Shaft.
SHAFT 1 PLANNING
Site selection
The location of Shaft 1 was a compromise between early access
to the Hugo North and Hugo South orebodies, while allowing for
the longest service life possible. It will eventually lie within the
subsidence zone and become unserviceable as the Hugo North
block cave is extended to the south. Managing the timing of this
will extend its service life. FIG 5 - Schematic section of the bench configuration.
When the shaft was located, very little was known about Hugo
North and even less about rocks outside the orebody. A total of
265 060 m of exploration drilling had been completed at Oyu Mucking uses a 0.6 m3 cactus grab. Three buckets are used to
Tolgoi compared to the present 779 990 m. haul the rock to the surface; one travelling up full, one travelling
A site near exploration borehole OTD554 was identified as a down empty and one on the shaft bottom being loaded. The
likely site. This hole had intersected better ground conditions, buckets are manually changed-out on the shaft bottom.
compared to other areas, including the large barren biotite Sinking involves three crews; two on-site and one off-site on
granodiorite dyke (BiGd) and only weakly mineralised quartz rotation. The crews work two 12-hour shifts per day, eight weeks
monzodiorite (QMD). However, this borehole missed the thick, on four weeks off. A total of 93 Mongolians and 21 expatriates
weak and moderate dipping Contact Fault, which was are employed.
subsequently intersected by the specific site investigation
borehole (OTD572) for Shaft 1. Should significant groundwater inflows be encountered,
water would be pumped to the surface using the lowest pump
station in the shaft, then in relays via temporary pump stations
Specifications located every 105 m in the shaft through a 150 mm diameter
Shaft 1 was initially planned to be 1220 m deep. Subsequent steel pipe. The capacity of the dewatering system is greater than
exploration success down-plunge of the initially proposed block 37 L/s.

P VOULGARIS et al
SITE INVESTIGATIONS The break-out suggested high subhorizontal deviatoric stresses,

oriented east north-east – west south-west, especially below a
thick shallow-dipping fault centred on 550 m (Contact Fault).
Diamond drilling
The best estimate of the Oyu Tolgoi stress field, prior to
Site investigation commenced (25 October 2003) with a vertical, sinking Shaft 1, is summarised in Table 1.
1621 m deep triple-tube borehole (OTD572), which took two
months to drill. Coring started at PQ3 and was progressively
reduced to HQ3 then NQ3. Excellent core recovery was TABLE 1
achieved. Estimated Oyu Tolgoi rock stresses.
The borehole deviated off vertical to the north-east, outside the Principal stress Magnitude Dip Bearing
planned diameter of the shaft. After all downhole investigations (MPa) (°) (°)
were complete, it was found that the borehole had collapsed
Major 0.057D 00 060
around 600 m, in the vicinity of the Contact Fault (Figure 4), and
it was not possible to grout the bottom of the borehole. Intermediate 0.046D 00 150
Locating the shaft directly over OTD572 would have resulted Minor 0.027D 90 060
in the risk of uncontrolled groundwater inflows. The shaft was
therefore moved 15 m to the east. This implied a minor risk, in D = depth below surface in metres.
that ground conditions were slightly displaced. Dips are below the horizontal.
During geotechnical investigations for Shaft 2, the site Bearings are relative to Oyu Tolgoi Grid North.
investigation borehole was grouted immediately upon
completion and the shaft centre line has been located directly
over the collar of the borehole. Groundwater
As no packer testing equipment was available in Mongolia at the
Acoustic televiewer survey time, possible groundwater issues were investigated using air lift
Because the site investigation borehole was subvertical, the core tests to assess bulk permeability. Testing was limited to depths of
could not be absolutely oriented. Joint orientations were, however, 400 m, due to the compressor capacity of drill rig.
logged relative to a datum for each contiguous length of core. To Despite the wet conditions experienced mining the Bulk
provide absolute orientated data an acoustic televiewer survey Sample Shaft, groundwater inflow into OTD572 was negligible.
was also undertaken in OTD572, with equipment being Although it was understood that the Bulk Sample Shaft and
mobilised from Australia. Shaft 1 were located in different hydrogeological domains, it was
The probes were not warranted against loss, and this limited difficult to reconcile the essentially dry conditions suggested for
the survey to competent sections of the borehole (30 - 458 m and Shaft 1.
555 - 1140 m). The survey provided orientated features (joints It was argued that drilling mud may have reduced the
and veins), but it also identified another very important feature, permeability, or the rock mass may indeed have limited
borehole break-out in the QMD starting at 600 m directly below permeability. When considering other holes in the project area,
the Contact Fault. This was a key piece of information for the the maximum groundwater flow into Shaft 1 was assessed to be
initial estimate of rock stresses at Oyu Tolgoi (Voulgaris, Lee and 10 L/s.
Mollison, 2006). Uncertainty, regarding groundwater inflows into Shaft 1,
The acoustic image was analysed off-site, which did not allow meant three scenarios were considered for water control;
a direct reconciliation with the core. It is now recognised that to pregrouting, contact grouting behind the liner with back sheets,
extract the greatest benefit from acoustic televiewer surveys, the French drains and water rings. A large curb ring was also used,
images should be analysed with direct reference to the core. This which allowed for a gasket to seal between successive liners and
allows open joints to be distinguished from veins with greater grout holes to facilitate contact grouting.
confidence, and the surface properties of the structural features Inclusion of these water control measures meant that the curb
merged to the televiewer results. ring was 250 mm wider than for a standard ring and a theoretical
minimum 7.7 m diameter had to be mined, resulting in a slower
Rock property testing and more costly advance.
Despite the good core recovery and high RQDs, the generally From an inspection of the core, two fracture zones were
microfractured and veined nature of the core meant that it was identified as having higher potential for groundwater inflows.
difficult to choose specimens that would fail through intact Sinking through these zones was done under water cover drilling,
material. Twenty-one samples were collected for rock property but no water was found or encountered. If water had been
testing (strength and elastic properties) to enable correlation with intersected, these boreholes were to be used as part of a pressure
rock strength estimates from core logging. This data was grouting program.
supplemented with samples from exploration boreholes. With at least three more production shafts to investigate at Oyu
The average unconfined compressive strength (UCS) of the Tolgoi, the lesson was learnt from the Shaft 1 groundwater
BiGd and QMD is 110 and 130 MPa, respectively. The presence investigations. A PQ end packer was purchased, which will allow
of potentially brittle QMD also prompted a suite of special rock detailed permeability testing to depths of about 800 m.
testing to investigate the potential for this rock type to be prone
to strain bursting. Ground conditions
The core was logged in detail for geology, then geotechnically
Rock stresses using the MRMR (Laubscher, 1990) and Q-based (Barton, Lien
Rock stresses for the Oyu Tolgoi area were estimated as part of a and Lunde, 1974) rock mass classification methodologies.
separate investigation (Voulgaris, Lee and Mollison, 2006). The Specific faults and broken zones were identified. Then the
procedure considered tectonics, regional earthquakes, the potential remainder of the borehole was divided into ten geotechnical
for shearing on Oyu Tolgoi faults, two AE measurements and domains considered to have similar ground conditions (see
borehole break-out observed in the site investigation borehole. Table 2).

After a section of weak, weathered and blocky BiGd below (t/m2), but also the minimum required bolt length. Calculated
19.5 m of overburden clay, the next worst section in the shaft was capacities were often less than estimates based on Q-based
associated with a shallow-dipping fault (Contact Fault). It relationships. Typical joint orientations came from the
comprised weak and sheared ignimbrite and blocky BiGd acoustic televiewer survey.
between 516.5 and 596.0 m.
• Numerical modelling using MAP3D was used to assess the
The predicted blockiness of the ground conditions (in terms of likely depth of stress-induced loosening for the deeper
RQD/Jn) versus depth are illustrated in Figure 6. sections of the shaft. This included an assessment of both
RQD/Jn
shaft wall stresses versus rock mass strength, and local
0 10 20 30 40 shearing on joints exposed in the shaft walls. Only the
0 chance and possible depth of high stress slabbing, hence
possible wall overbreak, was predicted. The theoretical depth
100
of loosening is illustrated in Figure 7, due to potential
shearing on ubiquitous mapped joints.
200 Predicted ground support requirements are listed in Table 2,
for each of the ten geotechnical domains.
300
400
500
600
Depth (m)
700
800
900
1000
1100
1200
1300
FIG 7 - Possible ground behaviour in the Shaft 1 walls at 1000 m;
showing predicted high stress slabbing and the depth of loosening
on ubiquitous mapped joints.
FIG 6 - Site investigation borehole OTD572 … blockiness (RQD/Jn)
versus depth; showing the ten geotechnical support zones.
As a safe working environment is essential, free from the
chance of small scats falling on the miners, the specification was
A more competent section of rock (RQD/Jn >30) was predicted that all exposures must be screened.
between 730 m and 1100 m. A consideration of wall stresses
versus the strength of the rock mass suggested that high stress
spalling, perhaps strain bursting, was possible in the bottom half of Concrete liner design
the shaft. For this zone, there was uncertainty regarding the choice The minimum concrete liner thickness was designed using the
of appropriate SRF values from Barton’s Q-System. estimated stresses, and was varied until the support capacity of
The likely stability of each geotechnical domain was assessed the liner provided a factor of safety of five relative to the
in terms of the maximum unsupported span (height) of the shaft estimated empirical support capacity using Qwall and worst-case
wall. wedge analyses.
To ensure that the liner is not a load-bearing structure it is
Ground support design lagged behind the face. Numerical modelling indicated that it
Ground support requirements for the exposed wall, between the would only be loaded by minor closure of the shaft walls (about
shaft bottom and the lagged concrete liner, were estimated using 2 mm at a depth of 1000 m) so long as it was poured no closer
three complimentary techniques: than about 10 m from the shaft bottom.
• Empirical assessment using Q-based relationships (after
Barton, Lien and Lunde, 1974) to calculate the minimum SHAFT 1 PERFORMANCE
required support pressure, per geotechnical domain, in tonnes
of bolt end-anchorage capacity (at yield), per square metre Ground conditions
(see Table 2). Data came from the detailed geotechnical To ensure that the contractor always had the best possible
logging of the OTD572 core. information regarding ground conditions, appropriate sections of
• Worst-case wedge analyses using Rocscience’s UNWEDGE the site investigation borehole were always on display at the head
code. This process can give the required support pressure frame.

P VOULGARIS et al
TABLE 2
Shaft 1 predicted versus installed ground support.
Support Depth from/to Rock type Anticipated ground Ave Estimated Predicted Installed support and
zone (m) conditions Qwall min support support capacity (t/m2)
capacity
(t/m2)
A 0.0 - 19.5 Clay
B 19.5 - 75.5 BiGd: weathered and Wedgy overbreak on joints 6.0 9.5 Mesh + bolts
blocky, occasional large
joint/small fault Mesh + re-bar (16)
Fault 1 75.5 - 107.0 Faulted and broken Wedgy overbreak on joints 5.6 10.1 Mesh + bolts
and local unravelling
C1 107.0 - 277.0 BiGd: fresh and blocky, Wedgy overbreak on 9.4 5.7 Mesh + bolts Mesh + re-bar (16)
occasional large continuous joints
277.0 - 347.0 Mesh + friction stabilisers
joint/small fault
(4)
Fault 2 347.0 - 390.0 Thick weak fault zone Local squeezing and small 4.0 21.1 Fibrecrete + Mesh + re-bar (16)
blocky unravelling bolts
390.0 - 477.5 Mesh + alternating rings
Friction stabilisers and
re-bar (10)
C2 477.5 - 516.5 BiGd: fresh and blocky, Wedgy overbreak on 11.5 5.0 Mesh + bolts Mesh + re-bar (16)
occasional large continuous joints
joint/small fault
Fault 3A 516.5 - 557.0 Contact fault: thick Local squeezing and small 0.8 47.4 Fibrecrete + Fibrecrete + friction
weak fault zone blocky unravelling bolts stabilisers (4)
Liner poured to within
4.5 m of shaft bottom
D 557.0 - 588.5 Ign: fresh, weak and Wedgy overbreak on 4.0 14.3 Mesh + bolts
blocky continuous joints Mesh + alternating rings
Fault 3B 588.5 - 596.0 Contact fault: thin fault Wedgy overbreak on 2.5 13.0 Fibrecrete + friction stabilisers and
continuous joints bolts re-bar (10)
E 596.0 - 1385.0 QMD: fresh, brittle and Local high stress slabbing 10.9 5.5 Fibrecrete + Isolated sections of
possibly stressed and rock noise, possibly local bolts fibrecrete + bolts
bursting (strain and due to
shearing on structures)
1. The predicted bolts refers to alternating rings of 2.4 m long friction anchors and resin grouted bolts, on a nominal 1 × 1 m pattern. This implied an
end-anchored support capacity (at yield) of about 10 t/m2.
2. The support capacity of the surface support (either mesh or fibrecrete) has been ignored.
Ground conditions were routinely mapped as sinking progressed The core log identified a flat set not present in the televiewer
and compared to predictions. Mapping was undertaken every data. This could be due to the difficulty of picking low amplitude
fourth bench, approximately every 5 m vertically. This also sinusoidal waves in the televiewer image or weak veins in the
included measuring north-south and east-west diameters and the core that broke during the drilling process.
distance from the bench to the liner. This involved two engineers At the 1300 Level, a large steeply-dipping rhyolite dyke with
and it was conducted during the drilling cycle with no delay to thick hanging wall and footwall contact faults was intersected
the contractor. (Figure 4). Due to deviation, OTD572 did not intersect this
There was reasonable correlation between logged ground feature and broken ground associated with this dyke is now
conditions and shaft mapping for the top half of the shaft. believed to be the main cause of the poorer ground conditions
However, in the QMD below the Contact Fault, more steep joints logged below about 1100 m (Figure 6).
were present in the shaft walls than were apparent in the core.
This meant a lower quality, blockier, rock mass and none of the In situ rock stress measurement
previously predicted high stress behaviour in the shaft walls.
To confirm the previously estimated Oyu Tolgoi rock stresses, a
Joint orientations picked in the acoustic televiewer image, series of in situ measurements were progressively conducted, by
relatively oriented core log and shaft mapping are compared in overcoring CSIRO HI cells, on the six shaft pumping/electrical
Figure 8; for the QMD interval 1183 and 1254 m. There is a stations as Shaft 1 was being sunk.
good comparison between the televiewer picked features and the
Preliminary results from this program suggest that the initial
relatively orientated core log. However, both failed to identify the
estimate was correct in bearing and magnitude for the major
true distribution of the steep sets as identified in the shaft
principal stress, but the intermediate principal stress is lower than
mapping.
predicted. The horizontal stresses are therefore more deviatoric
The north north-east striking steep set is highly persistent and than previously estimated.
was the primary cause of long slender wedges, often removed
during mucking. The consequence of this set being steeper than
Installed ground support
predicted is that while the wedges are inherently unstable the
required support capacity is dramatically reduced due to their Prior to pouring the final concrete liner, interim shaft wall
limited depth. exposures were typically supported using a standard pattern

Friction stabilisers were used exclusively over the Contact

Fault (Zone 3A) with fibrecrete. To reduce the exposure height in
this zone, the concrete liner was also poured to within 4.5 m of
the shaft bottom.
Surface support
Chain-link mesh was an effective surface support. Minor
problems were experienced with the collection of fly rock at the
top of each sheet.
The site investigation recommended fibrecrete (minimum
50 mm thick) for the three fault zones and for support zone E in
the stressed QMD (see Table 2).
Fibrecrete was used as predicted over Fault Zone 3A (529.9 -
555.7 m), but was only deemed necessary to control unravelling
over two sections in support zone E; 960.8 - 969.5 m and at
1003.7 m. In hindsight, it would have also managed the excessive
wall overbreak below 1100 m.
Advance rate
To investigate the impact of ground conditions on sinking
performance the daily sinking rate was compared to Qwall
(Figure 9). The normalised daily advance (seven day moving
average) is based on the time spent drilling, mucking, loading
and pouring the liner; those functions directly impacted on by
ground conditions, excluding time for non-sinking activity.
FIG 8 - Three-way comparison of Shaft 1 joints … acoustic
The first process improvements can be seen in Figure 9; at
televiewer picked joints versus relatively orientated logged core
113 m when it was determined that the miners had sufficient
versus Shaft 1 mapping.
experience to install ground support during the bench drilling
cycle, and the effect of increasing hoisting speeds to 10 m/s at
of alternating 1 × 1 m spaced rows of 2.4 m long resin grouted 246 m for the main sink. Mining the larger diameter down to
20 mm re-bar and 34 mm 2.4 m friction stabilisers. Surface 342 m, due to the larger curb ring, also had a negative impact on
support was provided by chain-link mesh (50 × 50 mm, 3 mm sinking performance.
diameter). There is generally a reasonable correlation between the
Alternating rings of resin grouted re-bar and friction stabilisers normalised daily advance and Qwall. However, due to continuous
were used to reduce costs, and this pattern satisfied most of the improvement, such as the learning curve of the Mongolian
predicted minimum required support capacities. This standard miners, it is not possible to get a direct correlation between
was varied locally, due to quality control issues and varying ground conditions and advance rate. The exception to this is in
ground conditions. Predicted versus the actual installed ground support zone F2, where the impact of moderately dipping faults
support are compared in Table 2. was overstated in the prediction.
Delays due to the installation of additional support, in excess Occasionally very bad ground allowed for ‘free dig’ of the
of the standard pattern but excluding station brows, is estimated shaft bottom; as was the case in the Contact Fault (Zone F3A)
to have added seven days to the project. This was mostly due to and Zone D (soft week Ignimbrite).
continued unravelling of ground and hence a larger diameter
shaft to support. The overbreak has also contributed to longer
mucking cycles and added an estimated two days to the project.
Overbreak and concrete liner
The concrete liner was poured in 5 m sections in a slip-form, and
Bolts typically to within 7 m of the shaft bottom.
Concrete is batched on site, delivered to the shaft in agitator
The Canadian sourced air-leg rock drills require left-hand
trucks, and then delivered to the shaft bottom in concrete kibbles.
threaded rock bolts. China can only supply right-hand threads,
Delivered concrete is routinely tested by the on-site concrete
and therefore rock bolts were subsequently sourced from
Australia. laboratory against the specification. An average 28 day UCS of
37 MPa was achieved for the liner concrete, compared to the
The initial batch of stabilisers were obtained from China. They 30 MPa specification.
were all rejected when the bolts failed pull tests; failure occurred
at the ring weld, rings were not welded normal to the axis of the Because it must be replaced with concrete, any over mining or
tube and the tube steel was affected by the welding process. overbreak of the shaft walls can be very expensive. Design
Stabilisers were replaced in the pattern with re-bar until versus average concrete thickness (calculated from the delivered
Australian-made friction stabilisers arrived on site. This concrete volumes and verified by direct excavation measurement)
experience highlighted the need to conduct due diligence at versus depth is illustrated in Figure 10.
Chinese factories prior to procurement. Quality control procedures Concrete volumes reduced significantly at 342 m when a
are now in place. decision was made to use a conventional curb ring after no water
Rock bolt resin is purchased from China. However, due to the was encountered.
project’s remote location and long lead times on shipping, the With the exception of support Zones F3A, D and F3B,
resin on site was often past the expiration date. Pull tests were concrete volumes remained consistent until a depth of around
routinely performed on the resin bolts. Between May and July 1100 m after which they steadily increased.
2007 the resin started to perform poorly with 75 per cent of Average liner thicknesses from 27 m to 342 m was 768 mm.
tested bolts sliding before 16 tonnes. Below Fault Zone F3B, average liner thickness averaged

P VOULGARIS et al
Daily Advance (m)* Concrete Liner Volume (m3)

0 1 2 3 4 5 6 0 20 40 60 80 100 120
0
0
Bolting on Drill
100 Cycle
100
200
200
Main Sink
300 Curb Ring
300
Changed
400
400
500
500
Depth (m)
600
Depth (m)
600
700
700
800
800
900
900
1000
1000
1100
1100
1200
1200
1300
-5 0 5 10 15 20 25 30
Q wall 1300
14 day moving average advance 0 10 20 30 40 50 60 70 80
Q wall RQD/Jn
Additional Support
Excessive Muck Approx. Concrete Volumes Theoretical Min. Vol.
Shotcrete RQD/Jn
FIG 9 - Normalised daily advance rate versus predicted ground FIG 10 - Concrete liner volume and predicted blockiness (RQD/Jn)
conditions; 14 day moving average, excluding time for non-mining versus depth and predicted support zones.
activities.
1.1 •Jointed Rock• •Massive•

600 mm, twice the design thickness, until 1100 m where it
Liner Thickness (m)
started to increase.
0.9
The increase below 1100 m is believed to be a function of
more blocky ground conditions due to the rhyolite dyke/fault and
higher stresses, resulting in deeper loosening in the walls and this 0.7
material could be scaled with the cactus grab.
The blasting pattern was modified at 1200 m and the 0.5
increasing overbreak was arrested, while advance rates increased
(Figures 9 and 10). 0.3
Concrete liner thickness versus logged blockiness (RQD/Jn) is 0 10 20 30 40 50 60
plotted in Figure 11 and lower and upper bounds are clearly RQD/Jn
visible. The upper bound, or local maximum liner thickness, is FIG 11 - Concrete liner thickness versus predicted blockiness
highly variable. It is driven by the blockiness of the rock mass, (RQD/Jn); for depths between 27 and 1200 m.
which reduces more quickly with less blocky rock. As the
blockiness quotient (RQD/Jn) is not orientation or dip specific, it
shows a wide range in the depth of the overbreak. CONCLUSIONS
The lower bound is driven by practical contracting issues and The following is concluded regarding site investigations versus
blasting practices, which essentially dictate that the installed the construction of deep shafts in greenfields projects:
liner thickness is approximately twice the design-specified • The site investigation boreholes should be drilled down the
minimum liner thickness. There is a slight improvement with less centreline of the proposed shaft, as straight as possible, and
blocky rock. then grouted after all of the in-hole investigations have been
This observation poses a design/specification issue for the completed.
thickness of shaft concrete liners. Perhaps thinner liners should • Use inclined geotechnical scoping boreholes to locate major
be specified with the full understanding that thicker liners will structures before fixing the location of the site investigation
actually be installed. borehole.

• The borehole walls should be scanned using an acoustic • Concrete liner thickness is related to the blockiness quotient,
televiewer, and information from it should be accessed RQD/Jn, and could be used to predict maximum possible
concurrently with the detailed geotechnical core logging. overbreak. Further case studies are required to ensure that the
Shaft one observations are generally applicable to other shafts.
• It is very important to thoroughly investigate the hydrology
of the area, especially the characteristics of specific faults.
ACKNOWLEDGEMENTS
• Good estimates or measurements of the local stress field can
be critically important. A project of this size in a location such as the south Gobi
requires a team effort. Particular credit goes to the Redpath team
• The Q-System is a useful method of describing the rock mass, and to Ivanhoe’s geotechnical engineers; Ankhbayar Batsaikhan,
but it has limitations regarding the estimation of appropriate
Altansukh Sukhbaatar, Baatarzorigt Baasanjav and Nyamdavaa
SRF values and the calculation of support requirements. Gombosuren, who have diligently mapped Shaft 1 over the last
• Stability and ground support requirements should consider two years.
empirical rock mass classification schemes, specific wedge The authors are grateful to Ivanhoe Mines Mongolia Inc for
analyses and stress versus strength issues. their permission to publish this paper.
• A ‘tool-bag’ of the following support elements will allow
shaft sinkers to cope with most situations prior to pouring the REFERENCES
final concrete lining; chain link mesh, fibrecrete and 2.4 m
Barton, N, Lien, R and Lunde, J, 1974. Engineering classification of rock
long friction stabilisers and resin re-bars. masses for the design of tunnel support, Rock Mechanics,
• The most difficult ground conditions will occur when sinking 64:189-236.
through faults, especially thick, steeply-dipping structures. Bayasgalan, A, 2004. Active faults around Oyu Tolgoi site in School of
Near-surface weathered blocky ground and deep highly Geology, MUST, interim draft report to Ivanhoe Mongolian Mines Inc.
stressed rock masses can also mean difficult ground Khashgerel, B-E, Rye, R O, Hedenquist, J W and Kavalieris, I, 2006.
conditions and lower advance rates. Geology and reconnaissance stable isotope study of the Oyu Tolgoi
porphyry Cu-Au system, South Gobi, Mongolia, Economic
• The contractors must have regular easy access to the core, Geologist, 101:503-522.
geology and geotechnical logs and predictions pertaining to Kirwin, D J, Forster, I, Kavalieris, C N, Crane, D C, Orssich, C, Panther,
the current section being mined. Garamjav, D T O, Munkhbat and Niislelkhuu 2003. The discovery of
the Oyu Tolgoi porphyry copper-gold deposit, south Gobi, Mongolia,
• The shaft walls must be routinely mapped and compared New Generation Gold AMF, pp 130-138.
against earlier site investigation predictions. Significant Laubscher, D H, 1990. A geomechanics classification system for the
differences must be brought to the attention of the contractor. rating of rock mass in mine design, J Sth African Inst Min and Metal,
• Detailed mapping of the shaft has provided important rock 90(10):257-273.
mass data, used for confirmation of adequate installed support Perello, J, Cox D, Garamjav, D, Sandorj, S, Daikov, S, Schissel, D,
Munkhbat, T and Oyun, G, 2001. Oyu Tolgoi, Mongolia:
during sinking and as input into early mining studies. Shaft Siluro-Devonian porphyry Cu-Au-(Mo) and high sulfidation Cu
mapping using digital photogrammetry should be investigated. mineralisation with a Cretaceous chalcocite blanket, Economic
• Diligent quality control at the factory and site are required Geology, 96:1407-1428.
for all ground support materials. Voulgaris, P, Lee, M F and Mollison, L J, 2006. Estimation of in situ rock
stresses at Oyu Tolgoi, Mongolia, in Proceedings International
• Advance rate is likely to be related to Qwall, at least in relative Symposium on Rock Stress (International Society for Rock
terms. Mechanics: Trondheim).

Excavating a Tunnel in the Foothills of the Southern Alps of
New Zealand
J Edwards1 and E Giles2
ABSTRACT This, in a nutshell, is the Pike River Coal Access Tunnel

project. The mine portal is at an elevation of 334 m above sea
Pike River Coal Limited (PRCL) is opening a new underground coal mine
in the Paparoa Ranges north-east of Greymouth. To access the coal level. The tunnel is an incline and gains more than 200 m over
reserves, PRCL have had to build a 13 km access road through regrowth its length. The mine workings will be around 110 m below
and virgin forest, and appointed McConnell Dowell Constructors Limited, ground surface. The shaft top will be at approximately RL654 m.
with URS New Zealand Limited as their consulting engineers, to construct Figure 1 shows the location of the mine and surrounds.
the final access link: a 2.3 km long, 5.5 m wide and 4.5 m high incline
tunnel.
This paper discusses the logistical issues of construction in an isolated
pristine forest in mountain land and how they were addressed. It provides
an overview of the 90 per cent complete tunnel and how challenging rock
conditions have been mastered. It outlines briefly the remaining work
which is construction of pit bottom workings where the mine
infrastructure will be housed and construction of a 110 m deep, 4.0 m
diameter, vertical ventilation shaft.
PROJECT BACKGROUND
The project and setting

New Zealand, South Island, West Coast; about 35 km northwards
along the coastal road from Greymouth and then some 13 km
eastwards (inland) is, succinctly, where the site is. It is rugged; it
is literally untouched by human hands. No roads, no power or
telecom lines, no habitation; perhaps a suggestion of a sparse
track or two in the dense, choked undergrowth and centuries old
30 - 40 m high indigenous beech trees. Mount Hawera, at
1200 m above sea level forms the highest peak in the locality.
The hills are steep-sided, generally 45° to 50° and often steeper.
Looking back obliquely towards the coast from Mt Hawera,
you would be able to cast your eyes down some 600 m over the
hills of Island Sandstone that are home, within its Brunner Coal
Measures, to some of the world’s best quality, hard coking coal
known. With little distinct delineation, the Hawera faults cut
through this mountain land, separating meta-sedimentary gneiss
from sandstone and siltstone beds. The tunnel providing access
to the coal runs through the gneiss suite of rocks.
The mine is being developed by the publicly listed company,
Pike River Coal Limited (PRCL). PRCL will deliver around
one million tonnes of coal from their new mine each year when
in full production and its reserves hold in excess of a 20-year
production life. It will be a fully underground development. The
coal beds will be accessed through a 2.3 km long tunnel. It is FIG 1 - Site location.
envisaged that all the coal produced will be exported from New
Zealand. When operational, coal extraction will be based on
hydro mining technology and coal-water slurry will be pumped The tunnel access to the coal is to be the fresh air intake to the
from the pit bottom facility to the new coal processing plant mine for some time before planned intakes are constructed along
currently under construction some 10 km from the portal. the coal field. In addition the tunnel will be the only access to the
An idyllic setting, but a challenging environment in which to coal for all staff, plant and services.
establish a camp, develop a portal then construct a tunnel, It is a venture providing considerable development to
colloquially called the Stone Drive (if it’s not coal, it’s stone). Greymouth and its surrounds. This town of around 16 000 people
Due to its location in the Paparoa Range, and the regional (the largest on the West Coast) is situated at the mouth of the
weather pattern, the area is subject to 5.9 m to 6.5 m of rain Grey River some 46 km north-east of the mine by road.
annually.
Early project challenges
1. Construction Manager, McConnell Dowell Constructors Limited, PO The project has been in gestation for decades. It was certainly a
Box 2758, Auckland, New Zealand. given that establishing the mine would be a challenge. The
Email: Joe.Edwards@Macdow.co.nz
majority of the access road, the amenities area and the portal are
2. Principal, URS New Zealand Limited, PO Box 821, Auckland, situated in the Paparoa forest, a section of untouched native
New Zealand. Email: Evan_Giles@URSCorp.com forest administered by the Department of Conservation (DOC).

J EDWARDS and E GILES
The communities in the region are protective of the existing • Blocky ground: tunnel lengths along which joint spacing
natural beauty. would be reduced, given a quoted RMR of 58 (expected to
An 11 km long new access road, traversing a combination of total seven per cent of the length). Strong rock with UCS
previously logged and state-owned virgin forest has been built. 50 MPa to 100 MPa and with RQD of 75 to 90 per cent. In
The route follows the Pike River in part and requires numerous terms of the Bieniawski Classification, Class III (fair rock);
sidling cuts into mountain slopes, many comprised of talus and (authors’ note: As published by Bieniawski, Class III Rock
colluvium and some tectonically disturbed rock of variable quality includes material with an RMR range of 41 - 60).
and composition and variable weathering. The road included nine • Faults and shears: expected only over the Hawera Fault, a
bridges over river crossings. The 2.3 km access tunnel could only scheduled length of 50 m of sheared and broken rock, this
commence when the road was near practical completion. rock was given a RMR of 12. This comprised about three per
cent of the tunnel length. Weak rock having UCS of between
Geology 5 MPa and 50 MPa and an RQD of <25 per cent. In terms of
Succinctly, the coalfields and overlying Cretaceous sediments the Bieniawski Classification, Class V (very poor rock);
form an inlier of more than 100 m thickness, brought into contact [authors’ note: as published by Bieniawski, (1989) Class V
with a much older granite-gneiss suite of rocks through down- Rock includes material with an RMR <21).
faulting. The fault separating the two units is known as the The tunnel rock was described in the tender documents to be
Hawera Fault. West of the fault, the rock mass is Island competent gneiss rock with six identified surface features that
Sandstone Group materials. For the approximately 2 km of were expected to intersect the tunnel horizon. Three of these
tunnel leading to the fault, the rock is metamorphic. features were incised streams that locally lowered the cover
The metamorphosed rock is known as the Pecksniff above the tunnel, but based on field examination, each was
Metasedimentary Gneiss, which is a paragneiss derived by considered not to be contained within a fault. There were three
metamorphism of an original sedimentary sequence of faults or shear zones identified and only one major fault: the
mudstones and sandstones. The rocks are dominantly poorly to Hawea Fault separating the coal measures from the gneiss. This
was identified to be situated just before the coal seam and is a
well foliated segregated muscovite-biotite-quartz metapelites and
reverse fault with a crushed zone envisaged to be up to 50 m
metapsammites, originally mudstones and sandstones.
wide. This zone was also expected to contain methane gas and
The summary of information in this and the following two water. The balance of the tunnel was considered, from surface
paragraphs are from data supplied by the owner. The gneiss suite mapping, to be good quality rock where limited strata support
is considered to be of Devonian age. The rock is very solid, was required.
generally homogenous, poorly to moderately foliated upper
amphibolite grade metasediment. The foliation does not in CONSTRUCTION PLANNING AND DESIGN
general show marked strength anisotropy because it is not
sufficiently well developed. The unweathered to slightly The access tunnel was let as a design-build contract to
weathered granite-gneiss rock may be considered strong to very McConnell Dowell Constructors Limited, who contracted URS
strong with a UCS range of 50 MPa to 250 MPa estimated from New Zealand Limited for the design portion. Tenders closed in
point load strength tests on surface samples. June 2005, and evaluation was completed at the end of
Four joint sets have been identified, including one (Set 1) November 2005, when the contract was awarded.
formed parallel to foliation. Joints are typically rough and The main components of the contract are the portal works, the
undulating, with apertures of <1 mm and no infilling. They are 2.3 km long horseshoe profile tunnel, 5.5 m wide and 4.5 m high
typically widely spaced (>1 m) and zones of closely spaced and a ventilation shaft, 4.15 m in diameter and 110 m deep,
joints are relatively rare. Foliation dips at low to moderate angles having only helicopter access to the surface. The contract has
obliquely across the tunnel route with the dips defining a broad been extended to include the mine pit bottom workings, which
synclinal structure. Some exposure lengths of up to 10 - 15 m are being excavated in stone.
appear unjointed and massive.
The steeply dipping reverse Hawera Fault separates the coal Design approach
measures from the granite-gneiss rocks. The coal measure
For the tender design, much reliance was placed on precedent
sediments include fine micaceous calcareous quartz sandstone,
tunnelling knowledge and experience in formulating the probable
mudstones and coal seams. Within the coal measures the Island
range of conditions that could be encountered, given that no
Sandstone UCS strengths are around 120 MPa and sandstone that
actual subsurface data was provided to the tenderers.
occurs below mudstones in the Brunner seam ranges from
60 MPa to 90 MPa. The Brunner seam mudstones are reported to A strata support design should always take cognisance of the
have a UCS range of 30 MPa to 60 MPa. The UCS of the coal is whole mining cycle, which becomes defined as the mining
methodology is set down. To define a spread of rock conditions
reported to be 10 to 20 MPa.
in more detail, the likely ranges of rock quality were grouped
The geological data was based on field mapping of limited into four classes and for each generic rock class type so formed,
rock exposures in stream beds and infrequent cliff exposures. No the style and nature of rock support required was designed.
exploratory drilling along the tunnel route was permitted by the These four classes formalised a conceptual gradation of rock
DOC. mass conditions that may be encountered. Each individual design
was then used to formulate a mining cycle for each rock class.
Rock mass classification The mining cycle requirements for each class were evaluated (eg
advance length, stand-up time, drilling time, charging and
The tender document designated three rock classes envisaged to blasting, making safe, mucking out and supporting, etc) and all
be encountered: the components including the strata support were integrated to
• Intact ground: expected over 90 per cent of the tunnel, intact holistically deal with the anticipated range of conditions.
hard rock (UCS 100 MPa to 200 MPa; RQD > 90 per cent). The basis for the design was essentially empirical, but
A rock mass rating (RMR) value of 78 is quoted. In terms of constrained by the fact that there was no physical rock core on
the Bieniawski Classification, Class II (good rock); (authors’ which to base chosen rock mass parameters, hence the term generic
note: as published by Bieniawski, Class II Rock includes conditions. The work of Barton, Lien and Lunde (1974) and
material with an RMR range of 61 - 80). Bieniawski (1974) and their respective rock mass classification

EXCAVATING A TUNNEL IN THE FOOTHILLS OF THE SOUTHERN ALPS OF NEW ZEALAND
systems were used to define groups of rock class and associated the joint sets to give rise to potential wedge blocks and to check
parameters. Rock discontinuity data had been mapped at stream that the strata support detailed counteracted this potential. Tables 1
and cliff exposures and the likely discontinuity sets were used in to 6 show the rock mass parameters assigned to rock class II and
conjunction with the commercial software program Unwedge to IV. Outline support requirements for the rock classes are shown in
check on the potential for the spatial alignment of the tunnel and Figures 2 and 3.
TABLE 1
Class II rock, rock mass rating (RMR) classification.
Parameter Upper quartile Mean Lower quartile

Unconfined compressive strength (UCS) (MPa) 15 12 10
(>250 MPa) (100 - 250 MPa) (100 - 250 MPa)
Rock quality designation (RQD) 20 20 20
(90 - 100%) (90 - 100%) (90 - 100%)
Discontinuity spacing 20 17 15
(>2 m) (0.8 - 2 m) (0.6 - 2 m)
Condition of discontinuity 27 23 20
(non-continuous, rough) (slightly rough, <1 mm spacing) (slightly rough, <1 mm spacing)
Groundwater 15 12 10
(dry) (dry to damp) (damp)
Rating adjustment 0 -1 -2
(very favourable) (unfavourable) (unfavourable)
Rock mass rating (RMR) 92 81 73
TABLE 2
Class II rock, Q classification.

Joint set number (Jn) 6 9 12
(two sets + random) (three sets) (three sets + random)
Joint roughness number (Jr) 4 3 2
(discontinuous joints) (rough, irregular and undulating) (smooth undulating)
Joint alteration number (Ja) 1.0 2.0 3.0
(unaltered, surface staining only) (slightly altered joint walls) (small clay fraction)
Joint water reduction (Jw) 1.0 1.0 1.0
(minor inflow) (minor inflow) (minor inflow)
Stress reduction factor (SRF) 1.0 1.0 1.0
(medium stress) (medium stress) (medium stress)
Q 100 4 1 90 3 1 84 2 1.0
× × = 66.67 × × = 30 × × = 4.6
6 1 1 9 1 1 12 3 1
TABLE 3
Class III rock, rock mass rating (RMR) classification.

Unconfined compressive strength (UCS) (MPa) 12 8 7
(75 - 125 MPa) (50 - 100 MPa) (50 - 100 MPa)
(60 - 75%) (50 - 75%) (40 - 60%)
(0.6 - 2 m) (0.6 - 2 m) (0.6 - 2 m)
Condition of discontinuities 25 18 15
(slightly rough) (slightly rough, completely (slickensided, clay fill)
weathered)
Groundwater 5 4 2
(wet) (dripping) (drip to flow)
Rating adjustment -2 -8 -10
(favourable) (unfavourable) (unfavourable)
Rock mass rating 70 50 40

TABLE 4
Class III rock, Q classification.

(three sets) (three + random) (three + random)
Joint roughness number (Jr) 2.0 1.5 1.5
(smooth, undulating) (slickensided, undulating) (slickensided, undulating)
unaltered joint walls (slightly altered joint walls) (slightly altered joint walls)
(medium inflow) (medium inflow) (medium inflow)
Stress reduction factor (SRF) 2.5 2.5 2.5
(single weakness zones containing clay) (single weakness zone containing clay) (single weakness zone containing clay)
Q 70 2 0.66 65 1.5 0.66 50 1.5 0.66
× × = 4.11 × × = 1.07 × × = 0.82
9 1 2 .5 12 2 2 .5 12 2 2 .5
TABLE 5
Class IV rock, rock mass rating (RMR) classification.
Unconfined compressive strength 7 6 4
(UCS) (MPa) (50 - 100 MPa) (50 - 75 MPa) (25 - 50 MPa)
(25 - 50 %) (25 - 40%) (25 - 30%)
(0.2 - 0.6 m) (0.2 - 0.6 m) (0.2 - 0.6 m)
Condition of discontinuities 15 10 8
(slickensided, clay fill) (slickensided, continuous, clay gouge) (slickensided, continuous, soft gouge)
Groundwater 4 3 2
(dripping) (flowing) (flowing)
Rating adjustment -5 -8 -10
(fair) (unfavourable) (unfavourable)
Rock mass rating (RMR) 39 28 20
TABLE 6
Class IV rock, Q classification.

(three + random) (four or more) (four or more)
Joint roughness number (Jr) 1.5 1.5 1.5
(slickensided undulating) (slickensided undulating) (slickensided undulating)
(slightly altered joint walls) (silty coatings) (silty coatings)
medium inflow large inflow large inflow
Stress reduction factor (SRF) 2.5 2.5 5
(single weakness zones (single weakness zones (single weakness zones
containing clay; d >50) containing clay; d >50) containing clay; d <50)
Q 50 1.5 0.66 40 1.5 0.5 30 1.5 0.5
× × = 0.82 × × = 0.26 × × = 0.10
12 2 2 .5 15 3 2 .5 15 3 5
Tendered tunnelling methods excavated was considerably stronger than a roadheader could cut,
leaving only drill and blast (D&B) or excavation by tunnel boring
The design-build tender submission was based on a drill and blast machine (TBM). A TBM approach was discarded at an early stage
method. The tender schedule recognised some 100 m of poor because of portal constraints (limited access and very limited
Class V rock including 50 m at the Hawera Fault (an area where ability to manoeuvre and assemble), the power requirements,
the operation would be in a methane gassy mine situation) and project delay in procurement delivery as well as the diameter
only 200 m of Class III rock. The remainder was estimated to be needed to be cut to give the overall final cross-sectional area and
Class II rock. This meant that the majority of the rock to be road width required by the client.

FIG 2 - Class II and III rock tunnelling methodology and rock support.
FIG 3 - Class IV and V rock tunnelling methodology and rock support.
The submitted tender provided for the D&B spoil to be The client, however, required an installed conveyor on
removed using an LHD loading 40 tonne articulated dump trucks completion of the tunnel excavation to allow them to establish
(ADT). This would require turning bays at around 300 m centres the base of the mine and to extract a small section of coal.
and some passing bays. The ADTs would haul the tunnel spoil Furthermore, the offered mucking operation using ATD vehicles
out of the tunnel and down the access road to a transfer facility at required PRCL to strengthen two river bridges between the portal
the amenities area, where the client anticipated crushing the and the amenities area.
tunnel muck to produce an AP 40 aggregate, which would be The potential for value engineering was recognised during the
used as a running surface on the access road and for the tunnel interactive tender evaluation process. While an initial downtime
surfacing layer. This was a simple mucking system which of some 16 working days would be required to install a conveyor
allowed the excavated stubs to subsequently function as sumps. system at an early stage, and while alterations to the conveyor
The simplicity, compared to a conveyor system, meant that there system were required to accommodate both rock and coal
was no construction operations width constriction from the transportation, the costs were offset by savings. The bridge
presence of a conveyor. Furthermore, there was neither strengthening was avoided, the client’s amenities area work was
requirement for a temporary storage hopper, nor the need for a able to progress in parallel with the tunnel excavation and an
cross conveyor in the very congested portal area. improved mucking cycle was possible throughout the tunnelling.

The chosen conveyor system needed to meet coal mine safety

standards inside the tunnel and as required in close proximity to
the portal. The system implemented consists of a grizzly inside the
tunnel with a 310 mm aperture to control material falling onto a
1200 mm wide feed belt. This feeds the boot end of the 900 mm
wide main tunnel belt. Both the grizzly and boot end are mounted
on skids to facilitate extending the belt with relative ease. The
main tunnel belt is supported on 7.35 m long frames that have four
legs each. These frames are spaced 1.5 m apart and are lightweight
and easy to transport and install in the tunnel. At the portal, the
main tunnel conveyor has a take-up winch system, and a cross
conveyor that feeds to the top of a storage hopper mounted on
extended legs to allow direct ADL reversing beneath the hopper to
be loaded through clam shell doors.
The production plant selected for the project was an Atlas
Copco Rocket twin boomer. The twin boomer has slides and
hammers. A twin boomer was chosen over a triple boomer
because of the small face area and its ability to both drill the face
and to roof bolt. The production LHD chosen was a Toro 1400.
This machine provided increased capacity over the tendered ten
tonne capacity machine so that the conveyor mucking cycle
could be optimised. In addition there is a backup second-hand
Wagner 14 tonne scooptram. General tunnel backup plant includes
one five tonne Manito with a compliment of attachments, and
service Landcruisers.
CONSTRUCTION AND ASSOCIATED DESIGN

INPUTS
Location constraints
Establishing the tunnel work was demanding for a number of
reasons. The portal is formed in a bluff immediately adjacent to
the stream bank of the White Knight, a tributary to the Pike
River. It is a culturally significant stream and all the work is not
permitted to impact it. No portal zone run-off is allowed to enter FIG 4 - Portal before start of construction.
this stream. As a consequence, the portal zone is grossly
confined to an area of some 750 m2 (appreciably less than the old
standard quarter-acre section common to towns across New
Zealand and Australia). An appreciation of the constraints can be
gained from Figure 4 and Figure 5, which depict the portal area
before tunnelling and once fully established.
This finite area has to accommodate all the essential services.
Equipment includes the twin pairs of elevated GAL 12.5
ventilation fans linked to forced ventilation bagging of 1.4 m
diameter. The power requirement of the portal services and
underground works including the conveyor is supplied by two
750 kVA diesel generators (each the size of a container), a
40 000 litre diesel tank, switching equipment, and a 415 V to
1000 V step up transformer. Requirements for the compressed air
plant, the water supply and pressurised pumping plant, the lamp
room, staff ‘smoko’ and shift boss office along with small tool
storage containers led to double decking of containers so that
vehicular access remains functional, and the muck transfer
operation, including turning facilities can function. All the
non-essential plant and facilities (workshop, stores, personnel
ablutions and office accommodation) are located at the amenities
area which needed to be located some 1.2 km away; the first
locality in the rugged terrain that lent itself to creation of a level
platform.
Establishment on site needed to take into account its isolation.
There was no telephone link, no cell phone cover and even
satellite phones were unreliable. Initially access to the site was
only by four-wheel drive vehicles with the final 300 m to the
portal on foot and crossing the White Knight Stream being
dependent upon rainfall and associated stream flow. All the
power demand for the site needed to be generated on site. Daily
provisions had to be split and some duplicated between the FIG 5 - Confined portal area.

amenities area and portal area. Workshops, offices and stores had The portal work initiated what has been an ongoing process of
to be sized and provided to cover normal maintenance as well as dynamic design-construct adaptations to meet exposed conditions.
consignment stock of parts for all the main excavation plant. In This was a consequence of not being permitted to undertake
addition, the limited demand for underground construction investigatory drilling, and thus the absence of subsurface data.
through the preceding decade meant that reserve plant and spare
parts were not readily available. Tunnelling
At the time of award in late November 2005, portal access was
to be provided by the roading contractor in March 2006. The In mining, the revenue flow is totally dependent on resource
roading contractor had to address significant issues throughout extraction. On a new venture, time is therefore obviously critical
the road construction and particularly in the excavation of the to the client and early negotiation was to change the project from
last sidling cut around the base of a bluff at the confluence of the a tender requirement for a double shift five-day work schedule to
a 24 hour per day seven days per week operation. This change
White Knight Stream and the Pike River. The delays to the
required a paradigm shift from the tender philosophy. The
construction of this area delayed access to the portal. increase in the staffing levels needed was not a trivial
Establishment work on the portal was limited to a temporary requirement, because the required skills are simply not available.
improvised log bridge until mid August and loaded trucks only The focus quickly changed from one of locating additional
had access to the portal on 30 August 2006, when work adequately skilled staff to one of training. This had to be allowed
commenced on the portal stabilisation construction work. Access for in the establishment period before production started.
interruption continued for five more months with intermittent From the first full face blast at the portal, on 21 September
road closure to allow work on the cutting some 30 m above the 2006, it was clear that the approach to the tunnelling would need
access road to continue. a rapid re-evaluation. The portal started in an exposed face of
rock that showed all signs of being very competent. Tactile
The portal examination with a geological pick was positive, suggesting a
strong rock and sounding blows producing a clear ring.
Part of the brief was to ascertain the stability of the slope within While drilling portal face support and also drilling the first
50 m of the portal. Due to access delays, this exercise was round of blastholes, it was quickly evident that the rock had a hard
carried out prior to any construction activities at the portal. veneer up to 1 m thick, but that beyond this hard skin, the ground
Saturation of near surface talus and colluvium and resultant was highly weathered and weak with limited stand-up time. It was
landslides are a regional feature within this high rainfall steep also clear that the ground cover was substantially less than allowed
mountainside terrain. The field work was carried out using full for in the design. Tunnel support systems were augmented
mountain climbing gear and a team of engineering geologists immediately to address the limited ground cover and the
under supervision of a qualified rock climbing guide. The field weathered and weak rock suggested by the percussion drilling. A
exercise identified a saddle structure upslope from the portal cliff row of spilling bars was installed 300 mm above the crown with
crest. The presence of this saddle some 20 m behind the portal all the bars at 300 mm centres. The round length was reduced to
but eliminated the risk of a major debris flow (slope failure) 1.5 m. The exposed rock following the blast confirmed highly
along the infinite slope above the portal bluff being able to weathered, highly blocky ground with most surfaces contaminated
impact the portal as the natural topography would deflect debris by clay gouge. For each consecutive blast over the first 20 m of
tunnel, spiling bars continued being installed.
flows down the sides of the saddle. The work also confirmed
from isolated outcrops that the colluvium/talus cover over in situ It was found that in some instances, overbreak was none the
rock was of the order of 1 m to 2 m only. less significant; with small blocks running through between the
spiling bars. In all instances, stability was achieved through the
The exercise raised doubts regarding topographical data and application of shotcrete. Generally shotcrete in the poor zones
the actual ground cover present above the tunnel. It was of was of the order of 150 mm thick, but at times up to 300 mm was
concern to note that the actual ground cover above the tunnel applied to the crown to arrest ravelling and build-up capacity.
crown appeared substantially less than indicated on supplied Shotcrete preceded bolting in the poor ground but was often
drawings. phased, with two distinct applications separated by bolt
Once access was available, it was clear that the bluff crest installation. Figure 6 shows a zone with poor profile control
could not be reached by cherry picker or similar mechanical while Figure 7 shows good control, but with groundwater inflow
plant. Full height scaffolding was thus erected to gain access to as general ‘rainfall’ through the jointed rock mass.
the portal rock bluff. While the exposed rock at the base
appeared reasonably massive, the bluff rock was masked by a
thick mat (300 mm to 400 mm) of root matter, minor soil and
other organic material. This was manually slashed away and the
exposed rock was cleared and cleaned using high pressure water
blasting. The exposed rock was found to be weathered, blocky
and had many open joints where tree root growth had forced
open joints in the rock by as much as 130 mm. Instead of the
tendered light pattern bolting with mesh to a limited height above
the tunnel, the whole portal face required heavy pattern bolting
and shotcrete.
The portal brow was initially stabilised using chain link mesh.
Rock drills with air legs were used to install a systematic pattern
of rock bolts and steel mesh followed by the application of
shotcrete. The shotcrete was applied so that the front face would
be locked in for stability during the initial blasts. While supplied
data had indicated cover over the crown of about 15 m (three
tunnel diameters), the field work indicated that the cover could
be as little as one tunnel diameter (<5.0 m) in the saddle zone FIG 6 - Face at 140 m showing brown clay from weathering and
and over the portal ridge zone. irregular crown.

the Pike River tunnel. Overseas resourcing was the only option,
and by 22 December 2006 an appropriate mobile robotic
shotcrete plant and a tunnel agitator truck had been located and
acquired in Australia. It arrived on site in February 2007. With
the new shotcrete equipment, it was possible to redesign strata
support systems and shotcrete.
A fibre reinforced shotcrete was trialled with various additives,
especially a retarder to hold the shotcrete for up to 13 hours.
Given that the batching plant was an hour away in Greymouth
and that a 24/7 supply was not available, it was vital that a
retarded mix was able to be transferred to the tunnel agitator and
held in it till required in the tunnel. Contractually the supply of
the new plant was not a variation; however, the contractor
benefited from the increased speed of tunnel advance.
In some of the poor ground, excavating widenings and stubs
was avoided because of questionable stability. The resulting
increase in tramming distances of the muck in LHD vehicles led
to issues with the roadway maintenance. This was compounded
FIG 7 - Boomer at face with •rainfall•seepage through blocky rock. by the narrowing of the tunnel rearward of the working area due
to the conveyor, and the lack of turning bays, which restricted
In the first months of tunnelling, it was quickly apparent that the ability of importing replacement rock for the roadway
the rock being excavated was almost exclusively of a poorer class construction. In addition one of the unexpected changes in
than the Class III and Class II rock predicted. The immediate condition was the nature of the joints. The weaker ground as a
impact of this was increased tunnel water make and a soft tunnel rule has significant clay gouge on the joint surfaces, from 5 mm
invert which quickly disintegrated. There was increased to 15 mm generally, but up to 200 mm thick clay gouge has been
expenditure on longer rock bolts and galvanised mesh, associated experienced. The clay gouge material impacts the invert
with lower classes of rock, to the extent that the whole tunnel behaviour and the tunnel spoil and the rock rapidly disintegrates
allowance was expended in the first two and a half months of under heavy traffic. There has been an unplanned need for
tunnelling. Figure 8 shows the difference between the predicted ongoing tunnel floor maintenance by use of selected shot rock
and actual conditions in the first 500 m. from the tunnel face. Planned production of AP40 aggregate was
This was a real issue because of the difficulties of supply, and abandoned because of rock variability and not meeting
required materials to be specially manufactured and bolts with specification requirements.
resin had to be air freighted in on more than one occasion. A further change adopted has been creating versatility within
By mid to late November 2006, it was evident that there would the support options available to the tunnel crews. The tunnel
be an extensive increase in the amount of shotcrete to be applied crews needed the ability to augment support round by round as
and that hand shotcreting would not be sustainable. There were conditions dictated. Through daily communication between the
only three robotic shotcrete rigs in New Zealand at the time, two site engineering geologist and the (off-site) design team, an
committed for extended periods and the third not practicable for ongoing estimate of conditions over the next few rounds is made
FIG 8 - As-built data.

and strata support systems have been prepared in advance to

meet specific needs. This increased level of rapid response input
has avoided any delays to tunnel productivity. Not only ground
conditions were taken into account, available material on site
was worked into the resolution of rock support requirements.
Changes made to the support systems included a range of site
assembled 4 m long full column cement grout bolts, through
shell anchors to resin bolts.
In weak ground, constructability issues had to be addressed
with up to three or more times the nominal required amount of
resin being inserted to get a bolt to take in fractured rock. To
avoid uncertainty, levels of testing in such zones have had to be
increased. Cement grouted bolts have also consistently taken
more than the theoretical volume, with over four times the
theoretical amount of grout being pumped into the hole. This
additional grout obviously flows into and stabilises the
surrounding ground. Spiling bars have also been used as required
along with varying thicknesses of fibre reinforced shotcrete.
POSSIBLE EXPLANATION FOR POORER

GROUND CONDITIONS
Tunnel cover
The original representation of the ground surface was based on
published data and orthophoto plans. When the cover to the
tunnel was found to be different, the client undertook
independent spot checks at stream beds and locations where staff
could be flown in by helicopter. This exercise confirmed that
levels based on standard air photography were inaccurate,
picking up the tree canopy only and consequently being in error
by up to 40 m. A referral to Figure 8 will show the topographical
difference over the initial 500 m of the tunnel. The outcome of FIG 9 - Example of thick (30+ mm) continuous clay gauge on joint.
these surveys showed that over a 300 m length where the tunnel Note pick penetration.
is near parallel and beneath the Pike River streambed the tunnel
would have considerably less cover than desired. The tunnel
tend to control stability, so that while much of the rock is strong,
grade was then changed to achieve a minimum of 37 m of cover
numerous clay gouge filled shears or nested shear bands control
along the Pike River and at other stream crossings. These
stability. The nests of sheer gouge material have been up to 2 m
changes made appreciable improvements to the tunnel conditions
wide (nearly half the tunnel width).
and cut the water inflows.
More recently PRCL invested in a Lidar scan over the route. Given that most of the tender data was evaluated in the stream
This methodology, which involves high density laser point beds, it is probable that most of the weaker materials had been
soundings, is able by virtue of the number of readings taken, to removed through weathering and erosion and that the visible
penetrate the forest canopy and provide true ground topography. exposures were only representative of the hard bands within the
Where dense undergrowth may affect ortho photo accuracy, the rock mass. So too strength test results undertaken from riverbed
Lidar technique eliminates this inaccuracy. The ground cover samples, were representative of the upper quartile of the rock
over the first 500 m of the tunnel was found to be half or less strength only.
than that initially believed present. In the initial months of tunnelling, the adjacent sidling road cut
Work on the adjacent road sidling cut and within the tunnel became exposed. The meta-gneiss seen made apparent the
has shown that weathering effects impact rock quality to a depth general depth of weathering, which was 25 m to 35 m as a rule,
of 30 m to 40 m. The incorrect topography meant that much of with some zones showing weathered rock down to 40 m. The
the tunnel alignment lies within the weathered rock zone. extent was most noticeable from the joint surface alteration,
giving a dark brown shade to the rock mass, whereas the
unweathered to slightly weathered material was dark grey.
Rock mass conditions
The initial 500 m of tunnel thus passed through weathered
The Pecksniff Metasedimentary Gneiss appears, over the tunnel blocky ground. While groundwater inflows have not been high,
route and parts of the access road, to be much less competent a the early zones ‘rained’ water (refer to Figure 7) through the
rock mass than initial studies suggested. Not much data is innumerable discontinuities rather than having water on discrete
available concerning its engineering properties. The sedimentary joints.
origins are at times quite apparent, and dependent upon the
nature of the source material, different bands have markedly
THE ROAD AHEAD
different properties. The rock was found to have far more
structure than stated, and little massive rock has been seen.
Joint alteration has been the single most prominent weakness The tunnel
in the rock mass. Almost all joints have a clay coating while a set The main drive is currently 90 per cent complete. Work on the
subparallel to the drive was, in general, striated and slickensided main drive has been halted so that the pit bottom workings can
with thick clay gouge present. Figure 9 shows 20 - 30 mm be completed. These workings are a network of adits and
continuous clay gouge filling. This set often presents as a nest of chambers to house slurry sumps, all pumping equipment and
gouge-filled shears that slowly cross the tunnel alignment and associated requirements for the hydro extraction process.

The remaining length of tunnel will be mined under gassy sink. Changes in mine operations requirements led to a new
mine constraints. This will require a complete change of surface configuration, giving a new shaft top footprint of 11 m
equipment. Suitable plant is currently being mobilised to site. × 29 m. A separate dedicated helicopter landing area is also
being built.
Pit bottom workings Work on the shaft top commenced early March 2008. As with
There has been a dynamic interactive process between the client the pit bottom, the shaft design and construction is planned to be
and contractor regarding the location and requirements of the pit the topic of a future paper.
bottom. The initial mine plan sited the pit bottom workings
within the coal measures, but as coal exploratory work has FINAL REMARKS
continued, the available data led to the conclusion that these
workings, especially the chambers, which reach up to 11 m in While much has been accomplished and completed, much
height, would be more stable and constructible within the Meta remains. Tunnelling to date has shown that once typical
Gneiss. The final layout was selected after two interactive multi- conditions and their likely range are known, the mining cycle can
discipline workshops, where constructability and construction be optimised and production maximised, irrespective of the rock
sequencing could be set out and plant requirements optimised to class. Tunnelling rates achieved are above the advance rates
reduce the volume of rock to be removed. tendered for the different rock classes. This good progress is a
The excavation of the pit bottom is about 80 per cent function of increased plant and personnel, changed support
complete. The network of interlinking tunnels and the individual methodologies and a teamwork approach with a ‘rapid response
chambers required to house sumps and other equipment is team’ available to provide suitable strata support designs at short
complex, and its design and construction warrants an individual notice.
paper, which will be produced at a future date. The authors would like to acknowledge the permission of Pike
River Coal Limited to publish this paper as well as their kind
The ventilation shaft support in its preparation.
At tender, the ventilation shaft surface pad was confined to a
10 m × 10 m area. The shaft diameter is to be 4 m and the shaft is REFERENCES
to be equipped with an emergency egress ladderway. The shaft Barton, N R, Lien, R and Lunde, J, 1974. Engineering classification of
location was within the coal measures. Post award there have rock masses for the design of tunnel support, Rock Mechanics,
been a number of reviews of the ventilation shaft, where it should 6(4):189-239.
be located and how it should be tied into the pit bottom works. Bieniawski, Z T, 1974. Geomechanics classification of rock masses and
The review also considered new borehole information becoming its application in tunnelling, in Advances in Rock Mechanics,
available (drilling could be permitted within the coal measures). 2(A):27-32 (National Academy of Sciences: Washington DC).
There has thus been an iterative design process with concept Bieniawski, Z T, 1989. Engineering Rock Mass Classifications (Wiley:
designs prepared for a shaft both in Meta Gneiss and in coal New York).
measures. All surface exposures are in arduous terrain, with Cotton, R and McMorran, T, 2004. Geology of the Pike Stream area and
mountain slopes of around 50°; no site is particularly more the proposed stone drive into the Pike River Coalfield, internal report
favourable from a surface topography viewpoint. to Pike River Coal Limited.
Grimstad, E and Barton, N, 1993. Updating the Q-System for NMT, in
A new review of available shaft locations took place in Proceedings International Symposium on Sprayed Concrete –
September 2007, as cost and time implications of the surface Modern Use of Wet Mix Sprayed Concrete for Underground Support,
works became apparent. The selected location is on coal Fagernes (eds: Kompen, Opsahl and Berg) (Norwegian Concrete
measures, which will see much of the shaft excavated through Association: Oslo).
Island Sandstone. The selected method of excavation is by raise Hoek, E, Kaiser, P and Bawden, W, 1995. Support of Underground
bore, chosen in preference to using an Alimak and to a top down Excavations in Hard Rock (AA Balkema: Rotterdam).

An Appraisal of Tunnelling in the Auckland Region for
Infrastructure Development
A Hodgson1 and J St George2
ABSTRACT Internationally, transportation routes have utilised tunnels to

minimise surface impacts and overcome the problems of surface
Much of Auckland’s transport infrastructure has been developed on
surface with little or no consideration of underground options. Current
route development within city limits (International Tunnelling
and planned transportation routes are now facing high costs due to land Association, 1987). They reduce the effects of noise and air
values and increasing environmental resistance to surface development. pollution and usually offer a more energy efficient route than
The option of utilising underground space becomes a feasible investment surface alternatives. The main legislation governing the
decision for these links as well as being the only option to develop the development of infrastructure in New Zealand is the Resource
rail network within the inner city area. Transportation tunnels offer a Management Act (1991) and the Land Transport Management
quieter, more energy efficient means of getting around with minimal Act (2003). Both acts include policies on environmental effects
impacts on the surface environment. One of the major impediments to including surface and social impacts. Transportation tunnels are
tunnelling is the high construction cost, which is partly related to the risks an excellent option to eliminate or mitigate these effects and are
of encountering unexpected ground conditions and/or the possibility of therefore environmentally and socially acceptable options.
causing surface ground deformations which could damage structures.
In this paper the authors will review the tunnels that have been
The geology of Auckland has had substantial investigation through constructed in the region and the geology of Auckland with
various studies and projects. The sediments of the East Coast Bays
respect to tunnelling. It will discuss the problems associated with
Formation (ECBF) underlie most of the Auckland urban area. It is
classified as a soft rock and is a suitable material to tunnel through using
tunnels that have been excavated and also assess other factors
either a tunnel boring machine or a roadheader. This paper reviews the that influence potential tunnel projects, such as construction
limited amount of tunnelling completed in the urban Auckland area, contract types.
together with the international advancements that have been made in the
tunnelling industry. From the known features of the local geology and the TUNNELS IN AUCKLAND
problems encountered historically, the likely risks of tunnelling in
Auckland are presented and ways in which those risks could be reduced There have been several tunnelling projects within the region
and managed, are discussed. In addition, contractual arrangements from the time of the early settlers. These tunnels have been
between client and contractor are assessed with respect to complicated constructed for utilities, rail and other purposes yet prior to 2000
projects (such as tunnelling), so that the risks can be managed to create none of these were for road transport. In the early development
efficient infrastructure routes with reduced costs. of Auckland City, this was probably more to do with the
availability of land and the slow development of the road
INTRODUCTION infrastructure network, than a conscious decision not to develop
underground. Recently there has been greater activity in road
The Auckland region covers around 500 000 hectares from tunnelling projects. Table 1 outlines the tunnels in the region
Wellsford to Pukekohe under the administration of seven local which have been completed, are in construction or planned (at
territorial authorities. It is New Zealand’s most populated region at least to the initial design stage).
1.3 million people, with the expectation that the population will As can be seen from Table 1 there is only one major road
reach 1.9 million by 2031 (Statistics, New Zealand, 2007). tunnel project, the AW1 western link which is in the early
Transportation routes and utilities of power, water and wastewater design/feasibility stage. One of the main reasons for this lack of
are the key parts of a city’s infrastructure and with population investment in underground infrastructure for transportation could
increases these services must adapt to keep up with demand. be attributed to the high cost of the tunnelling option in the
In Auckland, transportation has been a topical issue for many design/feasibility phase. The tunnelling options are ruled out
years. As early as 1949, the government established a commission in favour of tried and trusted methods involving surface
to make recommendations for the solution of Auckland’s growing development, which come in at a lower cost. A contributing
traffic congestion and transportation problems. In 1955 the Master factor for the high price of the underground option is related to
Transportation Plan for Metropolitan Auckland (Auckland the unknown risks in undertaking contracts where the technology
Regional Planning Authority, 1955) was published and this was has not been proven.
followed by reports, surveys and discussion of possible solutions With the increase in land prices, the unacceptability of surface
to Auckland’s congestion problems at the time and anticipated routes disrupting established communities and the demand for
transportation problems of the future. Two of the most talked more environmentally friendly sustainable options, tunnelling is
about proposals were an express motorway system and an becoming a more viable alternative. A number of future
underground rapid rail transit plan. Extensive research for both infrastructure projects have been considered as feasible for
proposals was carried out by various local and international tunnelling. These include a second Waitemata Harbour crossing
organisations and the express motorway system was preferred over to provide an alternative to the Auckland Harbour Bridge;
the rapid rail option. Until very recently no highway transportation underground rail link from Britomart to Mt Eden and a road
tunnels of any kind have been developed in the region. Tunnels tunnel under the eastern transport corridor to ease congestion on
have been considered in the early stages of many projects yet that route. Very recently the Auckland Regional Transport
never made it to the design phase. Authority announced the final options for the second harbour
crossing. One option could be either a bridge or tunnel of 4.5 km,
while the other option is a tunnel of about 6.0 km.
1. Graduate Engineer, Brian Perry Civil, PO Box 62216, Auckland,
New Zealand. Email: amyh@fcc.co.nz
GEOLOGY OF AUCKLAND
2. Department of Civil and Environmental Engineering, University of
Auckland, Private Bag 92019, Auckland, New Zealand. The geology of Auckland is highly variable with large changes of
Email: j.stgeorge@auckland.ac.nz strata over short distances, due to the combination of the early

A HODGSON and J ST GEORGE
TABLE 1
Existing and planned tunnels in Auckland.
Tunnel Tunnel type Brief description Date of construction

AW1 tunnel (Western Link) Transportation, road Connects SH20 to SH16 at Waterview. Length 5 km – Feasibility stage
size undecided. Waitemata Group – ECBF.
Victoria Park Motorway Tunnel Transportation, road SH1 Victoria Park to Wellington Street – 440 m long. 2009 - 2014
Puketoka Formation.
Hobson Bay Sewer Tunnel Sewerage 35 m deep, 3 km long, 3.7 m diameter, concrete lined. In construction, completion 2010
Waitemata Group – ECBF.
Johnstone’s Hill Tunnels Transportation, road SH1 Albany and Puhoi. Twin tunnels 345 m long, width Tunnel completed 2007
(ALPURT B2) 12 m, height 9 m. Pakiri formation.
Britomart Tunnel Transportation, rail Part of underground railway station 506 m long. Completed 2003
Puketoka Formation.
Vector Tunnel Power Auckland CBD to Penrose 9.5 km long, 20 to 100 m Completed 2001
deep, 3 m diameter. Waitemata Group – ECBF.
Redoubt Road No 2 Inlet Tunnel Aquaduct Ardmore pumping station to the Redoubt Road Completed 1988
Reservoir – Waitemata Group ECBF.
Albert Park Tunnels Shelter, military Built to shelter 22 000 people from anticipated air raids. 1942
More than 3.5 km of tunnels. Sealed in 1946. Basalt.
Waitakere Tunnels Rail and water Waitakere Ranges, dam construction and water. 1900 - 1950
Waitemata Group.
Navy Tunnels Military North Head, Devonport. Basalt. Approximately 1885 - 1900
Old Parnell Tunnel Transportation, rail Birdwood Crescent to Carlaw park. Basalt. 1863 - 1872
TABLE 2
Geological description of selected rock formations in Auckland.
Formation Distribution Description

East Coast Bays Underlies most of urban Auckland. Consists mainly of alternating mudstone and lithic sandstone.
Thickness <500 m
Pakiri Northern part of Waitemata Group. Medium- to coarse-grained sandstone alternating with
laminated siltstone and fine sandstone.
Puketoka Shore platforms around the western parts of Waitemata, Consists of undifferentiated, mainly pumiceous deposits of
Tamaki Strait and the eastern end of Manukau. light grey to orange-brown, well sorted, bedded, mud, sand
Formation depth: <60 m and gravel.
Basalt Forms rocky and hummocky fields in valleys on cones and Grey to very dark grey, dense, fine-grained basalt with
as small fans or aprons on flat ground. olivine, clinopyrexene, feldspar and magnetite or ilmenite.
Flow thickness: 25 m to 60 m
Construction fill Harbour reclamations and construction works in random Recompacted clay to gravel-sized materials from various
areas often without design specifications. sources, in places demolition debris.
Up to 25 m thick
Undifferentiated alluvium Forms flats around Watiemata and Manukau harbours. Unconsolidated to very soft, variously coloured,
Flood plain alluvium forms in small stream flats. poorly-sorted, graded beds of mud, sand and gravel. Beds of
Thickness: <35 m black organic clay and fibrous peat are common.
topography of ridges and valleys and the volcanic activity that gravel. In Auckland, the Puketoka Formation forms inter-tidal
occurred from 60 000 years ago. These volcanic eruptions flats along Tamaki River, Tamaki Strait and around the
deposited scoracious material and volcanic tuff as well as basaltic Waitemata Harbour. Construction fill is present in parts of
lava flows (Kermode, 1992) which filled valleys throughout the Auckland from harbour reclamations and construction sites.
Auckland area. More recently, during the Pleistocene age the Table 2 gives a brief description and the distribution of the
surrounding sea level fluctuated, causing soft marine muds common rock/soil types in the Auckland region.
(alluvium) to be deposited over the volcanic material in the lower From an engineering perspective the ECBF and basalt are the
parts of the central business district of Auckland. most important rock types as they are most widespread. The
The basement rocks are Waitemata Group sediments of Pakiri formation is of relevance since a recent project tunnelled
Miocene age consisting of alternating layers of mud from the through this material. The strength, density and structural defects
seabed, and the coarser silt and sand from nearby coastal areas. of the formations are presented in Table 3. The East Coast Bays
The Waitemata Group has a number of formations, of which the Formation has ideal properties for tunnelling as it is easily
East Coast Bays Formation (ECBF) is of most interest from an excavated with enough strength to remain unsupported over short
engineering point of view as it underlies the majority of the spans. In surface exposures it generally stands well in steep
Auckland area. slopes (Black and Riddolls, 2006). Studies on the microfabric of
The Puketoka Formation, which is of late Pliocene to early unweathered sandstone of the ECBF have found that the rock can
Pleistocene age, forms the lowlands west and south of Auckland contain up to 50 per cent of matrix and lithic fragment clay. This
City. It consists of pumiceous deposits, bedded mud, sand and has implications to tunnel excavation as well as muck removal.

AN APPRAISAL OF TUNNELLING IN THE AUCKLAND REGION FOR INFRASTRUCTURE DEVELOPMENT
TABLE 3
Properties of ECBF, Pakiri formation and basalt.
Rock type Strength UCS MPa Density (kg/m3) Water content Defects
ECBF 0.8 - 4.8 1900 - 2300 12 - 50 % Laminated beds 100 - 400 mm thick of sandstone
alternate with beds of 2 to 400 mm thick mudstone.
Basalt 80 - 120 2200 - 3000 <1% Vertical fractures, widely spaced (60 to 160 mm).
Horizontal fractures, closely spaced (6 to 60 mm).
Pakiri 6 - 30 2100 - 2200 3 - 5% Laminated beds of siltstone and fine sandstone up to 200 mm thick.
Information gained from construction projects throughout the due to inability to cope with the conditions. These factors tend to
Auckland Region suggests that there is quite a lot of variation in increase the expected tunnelling costs, particularly where there
the ECBF. Unfortunately, very little has been published on this is no tunnelling experience in the local conditions. At the
topic. construction stage, the geological uncertainties can affect surface
settlements from ground collapse and workforce health and
EXCAVATION METHODS safety issues.
The following sections discuss issues that are important for
The early tunnels in the basalt were excavated by drill and blast, tunnelling in the Auckland area with examples from the previous
for instance the Navy and Albert Park tunnels. It is probable that tunnelling projects, such as the Redoubt Road No 2 Inlet Tunnel,
the early tunnels in the softer rocks were also excavated by drill Vector Tunnel and the Johnstone’s Hill Tunnels.
and blast like the dam construction tunnels in the Waitakere
Ranges. In the Vector Tunnel, some of the access ways
intercepted basalt flows and these were driven by drill and blast.
Unforeseen ground conditions
Roadheaders were used on part of the Vector tunnel in ECBF, The method of excavation, machinery and equipment used for
on Reboubt Road No 2 Inlet also in ECBF and more recently on the construction of a tunnel are based on the predicted geological
the Johnstone Hill twin tunnels in Pakiri Formation. The northern and geomechanical properties of the rock as assessed at the
portion of the Vector tunnel followed the surface alignment of design stage. These properties need to be understood before
the streets and for this reason a roadheader was preferred on this selecting the most appropriate tunnelling method. During
section. The roadheader mining this section did encounter quite construction if unforeseen ground conditions are encountered,
large hard patches of ground, which are thought to be caused by there can be serious delays to tunnel progress as well as safety.
localised concretions of the host rocks. The roadheader had Common problems relate to collapse of loose ground, soft or
difficulty cutting through these zones and pick wear was high. hard ground the TBM can’t excavate and strata movement on
weak interfaces (Rankin, 1988).
The Johnstone’s Hill Tunnels were constructed within harder
Surface settlements from the excavation of shallow tunnels are
Pakari Formation, which has an unconfined compressive strength
always of concern during construction. It is recognised that with
of up to 30 MPa. This is much stronger than the majority of the variable surface layers consisting of irregular man-made ground,
ECBF, which is rarely more than 5 MPa, and the roadheader was soft deposits and possibly separate groundwater regimes, tunnel
well able to cope with the strata. The tunnel support of the excavation can cause local distortions around the excavation and
Johnstone’s Hill Tunnels is made up of rock bolts and shotcrete. differential settlements at surface (Lance and Anderson, 2006).
The tunnels are also situated in a greenfield setting with no A large part of the downtown area of Auckland City is
buildings nearby and so any effects of ground settlement are far comprised of reclaimed land with fill and recompacted clays.
less significant than in an urban environment. These materials have come from many sources and there is little
The southern section of the Vector tunnel was driven with a reliable information on placement methods or location and depth
conventional tunnel boring machine (TBM). Initially the of fill. During the excavation works of the Britomart project in
machine was fitted with disk cutters but these were changed to the Auckland CBD, part of the old Gore Street Jetty, dating from
chisel picks when the machine made poor progress. The picks 1865, was discovered. In the same project large hardwood beams
proved to be more successful and were used until completion of from the Queen Street Railway Station were also exposed during
the project. The tunnelling machine selected for the Hobson excavation. Encounters such as these have the potential to
project is an earth pressure balance machine (EPBM) with a damage machinery, slow down production and affect predictions
diameter of 4.3 m and a length of 70 m. This machine is of ground behaviour and settlement, especially if they are not
designed to bore through soft marine sediments and the East anticipated.
Coast Bays Formation; however, it also has the ability to Protected buildings, heritage sites and vital public facilities in
excavate through hard rock if basalt flows are encountered. The Auckland City have strict criteria applied to them in relation to
face can be accessed and the cutters changed to suit the settlements and strains. It is essential that settlements and strains
conditions. By managing the muck removal from the head are predicted accurately in the design phase. In soft soils and
chamber by means of a screw conveyor, the machine has the reclaimed land groundwater must be managed carefully. During
capability to control any face pressure due to failure, resulting the excavation of the Britomart Tunnel and station in land
from a sudden collapse of the face. This is the first time that this reclaimed from the sea, dewatering of the construction area
technology has been applied in New Zealand. was carried out very slowly. This allowed the large vertical
settlements from the lowering of the water table to be controlled
PROBLEMS ASSOCIATED WITH TUNNELS and their effect on existing buildings in the area to be monitored.
Tunnelling risks have been well documented in the literature Unsuitable machinery
(Eskesen et al, 2004), in case studies and where failures have
come to prominence. The geological uncertainties are a major Where the tunnelling machine is unable to cope with conditions,
source of potential hazards in the design phase. They are mainly tunnel progress will inevitably be compromised. The resulting
associated with unforeseen ground conditions, adverse geology time penalties, financial losses and potential harm to a
and groundwater as well as the possibility of equipment failure company’s reputation can be significant. The factors contributing

to the incorrect specification of the excavation machinery can identified before a tunnel construction project begins; however,
usually be attributed to inaccurate predictions of ground there will always be some residual risk that must be managed
conditions, unforeseeable variable ground conditions and a lack during the project.
of information. This section will look at how these risks can be managed
In the southern section of the Vector Tunnel contract the initial through geological information, excavation methodology, machine
head of the TBM was fitted with disk cutters to excavate the selection and avoidance of damage to surface infrastructure.
ECBF. These cutters proved unsuitable for the formation and Having a good understanding of the nature and behaviour of the
delays were incurred while the cutters were changed. The TBM material the geological risks can be managed by selecting the
part of the project was completed with a head configured with most suitable methodology and machinery for the project.
chisel picks. Past experience of tunnelling in the particular geology can
provide very useful information of the problems encountered
Politics of transportation tunnels during tunnelling and also point to successful solutions for these
problems (Rankin, 1988). Unfortunately, Auckland has very little
Public transportation projects in Auckland have many parties in the way of underground infrastructure to provide this
involved with representatives from members of the public, information; however, there have been extensive projects in the
operators, public transport authorities, city planning and region from large-scale roading alignments to deep excavations
management authorities, urban space users, real estate owners, which yield useful data on ground conditions. It is notable that
developers, neighbourhood representatives and government both tunnel boring machines and roadheaders have been used to
agencies. This fragmented management of the Auckland region excavate through the ECBF successfully.
has contributed to the current situation where progress of a
regional transport solution affecting greater Auckland has been Local geological information
very slow. As far back as 1950 the Halcrow-Thomas report
recommended an underground railway under the Auckland City The geological conditions and geomechanical properties must be
and proposed the establishment of a single public authority to understood during the early stages of a tunnelling project so that
plan and coordinate all forms of public transport in the route, design and construction can be planned to eliminate
metropolitan area. At that time Auckland had separate potential hazards and reduce risks.
organisations for each type of transport. Large-scale transportation tunnels in Auckland are likely to be
The situation is not much different today with numerous situated along routes which navigate around volcanic flows and
organisations involved in transportation planning and each entity reclaimed land. In planning documents for the Auckland rapid
having its own agenda. The involvement of so many local bodies rail route some 40 years ago, it was noted that the selected route:
not only delays decisions, but raises the question of who pays for … avoided the areas where volcanic rock is
large transportation projects. In June of this year, the New likely to be encountered and occupies a minimum
Zealand Council for Infrastructure Development made a request of the alluvial materials in the Queen Street
to the Prime Minister to set up an independent commission of Valley (Institution of Engineers, 1969).
inquiry to look at the transformational reform of Auckland’s
local government and determine the best governance structure to The Hobson Tunnel, which is currently under construction, is
lead Auckland’s future development. A current proposal for a following a route deep enough to avoid the basalt lava flow
‘One Auckland’ structure would reduce indecision and avoid dissecting Hobson Bay.
inconsistent and insufficient funding, which should benefit Information on the geological setting is contained in published
proposals for regional infrastructure projects. maps eg Kermode (1992), archive information, borehole logs and
construction records as well as the data held by local authorities,
which provides information on possible contaminated sites, filled
Cost escalation
areas, refuse tip sites, high pressure gas mains and petroleum
Cost increases from the planning stages through to completion pipelines. A large amount of data is held by consultants or private
on major infrastructure projects are due to many reasons; companies. Unfortunately, these records are often not readily
however, two main themes are commonly noted – delays and available as companies consider this information, particularly the
changes in scope. Both of these are attributed to the Resource geological databases and production performance, as key factors
Management Act procedures and the consultation process it which offer them a competitive edge in the bidding process for
fosters. new projects. After the completion of a project there has been
The Alpurt B2 project (which the Johnstone’s Hill Tunnels are reluctance to publish any information relating to the job due to
a part of) is a good example of the way costs tend to escalate in claims and possible litigation. This means that there is
large transportation projects throughout New Zealand and suppression of almost everything useful until resolution is
Auckland in particular. The cost escalations for this project have achieved. In some cases, eg the Vector Tunnel, this process takes
risen from $82 million to $359 million over five years, due several years and by that time the main parties – consultants,
mostly to changes in the design to meet the demands of the clients and contractors have lost the enthusiasm to publish the
objectors (King, 2007). The advisory group that was formed to findings.
investigate this matter suggested that a more accommodating For the Vector Tunnel, the abrasivity and the disaggregation of
planning process that sets performance and environmental
clay particles within the ECBF were found to be key factors
standards and then sets out to deliver them would minimise the
opportunity for scope change. They also suggested that if there affecting excavation rates. The release of the clay particles can
was competition for the contract to build, maintain and toll these be caused by disaggregation, which occurs during mechanical
facilities the problem of cost escalation would be reduced. This working such as tunnel excavation using a TBM or roadheader.
approach is used in countries such as Australia, resulting in a The resulting plasticity and swelling behaviour of the clay is
faster, cheaper delivery. important because the spoil that is generated by excavation needs
to be removed from the face of the tunnel. If the spoil contains a
large proportion of clay particles, as the ECBF does, clogging of
MITIGATING RISK
machinery and mucking procedures can become a problem.
As identified above most problems arise from uncertainties Ineffective removal of spoil causes delays to the whole tunnel
related to the geological information. Detailed investigation, excavation procedure. The Redoubt Road No 2 Inlet Tunnel and
planning and engineering analysis will enable most risks to be the Vector Tunnel both suffered from such delays.

AN APPRAISAL OF TUNNELLING IN THE AUCKLAND REGION FOR INFRASTRUCTURE DEVELOPMENT
According to Wylie (1989) in the Redoubt Road No 2 Inlet issues related to tunnelling. The ITA has published guidelines
Tunnel, the disaggregation led to a breakdown in the mucking (Eskesen et al, 2004) for tunnelling risk management. Other
procedure, leading to a reduction in the efficiency of the groups like the International Tunnelling Insurance Group have
operation. From microstructural studies of skeletal granular published a code of practice (ITIG, 2006) to promote best
connectors Wylie (1989) found the unit is likely to be very weak practice and management of risks. It sets out the process for the
and easily broken down to its granular components. To overcome identification of risks, their allocation between the parties to a
clogging and mucking problems, the addition of soil conditioning contract and contract insurers, and the management and control
of risks through the use of risk assessments and risk registers.
agents such as foams and polymers are added to the excavated
material. This transforms the spoil into a manageable ‘paste’ that The ITA guidelines suggest using systematic risk management
can flow through the machine in a controlled manner. It also techniques throughout the tunnel project to clearly identify
reduces wear on the components of the machine and reduces potential problems and implement appropriate risk mitigation
power and torque requirements (Mair et al, 2003). measures in time.
Knowledge of the formation and distribution of the hard
concretions in the ECBF, which were encountered in the Allocation of risk
roadheader section of the Vector Tunnel, would be extremely The allocation of risk using a geotechnical baseline report (GBR)
valuable to assess their likely impact on tunnelling operations in is a common way of managing the risks associated with
this formation. geological conditions in New Zealand. Geological risks are
established at the beginning of a project and then allocated to the
Design and choice of methodology and different parties involved, typically the owner, designer and
machinery contractor(s). Geotechnical baseline reports (GBR) are contractual
statements that establish the geotechnical risks and provide
The choice of machinery plays a major role in tunnel baselines from which risks are allocated. The process works
methodology and has the most influence on the success of a (Essex, 2007) by assigning conditions consistent with or less
tunnelling project. The excavation performance of the tunnelling adverse than the baseline to the contractor and those significantly
machine is governed by the design of the machine, rock mass more adverse than the baseline are accepted by the owner.
properties being excavated and the operation and maintenance of The geotechnical data report (GDR) is included in the contract
the tunnelling machine (Thuro, Plinninger and Spaun, 2002). documents and contains the factual information needed for the
From past tunnelling experience in the ECBF both TBMs with compilation of the GBR. Typically this includes a description
chisel cutters and roadheaders have managed the conditions and of the geological setting, description/discussion of the site
excavation doesn’t present any difficulty. The abrasivity and exploration program, logs of all borings, trenches and other site
stickiness of the muck has been a problem and the use of an investigations and a description of all field and laboratory testing
earth pressure balance machine, perhaps with some material including results and discussion. From these, the baseline
conditioning, appears to be appropriate. statements within the GBR are described using quantitative terms
that can be measured and verified during construction; they may
Mitigating damage to existing buildings and be expressed as a maximum value, a minimum value and an
infrastructure average value.
The designer of a tunnelling project uses the GBR as a basis
Damage to existing buildings and infrastructure due to tunnel
for preparing a construction cost estimate, including allowances
excavation can be minimised by adopting the most appropriate
for specific contingency items, for the owner’s budgeting
form of excavation system and tunnel support. The selection of
an earth pressure balance machine to bore through soft ground purposes. The bidders during the bid phase use a GBR for a
like the ECBF would provide the contractor with the ability to contractual indication of anticipated subsurface conditions and
control any failures that might occur, thereby reducing the geotechnical risks allocated to the contractor. The contracting
likelihood of large settlements on surface. parties use the GBR for resolution of disputes related to
encountered conditions that are claimed to be more adverse than
High-density residential areas, multi-storey commercial and those indicated in the baseline.
heritage buildings can be avoided during the planning stages of
the route, although in the central business district this is not
possible. An extreme example of this was in the northern section Contract types and risk sharing
of the Vector Tunnel (for electrical power), which was driven It is well recognised (International Tunnelling Association, 1996)
below the roads. This alignment was selected in part to alleviate that the form of the contract and the method of pricing play a
the planning process, as the Resource Management Act would very important role in the success of the construction and the
have required consent from every owner on the route. A overall satisfaction to the client/owner of the project. In New
transportation tunnel requires a relatively straight alignment but Zealand, for large complex construction contracts, the parties
is empowered to overcome any private objection by compulsory have opted for alliancing. All the parties that make up an alliance
purchase of the land, if necessary. share the responsibilities and risks associated with the project.
It has been the practice to relocate utilities and services before This is a form of contractual arrangement that is suited to
construction of cut-and-cover or shallow tunnels to avoid the projects where the risks are unpredictable; unlike traditional
possibility of damage during tunnel construction. This was the forms of contracts, where risks and responsibilities are allocated
situation for the Britomart Tunnel and will be the case for the to the different parties involved at the beginning of the project.
Victoria Park Tunnel. So if the project makes a gain, every party makes a gain and
conversely if the project makes a loss, every party of the alliance
shares the loss.
MANAGEMENT OF RISKS
The principal differences from which an alliance operates to
Risk reduction in tunnel construction is addressed by the other contractual arrangements are:
industry; through collaboration with international and national
organisations such as the International Tunnelling Association • risks are managed through a risk/reward arrangement, not
(ITA), the British Tunnelling Society (BTS), and the Australasian through legal documentation;
Tunnelling Society (ATS). These organisations publish • primary emphasis is on business outcomes, so all parties
documents, standards and codes of practice on a wide range of share the loss or gain;

• full access to the resources, skills and expertise of all parties recent past. Alliancing is suited to large complex projects and it
involved; is likely that this contract system will be considered for the large
tunnelling project coming up. It has the advantages of full access
• transactions are transparent with open and honest to the resources, expertise and skills of all the parties involved.
communication; and
• innovative thinking is encouraged. REFERENCES
Alliancing was used for the first time in New Zealand on the
Auckland Regional Planning Authority, 1955. Master transportation plan
Grafton Gully Project completed in 2005. It was a $68 million
for metropolitan Auckland, The Technical Advisory Committee of
alliance which served as a model for future motorway projects the Auckland Regional Planning Authority, Auckland.
and resulted in the alliance completing (Transit New Zealand,
Black, P and Riddolls, B, 2006. East Coast Bays Formation sandstone:
2007) it six weeks ahead of schedule and seven per cent under When and why does it behave like claystone? New Zealand
budget. Geomechanics News, 72:29-30.
Construction for the (now) $359 million Alpert B2 northern Eskesen, S D, Tengborg, P, Kampmann, J and Veicherts, T H, 2004.
motorway extension project is currently run by the Northern Guidelines for tunnelling risk management: International Tunnelling
Gateway Alliance, who are delivering the whole job. This is a Association, Working Group, Tunnelling and Underground Space
much larger project than the Grafton Gully Project. The Technology, 19(3):217-237.
success of these projects would suggest an alliance would suit a Essex, R J, 2007. Geotechnical baseline reports for construction, ASCE,
large-scale tunnelling project. Virginia.
Institution of Engineers New Zealand (Auckland Branch), 1969.
CONCLUSIONS Auckland rapid rail symposium, Logan Park, Auckland.
International Tunnelling Association, 1996. ITA position paper on types
The engineering geology of Auckland is well understood, of contract, Tunnelling and Underground Space Technology,
especially the East Coast Bays Formation and so the most 11(3):411-429.
suitable tunnelling method and machinery can be selected International Tunnelling Association, 1987. ITA Working Group 10,
accordingly. Both the tunnel boring machine and the roadheader Examples of benefits of underground urban public transport systems
machine are suited to the ECBF and technological advancements (International Tunnelling Association: Lausanne).
of these machines can minimise the typical risks of underground International Tunnelling Insurance Group, 2006. A code of practice for
construction, such as ground deformation which can lead to risk management of tunnel works, IMIG.
damage of buildings or services. It is anticipated that an EPBM Kermode, L, 1992. Geology of the Auckland Urban Area, scale 1:50 000,
will be employed where possible to control the flow of weak Institute of Geological and Nuclear Sciences, geological map 2.
material. (Graphic Press and Packaging Ltd: Levin).
Past experience in the region, although limited to small-scale King, P, 2007. Building blocks, AA Directions, pp 34-35.
tunnels, has provided useful information on the behaviour of the Lance, G A and Anderson, D J M, 2006, The risk to third parties from
East Coast Bays Formation under mechanical loading. The East bored tunnelling in soft ground (Health and Safety Executive).
Coast Bays Formation contains a high percentage of clay and Mair, R, Merritt, A S, Borghi, X, Yamazhi, H and Minami, T, 2003. Soil
under mechanical loading from the tunnelling machine (either a conditioning for earth pressure balance tunnelling machines, Tunnels
roadheader or tunnel boring machine) the clay particles and Tunnelling International, 35/4(29):33.
disaggregate and can cause clogging in the excavation and Rankin, W J, 1988. Ground movements from urban tunnelling:
mucking equipment. In the past this has led to time delays and Predictions and effects, Engineering Geology of Underground
extra costs; however, this knowledge will enable construction Movements, 79:91.
programs for future tunnelling projects to be planned Statistics, New Zealand, 2007. Auckland region, Quarterly Review,
accordingly. The addition of foam or polymers to the spoil will September, p 47.
help transform sticky clay into a more manageable material that Thuro, K, Plinninger, R J and Spaun, G, 2002. Drilling, blasting and
can flow through the tunnelling machine and minimise wear on cutting – Is it possible to quantify geological parameters relating to
machine components. excavatability? in Proceedings Congress of the International
Association of Engineering Geology and the Environment, Durban.
It would be expected that information on the disaggregation
Transit New Zealand, 2007. GGP project delivery. [online]. Available
and abrasivity of the ECBF will form part of the GBR. Although from: <http://cmi.transit.govt.nz/html/ggp/ggpDelivery.htm>
at this stage there needs to be more research on the mechanical [Accessed: 3 October 2007].
behaviour and characteristic of this formation. Wylie, C, 1989. Engineering geology of a soft, weak rock tunnel: ARA
Sharing of risk is a relatively new concept in the construction Redoubt Road – No 2 inlet tunnel, MSc thesis, Department of
industry but has proven to work well in New Zealand in the Geology, University of Auckland, p 143.

Microtunnelling the Ocean Outfall Pipeline, Christchurch,
New Zealand
J Moore1, R Fleming2 and G Jones3
ABSTRACT The New Zealand $85 million project comprises a new pump
An ocean outfall is currently under construction in Christchurch, New
station and 5 km of 1800 mm diameter pipeline with a design
Zealand to transfer treated wastewater from the existing treatment ponds at capacity of 6.0 m3/s. The pipeline comprises 2.3 km of 1800 mm
the city wastewater treatment plant to diffusers located 3 km offshore. The ID concrete pipe installed by microtunnelling and 2.7 km of
New Zealand $85 million project comprises a new pump station and 5 km 1800 mm OD, polythene (PE) pipe installed by dredge and lay
of 1800 mm diameter pipeline with a design capacity of 6.0 cumecs. The (see Figure 1). The PE marine pipe is not covered by this paper.
pipeline comprises 2.3 km of concrete pipe installed by microtunnelling
and 2.7 km of polyethene marine pipe installed by dredge and lay.
This paper describes the consent process, key environmental and
community constraints, the tender process, risk provisions included in the
contract, the type of contract, partnering provisions, geotechnical design
issues and the pipejacking construction activities and issues.
BACKGROUND TO THE PROJECT

Christchurch is the largest city in the South Island of New
Zealand, located on the east coast, with a population of about
360 000. The city is traversed by two small rivers, the Avon and
the Heathcote, both of which terminate at the Avon-Heathcote
estuary.
Sewage is collected in a dedicated network which terminates at
the Christchurch Wastewater Treatment Plant (CWTP), where
primary and secondary treatment is undertaken. Wastewater is
then discharged to a series of tertiary ponds approximately
230 ha in area, where the main pathogen reduction occurs.
From here the wastewater currently discharges into the
Avon-Heathcote estuary over a two-hour period during each high FIG 1 - View of outfall route with Christchurch city in background.
tide, from where it flows out to the coastal area of Pegasus Bay.
In 1991 the New Zealand Government introduced the
Resource Management Act 1991. This gave the existing THE CONSENT PROCESS, ENVIRONMENTAL
discharge to the estuary a sunset date of October 2001, requiring AND COMMUNITY ISSUES
the council to apply for a new discharge consent by March 2001.
In 1996 a working party of key stakeholders was formed, to gain
Whilst the discharge water is generally of high quality, the
an understanding of the issues associated with the estuary outfall
community had significant reservations about continuing with
the discharge to the estuary, as recreational water quality in the and to explore options for treatment and disposal of the CWTP
estuary was not being met at all places at all times. There was discharge.
also concern about the levels of nutrients in the wastewater, The working party recommended to the council that an ocean
which were contributing to high growth rates of the algae of sea outfall be constructed. It was considered that all environmental
lettuce, particularly over the summer period. outcomes would be met with an outfall extending 2 km offshore.
Following a lengthy period of options studies, consultations However, the council decided to seek a short-term 15 year
and two resource consent hearings, consents were finally granted consent to continue discharging into the estuary with artificial
in November 2005 for an ocean outfall to discharge 3 km UV disinfection to meet contact recreational use standards.
offshore, with a requirement to be operational by 30 September Unfortunately, the high level of public concern shown by
2009. submissions during the consenting process resulted in the council
Site investigations, preliminary design and consideration of being granted consent with unfavourable conditions. These
project delivery options were undertaken in parallel with the conditions included a term of five years only and the requirement
consent process. Once consents were granted, the project then to install an artificial UV disinfection plant within two years.
advanced through detailed design, tendering and into construction. The council then engaged two independent expert panels, one
The project is due to be completed on 30 September 2008, on public health and one on ecology, with both panels
12 months ahead of the consent requirement. concluding that the wastewater discharge should be removed
from the estuary, and an ocean outfall constructed.
1. Project Delivery Team Leader, City Water and Waste, Christchurch Council then prepared an application for the construction and
City Council, PO Box 237, Christchurch, New Zealand. operation of an ocean outfall extending no less than 2 km
Email: john.moore@ccc.govt.nz offshore. The council held negotiations with the consenting
2. Senior Principal, URS New Zealand Ltd, PO Box 4479, authority and key stakeholders, agreeing that discharge to the
Christchurch, New Zealand. Email: ron_fleming@urscorp.com estuary would cease once the ocean outfall was commissioned
3. Tunnel Manager, McConnell Dowell Constructors Ltd, PO Box and operational, but no later than 30 September 2009.
24317, Christchurch, New Zealand. There was a much greater community acceptance for an ocean
Email: gwyn_jones@macdow.co.nz outfall. However, there was a requirement for a whole new

J MOORE, R FLEMING and G JONES
consultation process. There was concern that this disposal PROJECT OVERVIEW
method could impact adversely on the water quality at the
adjacent beaches. Although it had previously been determined The ocean outfall project comprises two main elements split into
that water contact recreational standards would easily be met two construction contracts.
with a 2 km offshore outfall, the community expressed a wish to
have the greatest possible separation between people and their Pump station contract
wastewater. Following analysis and modelling of the water
quality at six adjacent beaches and directly above the outfall, the The pump station is located at the corner of the final pond at the
council resolved that the ocean outfall would extend 3 km CWTP, adjacent to the estuary. Flow through the pump station
offshore, without the need for artificial UV disinfection. and hence the pipeline will be predominantly by gravity except
for flushing of air and sediment, and during periods of high
At the time the ocean outfall was agreed to, it was believed
flow. When this occurs three 375 kW pumps can be turned on
that a dig and lay option was the most likely construction method
increasing flow into the pipeline to 6 m3/s. The pump station is
for the ‘land’ section of the pipeline (being approximately 2 km,
being constructed under a separate contract and is not discussed
comprising the estuary crossing and South New Brighton Spit
further in this paper.
section). The potential effects of a dig and lay pipeline operation
requiring sheetpiling and dewatering along the full length across
the estuary and through saturated sands raised a number of Pipe line contract
environmental and community concerns. The main concerns The total pipeline length is about 5 km, with the 13 discharge
were: diffusers being located over the final 360 m of pipeline,
• The Avon Heathcote estuary section is environmentally approximately 3 km offshore. The contract as awarded is split
sensitive, containing areas of salt marsh and freshwater into the ‘land-based’ pipeline section and the marine pipeline
springs. There was concern about disturbance of flora in section, 2.3 km and 2.7 km long respectively. The so-called land-
these areas, particularly from smothering caused by release based section of pipeline, which has been constructed using
of sediment during construction undertaken by a dig and lay microtunnel techniques, comprised an 874 m drive beneath the
method. Avon-Heathcote estuary to the pump station, a 604 m drive
• The South New Brighton Spit is made up of two through South New Brighton Park and along Jellicoe Street to
geographical areas, essentially a recreational reserve the sand dunes, and a 830 m drive from the sand dunes to a point
containing an area of mature pine forest, and residential about 600 m offshore, beyond the surf zone. The land-based
streets. Nearby residents were sensitive about removal of any pipeline will connect with the marine pipeline at this point
mature pine trees in South New Brighton Park, which were beyond the surf zone, where the depth of water at low tide is
highly valued as a wind break. approximately 6.5 m and the cover to the pipeline about 3 m.
Tenderers for the pipeline contract were invited to bid on one
• When the effects of the dig and lay methodology were or more of three pipeline options as follows:
described to the community, there was a very strong negative
reaction to being host to the pipe route. • Option 1 – a dig and lay land-based pipeline from the pump
station, across the Avon-Heathcote estuary and along Jellicoe
• During the consultation process, it became evident that Street to the sand dunes, where a connection would be made
launching a pipe string into the ocean from one of the streets through a vortex drop structure to the marine section of
would not be an acceptable construction method, and pipeline;
alternative construction methods needed to be further
investigated. Having considered the options, the council • Option 2 – this was similar to Option 1, but with a
undertook not to use the streets to launch the marine pipe microtunnel pipeline instead of the dig and lay pipeline from
strings for construction. the pump station through to the sand dunes; and
• Localised effects such as noise from sheet piling work, • Option 3 – as Option 2, except that the microtunnel pipeline
access to property, dust and damage to property from would be extended beneath the surf zone offshore to avoid
vibration. the difficult dredge and lay section through the surf zone.
During the consultation period, 29 reports were prepared on Options 2 and 3 provide a gravity flow solution, with the
environmental effects as part of the application for consent. The exception that the pump station will be operated for flushing
issues identified encouraged alternative construction methods flows and during periods of high flow only.
such as microtunnelling to be explored. Because the technology Sixteen conforming or alternative tenders were received from
for the proposed pipe size and length of drive was not readily the five selected tenderers, which included tenders for all three
available in New Zealand, it was not expected initially that this options. The successful tender from McConnell Dowell
would be an affordable solution. However, significant advances Constructors Ltd was for Option 3, comprising approximately
made in the industry over recent years suggested that, for a 2300 m of 1800 mm ID concrete jacking pipe being installed in
project of this magnitude, it may be possible to attract three drives from the pump station and connecting with the
international interest for a microtunnel solution. marine pipeline section at the point beyond the surf zone
With this in mind, designs for both a dig and lay and offshore. The microtunnel-boring machine (MTBM) will be
microtunnel solution were developed. Application for consent recovered using a ‘wet’ marine recovery technique from a barge.
was lodged in December 2004. The application attracted For the Option 3 pipeline chosen by the contractor, the marine
approximately 80 submissions with about half being in support pipeline comprises 2540 m of solid wall PE pipe to be laid from
and half being in opposition. This contrasted significantly with the intersection with the microtunnel pipeline to a point 3 km
the earlier estuary discharge consent where over 2000 offshore in Pegasus Bay. The marine pipeline is 1800 mm OD
submissions were received, mostly in opposition. A joint hearing with a wall thickness of 70 mm, manufactured in Christchurch in
for the three consenting authorities was held commencing June 6 m lengths using a tangential extrusion spirally wound method.
2005 and ran for three weeks. The decision to grant the consents Dredging commenced in November 2007 using the spudded
was received in November 2005 and was appealed on minor dipper dredge Machiavelli, owned by subcontractor Heron
matters only. Construction Ltd, a New Zealand dredging company. This is

MICROTUNNELLING THE OCEAN OUTFALL PIPELINE, CHRISTCHURCH, NEW ZEALAND
project comprised four sections of pipeline that had the potential

to be difficult to construct and hence posed risks to the client of
cost and time blowouts. These were:
• the section across the estuary with the associated
environmental and recreational impacts,
• Jellicoe Street with its sensitivity to residents and their
property,
• the surf zone, and
• the marine section.
The ground conditions are discussed further below. The silty
sands that were expected along the pipeline route some 9 m
below the water table provided for difficult conditions which
could not be taken lightly.
The risk management provisions included were as follows.
Preselection of tenderers and the interactive

tender process (ITP)
FIG 2 - Marine pipeline being launched.
On a project of this degree of difficulty it is very important to
firstly obtain constructability feedback from the contracting
fitted with a Liebherr P994 excavator with a maximum dredging industry preconstruction and secondly to engage a contractor that
depth below water of 20.8 m. The dredge is excavating a 4 m has the right mix of resources, experience and financial backing.
deep trench, 8 m wide at the bottom with 1V:1.75H batters. As
each section of trench is completed, a 360 m long pipe string will A registration of interest for the pipeline contract was
advertised with a good response from international contractors.
be towed into Pegasus Bay, where it will be sunk into the trench
A weighted attribute system was then used to evaluate their
and joined together prior to being backfilled.
attributes, which reduced the number of selected tenderers down
The last pipe string is the diffuser section, which will to five.
incorporate 13 risers to discharge the wastewater through eight
An interactive tender process (ITP) then commenced with
duck bill valves on each riser into the ocean environment. The
these five parties. This is a process where, prior to being asked to
diffuser structures contain a precast concrete overtrawl protection
price the project, all tenderers were invited to review the design
structure to prevent damage from trawlers.
and tender documents at the 90 per cent complete stage. During
this stage the tenderers had a mandatory site visit and ITP
PROJECT DELIVERY AND CONTRACT sessions where, initially as a combined group, they attended
CONSIDERATIONS presentations from the designers and the council. Interactive
discussion was encouraged during this group meeting and very
During the preliminary design stage of the project a number of productive discussions took place. Tenderers then attended
project delivery workshops were held between the council and individual confidential two-hour meetings with the designers and
project designers URS New Zealand Ltd to consider the various the council to enable them to ask questions of a commercially
project delivery options available, risk management provisions sensitive nature and to ‘test the water’ on innovative ideas in
and other contractual issues. confidence. During these two-day sessions, tenderers also had
Initially the council was keen to deliver the project through a access to a data room, where all reference reports and documents
single design-build contract covering both the pump station and were made available for viewing and copying.
pipeline. However, as a result of these workshops, it was decided At this stage tenderers had a copy of the 90 per cent
to separate the pump station and pipeline, mainly because the documents for about two weeks and they were given another two
former was within the capabilities of relatively small local weeks after the meetings to provide written comment on the
contractors, whereas the marine works and microtunnel options documents, with the council retaining the sole right to
would need to target international expertise. It was considered incorporate any comments into the final design or tender
that any additional costs associated with administering two documents.
contracts would be outweighed by using the local resources on
The ITP has proven to be a powerful risk management
the pump station.
mechanism on a number of projects in New Zealand. Unlike the
The decision was also made to change to a traditional design significant upfront expense associated with alliancing, this is a
then construct type delivery system, to provide the council with simple and very expedient mechanism for introducing contractor
more control over the design standards and components to be constructability review and feedback into the final contract
used on its asset with a 100 year design life. documents and transferring as much background knowledge as
Options for construction by dig and lay, and microtunnel as possible from the designers and the council to tenderers, with a
described above were to be included. view to reducing uncertainty and hence risk allowances in the
With the probable award of the pipeline contract to an tender price.
international contractor, the FIDIC General Conditions of Once the final tender documents have been produced, the
Contract (Yellow Book) were used, modified to suit New Zealand bidding period followed. This was shorter than normal due to the
law. The contract form chosen was lump sum with a schedule of fact that tenderers had already reviewed the 90 per cent
quantities and prices for progress payments and valuation of documents and were familiar with the project. A weighted
variations. attribute system was again used to evaluate tenders, with
Risk management provisions were considered during these emphasis being placed more on the project specific resources and
workshops and a number of these were included in the project methodology proposed rather than the more general industry
delivery system chosen. It was recognised that the pipeline capabilities sought in the registration of interest evaluation.

Geotechnical baseline report (GBR) marine environments. The relative sea level has been stable
during the last 6500 years and the coastline has prograded
Council accepted that appropriate risk management provisions (migrated seaward) several kilometres. The upper 20 to 30 m of
needed to include a reasonable element of risk sharing if fine sediments along the project corridor reflects these
tenderers were to reduce risk contingency in their bids. depositional environments. The pipeline lies within the upper
As is now almost normal practice in projects with high fine sediments with the maximum depth to pipe invert typically
geotechnical content, a GBR or interpretative site conditions being about 10 m, except where it crosses the estuary where it is
report was included in the tender documents in addition to the about 6 m. The water table generally lies within a metre of the
traditional factual geotechnical data report. This set baseline ground surface.
conditions for tendering on such items as uniformity of ground Investigations were undertaken to collect information required
conditions, silt content and defining what would constitute a for the design of excavations along the pipeline route and at three
differing physical condition. proposed shaft locations. The onshore investigation comprised
Additional provisions subsequently suggested as baseline test pits, cone penetrometer tests, piezocone penetration tests
conditions by the successful tenderer and accepted by the council with dissipation tests, dual tube push sample holes, dynamic
were limits on operating seas state conditions for dredging and cone penetrometer tests, laboratory testing, water level
pipelaying and volume fluctuation limits on the seabed monitoring and chemical analysis of water samples.
excavation and backfill to account for changes in seabed levels The subsurface investigations indicated that four distinct
since the pre-tender bathymetric survey was carried out. geological materials were present along the pipeline route. The
microtunnel pipeline was expected to lie within the zone defined
Disputes review board (DRB) as Unit 2. This unit was described as dense to very dense,
uniform fine beach and dune sands, with some thin medium
To enable disputes to be heard and resolved promptly without dense fine sand or silty sand lenses. Some shell layers were also
premature recourse to legal involvement and arbitration, a expected. Unit 2 had estimated permeability values ranging from
disputes review board (DRB) was set up on this contract. The 1 × 10-3 to 1 × 10-5 m/s.
three-person DRB meets every two months with the council,
contractor and engineer to be kept up-to-date on progress and be
informed of any issues that may be developing. The intent is that Hydraulic design
should a dispute situation arise which goes beyond the engineer, Unlike the dig and lay options where continuous pumping would
they will be in a position to quickly understand the issue, hear be required because the pipeline vertical alignment generally
the respective viewpoints and make a decision. The parties each followed the ground contours, the microtunnel pipeline is a
still have recourse to arbitration should they be dissatisfied with gravity pipeline, with a constant fall of 0.3 per cent. The
the outcome; however, the record of DRBs over a number of available head between the normal operating level of the pump
years indicates that subsequent arbitration has very rarely been station headpond and the outfall at mean sea level is 3.5 m.
required. The new pump station will only operate for about one hour per
The use of a DRB mitigates the risk to both parties of long, day at 5.5 m3/s to provide flushing flows and in times of high
drawn out and expensive litigation. rainfall events. The peak design flow of the system under
pumping is 6.0 m3/s. The maximum design working pressure is
Escrow bid documents (EBD) 290 kPa (internal pressure less external pressure) under transient
conditions.
The escrow bid documents (EBDs) comprise a copy of the
successful tenderer’s bid calculations and assumptions, which, The specified design life for the pipeline and pump station is
following award, are sealed by the tenderer and stored in a secure 100 years.
storage (escrow) such as a bank.
These documents may be opened by either party or the Pipeline design
engineer under strictly controlled access and confidentiality The design philosophy was to provide a concept design for the
conditions to facilitate resolving any dispute, generally relating microtunnel with a performance specification in the tender
to a difference of opinion over the basis of the tender. documents, allowing tenderers flexibility in terms of pipeline
materials and construction methodology.
Partnering The concept design identified the location of three microtunnel
The tender documents invited tenderers to offer partnering or a shafts: at the pump station interface, in South New Brighton Park
similar collaborative approach as a means of relationship and in the sand dunes.
building between the parties and as an intermediate mechanism Construction through the surf zone can be difficult and risky.
for resolving differences that may arise, on a best-for-project Option three comprising of extending the microtunnel through
basis. McConnell Dowell submitted a partnering proposal with this section was therefore included in the design on the basis that
their tender, which has been developed and successfully should a contractor adopt the microtunnel option for the first two
introduced into the project. drives, then it made good sense to utilise that equipment through
the surf zone rather than mobilising another type of operation
SITE INVESTIGATIONS AND PIPELINE DESIGN solely for that section. For Option 3, the design identified the
possible transition point to the marine section of pipeline beyond
Site investigations, hydraulic analysis and pipeline detailed
design were carried out by URS for both the dig and lay option the surf zone, which for the purposes of the design was located at
and the microtunnel option, which had different routes across the a point where the depth of water was 6 m at low tide. This
estuary and through South New Brighton Park. The following location was considered to be beyond the major influence of the
describes the microtunnel option only. surf in workable sea conditions, and gave tenderers the option of
constructing a shaft or planning on a wet recovery of the MTBM.
Geological setting and investigations The vertical alignment of the overall pipeline was governed by
the minimum depth of cover requirement at the diffusers and
The site is located within a marginal marine setting, with the minimum cover of the microtunnel pipeline beneath the deepest
project corridor crossing estuarine, dune, beach and shallow section of the estuary. Depth of cover through the majority of the

microtunnel section is about 8 - 9 m; however, a minimum cover The Drive 2 pipejacking along Jellicoe Street was completed
of two pipe diameters or about 4.2 m was chosen beneath the without incident, with the maximum settlement measured along
estuary to ensure that adequate face stability and alignment the pipeline centreline being only 5 mm. A maximum heave on
control of the MTBM could be maintained should soft sediments centreline of 4 mm was also recorded, which suggests that some of
be encountered. the apparent movement may have been due to survey accuracy.
Shaft concept designs were provided to tenderers for each Council intend to inspect the 150 mm sewer pipe above the
shaft, based on sheet piled shafts, but these were indicative only. microtunnel pipeline using a video device prior to final
Tenderers had the flexibility to move the shaft locations or use completion.
other techniques such as concrete caissons to construct the shafts.
For the microtunnel options the shafts were temporary structures
only, because it would be a gravity pipeline requiring no
CONSTRUCTION OF THE MICROTUNNEL
manholes or air relief valves. The shafts will be backfilled on SECTIONS
completion.
McConnell Dowell’s only change from the concept design of Staging areas and sequencing
the shafts was to shift the South New Brighton shaft by 10 m to
The 2308 m of tunnel was split into three drives: Drive 1 – 874 m
provide more laydown space, changing to a circular shaft to
from the pump station at Construction Management Area 1
better accommodate the pipeline change in direction and jacking
space for the two drives excavated from this shaft, and to shift (CMA1) to the park (CMA2); Drive 2 – 604 m from the park to
the dunes shaft onto the landward side of the dunes. The shafts the beach (CMA3) beneath Jellicoe Street and Drive 3 – 830 m
were 12 - 15 m deep with the circular shaft being 15 m diameter. from the beach through the surf zone and out to the connection
point offshore with the dredge and lay marine pipeline.
Rubber ring jointed reinforced concrete (RRJRC) jacking McConnell Dowell subsequently made the decision to stop
pipes were specified. Tenderers were invited to offer other pipe Drive 3 at 809 m after re-evaluating the stability of the dredged
materials as an alternative tender, but no alternatives were trench adjacent to the microtunnel/marine pipe interface.
offered. With jacking forces tending to govern the pipe structural
design, the contractor was responsible for the design of the pipe The drives were all straight, with a down gradient of
and jointing system within the following limits to satisfy the 0.3 per cent from the pump station. At the park shaft at CMA2,
hydraulic design: there is a 30 degree change in direction.
CMA2 was selected as the main site staging area, and this site
• pipe internal diameter: 1740 mm to 1800 mm (actual was used as the launch shaft for Drives 1 and 2, necessitating the
diameter 1800 mm), turning of the jacking rig. Drive 1 was from the park shaft
• maximum working pressure: 290 kPa, (CMA2) under the estuary to the pump station shaft (CMA1); the
• factory test pressure: 420 kPa (subsequently reduced to TBM was then reinstalled into CMA2 for Drive 2 under Jellicoe
370 kPa due to larger pipe size), and Street to the beach shaft (CMA3). The jacking equipment,
separation plant, etc was then moved to CMA3 in the sand dunes
• corrosion protection: 35 mm external cover for marine for the pipejacking of Drive 3 out to sea.
conditions.
Internal lining was not deemed necessary because of the high
quality of the treated wastewater and lack of potential for sulfide
attack.
Settlement monitoring
For Drive 1 beneath the estuary and Drive 3 out through the surf
zone, settlement was not an issue. However any excessive
settlement in Drive 2 along Jellicoe Street had the potential to
damage the existing sewer pipeline, water supply services,
residential property and be a hazard to public and traffic. The
cover along Jellicoe Street varied from about 9 - 11 m. The
existing 150 mm diameter concrete sewer is buried about 1.5 m
below the road surface directly above the microtunnel pipeline,
with laterals at each property.
Predicted settlement was a maximum of 25 mm along the pipe
centreline and 0 mm at the property boundaries, 10 m each side
of centreline.
Given the potential to damage the existing sewer or property,
the contractor was required to implement a settlement monitoring
program with readings taken prior to, during and after the MTBM
passes defined monitoring points along the street. An array of
survey points was installed at 10 m centres along the pipeline.
Settlement thresholds were set at 12 mm on centreline, 6 mm
at 5 m off centreline and 3 mm at 10 m off centreline, which if
exceeded, triggered an increase in monitoring frequency and a
corrective action plan. These thresholds levels were never
triggered.
The contractor was also required to carry out precondition
surveys of all structures along Drive 2, including residential
fences and buildings within 25 m of the pipe centreline. This was
extended in some instances at the request of some property
owners. FIG 3 - CMA2 shaft … standing 20 msheet piles.

Shaft construction Once the MTBM has been removed, a specially designed
mating piece will be installed by divers, to make the connection
The shafts were all constructed as sheet piled pits, with CMA1 between the RRJRC jacking pipes and the PE marine pipeline.
and CMA3 shafts being rectangular 6 m × 12 m shafts, while
CMA2 was a circular shaft, 15 m diameter. Sheet pile types
Micro-tunnel boring machine (MTBM)
AZ34 or AZ36 with a length of 24 m were used for the shafts.
The CMA1 shaft was constructed adjacent to a large sheeted pit As the geology comprises sand that would exhibit a running
excavated for the pump station construction (constructed by behaviour under the hydrostatic pressure, a closed face MTBM
others), where well points were used to dewater the excavation. was specified. A Herrenknecht AVND-1800-AB MTBM was
The shaft excavation therefore had to be dewatered and purchased by McConnell Dowell specifically for this project and
constructed in the dry to avoid any adverse effects on the adjacent delivered to site in March 2007. The AVND is a slurry MTBM
works. Two-stage vacuum well point dewatering was used to that incorporates the technology used on the Mixshield TBMs.
depress the water table sufficiently to place the reinforcement and The machine can be used in conventional slurry mode or if
concrete for the base slab in the conventional way. necessary it can be used in D-mode as described below. The
The CMA2 and CMA3 shafts were constructed partially ‘in the latter may be necessary for example in the case of gravelly
wet’. They were initially excavated in the dry using a sump pump geological conditions being encountered, an unstable tunnel face,
to lower the water table to about 8 m depth, and walers fitted mixed geological conditions or where shallow overburden
before being allowed to flood, with the remaining excavation increases the risk of blow out.
being carried out with a clamshell grab. Final excavation trimming In a conventional slurry MTBM the soil at the tunnel face is
was carried out by divers using airlift equipment, the divers then loosened by the cutting wheel that is rotating in a bentonite
coordinated the placement of prefabricated reinforcement cages suspension, which is constantly being delivered to the MTBM.
and tremie poured concrete for the base slab. The shaft was then The soil then mixes with the bentonite suspension and is
able to be pumped out with the minor leakage remaining being transported from the chamber and out of the tunnel to a
within the capacity of a small sump pump. separation plant where the excavated soil components are
The size of the CMA2 circular shaft required the installation removed from the suspension and the cleaned slurry is recycled
of 12 sand screw anchors in the base of the shaft to prevent uplift back to the MTBM. The cutterhead rotates in an excavation
of the base slab. These were later incorporated into the base slab chamber, which is separated by a pressure bulkhead from the
concrete. section of the shield under atmospheric pressure. The bentonite
slurry in the excavation chamber is maintained at a pressure
slightly above the hydrostatic pressure to support the face, by
adjustment of slurry flow rates and rate of pipe advancement.
This relies on the skill of the operator and is subject to a reaction
time delay in the slurry pipeline/pumping system in the event of
rapid change in conditions at the face.
In the D mode the support pressure in the excavation chamber
is not controlled directly by the suspension pressure but by a
compressible air cushion, as shown in Figure 5. Whereas the
front area of the tunnel face is completely filled with the
bentonite suspension, the suspension behind the submerged wall
is filled to around axis level and is kept at the exact target
pressure value by the compressed air cushion, which is precisely
controlled by a compressed-air control system. Irregularities in
the bentonite feeding circuit can thus be compensated
considerably more effectively.
The MTBM chosen for this project had a mixed face
cutterhead with ten soft ground picks and ten discs to be able to
cope with any unexpected rock or cobble formations. The
FIG 4 - CMA2 shaft … firstwaler being installed.
cutterhead was 2185 mm diameter, cutting a 37.5 mm oversize
annulus around the jacking pipe. The cutterhead was able to be
reversed and operated at about 4.5 rpm. The jacking pipe had an
Wet recovery of the microtunnel-boring machine 1800 mm ID and 2120 mm OD.
(MTBM)
Separation plant
Drive 3 was from the CMA3 shaft in the sand dunes to a point
some 650 m beyond the mean sea level shore line, a total drive The slurry MTBM utilised a closed circuit slurry circulation and
length of 809 m. At that point the water depth is approximately muck separation system located on the surface. It comprised a
6 m at low tide and the recovery point for the MTBM is beyond number of slurry tanks which were dosed with bentonite and
the surf zone. pumped to the MTBM cutterhead, providing face support and a
McConnell Dowell has chosen to recover the MTBM using a means of transporting excavated material to the surface for
‘wet’ recovery method rather than constructing a recovery shaft. removal. The slurry was transferred between the MTBM and
To achieve this, the MTBM has now been driven through to the separation plant through 150 mm diameter pipes and slurry
recovery point where cover to the seabed is about 3 m. Following pumps.
completion of all disestablishment, cleanup and pressure testing Slurry was fed from the TBM discharge line to the rear of a
of the concrete pipeline, which will be done with the MTBM still Milchem shaker, from where the liquid flowed over the shaker
in place, the dredge will then excavate around the MTBM and screens for a primary separation of coarse solids. The underflow
buoyancy tanks will be fitted. of slurry then flowed into the hopper tank below the Milchem
A wet recovery bulkhead door will be sealed at the back of the shaker.
MTBM, which, after the flooding of the pipeline, will then be From the hopper tank the slurry was transferred via 150 mm
jacked free of the pipe and floated to the surface for recovery. diameter pipework and pump to a desander, which comprised a

1. Submerged wall FIG 7 - Slurry separation plant.

2. Pressure wall
3. Slurry medium filling excavation chamber
4. Slurry medium pressure chamber Bentonite lubrication system and intermediate
jacking stations
5. Communicating pipe
6. Discharge line excavation chamber (discharge line I) As the three tunnel drives were relatively long at 874 m, 604 m
and 809 m respectively, the minimisation of jacking forces was
7. Discharge line pressure chamber (discharge line II) of paramount importance.
8. Feed line II (pressure chamber) In addition to a mixing/holding tank/pumping system for
9. Feed line I (excavation chamber) bentonite production and delivery, a PLC controlled automatic
10. Supply line compressed air injection control system regulated the cyclical injection of
lubricant into injection nozzles positioned along the pipeline.
11. Ventilating line excavation chamber During the jacking operation the bentonite fluid was injected into
12. Air cushion pressure chamber each nozzle for a fixed time, following which injection shifted to
13. Conical crusher with discharge openings the next nozzle in sequence. In this way the pipeline was
surrounded by lubricating fluid. Rate of injection was adjusted
FIG 5 - Slurry shield with compressed air support. relative to the advance rate such that the theoretical annulus was
filled.
FIG 6 - Microtunnel-boring machine (MTBM) being lowered

into position for Drive 1.
pair of 500 mm hydrocyclones, the overflow from which passed

into a bank of ten 125 mm hydrocyclones. The underflow slurry
from both sets of hydrocyclones flowed onto the vibrating
dewatering screen, where the separated solids were discharged to
bins in the front of the shaker for removal by truck.
Fluids and particles passing through the dewatering screen
then passed through a series of settling tanks and weirs, before
being drawn off by the tunnel feed pump for return to the
MTBM. A centrifuge was installed on the plant for silt extraction
when required. This drew slurry off of the desander clean side,
and discharged clean concentrate into the centrifuge tank. FIG 8 - Bentonite lubrication system.

As a contingency measure, intermediate jacking stations, There were some instances where larger fragments of timber had
comprising 14 hydraulic cylinders each capable of exerting a been chewed by the cutterhead, and the cutterhead also jammed
push force of 72 tonnes were installed at approximate 110 m on a number of occasions on what was believed to be larger
spacing; however, these did not need to be activated on Drives 1 driftwood type branches. As a result of the timber the cutterhead
or 2. had to be reversed at times to advance the machine and several
Intermediate jacking stations (IJS) were installed in each drive times the slurry flow also had to be reversed to clear the
every 115 m to provide the ability to jack separate sections of the cutterhead ports.
pipeline in the event that jacking loads became too high. These Once under the estuary, a higher silt content in the face was
did not need to be activated for Drives 1 and 2, but up to three of periodically encountered that slowed down the extraction of fines
the IJSs were activated in Drive 3. in the separation plant, which in turn resulted in a slowing of
MTBM penetration rate.
Drive 1 construction Tunnel invert level varied from 8.4 m below existing ground
level at CMA1 to 13.5 m at CMA3. The lowest point of cover
Drive 1, the 874 m push across the estuary, was commenced on was under the main channel of the estuary where cover was
23 May 2007 with the MTBM pushing through the tunnel eye in about 4.2 m. The water table was within one metre of ground
the CMA2 shaft. Over the first 200 to 300 m of drive some surface. During the first quarter of the drive, a number of
variable ground conditions were encountered that resulted in sinkholes appeared above the tunnel line. These appeared to be
difficult driving and variable progress. The variable ground attributable to the stop-start nature of this first section of drive
conditions encountered included shell formations, cobbles and where these variable conditions were encountered. While of little
timber. Most of the timber encountered came through the slurry consequence through this section, the potential for sinkholes in
system as finger-sized rounded fragments which, like the shells, Drive 2 through Jellicoe Street was of concern due to the
probably originated from the 6500 year old beach formation. presence of the existing sewer and for public safety. This is
discussed in the next section.
The maximum jacking force required on Drive 1 was
600 tonnes, which was after a 72 hour stoppage to reinforce a
damaged launch seal. Typical jacking loads for most of the drive
were 300 to 400 tonnes as shown on Figure 10, with the jacking
force increasing gradually with drive length, as would be
expected.
Figure 10 also shows the TBM penetration rate against drive
length, with the penetration rate tending to reduce slightly with
increasing drive length. Note that Figure 10 shows a moving
average of penetration rate and jacking force measured by the
TBM computer every 100 mm, rather than the instantaneous
readings.
Notwithstanding the variable conditions, the 874 m long drive
successfully holed through into the CMA1 shaft 3 September
2007, approximately 15 weeks after starting, at an average rate of
about 7.5 m per day. Delays to pipe deliveries affected the initial
progress; however, once these had been overcome and driving
conditions improved, a steady rate of about five pipes were
installed each day on two 12 hour shifts. On the best day, 12, 3 m
FIG 9 - Pipejacking Drive 1 from CMA2 shaft. pipes were installed in a 20 hour day.
FIG 10 - Drive 1 penetration rate and jacking force.

Drive 2 construction strict construction noise limits were imposed in the Resource
Consents. These limits included an Leq of 45 dBA and Lmax of
As a result of the sinkholes occurring in Drive 1, there was 75 dBA between 2000 and 0630 hours, with an Lmax of 85 dBA
considerable concern by the council over the potential for between 0730 and 1800 hours.
sinkholes along Drive 2 in Jellicoe Street and the effect these may
have on public and traffic safety, property and buried services, The sheetpiling was able to comply with the daytime noise
including the 150 mm existing sewer line above the pipeline. It limits at the CMA2 shaft, where the closest residences were
was decided that additional site investigations were necessary to about 150 m away. However, sheetpiling at the CMA3 shaft, a
determine whether variable conditions as encountered in Drive 1 distance of only 50 m from houses, was not able to comply with
would be present and an emergency contingency plan was the 85 dBA limit and additional community consultation was
prepared. required before this work could proceed.
The site investigations comprised additional cored holes, CPTs, The surface plant and equipment had to undergo modifications
sampling and grading. One hole near the start of the drive to comply with the night-time noise limits at CMA2, where
indicated relatively high silt content, but apart from that, the residents were 150 m away. The separation plant and the gantry
investigations showed a more uniform sand profile than crane were the main items of equipment requiring modifications,
encountered in Drive 1, with only minor traces of shells and which were successful in reducing the noise levels below the
timber. limits. Reversing alarms on mobile plant had to be replaced with
McConnell Dowell chose not to use the D-Mode feature on the flashing lights for night-time work.
MTBM for Drive 1. While it was not clear whether this would For Drive 3 the nearest residences were only 50 m from the
have improved the face stability and prevented the sinkholes, the operation and several houses were double storey buildings. Noise
decision was taken to use D-Mode on Drive 2. attenuation measures required to achieve the night-time limits
The 604 m long Drive 2 commenced on 11 October 2007 and included a 4 m high sand bund around the worksite and extensive
was successfully completed on 28 November 2007, a duration of soundproof cladding of the separation plant. Some activities
about seven weeks and an average rate of 12.5 m per day. were restricted to day-time hours such as pipe deliveries and
Jacking loads increased from around 80 tonnes to 200 tonnes at spoil removal to minimise night-time activity on site. These
completion, well within the 850 tonne capacity of the main measures were successful in attenuating noise levels to 42 dBA
jacking station. IJSs were installed but not activated. and no complaints were received.
Penetration rates reduced from typically about 60 mm/min to 40
mm/min over the length of the drive. These were slightly lower CONCLUSIONS
than rates achieved in Drive 1.
Importantly, the drive was completed without sinkholes or any The Christchurch City Council Ocean Outfall Project went
other incident and settlement monitoring was well within the through a lengthy planning and consent process which
design parameters. commenced in 1996, but following resolution of all issues, the
project moved forward into tendering and construction in late
2006.
Drive 3 construction
An interactive tender process was successfully used to provide
Drive 3 construction commenced from the dunes shaft at CMA3 constructability feedback into the final design and documentation
on 3 January 2008, after the separation plant and other facilities and to efficiently transfer knowledge to the tenderers that they
were relocated from CMA2. The original drive length was to be would not normally have been provided with.
830 m; however, as the marine trench dredging had commenced,
McConnell Dowell made the decision to stop the drive some During the initial project planning, dig and lay was considered
22 m short or at 808 m to ensure that the MTBM and the leading the most likely option for constructing the pipeline, with
pipes remained in stable ground. microtunnelling expected to be too expensive. However, in
tendering this project microtunnelling techniques were
The drive was completed on 4 February 2008, an average rate of deliberately tested against dig and lay techniques in a
25 m per day, on two 12 hour shifts, seven days a week. The best
competitive tender situation, to allow the construction industry to
day was 45 m. Ground conditions were excellent, with very little
decide the best solution. In this situation, where the dig and lay
silty material being encountered and the penetration rates
reflected this. alternative would have required continuous sheetpiling and
dewatering of the pipe trench through the estuary, along a
Average penetration rates increased from about 70 mm/min to a residential street and out through the surf zone, the microtunnel
maximum rate of 120 mm/min at 700 m. The penetration rate option came through as the most economical, by a small margin,
then reduced and the jacking loads increased significantly. as well as being the option with the least environmental and
The jacking loads increased to over 600 tonnes at about 700 m, community impact. This project was the first time
prompting the activation of up to three of the IJSs. A gelling microtunnelling has been used on this scale and over this length
agent was used in the bentonite to counter the flocculating effect of drive in New Zealand.
of saltwater but the injection rate of the bentonite along the
pipeline was not increased with the increasing penetration rate. Once into construction the microtunnel operation presented the
The higher jacking loads were therefore attributed to reduced contractor with a number of difficult challenges, including:
lubrication along the pipeline. variable ground conditions, a drive beneath an estuary with
minimum cover, noise effects on the community, managing risk
D-Mode was not used in Drive 3 because ground conditions were
along Jellicoe Street and the final drive beneath the surf zone to
expected to be uniform, cover was high and there were no
the wet recovery of the MTBM.
consequences of sinkholes or settlement.
The drive was successfully completed; however, the MTBM will The three drives were all successfully completed without any
remain in position until pipeline pressure testing has taken place significant incident. The longest drive, the 874 m long Drive 1,
and the marine connection to the PE pipeline is ready to proceed, and the 604 m Drive 2 were driven without the use of IJSs. Three
programmed for April - May 2008. IJSs were activated in the 809 m long Drive 3 as jacking loads
increased to over 600 tonnes, but this was attributed to
insufficient bentonite lubrication being injected to compensate
Effect of noise on the community for the increased production rate.
With the microtunnelling being a 24 hour/seven days per week The project has demonstrated that pipejacking of drives of this
operation, and noise being a sensitive issue with the community, length is well within the limits of current technology.

This project has also confirmed the many benefits of choosing ACKNOWLEDGEMENTS
the microtunnel option over conventional dig and lay
construction as well as clearly demonstrating that in a situation The authors wish to thank the Christchurch City Council for
such as this, it is a cost competitive solution. permission to present this paper. We also wish to thank
Herrenknecht for permission to reproduce the diagrams
presented as Figures 5 and 8.

Design and Construction of Tunnels for Northern Gateway
Project, New Zealand
D Sykes1, B D Hegan2, M Behrens3 and A McPhee4
ABSTRACT The tunnel is fitted with a compartmentalised deluge system for fire
fighting purposes. The tunnel control centre is incorporated into the
This paper describes the design and construction of twin 400 m long road control centre for Auckland Harbour Bridge, some 30 km from the tunnel
tunnels as part of the Northern Motorway Extension Project in Auckland, location.
New Zealand. Construction of the tunnel civil works is now completed
and installation of mechanical and electrical systems is well underway.
The tunnels are expected to be open for traffic at the end of 2008. INTRODUCTION
The paper will address the design aspects of the project including:
tunnel alignment and cross-section, geotechnical conditions and rock
The Johnstone’s Hill tunnels are part of the NZ$360 million,
support, waterproofing and concrete lining and fire and life safety. The 7.5 km extension to the Northern Motorway currently being
paper will cover the bored tunnel section, the cut-and-cover tunnel constructed approximately 34 km to the north of Auckland, New
section, cross passages and portal structures. The design brief included a Zealand. The project is being constructed by the Northern
requirement for the tunnels to be a gateway to Auckland and this required Gateway Alliance which is an alliance of Transit New Zealand,
particular attention to be given to the visual appearance of the finished Fulton Hogan, Leighton Contractors, URS New Zealand, Tonkin
tunnel structure. The final arrangement of the portal structures and a and Taylor and Boffa Miskell. Suballiance partners include VSL
requirement for recesses in the concrete lining for emergency cabinets,
and United Group. The project is being constructed as a toll road
deluge pipework and cable runs, reflects these requirements.
under the Land Transport Management Act 2003 since it is not
The tunnels were excavated by a roadheader and road planer using a
heading and bench. Initial support was provided by a combination of
considered a national priority for public funding under current
lattice girders, cement grouted rock bolts and steel fibre reinforced National Land Transport Fund criteria. Construction of the
shotcrete. The permanent lining consisted of installation of a drainage project commenced in October 2004, and the new motorway
geotextile and waterproof membrane, followed by cast in situ extension is expected to be open for traffic in early 2009.
unreinforced concrete. Each portal consists of a cut-and-cover section. The Northern Motorway extension crosses four significant
This paper describes the tunnel construction methods, including the east-west ridgelines and valleys, with the most northerly of these,
particular requirements for safety, the environment and community locally known as Johnstone’s Hill, being the largest. To avoid a
relations.
large surface excavation and cutting, the Alliance decided to
construct the Motorway in twin 400 m long tunnels beneath the
1. Tunnel Design Manager, URS New Zealand Limited, Level 6, URS ridgeline. This allowed a significant strip of native vegetation to
Centre, 13 - 15 College Hill, Ponsonby Auckland, New Zealand. be preserved across the Northland isthmus. Halcrow were
Email: dean_sykes@urscorp.com engaged as subconsultants to the Alliance to provide assistance
with the design of the tunnels. The location of the tunnels is
2. MAusIMM, Project Geologist, Tonkin and Taylor Ltd, 105 Carlton
shown in Figure 1.
Gore Road, Newmarket Auckland, New Zealand.
Email: bhegan@tonkin.co.nz The twin tunnels were excavated by roadheader in weak to
medium strength sedimentary rocks with a maximum ground
3. Tunnel Design Engineer, Halcrow Pacific Pty Ltd, Level 1, 542 cover of 50 m, and provided with an initial support of lattice
Station Street, Box Hill Vic 3128. Email: behrensmp@halcrow.com girders, rock bolts and shotcrete. The permanent lining consists
4. Senior Tunnel Engineer, Leighton Contractors Pty Ltd, 31 Settlers of a drainage fleece, waterproof membrane and cast in situ
Grove, Orewa Auckland, New Zealand. unreinforced concrete. A cut-and-cover section of reinforced
Email: Alistair.McPhee@northerngateway.co.nz concrete was constructed at each of the four portals.
FIG 1 - Northern motorway extension project.

D SYKES et al
The project brief included an objective for the tunnels to be a The length of the northbound tunnel is 385.5 m, consisting of
gateway to Auckland. This objective was achieved during design 302.5 m of bored tunnel and 83 m of cut-and-cover tunnel. The
and construction by giving particular attention to the visual length of the southbound tunnel is 380 m, consisting of 314 m of
impact of the finished tunnel structure. Some of the features of bored tunnel and 66 m of cut-and-cover tunnel.
the finished tunnels are cut-and-cover sections at each portal to
allow the natural ground topography around the tunnel portals to TUNNEL CROSS-SECTION
be reinstated, sloping portal structures with a ring beam, using
the tunnel formwork to cast the cut-and-cover structures, Careful consideration has been given to ensure that sufficient
space is available within the two lane tunnel cross-section to
including a rebate on the construction joint between arch pours,
accommodate the traffic and walkway envelopes, the ventilation
recesses in the concrete lining for emergency cabinets, cross fans and other tunnel services, whilst at the same time
passage entrances with all pipework and cable ducts concealed, minimising the excavation volume. Where necessary, an
and painting of the concrete lining. independent traffic auditor, and the Scope and Standards Review
Committee, have been involved in this process. The shape of the
TUNNEL ALIGNMENT excavation has also been taken into account in this process in
order to develop a stable tunnel profile that allows the temporary
The carriageways in the tunnels are designed in accordance with support and permanent lining thickness to be minimised. The key
the Transit New Zealand State Highway Geometric Design requirements are as follows:
Manual (draft), December 2000, for a design speed of 100 km/h
(min) for both horizontal and vertical alignment. The alignment
• Two traffic lanes of 3.5 m width, a nearside shoulder of 2.5 m
width and a offside (median) shoulder of 0.5 m width are
design incorporated the requirement for both the northbound and
provided in each tunnel. This arrangement means that the
southbound tunnels to ultimately carry two traffic lanes when the
lane configuration in the tunnel is consistent with the lane
motorway is extended further to the north at some future stage. configuration elsewhere on the motorway.
In the interim, however, the northbound tunnel will carry only
one lane to facilitate the reduction from dual carriageway to the • The pavement width is such that future conversion to three
single carriageway highway just beyond the north tunnel portal. lanes of 3.1 m width can be undertaken.
The horizontal radii of the tunnel bores are 1200 m for the • An oversize vehicle traffic envelope of 10 m wide by 6 m high.
southbound tunnel and 1400 m for the northbound tunnel • A sway of 200 mm and a tarp flap allowance of 250 mm has
measured on the median edge of the carriageway. The radii differ been applied to a vehicle of 4250 mm height to determine the
to allow a taper between carriageways to develop off the location of the traffic barriers, so that vehicles parked against
Waiwera viaduct on the southern approach. The taper is required the barrier do not strike the tunnel wall.
to achieve a suitable width of rock pillar between the tunnels.
The vertical alignment through the tunnel has a crest K-value • Allowance is made for a pavement crossfall of three per cent.
of 80, which corresponds with a stopping sight distance of 186 m • The pedestrian envelope above the walkway is 1.0 m wide by
measured to an object height of 200 mm. The crest of the curve 2.3 m high. The pedestrian envelope is permitted to encroach
is in the middle of the tunnel. The longitudinal gradient of the within the oversize vehicle traffic, but does not encroach
tangents at both ends of the tunnel is 3.0 per cent. within the shoulder.
FIG 2 - Northbound tunnel cross-section.

DESIGN AND CONSTRUCTION OF TUNNELS FOR NORTHERN GATEWAY PROJECT, NEW ZEALAND
• A mountable kerb is provided to raise the walkways 58 mm

above the carriageway surface.
• A concrete barrier is provided at walkway level against the
concrete lining on both sides of the tunnel.
• The traffic barriers are modified at the cross passage
openings to provide a level of protection for vehicles striking
the barrier at this location.
• Ventilation fans, lighting, signage, deluge pipework and
control and monitoring equipment are located within the
tunnel cross-section in the space outside the traffic envelope.
• Electrical power supply conduits, communications conduits,
pavement and groundwater drainage, fire main hydrant and
deluge supply main are located beneath the road pavement
and walkway.
• Emergency service cabinets are located every 60 m FIG 3 - North portal viewed looking south showing trace of major
(maximum) (less at portals) in niches in the tunnel lining on fault (southbound tunnel) and location of bedding plane shear
the 2.5 m wide shoulder side of the tunnel. (northbound tunnel).
The arrangement for the Northbound Tunnel is shown in
Figure 2. For the purpose of selecting temporary tunnel support the rock
mass was subdivided into three rock mass classes based on
TUNNEL GEOTECHNICAL CONDITIONS AND lithology and defect spacing. These are described in Table 1. The
SUPPORT temporary tunnel support was modified from the original rock
mass classification to include a new class four for the tunnel
The Johnstone’s Hill tunnels pass through a narrow steep-sided portals and faulted ground. The anticipated distribution of the rock
ridge separating the Waiwera and Puhoi valleys. The ridge is mass class along the tunnel long section is shown in Figure 4.
underlain by complexly folded and faulted, moderately strong to
strong volcaniclastic sediments of the Tertiary age Pakiri The actual distribution of rock class for each tunnel is
Formation. The main lithologies encountered consisted of summarised in Table 2.
unweathered, weak to moderately strong, fine to medium muddy
sandstone with variable volcaniclastic content; weak to moderately TABLE 1
strong siltstone and mudstone and more rarely, beds of strong Johnstone’s hill tunnel – rock mass class.
andesitic conglomerate and coarse volcaniclastic sandstone.
The rock mass density ranged between 2.06 t/m3 and 2.47 t/m3 Rock mass class Description
with a water content ranging between five per cent and 20 per
Class 1 Dominant sandstone beds typically 0.5 to 5 m
cent. Unconfined compressive (uniaxial) strength measured on thick, qu 5 to 25 MPa, RQD 90 to 100 per cent, thin
recovered drill core had an average strength of 16.5 MPa ± siltstone interbeds to 0.1 m thick. Bedding plane
5 MPa. The elastic modulus was also measured during the partings present with two joint sets orthogonal to
uniaxial compressive strength testing, giving a modulus ratio of bedding and one random.
1:200 for the intact rock core.
Class 2 Thinly interbedded sandstone/siltstone, beds
The rock mass was broken by a number of defects of which typically 0.1 to 0.5 m thick with some up to 1 m
bedding plane partings were the most continuous and well thick. Rock strengths as for Class 1. RQD 60 to
developed. Bedding plane shear surfaces due to bed over bed 90 per cent. Bedding plane partings present with
movement during tectonic deformation were common. Other two joint sets orthogonal to bedding and one
defect sets (joints, shear and crush zones) were common within random.
the rock mass, typically orthogonal to the local bedding attitude. Class 3 Thinly interbedded sandstone/siltstone as for
Several major faults were encountered. The most significant was Class 2 with closely spaced defects due to tectonic
a fault running subparallel to tunnel advance at the northern end disturbance. These defects may be rehealed. RQD
of the southbound tunnel. This fault also formed the side release 20 to 60 per cent. Shear and crush zones may be
for a bedding controlled relic landslide over the north portal of present.
the northbound tunnel. The location of these geological structures Class 4 Fault zones and portals.
is shown in Figure 3.
FIG 4 - Interpretative geological section and anticipated rock mass classification.

D SYKES et al
TABLE 2 basal shear surface were also installed above the portal and
inclined bored drains were installed from within the southbound
Johnstone•s Hill tunnel … actual distribution of rock mass class.
tunnel. The portal area was monitored by survey and
Rock mass class Northbound tunnel Southbound tunnel inclinometers during the construction period.
(m) (m)
1 206 160 South portal
2 24 57 The south portal for the tunnels presented a challenge for
3 2 32 construction as access to the portal area was limited to small
4 70 65 machines due to the environmental value of the native bush in the
area adjacent to and above the portals. As a consequence the
removal of spoil from the portal excavation was through the
Groundwater inflow into the tunnels during excavation was completed top heading of the southbound tunnel via a small adit
limited to seeps from bedding plane partings and overhead down to the main tunnel.
dripping from fault zones. Dewatering holes were drilled at both
portals to locally improve stability by draining groundwater The geology at the south portal also presented stability issues
trapped between bedding plane shear zones and steeply inclined with a fault zone located above the portals dipping back in to the
faults. slope, and bedding down slope from the fault dipping out of the
For the design of the tunnel support systems, each of the four slope at 22°. Localised slope failure involving weathered
rock classes was assessed in accordance with the rock mass materials sliding on softened bedding plane surfaces had
rating (RMR) classification system as described by Bieniawski occurred during construction of the abutment of the adjacent
(1989; described by Hoek, Kaiser and Bawden, 1997). The Waiwera Bridge. These factors, which only became obvious
support design for each of the rock classes was designed using during portal and bridge abutment excavation, led to the redesign
the geological strength index (GSI) approach developed by Hoek of the portal. This involved laying the slope above the portal
and Marinos (2000, 2002). The support design for rock classes back at 2H to 1V and buttressing the toe of the slope with a
one, two and three comprised combinations 4 m long rock bolts cut-and-cover section outside of the excavated tunnel section, as
and steel fibre reinforced shotcrete. For rock class four in the shown on Figure 5, as an alternative to the original 1H to 1V
fault zone in the southbound tunnel, lattice girders with spiling slope with tensioned ground anchors.
were adopted. For each of the support classes requirements for
excavation advance and sequence were specified. As the
excavation advanced the rock mass was assessed by a suitably
qualified engineering geologist in accordance with the RMR
classification system, and to identify any potential for large
wedges to develop that may require 6 m long rock bolts to be
installed. The RMR value determined was the basis for selection
of rock support to be installed at each location in the tunnel.
Significant displacement of the rock mass around the tunnel
was not expected, as the design required rock support to be
installed close to the tunnel faces as they advanced, controlling
such displacements as may occur. This was confirmed by the
systematic monitoring of the tunnel excavation profile by
convergence measurements using precision survey methods and
multiple-point extensometers to check separation across bedding
plane and other rock mass defects during excavation.
PORTAL GEOTECHNICAL CONDITIONS FIG 5 - South portal.

AND SUPPORT
FINAL LINING DESIGN
North portal
At the northern end of the northbound tunnel the Pakiri Bored tunnel
Formation sediments dip at a low angle out of the slope and a
relic bedding plane translational landslide was indentified during The bored tunnel sections are provided with a 325 mm thick
site investigations. The landslide had been buttressed by the unreinforced permanent concrete lining. The concrete has a
construction of an overtaking lane for the main north to south design compressive strength of 40 MPa and contains 1 kg/m3 of
highway, State Highway 1 (SH1), some time in the past. polypropylene fibres for fire resistance.
However the close proximity of SH1 above the tunnel portal, as The tunnels were designed as drained structures. A
shown in Figure 3, was of concern as excavation for the tunnel circumferential drainage layer on the extrados of the lining
portal would remove most of the fill embankment, which was diverts the groundwater to the tunnel invert to be collected by
providing toe support. In the longer term the decision was taken groundwater drainage piping, which in turn discharges into the
to replace this toe support by constructing a cut-and-cover tunnel drainage systems. A waterproof membrane is installed
section of the tunnel outside of the temporary portals. around the full perimeter of the tunnel (above pavement level for
However, during tunnel excavation slope stability analyses the whole tunnel length) prior to placement of the concrete
indicated that the removal of the toe support would require lining, to ensure that groundwater seepage into the completed
strengthening across the landslide basal shear plane to maintain tunnels is not visible, and that there are no water drops onto the
the existing level of stability. This was achieved by the road pavement surface.
installation of shear piles along the western lateral margin of the The concrete arch lining was designed to be cast in situ in
portal excavation and rock anchors between and over the top of 12 m long sections. Hydrophilic water barriers and/or rearguard
the northbound portal. Inclined bored drains parallel with the waterstops were installed in longitudinal joints between the arch

lining and the footing to prevent any seepage that does penetrate Concrete properties match those used on the bored tunnel
the sheet membrane from reaching the intrados of the concrete with a design compressive strength of 40 MPa and 1 kg/m3 of
lining. Contact grouting was carried out at the completion of polypropylene fibres added for additional fire resistance where
concrete lining to fill any remaining void in the tunnel crown. the consequences of failure were greater than for the bored
The tunnel arch lining was analysed using Strand7 finite tunnel. This is particularly the case for the north portal, where a
element software by conventional beam-spring modelling. With tunnel fire that leads to collapse of the cut-and-cover structure
this type of model the tunnel lining is considered to be a series of may result in failure of the portal slope, resulting in closure of
short beams, approximately 1.0 m long, connected by nodes. At both the tunnel and the alternative surface route, SH1, which is
supported on the slope above the tunnel.
these nodes, radial springs are attached to simulate the stiffness
between the lining and the rock. The radial springs are activated Similar drainage detailing as for the bored tunnel was adopted
only when in compression (that is when movement of the lining for the cut-and-cover tunnels to ensure a serviceable structure
is radially outwards towards the rock). and to enhance long-term durability. The full perimeter of the
extrados is protected with waterproof membrane and a gravel
A full slip condition was assumed to exist between the tunnel drainage layer is provided below the backfill over the crown
lining and the rock due to the presence of the waterproof section of the structures.
membrane. In addition, a gap was included in the model between
The cut-and-cover tunnel arch lining was analysed using
the tunnel lining and the rock to allow for the compressibility of
Strand7 finite element software by conventional beam-spring (for
the membrane. The magnitude of this gap is 2 mm. The radial
initial 2D models) and plate-spring modelling (for 3D analyses).
springs are activated after an initial unrestrained 2 mm
As with the bored tunnel lining, the radial springs were used to
movement of the lining occurs. simulate the stiffness between the lining and the rock walls. A
A durability assessment was undertaken for the tunnel lining. full slip condition was assumed to exist between the tunnel lining
The tunnels were constructed below the original groundwater and the rock walls due to the presence of the waterproof
table; however, drainage measures included in the design are membrane.
expected to permanently depress the water table to the level of Due to the seismic event potential, the cut-and-cover tunnel
the tunnel invert drainage system. Groundwater and soil design relied on the lateral restraint provided by the near-
chemistry tests were reviewed with respect to the likelihood of vertically cut rock side walls. Various combinations of
chemical attack on the concrete in this environment. It was earthquake mobilised backfill soil pressures were considered
determined that no specific protective measures were required both for the final as-built structure with full slope reinstatement
beyond those specified in NZS 3101, The Design of Concrete and during the backfilling construction stages. In addition,
Structures, for structures with a 100 year design life. the equipment and methodology of backfilling and slope
While the tunnel arch lining was generally unreinforced, at the reinstatement was considered in detail and resulted in the
junctions with the cross passages complex detailing of requirement to backfill the lower zones of the curved arch above
reinforcement was required to accommodate the shape of the the natural rock surface with mass concrete to optimise the
cross passage door opening and recesses for the deluge pipes. structural design.
This is shown in Figure 6. The north portal northbound cut-and-cover tunnel presented a
challenge due to the bedding plane shear zone evident on the
north-western corner of the structure and the adjacent relic
landslide. Due to these features, and the abbreviated extent of
western side wall rock, a full 3D analysis of this structure was
completed. This enabled the volume of mass concrete backfill
required for overall structure stability on the western side to be
minimised.
Detailing of the reinforced structures for durability was
completed based on NZS 3101 for 100 year design life and
consideration was given to both its proximity to the tidal
estuaries and ocean and the groundwater and soil chemistry, as
well as the likely effects of vehicle emission pollutants.
At two of the portals, where the excavated rock side wall
height exceeded the crown of the final structure, an unreinforced
concrete arch structure was designed for short sections of the
cut-and-cover tunnels. The top of the structure is near-level and
has a minimum crown thickness of 500 mm at tunnel centreline
and is designed as a three-pinned arch relying on the restraint
provided by the vertically cut rock side walls for lateral stability.
The advantage of this design was that it required no external
FIG 6 - Cross passage junction with main tunnel. formwork, no reinforcement placement and could be easily
constructed as the first concrete pour beyond the bored tunnel
Cut-and-cover tunnel portals. The seismic behaviour is very similar to the bored tunnel
lining and the same backfill sequences as per the reinforced
The cut-and-cover tunnel sections are provided with a 400 mm cut-and-cover tunnel were adopted. The longitudinal extent of
thick (minimum) reinforced permanent concrete lining and a these structures was governed by the backfill cover and they
500 mm thick by 2.5 m deep reinforced ring beam at the exposed were connected longitudinally to the reinforced cut-and-cover
surface, the latter chosen for aesthetic reasons. The geometry of structures via the reinforced footing block used as a kicker for
the portal structures was dictated by the stability of the the tunnel lining travelling formwork.
permanent portal slope and the space available. The final design
adopted a reinstated slope of 2H to 1V with the face of each Seismic design
portal structure staggered and skewed to match the hillside and
road alignment geometry. This resulted in four unique ring beam New Zealand is a seismically active area, and NZS 3101, The
shapes and some formwork challenges. The cut-and-cover tunnel Design of Concrete Structures and the Transit New Zealand
lining internal geometry is identical to the bored tunnel lining. Bridge Manual Section 5 (2004) require that seismic loads be

D SYKES et al
accounted for in the tunnel lining design. While these documents In this regard the design of the unreinforced concrete tunnel
defined the design requirements for reinforced concrete, there is structure satisfies the acceptance criteria defined in Section 5 of
little or no guidance on seismic design for unreinforced concrete the Transit New Zealand Bridge Manual.
structures. A study was undertaken early in the design phase to
determine whether or not an unreinforced concrete lining would FIRE AND LIFE SAFETY
be capable of resisting the seismic loads.
The Transit New Zealand Bridge Manual, Section 5, defines For short tunnels (less than 500 m long), international
the seismic design philosophy that can be adopted for the tunnel standards such as the World Road Association (PIARC) (1999),
lining design (paraphrased below): Australasian Fire Authorities Council (AFAC) (2001) and
National Fire Protection Association (NFPA) (2001) provide
The primary objective of seismic design shall be conflicting advice on the requirements for cross passages.
to ensure that the tunnel can safely perform its Consequently, for the Johnstone’s Hill twin road tunnels, a
function of maintaining communications after a project specific fire and life safety study was undertaken to
seismic event. The extent to which this is possible determine the number and spacing of cross passages that needed
will depend on the severity of the event, and thus to be provided. The key objective of the tunnel fire and life safety
by implication on its return period. For design study was to assess whether one or two cross passages would be
purposes, tunnels shall be categorised according required in order to ensure that the evacuation time of the fire
to their importance, and assigned a risk factor tube is within the duration of a tenable tunnel environment.
related to the seismic return period. This will The fire loads adopted for the study were a 50 mW design fire
then result in an equivalent design earthquake event without a deluge system and a 20 mW design fire event with
hazard and consequent loading. The performance a compartmentalised deluge system being activated at the fire site.
of the tunnel structure is assessed against the
following criteria: Fire produces low visibility, thermal radiation, high
temperatures (convective heat), high concentration of CO and
(a) After the design return period event, the other lethal toxic products and/or corrosive gases, all of which
tunnel shall be usable by emergency traffic, can be potentially harmful to people. The study considered four
although damage may have occurred, and key tenability parameters – visibility, heat flux, temperature and
some temporary repairs may be required. CO concentration. The criteria (limiting values) for the tenability
Permanent repair to reinstate the design parameters were derived from recognised international
capacities for both static and seismic loading guidelines as identified in Table 3.
should be feasible.
(b) After an event with a return period TABLE 3
significantly less than the design value, Tenability parameters and limiting criteria.
damage should be minor, and there should be
no disruption to traffic. Parameter Limiting value Location Reference
(c) After an event with a return period Visibility 7 m/0.14 m-1 Measured at PIARC
significantly greater than the design value, (smoke 10 m/0.1 m-1 1.5 m above NFPA 502
the tunnel should not collapse, although obscuration) floor level
damage may be extensive. It should be Heat flux 2.5 kW/m2 Measured at PIARC
usable by emergency traffic after temporary (radiant heat) 1.58 kW/m2 for 6 min 2.0 m above NFPA 502
repairs and should be capable of permanent 0.95 kW/m2 for >6 min floor level
repair, although a lower level of loading may Temperature 80°C for 15 min Measured at PIARC
be acceptable. (convective 60°C 1.5 m above NFPA 502
heat) floor level
The design philosophy states that if the behaviour of a
structure at the design intensity meets the criteria of (a), it is CO N/A Measured at PIARC
expected that with appropriate detailing, behaviour at other concentration 800 ppm for 15 min 1.5 m above NFPA 502
floor level
intensities as in (b) and (c) will also be satisfactory.
The assessment of the performance of a tunnel structure
against these criteria is subjective, as it requires an appreciation Where more than one value is given in the table, the
of the cost and time implications of acceptable levels of damage worst-case value was used to assess tunnel tenability.
and the feasibility of repair. Computational fire modelling was used to assess the minimum
A seismic assessment of the project area established that the time before an untenable condition was established (or
design peak ground acceleration shall be taken as 0.22 g, and the equivalently the maximum time that the environment remained
design moment magnitude shall be taken as 6.5. Using the tenable). In particular the modelling allowed the analysis of:
methods described by Hashash et al (2001) the effects of both • the development of heat and smoke from an ultra-fast fire
ovaling deformation and longitudinal strain induced in the tunnel growth rate fire from ignition to fully developed fire (50 mW
structure by a seismic event were assessed. The resultant bending and 20 mW peak heat release rate respectively),
moments and strains derived from this assessment were applied
to the tunnel structure to determine whether any reinforcement • the tenable environment under the smoke layer in the
absence of mechanical ventilation, and
was required.
The analysis of seismic loads indicated that during a seismic • the effect of forced ventilation on the tenability parameters
event longitudinal cracks may appear in both tunnel sidewalls and to determine if control of the smoke back-layering effect
approximately 4 m above the pavement level. Although these is achieved.
cracks will have a visual impact, cracking of this type will not The tunnel fire modelling was implemented using the
lead to collapse of the tunnel structure and would require a computational fluid dynamics (CFD) model called the Fire
superficial repair to restore the appearance of the structure. The Dynamic Simulator (FDS). Developed by the Building Fire
study concluded that, given the likelihood of occurrence, this Research Laboratory at the National Institute of Standards and
type of localised damage is acceptable and able to be repaired. Technology (NIST), FDS (Version 4) is a sophisticated CFD

model for low-speed, thermally driven flow with an emphasis on milling machine W2000, and the side walls trimmed to final
combustion, smoke and heat transportation from fires as profile with the roadheader. A substation with an 11 kV supply
described by Karatzas (2003). FDS uses a technique known as was established at the north portal to supply the main items of
large eddy simulation (LES) to solve the fundamental construction equipment.
conservation (Navier-Stokes) equations, allowing the simulation Initial ground support was provided by a combination of lattice
of the transient behaviour of the fire flow. The primary advantage girders, cement grouted rock bolts and steel fibre reinforced
over other CFD codes is the ability to resolve the large eddy shotcrete. The rock bolting system was developed to allow the
structures that govern the mixing in buoyant fire flows. remote installation of R32 self-drilling anchors, so that there was
An egress analysis based on a hydraulic model of emergency no requirement for personnel to work below unsupported ground.
egress provided the total tunnel evacuation time. For northbound For this purpose, an Atlas Copco 352 Rocket Boomer was fitted
traffic, the motorway reduces from two lanes to one on the tunnel with a Boltec head, bolt carousal and Mia grout pump to allow
approaches and continues as one lane to the end of the motorway installation of 4 m, 6 m and 8 m long anchors (Figure 7). A
at the Waiwera interchange, around 500 m beyond the northern pozzolith additive was used to accelerate the curing time of the
portal. At this point the northbound and southbound lanes come rock bolt grout. The design required that the rock bolt grout
together and merge with the existing State Highway 1. Because achieve a 9 MPa compressive strength in order to mobilise the
of the merging of the motorway and SH1, it is likely that during desired capacity of the rock bolts. This dictated the rate of
peak holiday times, traffic heading north will back up from the excavation advance, and with five per cent pozzolith added to
junction through the tunnel. For southbound traffic, there are two rapid hardening cement the required strength was achieved in
lanes from the start of the motorway. It is expected that even at three to four hours instead of ten to 12 hours without acceleration.
the very busiest times, southbound traffic should move relatively Shotcreting was undertaken during this period using a Sika – PM
fluidly under normal non-accident conditions. 500 Putzmeister shotcrete machine.
The worst-case credible traffic scenario is therefore a
congested flow in the northbound lanes through the tunnel,
where mechanical ventilation will not be used in the evacuation
stage. For the two cross passage arrangement, three fire events
were considered:
• Fire event occurs outside the downstream cross passage
(approximately 100 m from the downstream portal). Traffic
upstream of the fire is built up to the entry portal and traffic
downstream of the fire is built up to the exit portal. The
ventilation system is not used. Egress is through both cross
passages.
• Fire event occurs outside the downstream cross passage
(approximately 100 m from the downstream portal). Traffic
upstream of the fire is built up to the entry portal while traffic
downstream of the fire exits safely. Two fans nearest the
downstream portal are destroyed. Egress is through both
cross passages.
• Fire event occurs at the downstream traffic exit portal. Traffic
upstream of the fire is built up to the entry portal. Two fans FIG 7 - Modified Atlas Copco 352 rocket boomer.
nearest the downstream portal are destroyed. Egress is
through both cross passages. The tunnel excavations were inspected daily by the project
The tunnel fire and life safety analysis demonstrated that to geologist who, with the tunnel superintendent, would agree the
achieve the objective that the fire tube evacuation time needs to ground support classification. The rules for excavation advance
be within the duration of a tenable tunnel environment two cross and sequence for each ground support class were defined by the
passages spaced at approximately 120 m apart are required, with design.
one passage entry located no greater than 120 m from the nearest During tunnel excavation two ten-hour shifts were worked for
tunnel portal. A cross passage door width of at least 1.2 m was five days per week. A core of experienced tunnellers was
required. recruited to man these shifts, although a significant number of
production personnel (up to 50 per cent) were trainee tunnellers.
The analysis showed that a single cross passage would be
Senior staff were experienced tunnelling personnel, and
insufficient.
inexperienced engineers were recruited as shift engineers.
Additionally the deluged fire case demonstrated improved Excavation of the southbound tunnel heading was completed in
tunnel tenability and therefore an increased opportunity for 22 weeks. At the end of the southbound tunnel heading a small
occupant evacuation. A zoned deluge suppression system is adit and decline was created to give access for construction
provided in the tunnel and is capable of supplying a flow density vehicles to the south portal area. The bulk excavation and batter
of 10 mm/min.m2 over two adjacent zones simultaneously. A support for the south portal was completed using the southbound
hydrant main, connected to a suitable water source, is also tunnel heading as the main haul route. During this 14 week period,
provided. The main has hose connections at the portals and at the excavation of the northbound tunnel heading was completed.
cross passages within the tunnel. Manual solenoid activation of Following bench excavation, two 20 tonne rail mounted
deluge zones is provided at each portal. gantries were used to prepare the shotcrete surface and install the
drainage geotextile and waterproof membrane. Installation of the
CONSTRUCTION geotextile and membrane was carried out by Bluey Construction
from Australia. A 140 tonne tunnel arch form designed by CAD
The southbound and northbound bored tunnels were excavated 2000 and manufactured in Malaysia was used for the 12 m long
consecutively as a heading and bench. The heading was tunnel arch pours. By working two ten-hour shifts, the lining
excavated with a reconditioned Mitsu S200 roadheader. The system allowed a single pour to be completed within 24 hours
central section of the bench was excavated with a Wirtgen cold over a period of several weeks.

D SYKES et al
The formwork design incorporated a ring plate system to form A daily prestart system was implemented for all work crews.
a rebate between concrete pours. This ensured that any This was driven from the bottom up, with the tunnellers taking
imperfections at the construction joint were hidden and reduced turns to do the paperwork and the shift boss only required to sign
the amount of repair work that is normally required at this location off the completed forms. All crews elected a site safety
(Figure 8). representative, and a weekly meeting was held where open
Niches were created for the emergency cabinets every 60 m discussion was encouraged. Weekly site safety walks were
along the tunnel (Figure 9). undertaken involving project office safety representatives. A
tunnel production bonus was not implemented on this project.
For the construction period, one lost time incident was
recorded – outside the tunnel a tunneller cut his foot with a high
pressure water blaster.
ENVIRONMENT AND COMMUNITY

The tunnel site is located in a coastal environment with
significant areas of natural bushland and tidal mangroves. Key
environmental management objectives for the project were
related to preservation of the native bush and control of surface
and construction water discharges into the local watercourses.
The excavation of the southern portal was undertaken by
hauling all excavated materials through the tunnels and
stockpiling at the northern portal for use in the road embankment
earthworks. This negated the need to construct a haul road to the
south portal site, minimising removal of native bush, and meant
that no material was hauled over local roads.
All surface water was treated before it was discharged into the
FIG 8 - Tunnel construction joint. local watercourses. Pretreatment of the concrete washout water
was managed by reducing the pH of the water by passing the
water through pretreated wood chip socks, placed in twin
containers fitted out with baffles.
Community interest in the project was very high. Some 800
local residents were given the opportunity to walk through the
tunnels at the end of the heading excavation. Although the event
was only advertised locally, it was booked out within three hours.
One neighbour who refused to be relocated, an elderly lady, has
visited the tunnels on several occasions.
ACKNOWLEDGEMENT
The authors wish to thank Northern Gateway Alliance for their
kind permission to publish this paper.
REFERENCES
Fire and Smoke Control in Road Tunnels, 1999. (PIARC Committee on
Road Tunnels: France).
Fire Safety Guidelines for Road Tunnels, 2001. (Australasian Fire
FIG 9 - Niche for emergency cabinet. Authorities Council (AFAC)).
Hashash, Y M A, Hook, J J, Schmidt, B and Yao, J I C, 2001. Seismic
design and analysis of underground structures, Tunnelling and
The cut-and-cover tunnel sections were constructed using the Underground Space Technology, 16(4):247-293.
tunnel arch form as the internal formwork. The concrete mix Hoek, E, Carranza-Torres, C and Corkum, B, 2002. Hoek-Brown failure
design was adjusted to improve the workability when placing the criterion.
concrete which contained polypropylene fibres in the reinforced Hoek, E, Kaiser, P K and Bawden, W F, 1997. Support of Underground
concrete pours. Excavations in Hard Rock (Balkema: Rotterdam).
The rail-mounted gantries were used to install the mechanical Karatzas, K, Ossanlis, I, Kaprara, A, Louka, P and Moussiopoulos, N,
and electrical equipment in the tunnel crown. This significantly 2003. Tunnel fire smoke modelling for emergency management,
International Journal of Risk Assessment and Management, 4(1).
reduced the use of elevated work platforms and achieved a
Marinos, P and Hoek, E, 2000. GSI: A geologically friendly tool for rock
significant saving in man hours for installation of the cable trays mass strength estimation, in Proceedings GeoEng 2000 –
and tunnel lighting. International Conference on Geotechnical and Geological
Engineering, vol 1, pp 1422-1440 (Balkema: Rotterdam).
SAFETY National Fire Protection Association Standard for Road Tunnels, Bridges,
and Other Limited Access Highways, 2001. (National Fire Protection
It is Northern Gateway Alliance policy that safety is the number Association (NFPA): USA).
one priority for the project. For tunnel excavation, the first rule Standards New Zealand, 1995. NZS 3101:1995. Concrete Standard, Part
was that no personnel were to work under unsupported ground. 1 – The Design of Concrete Structures.
This required careful planning for the development of suitable Transit New Zealand, 2004. Earthquake resistant design, Transit New
excavation and support systems that could meet this requirement. Zealand Bridge Manual, Section 5, September.

Creating a Geotechnical Baseline Report for Project Hobson,
Auckland
H Asche1, M Sheffield2 and M Sheffield3
ABSTRACT In non-tunnelling civil engineering work, the influence of the

ground conditions on total cost may well be limited. The
Project Hobson involves the replacement of an existing 90-year-old
above-ground sewer that crosses Hobson Bay in Auckland, New Zealand,
construction methods for the project as a whole will often be
and which is nearing the end of its economic life, with a 3 km long, 3.7 m relatively insensitive to the ground conditions. Foundation work,
internal diameter segmentally-lined bored tunnel. which for example requires a pile to be founded at ‘contract
The $118 M project will offer several benefits to the owner, Watercare
level’, will usually include a mechanism for additional payment
Services Ltd, and the local community: based on increases to the length of the piles.
• provide capacity to meet projected growth in the region, Only when subsurface conditions differ substantially from
• virtually eliminate wastewater overflows into Hobson Bay and the expected geotechnical conditions, necessitating different
Waitemata Harbour, and construction machinery, etc will a latent conditions clause
become operative.
• remove an obtrusive visual feature and open up the bay for
recreational purposes. In tunnelling, however, many aspects associated with ground
The geology in the region is a sedimentary formation, which has been conditions will have a major influence on time and cost and will
significantly influenced by volcanic activity; 49 volcanoes are present thus greatly impact the project. This is because time is an all
within 20 km of the nearby city centre. The geology along the alignment important component of tunnelling cost. Rather than the simple
is dominated by two palaeovalleys which have been infilled with a issue of a suitable foundation level, we encounter issues of cut
combination of marine alluvium and volcanic deposits. ability, stand-up time, support and all phases of spoil handling.
Watercare Services Limited has elected to manage and share tunnelling Many of these issues are affected by subtle changes in the ground
risk through, among other key measures, the implementation of a composition and behaviour, as well as the skill and care
geotechnical baseline report (GBR); one of the first uses of this type of employed by the contractor. For example, not only does the clay
document in Australasia. content make a big difference to the spoil handling but so does
This paper describes the general principles behind the use of a GBR, careful or careless use of water at the face.
the development of the GBR used in Project Hobson and some lessons Prolonged and sometimes bitter disputes arise when the
learnt. tunnelling is slow, where the contractor blames the ground
conditions whilst the owner cites poor workmanship. Both cases
AN INTRODUCTION TO THE GEOTECHNICAL usually contain elements of truth, but the latent conditions clause
provides only limited guidance and little certainty of outcome.
BASELINE REPORT (GBR) There are three reasons for this:
The following is intended to be no more than an introduction. 1. The owner usually presents the ground conditions in terms
The key references are the ASCE ‘Yellow’ and ‘Gold’ Book that are not particularly relevant for the tunneller. For
publications (Essex 1997 and 2007). example, boreholes are lavishly presented with photos, core
logs and core properties. However, predictions of ground
The latent condition clause behaviour are not presented. Moreover, the geotechnical
information presented by the owner is often qualified as to
Originally many construction contracts were written such that
its extent and completeness.
the contractor obtained no relief if the ground conditions were
different to those expected. Contractors were compelled to carry 2. The clause itself does not provide clear trigger criteria.
contingencies in their bids for the risks of all conditions Historically, a ‘latent condition’ exists if the ground
encountered. This served to increase costs of construction but did conditions vary significantly from those that could have
not reduce the potential for claims. In order to avoid the been expected. However, how much difference is required
inclusion of large contingencies for unforeseen conditions, the to trigger this mechanism is a valid and frequently asked
‘latent condition’ clause was developed and has subsequently question, which is often not defined.
been used in many construction contracts (known in the USA as 3. The clause provides for the costing of a latent condition in
the ‘differing site condition’ or DSC clause). general terms only.
The GBR approach has arisen from a view, in particular within
The problem of the clarity of definition and certainty of
the tunnelling industry, that the latent conditions clause and the
outcome can be illustrated by two examples:
qualifications often accompanying the clause usually provide
no certainty as to what is ‘foreseen’ or ‘unforeseen’. The • Example 1. If a tunnel is excavated in a well-established city,
consequence can frequently be prolonged disputes, particularly is a man-made obstruction (such as a pile or a tie-back
in tunnelling work. anchor) a latent condition?
• Example 2. Suppose some property of the ground is
measured by sampling and a distribution is inferred. Note
1. Principal, Connell Wagner, Level 4, 139 Carlton Gore Street, that this process itself implies uncertainty. If the mean is
Newmarket, Auckland, New Zealand. Email: AscheH@conwag.com stated to be 100, with standard deviation ten, does a latent
2. Project Manager, Watercare Services Ltd, 2 Nuffield Street, condition arise if a prolonged stretch of ground has an
Newmarket, Auckland, New Zealand. average of 108 or 118?
Email: MSheffield@water.co.nz In both examples, the viewpoint of the contractor’s estimator
3. Associate, Connell Wagner, Level 2, 116 Military Road, Neutral Bay will be to predict conditions that are favourable enough to win
NSW 2089. Email: SheffieldMG@conwag.com the job without unduly overburdening the bid with costs for risk,

H ASCHE, M SHEFFIELD and M SHEFFIELD
knowing that the job will most likely be awarded to the lowest The geotechnical baseline report (GBR)
bid. The estimator would therefore be tempted to assume no
man-made obstructions and an average property of 100. The two examples of unclear latent conditions above
demonstrate the cause of the problem. In both cases, the risk
The owner’s view would be different and will often be that the
discovery of a man-made obstruction should have been profile adopted by the contractor is at odds with the risk profile
reasonably anticipated by an experienced contractor. Hence the which the owner had presumed would reasonably be included in
tender estimate should have allowed for encountering an the price. The GBR is part of a risk management process that has
obstruction. In the case of example 2, both 108 and 118 are the aim of explicitly identifying and assigning the risks
statistically within expected bounds for the ground property. As associated with the ground conditions. This is a process which
for the comment that the owners always award to the low bid, requires collaboration between the owner and the designer aimed
they will retort that there is no ‘lucky conditions clause’ where at producing a clear communication to the contractor in terms
the contractor gives money back, if more favourable conditions which are relevant to them.
are encountered, therefore the owner is entitled to take the low The GBR is an integral part of the contract management
bid. process, which describes and distributes risks. The GBR should
It is not hard to see why prolonged disputes have occurred in deal with elements of risks in three ways:
tunnelling over latent conditions. 1. risk that is to be explicitly included in the tender and the
In the US, the GBR was developed as one of a number of conditions which the contractor is expected to include are
methods for dealing with this problem. described;
2. risk that is explicitly excluded from the tender, but passed
Contractual practices in the United States and to a schedule of provisional items where it is priced; and
worldwide
3. risk that is explicitly excluded and hence handled as per the
As well as the GBR (described below), the United States (US) latent condition clause.
tunnelling industry has developed a number of contractual
The GBR describes the expected tunnelling operation and sets
innovations not commonly used in Australasia. Two of these are
the dispute review board (DRB) and placement of tender out the ‘baseline’, ie the conditions on which the tender is to be
documents in escrow. priced. The baseline does not need to be the expected conditions.
However, as will be demonstrated, the baseline cannot be too far
The DRB is a board, usually consisting of three experienced from the expected conditions.
independent practitioners in the tunnelling industry, which is
appointed to regularly inspect the tunnelling works and review Baselines for the examples described above might be:
disputes as they arise during the progress of the project. Through • Example 1. ‘In the city, man-made obstructions can occur.
a variety of different means, the contractor and the owner agree The baseline is to expect to encounter two steel piles in the
on three members, one of whom serves as the chair. The findings face of the excavation, and the tender price should allow for
of the DRB are usually not binding but are admissible as evidence the operation of stopping the drive and cutting out these piles
in court. However, as their attendance on site is contemporaneous by hand. Other obstructions shall be paid for in the relevant
with the progress of the tunnelling, the findings of the DRB are schedule of priced variations.’
rarely overturned by arbitration or litigation. • Example 2. ‘The ground property has been calculated from
US experience of DRBs is that they are very effective in measurements taken in the boreholes. The average has been
reducing frivolous or ambit claims. This is because the DRB found to be 100, with a standard deviation of ten. This
members usually collectively possess formidable experience in process involves errors and approximations in the sampling
tunnelling and contracting. The net effect is that contractors and testing process. The baseline is that the ground will have
usually only submit claims they expect the DRB will support. an average which will not exceed 115, and the tender price
Paradoxically, due to this effect, owners in the US often believe should reflect this.’
that the DRB system favours contractors, as the ratio of claims
supported by the DRB is high. The wording should explain the risk profile and set the
The cost of a DRB is also an important consideration since it is baseline to be adopted for the purpose of pricing. The GBR
not insignificant, as three experienced practitioners must spend should also assure the owner that the tender price will include for
some days every month on site throughout the duration of a particular risks. Awareness and participation by the owner is
project. essential in the process since the owner must set the level of risk
off against the potential contract price.
The placement of documents in escrow is another innovation
which requires the contractor to provide the full workings of the
estimate on which the tender is based to an independent third Pitfalls and misconceptions
party. These documents can be made available to arbitration or to A potential pitfall in setting baselines is to set them too high.
a DRB under certain conditions. As with the DRB, this has the Examples of this would be:
effect of reducing ambit claims and reinforcing legitimate claims
on the basis that the conditions had not been expected at the time • Example 1. ‘The tender shall allow for a baseline condition
of tender. whereby many obstructions are encountered’ or ‘the tender
Worldwide, a number of significant tunnel failures have shall allow for 50 obstructions to be encountered’.
caused concern to the insurance industry. The Association of • Example 2. ‘The baseline ground property to be adopted is
British Insurers and the British Tunnelling Society published the 200’.
‘Joint Code of Practice for Risk Management of Tunnel Works in
the UK’ (September 2003) as a standard for the management of Why do these baselines fail? The reason is that the contractor
the risk associated with the anticipated subsurface conditions in a is unable to use these baselines as a basis for tendering, because
contract prior to the bidding process. More recently (January the likelihood of the baseline condition occurring is nearly zero.
2006) the International Tunnelling Insurance Group has In these cases, the contractor will revert to expected values, ie
published ‘A Code of Practice for Risk Management of Tunnel zero, in order to maintain a competitive tender. Hence, disputes
Works’. Both these documents emphasise risk management and associated with unrealistic baselines in the US have tended to be
cite the use of a GBR as a tool for this process. in favour of the contractors and the baselines have been set aside.

CREATING A GEOTECHNICAL BASELINE REPORT FOR PROJECT HOBSON, AUCKLAND
In the case of material properties, beware of absolute measured The GBR should refer to these items in the relevant sections,
values (‘no rock will exceed 100 MPa UCS’). Extreme values of eg ‘the baseline is this … should the baseline be exceeded, then
properties are very difficult to predict and such baselines provide the item x in the schedule of forward priced variations will
no useful information to the contractor, nor are they likely to apply’.
provide much transfer of risk from the Owner to the contractor. The schedule may also provide for generalised provisional
It is therefore important to understand that a GBR is not a items such as extra shotcrete, rock bolts, delays at the face, etc.
geotechnical interpretive report which can be produced late
during the design phase of a project. The GBR is primarily a Incorporation of the geotechnical baseline report
contractual document in which conditions are described which (GBR) into the contract documents
will differ from the expected conditions. As the GBR is an
integral part of the risk management process which distributes For the GBR to function successfully, it needs to be incorporated
risks contractually, development of the baselines must commence into the contract documents. This requires:
early in the design, although the report cannot be finalised until • a revised latent condition clause which limits the
the end of the design process. applicability of latent conditions to matters which are not
identified in the GBR, or other contract documents such as
Baseline generation the geotechnical data report;
The GBR must explicitly describe and consider the construction. • the inclusion of conditions, which define whether issues
A description of the expected behaviour of the ground at each outside the baseline trigger additional payment or require the
shaft location and in each section of tunnel is required in terms contractor to demonstrate that additional costs were actually
of cut ability, support, spoil handling behaviour, spoil sites, water incurred;
inflows, etc. To generate this information, it is beneficial if the • a revised variation assessment clause which defines the
project is broken into sections with similar conditions. procedures as to how issues identified in the GBR are to be
It is also useful to include a section on past experience in paid, giving priority to the schedule of forward priced
similar ground and include types of construction used and variations;
difficulties experienced. Writing about previous problems does
• the schedule of forward priced variations, which will come
seem to flush out key issues. into play when the baselines are exceeded (unless the
A geological settings report describing the historical processes conditions are such as to trigger the latent conditions clause);
that have resulted in the present day geological conditions and
(folding, fractures, etc), and is understandable to the tunnelling
engineer by avoiding geological jargon, may also provide a
• requirements for the parties to gather, share and maintain
records of relevant data.
useful indication of the key issues.
The baselines should be described in one of four ways:
PROJECT HOBSON
1. By exclusion – eg ‘the baseline is that no man-made
obstructions will be encountered’. Project overview
2. By defining a macro outcome – eg ‘the water inflow will
The project includes the construction of a new sewer tunnel
not exceed 10 L/s’.
beneath Hobson Bay that will replace the 90 year old above-
3. By description – eg ‘previous tunnels have had difficulty ground concrete sewer pipe that currently bisects the bay on
with the spoil becoming sticky if it gets wet. Expect to Auckland’s waterfront adjacent to Tamaki Drive. The existing
minimise water addition and anticipate needing to treat the pipeline is at the end of its economic life. Replacing it with a
spoil with conditioning agents’. larger capacity tunnel will meet projected growth in the area
4. By defining properties – eg ‘the mean of a statistically (servicing a quarter of the Greater Auckland wastewater
relevant sample will be within the following range’. This is conveyance requirements), provide sufficient storage in ‘wet’
best shown by use of a histogram of the test results to date weather (when stormwater also enters the system) to virtually
with the expected range superimposed. eliminate wastewater overflows into the bay and the Waitemata
Harbour and open up the bay for recreational purposes.
To cover all of the important issues that the contractor must
consider, all of these are needed. Obviously, the more definitive The new tunnel will receive flows from the Orakei Main Sewer
the baseline the better. However, inevitably some issues can only and branch sewers and convey the flows to a new pump station,
be covered by description. Where the GBR describes material PS64, which will pump to the Eastern Interceptor. The bored
properties, it should also define accepted methods for sampling tunnel is approximately 3 km long and has an internal diameter
and measuring should a dispute arise. of 3.7 m and external diameter of 4.2 m. The tunnel will be
constructed using an earth pressure balance tunnel boring
machine capable of operating in open and closed modes. The
Forward priced variations ground support will be provided by a single pass, precast
A risk management process including a GBR will identify concrete, bolted and gasketted precast concrete segmental lining.
specific risks which might be unlikely to occur but which are Two (8 m and 5 m diameter) inlet vortex drop shafts, together
readily definable in terms of cost. It is possible to then exclude with a new 22 m diameter pumping station, will also be
these risks from the baseline but pass them to a schedule of constructed as part of the project.
forward priced variations. Examples of these can include: The existing sewer is located just above sea level in Hobson
Bay, and it falls east, towards the existing pump station PS16.
• management of water inflows above the baseline,
The new sewer is to be in tunnel, which involves the construction
• treatment of man-made obstructions, of drop shafts at each of the junctions and a deep pump station.
• treatment of boulders and cobbles, The horizontal alignment commences on the west shoreline of
Hobson Bay adjacent to Logan Terrace (refer Figure 1). Logan
• installation of emergency intervention shafts, and Terrace drop shaft provides the upstream connection to the
• emergency fissure grouting. existing network. The tunnel crosses the western side of Hobson

FIG 1 - Scheme plan.
Bay to the Victoria Avenue Peninsula. The tunnel then passes

close to the existing foreshore, to connect with Victoria Avenue TABLE 1
drop shaft. The tunnel continues across the eastern side of Geotechnical baseline report (GBR) layout.
Hobson Bay, below the Orakei ridgeline to a new pump station
(PS64) within the Orakei Domain adjacent to PS16. No Heading Comments
A key decision for the project was the depth of tunnel. The 1 Introduction
tunnel traverses two palaeochannels within Hobson Bay, which 2 Project description
are infilled with sediments above the palaeosurface of East Coast 3 Sources of geological Describes context of geotechnical
Bays Formation (ECBF); the ubiquitous bedrock of Auckland and geotechnical investigations and includes section on
City. To ensure the tunnel was wholly located within the ECBF information previous experiences in tunnelling in
required a pump station with excessive depth and committed similar ground
Watercare to higher operating costs throughout the life of the 4 Project geological and Describes geological and
facility. The decision was made to lift the alignment as high as site setting hydrogeological processes
possible whilst remaining below the most adverse ground 5 Relevant physical and Provides, for each geological unit,
conditions – a basalt flow from Little Rangitoto on the eastern man-made conditions baseline material properties
side of Hobson Bay. 6 Shafts Describes baseline extents of each
The strength and consistency of the basalt flow is variable and geological unit as well as baseline
there is potential for the rock to be water charged. Therefore material behaviour
the risks and TBM performance/configuration requirements 7 Bored tunnels Describes baseline extents of each
associated with tunnelling through the basalt were not considered geological unit as well as baseline
to be acceptable. A tunnel elevation was therefore established to material behaviour
pass below the underside of the rock. 8 Management and Describes baselines for spoil and
disposal of spoil and groundwater inflows
The Project Hobson geotechnical baseline report groundwater
(GBR) 9 Instrumentation and Describes data capture and management
monitoring
Chapter headings for the Hobson GBR are shown in the Table 1.
10 Demolition of existing Describes baselines for access to
Baselines for material properties (chapter 5) are set in terms of Orakei main sewer existing sewer
the average of a statistically relevant sample. Histograms are
11 References
shown in Figures 2 and 3, showing the available data, as well as
bounds within which the properties are set. 12 Abbreviations
For the driven tunnelling, the drive is broken into geographical - Drawings Drawings show reaches and distribution
units of similar conditions (called ‘reaches’), as shown in Table 2. of geological units
Reach 1 was located adjacent to the TBM launch shaft and - Figures Figures show histograms of material
comprised an area of level, undeveloped ground beneath some properties

CREATING A GEOTECHNICAL BASELINE REPORT FOR PROJECT HOBSON, AUCKLAND
4
Baseline 15 - 30
Reach 2 was the longest section of tunnel where the tunnel
Class VI
passed below the residential properties along the Orakei Ridge.
The ground cover was up to 70 m and ground conditions at the
3 tunnel horizon were expected to comprise ECBF. The contractor
Mean 22
Number of Tests
was given the choice of operating the TBM in either open or

closed mode.
2
Within Reach 3, the tunnel passed through the East
Paleovalley which formed part of Hobson Bay. It was expected
that mixed face conditions would be present, comprising
1
weathered ECBF, volcanic deposits such ash and scoria and the
older (Pleistocene deposits) muds. It was specified that the TBM
should be operated in closed mode within this reach. A key
0
baseline was set in this reach, ie the basalt will not be
10-15
15-20
20-25
25-30
30-35
35-40
40-45
45-50
50-55
55-60
60-65
65-70
70-75
75-80
80-85
5-10
0-5
encountered within the tunnel horizon. Forward priced variations

Plasticity Index (%) were provided to address encountering the basalt.
One of the geological units expected to be encountered in
FIG 2 - East Coast Bays Formation (ECBF) plasticity index. Reach 3 is known to contain volcanic ejecta (called ‘bombs’),
which can be made from hard material. A baseline was set to
14 limit the number and size of bombs to be priced. Forward priced
Baseline Max 4.0
Class VI variations were included for encountering more than the baseline
12 number.
10 Reach 4 featured uniform tunnelling conditions, comprising a
full face of ECBF and cover in order of 20 m. As with Reach 2,
Number of Tests
8 the contractor was given the option of operating the TBM in

open or closed mode.
6
Within Reach 5, the tunnel passed through West Paleovalley.
4 Mixed face conditions were expected; comprising weathered
ECBF and the recent alluvial muds, hence closed mode operation
2 was specified.
0
Reach 6 was expected to consist of entirely ECBF, and the
contractor was given the option of open or closed mode.
12-13
13-14
14-15
15-16
16-17
17-18
18-19
19-20
20-25
25-30
9-10
10-11
11-12
0-1
1-2
2-3
3-4
4-5
5-6
6-7
7-8
8-9
UCS (MPa)
Contractual framework
FIG 3 - East Coast Bays Formation (ECBF) unconfined For this project, Watercare elected to have bespoke contractual
compressive strength. conditions written for the project. This allowed for the GBR and
forward priced variations to be interwoven into the conditions.
rugby pitches. It was limited in length by the distance between Watercare decided not to employ a dispute review board, but
the launch shaft and nearby residential properties. It was did require the tender documents to be held in escrow by
therefore suited to TBM start-up and it was specified that trials of Watercare, in locked boxes that could not be opened without
the open and closed mode operations, together with probing, agreement of the parties. The escrow bid documents were
should be performed within this reach since the risks of building available to be scrutinised by either party in various
damage due to settlement were low. circumstances, not just in circumstances relating to the GBR.
TABLE 2
Outline description of reaches.
Orakei Domain Orakei Ridgeline East Palaeovalley Southern Section West Palaeovalley West Palaeovalley
(Victoria Avenue (Central Section) (Central Section to
Headland) Drop Shaft)
Reach 1 2 3 4 5 6
Chainage (m) 2958 2810 2810 1700 1700 1300 1300 410 410 240 240 5
Length (m) 148 1110 400 890 170 235
Feature
Land/marine Land Land Marine Marine Marine Marine
Cover 28 21 - 78 21 21 21 21
Recent alluvium O O O O P O
Older alluvium O O P O O O
Volcanic deposits O O P O O O
Basalt O O O O O O
Soft rock P P P P P P
TBM mode Startup and trials Option Closed Option Closed Option
(closed, probing) (open/ closed) (open/ closed) (open/ closed)

Previous mention has been made of the International In the GBR process it is essential that the owner understands
Tunnelling Insurance Group’s (ITIG) ‘Code of Practice for Risk the risk and consequential implications they are accepting
Management of Tunnel Works’. Watercare did not incorporate through the content of the report, and it is also essential that the
that document into the contract documents; however, in many designer understands the risk profile which the owner would like
respects the guidelines set out in the ITIG code were closely to set. This understanding takes time to develop. Therefore, when
followed. It should be noted that incorporation of the ITIG code preparing a GBR it is recommended to allow for several major
is probably best achieved in an ‘alliance’ type contract where risk revision cycles during the preparation.
is primarily carried by the owner. It is also worth noting that
when seeking quotes for works insurance in early 2007 the ACKNOWLEDGEMENTS
insurance industry was clearly pushing for the inclusion of the
The Connell Wagner authors wish to thank Watercare for the
ITIG code into the contract between the owner and the
kind permission to publish this paper and acknowledge the
contractor. foresight shown by Watercare in adopting a GBR based approach
During tendering, Watercare operated an interactive tendering to risk sharing on Project Hobson.
process (ITP), where the tenderers were allowed to ask questions Randy Essex is also acknowledged for his thoughts and
and make suggestions. That process resulted in a number of valuable guidance in the production and preparation of the GBR
changes to the proposed contract documents. for Project Hobson.
LESSON LEARNED REFERENCES

Project Hobson is now under construction and any lessons from Essex, R J (ed), 1997. Geotechnical Baseline Reports for Underground
the use of the GBR during construction must wait for subsequent Construction. Guidelines and Practices (American Society of Civil
reporting. However, a few comments can be made about the Engineers: Reston).
writing of the GBR. Essex, R J (ed), 2007. Geotechnical Baseline Reports for Construction.
Suggested Guidelines (American Society of Civil Engineers: Reston).
The use of a GBR increases the complexity of the task of The Association of British Insurers and the British Tunnelling Society,
writing, reviewing and responding to the contract documents. 2003. The Joint Code of Practice for Risk Management of Tunnel
The contract documents become very interdependent. The Works in the UK.
interactive tendering process helped in that aspects of the GBR The International Tunnelling Insurance Group, 2006. A Code of Practice
could be explained, clarified and adjusted. for Risk Management of Tunnel Works.

Risk Management Through Design – Experiences from the
United Kingdom Tunnelling Industry
T Ireland1
ABSTRACT This paper outlines the risk management process embodied in

A formalised approach to risk management has been regulated in the
both the UK CDM regulations, and the international Code of
United Kingdom (UK) since the Construction (Design and Management) Practice for Risk Management of Tunnel Works (International
Regulations 1994 (CDM) came into force in 1995. These regulations have Tunnelling Insurance Group, 2006). A case study of the A3
recently been revised in 2007. In response to a series of significant claims Hindhead project is then presented to demonstrate how this
around the world the UK insurance industry published a code of practice approach influenced the development of the design.
for risk management of tunnels in 2003, and that was followed by an
international version in 2006.
BACKGROUND
Probably one of the main contributions of this new approach is the
recognition that health and safety risks can best be addressed early in the The background context to the increasing importance placed on
process, initially by the owner and then by the designers. One of the aims risk management is the losses suffered by tunnel insurers over
is to achieve elimination of risks by good design. The advantage of a the last decade. The insurance industry (Wannick, 2006) has
risk-based approach to tunnel design is that all risks are considered
explicitly, and any residual risks in the design are communicated clearly reported a general trend towards high-risk type construction
to the construction team. methods, often delivered using design and build contracts with
This paper looks at the implementation of this formalised approach to one-sided contract conditions, in an environment of fierce
risk management with reference to the A3 Hindhead Project. The design competition. Table 1 shows the major tunnel loses since 1994
has been undertaken in accordance with the requirements of the CDM (Wannick, 2006).
regulations, and also in compliance with the Joint Code of Practice
for Risk Management of Tunnel Works in the UK. An outline of the
risk-based design process used is provided, including examples. TABLE 1
Major tunnel insurance losses since 1994.
INTRODUCTION Year Project Cause Loss
Tunnelling has a greater level of risk than other types of civil (US$ M)
engineering, primarily due to limitations in the knowledge of the 1994 Great Belt Link, Denmark Fire 33
ground ahead of the tunnel, and how it will behave. Often tunnels
1994 Munich Metro, Germany Collapse 4
have deep cover or pass under water bodies, making site
investigation difficult and expensive. In urban tunnels there is 1994 Heathrow Express Link, UK Collapse 141
uncertainty over how tunnels will interact with surrounding 1994 Metro Taipei, Taiwan Collapse 12
structures.
1995 Metro Los Angeles, USA Collapse 9
Tunnel design generally has included informal ways of
handling the risks associated with tunnel construction. This 1995 Metro Taipei, Taiwan Collapse 29
approach, however, has not always been successful, and over the 1999 Hull Yorkshire Tunnel, UK Collapse 55
last decade there have been regular high-profile failures that are 1999 TAV Bologna – Florence, Italy Collapse 9
now impacting on the availability and viability of insurance. This
has led to an increased industry focus on how risks are managed 1999 Anatolia Motorway, Turkey Earthquake 115
in tunnelling. 2000 Metro Taegu, Korea Collapse 24
In the UK, risk management has been introduced into safety 2000 TAV Bologna – Florence, Italy Collapse 12
legislation via the Construction (Design and Management)
Regulations 1994 (Her Majesty’s Stationery Office, 1994), 2002 Taiwan High Speed Railway Collapse 30
recently revised in 2007. These regulations have had a significant 2002 SOCATOP Paris, France Fire 8
influence on the tunnel design process. Whilst it is sometimes
2003 Shanghai Metro, PRC Collapse 80
difficult to identify how the final designs are different due to
CDM, the formal process of risk management is visible and 2004 Singapore Metro, Singapore Collapse TBA
provides an audit trail of how design decisions are reached. The 2005 Barcelona Metro, Spain Collapse TBA
advantage of this risk-based approach to tunnel design is that all
risks are considered explicitly, and any residual risks in the 2005 Lausanne Metro, Switzerland Collapse TBA
design are communicated clearly to the construction team. 2005 Lane Cove Tunnel, Sydney Collapse TBA
The financial consequences of tunnel failures are generally 2005 Kaohsiung Metro, Taiwan Collapse TBA
carried by an insurance company. This has led to a contraction in
2007 São Paulo Subway, Brazil Collapse TBA
the insurance market, which has the potential to expose clients
and contractors to huge financial risks, meaning planned projects
could be cancelled. In response to this situation the UK insurance
industry published the Joint Code of Practice for Risk It has been reported (Wannick, 2006) that there is insufficient
Management of Tunnels in the UK (BTS/ABI, 2003), and that premium income to cover all the losses, with repair costs
was followed by an international version in 2006. typically exceeding original construction costs. Confronted with
this situation the insurance industry has tackled the problem with
1. Senior Associate, Connell Wagner, Level 4, 139 Carlton Gore Road, a professional approach that is sustainable for all parties resulting
Newmarket Auckland 1149, New Zealand. in the publication of The Code of Practice for Risk Management
Email: irelandt@conwag.com of Tunnel Works (TCoP).

T IRELAND
CODE OF PRACTICE FOR RISK MANAGEMENT is a simple approach based on the seriousness of any incident
OF TUNNEL WORKS that could result, and the degree of exposure to the hazard. In a
project that does not involve exceptionally hazardous design,
In 2003 the British Tunnelling Association (BTS) worked with reviews at key stages (eg before tender documents and working
the Association of British Insurers and published a Joint Code of drawings are started) should help to identify hazards needing
Practice for Risk Management of Tunnel Works in the UK, investigation. Sometimes it may be possible to avoid a hazard
(BTS/ABI, 2003). This was followed by an international version altogether but in many cases, where alternative methods of
entitled A Code of Practice for Risk Management of Tunnel construction are possible, it will be necessary to assess the risks
Works (TCoP) prepared by the International Tunnelling within each alternative so that safety measures can be considered
Insurance Group (ITIG) (2006). and the health and safety aspects of alternatives can be taken into
One of the main objectives of the TCoP is to set minimum account.
standards for risk assessment and ongoing risk management The advantage of this risk-based approach as it applies to
procedures for tunnelling projects whereby compliance with the tunnel design is that all risks are considered explicitly, and any
TCoP should minimise the risk of physical loss or damage and residual risks in the design are communicated clearly to the
associated delays to a level ‘as low as reasonably practicable’ construction team.
(ALARP). The proposed formalised risk management procedure
is used as a means of documenting formally the identification, RISK MANAGEMENT STRATEGY
evaluation and allocation of risks. Significantly there are three
sections addressing activities in predesign stages including: There are many guidelines on risk management strategies
client role and responsibilities, project development stage and (Eskesen et al, 2004) and it is not proposed to outline this
contract procurement stage. This is an acknowledgement that material in this paper. Some of the key points as they relate to the
risk management practices need to be instigated well in advance TCoP include the recommendations:
of commercial phases, so that commercial competition does not • to include in the tender documents specific technical
lead to a significant elevation of project risk. In particular the requirements such that risks are managed in accordance with
practice of gaining commercial advantage by taking on a the risk strategy, with explicit allocation of responsibilities
potentially unmanageable level of risk is one of the outcomes for risks;
sought by the TCoP. • tender evaluation procedures should include an evaluation of
the contractor’s ability to identify and control risks by the
UNITED KINGDOM CONSTRUCTION (DESIGN choice and implementation of technical solutions; and
MANAGEMENT) REGULATIONS • systematic assessment of the differences in risk between the
project proposals by different tenderers.
A new approach to the management of risk has been
implemented in the UK over the last decade. While the Generally risk should be allocated to the party who has the
Construction (Design and Management) Regulations 1994 best means for controlling them.
(CDM) came into force in 1995, an approved code of practice
(ACoP) and guidance on the duties set out in CDM came into RISK-BASED DESIGN PROCESS
force in 2002.
The CDM regulations aim to reduce the incidence of accidents Risk-based design is where a formalised risk management
and occupational ill-health arising from construction work. process is used to guide the development of the design. The basic
Probably one of the main contributions of this new approach is process is simply an integration of risk management within the
the recognition that health and safety risks can best be addressed design process, whereby risks are identified and evaluated, and
early in the process, initially by the owner and then by the then mitigation measures are developed. The design is then
designers. The aim is to achieve elimination of risks by good revised and the risks recalculated. Best practice is to hold the
design. first risk assessment early in the planning process, with all
project participants contributing. One of the benefits of early
The CDM regulations are directed at health and safety risks
contractor involvement (ECI) procurement processes as utilised
and do not include cost, time or other scope risks; however, the
by the Highway Agency in the UK, is that the constructor is
tunnel accidents included in Table 1, having caused serious
involved in risk assessment right at the beginning. Risk
financial consequences, would also entail serious health and
assessment meetings are held at regular intervals during the
safety risks.
design to update the risk register.
The regulations include various statutory responsibilities, on
Risks are best mitigated by elimination, with the hierarchy of
both the project owner and also the project designer. The owner
mitigation steps being eliminate, mitigate and protect. Ongoing
must buy into process, and must also adequately brief the
monitoring of all risk mitigations is required when the risk is not
designers on all relevant site information. The regulations also
eliminated. Elimination of risks is most easily done during the
require the statutory appointment of a safety coordinator
design phases. Those risks that cannot be eliminated, and
(previously known as a planning supervisor). The duties of the
therefore carry a level of residual risk into the construction phase
safety coordinator include seeing that the formal procedures
need to be communicated clearly to the contractor.
contained within the regulations are carried out.
One of the key risk management activities is the evaluation of
The duties of designers are covered in some detail within the how effective possible mitigation measures will be, and therefore
regulations, as it was seen that designers had the most by how much the severity and probability of the hazard are
opportunity to proactively reduce health and safety risks on a reduced. Numerical modelling is increasingly used by designers
project. Designers are required to: avoid foreseeable risks, that is, to evaluate the effectiveness of mitigation measures (Silverton,
seek to eliminate hazards and risks in their design; combat risks Thomas and Powell, 2004). Sensitivity parametric studies can be
at source; and provide information on the design which others used to determine the robustness of the design, as well as
might otherwise not know. re-analysis using each of the proposed mitigation measures to
Assessing health and safety risk is key to the process. Whilst determine which mitigation measure is the most effective. Monte
the appropriate level of risk assessment will vary from project to Carlo analyses are also used to determine a probability
project and from one operation to another. The assessment may distribution for particular outcomes. This allows a more scientific
involve a detailed analysis but more often all that is appropriate approach to determining the probability component of risk.

RISK MANAGEMENT THROUGH DESIGN – EXPERIENCES FROM THE UNITED KINGDOM TUNNELLING INDUSTRY
The UK CDM regulations provide the framework for confirmation that the tunnel is behaving as intended by the
carrying out a risk-based design, particularly with the designer. In the UK now, there are various guidance documents
requirement to record the effect of mitigation measures on the that require the designer’s representative to be on-site full time
risk. This audit trail provides a means by which the project and to attend the daily meetings reviewing the performance of
team or any other interested parties, such as insurers, can look the tunnel.
back and see how the design has evolved and how the risks are
being managed. CASE STUDY – THE A3 HINDHEAD TUNNEL
MANAGEMENT OF RISK DURING This case study provides an example of how the UK CDM
regulations and the risk-based design approach were successfully
CONSTRUCTION
implemented during the design phase of a project. Details of the
For tunnels in particular, the design is interlinked to the project are included in a separate paper (Ireland and Rock, 2008)
construction, with the design phase not complete until included within these proceedings.
construction is complete. One of the motivations for the UK The risk register prepared during the preliminary and detailed
CDM regulations was the belief that many accidents during design phases included 78 risks. Of these risks 35 were closed
construction could have been avoided by changes in the design. out and 43 were passed on to the contactor as residual risks.
Consequently, designers’ must consider the safety of the method Risks were categorised as either low, medium, high or severe.
of construction when designing. This is particularly important for Prior to the implementation of risk control measures during the
tunnel construction where often the design makes important design phase, there were 27 severe risks and 38 high risks.
assumptions about the construction method. It is important that Following implementation of risk control measures, the residual
any residual risks be communicated to the construction team. risks included no severe risks, and 17 high risks. A feature of
Residual risks are risks that have been mitigated or minimised, CDM risk register prepared is that each hazard has a description
but not eliminated, and cannot be eliminated by the designer. An of the risk control measures implemented, and a reference such
example of a residual risk in the tunnelling context is the risk of as a drawing number or specification clause detailing where the
groundwater inflows, or the risk of encountering fault zones. risk control measures are documented. Table 2 provides a sample
These risks cannot be excluded in design but can be managed on of the hazards identified, risk control measures proposed and the
site by the contractor. change in risk control scoring pre- and post-implementation of
Residual risks can be communicated to the contractor by mitigation measures.
handing over the risk register as part of the tender documents. The initial risk assessment undertaken identified five main
This may not be effective, however, particularly when the areas of concern. The overarching risk was that tunnels had not
contractor proposes a method of design different to that assumed been constructed through the prevailing geology before and
by the designer. Tunnelling accidents, particularly with shotcrete therefore strength and stiffness parameters for the rock mass
linings have occurred because the contractor did not understand had to be determined from site investigation and testing only.
how changes to the construction method affected the design. In Other risks included tunnelling through the sandy Upper Hythe
soft ground conditions, the split heading sequence adopted, and B (UHB) material at the southern end presented a risk of
the distance the invert is closed behind the face, can have a big collapse; proximity to the Lower Hythe B clay layer beneath
impact on the stability of the excavation, with minor changes the sandstone sequence could lead to very high lining loads and
causing tunnel collapse. The best way to manage these risks is to settlement of the elephant’s feet would result in overstress of
monitor the performance of the tunnel on a daily basis, to allow the arch lining.
TABLE 2
Example hazards identified and risk control measures implemented.
Hazard Initial risk level Risk control measure Residual risk level
Manual handling injuries during High • Use of precast concrete for channels and kerbs. Medium
installation of kerb units and • Specification of kerb units of acceptable weights or use mechanical
channels and health hazards handling.
associated with working with wet
concrete.
Injury to people on the surface or in Severe • Alignment selected to reduce risk. High
the tunnel caused by breakthrough • Excavation and support types with canopy support and lattice girders
from the tunnel to the surface. used in sandy ground.
Caused by low ground cover or • Monitoring of tunnel lining during excavation.
presence of man-made features. • Grouting of boreholes on alignment.
• Check for wells and backfill any in the alignment.
Death/injury due to lining failure as a Severe • Specify early age strength gain (upper J2 curve) and testing. High
result of overloaded low strength • Use of steel fibre reinforced shotcrete.
shotcrete. • Limit on maximum advance rates and lengths.
• Hilti pullout testing.
Injury from local collapse while Severe Design assumes that mechanised cleaning method with be utilised for High
cleaning out elephant’s feet after cleaning out of elephant’s feet to avoid requirement for personnel
application of sealing layer. beneath unsupported ground or that protection will be provided to
personnel entering area beneath unsupported ground to ensure safe
method of working.
Injury from tunnel collapse following Severe • Specification of trigger limits for in-tunnel monitoring. High
large deflections in the lining. • Contingency excavation and support sequences included in design
and detailing of closed invert.

T IRELAND
Uncertainty with design rock mass parameters Tunnel stability in sandy ground at the southern
Extensive numerical modelling was undertaken for a parametric
end
sensitivity study of rock mass parameters determined from the There are a whole suite of risks associated with tunnelling
site investigation. This study gave us the confidence that the through sandy material. The formal risk process used identified
design was sufficiently robust to accommodate the potential each of these risks and mitigation measures were proposed in the
variation between lower and upper bound parameter values. We design. Table 3 summarises these risks and outlines the proposed
also used this analysis to determine convergence monitoring mitigation.
trigger levels. Three stages of trigger limits were determined. Refer to Figure 1, which shows details of the proposed support
The green convergence trigger was set to our expected movement in the southern section through the sandy UHB material.
from the design, based on the interpreted design rock mass
parameters. If the green level was exceeded the prescribed action
was to install additional monitoring locations to keep a closer eye Proximity to weak Lower Hythe B material
on lining performance. The amber trigger limit was set when an The proximity to the Lower Hythe B (LHB) material on the
overstress of the lining occurred at the ultimate limit state. In that tendered alignment posed several risks for the lining design.
case a prescribed action was the installation of a contingency LHB is a sandy clayey material of low strength. A closed invert
invert strut to arrest any movement in the side walls that was in this section was required as the LHB material had insufficient
causing elevated bending moments in the lining. The red trigger strength to transfer the horizontal stresses around the tunnel
limit was set at the level where the overall factor of safety had opening. This risk was eliminated by re-grading the vertical
fallen to 1.5 from the usual 2.0. In that case the prescribed action alignment of the tunnel to provide half a tunnel diameter cover to
was to cease tunnelling until the cause of the overstress of the the weak LHB material. The stronger Lower Hythe A (LHA)
lining was determined and remedied with additional support material was able to carry the horizontal stresses around the
measures. tunnel opening, and not only was the risk eliminated, but the
TABLE 3
Risks and mitigations for tunnelling through sand at the southern end.
Risk identified Mitigation incorporated into the design

Relaxation of the ground during installation of canopy tubes causing high Specification of self-drilling canopy tubes.
strains and loss of ground arching.
Canopy tubes become overstressed. Design of observation technique utilising horizontal inclinometers allowing
monitoring during construction.
Face instability leading to collapse. Design of face support using a sprayed concrete sealing layer with
self-drilling GRP face dowels.
Material falls between the canopy tubes leading to gradual collapse. Specification of permeation grouting through the canopy tubes.
Sprayed concrete is not constructed in the correct shape leading to Specification of 3D laser controlled robotic spraying equipment.
overstress of the lining.
FIG 1 - Shows support type 3 which is typical for the sand section.

RISK MANAGEMENT THROUGH DESIGN – EXPERIENCES FROM THE UNITED KINGDOM TUNNELLING INDUSTRY
FIG 2 - Revised vertical alignment showing clearance to Lower Hythe B (LHB) material (1H:4V).
closed invert was able to be deleted, and the lining reduced in CONCLUSIONS
thickness from 250 mm to 200 mm through that section, providing
significant cost savings. The formalised process of risk management as embodied in the
UK CDM regulations, and now made mandatory by international
insurers through the TCoP has many advantages, including
Settlement of elephant•s feet allowing the design to adopt a risk-based approach, whereby all
The horseshoe-shaped shotcrete lining relies on elephant’s feet risks are considered explicitly, and any residual risks in the
for transferring the axial force from the lining into the ground. A design are communicated clearly to the construction team.
feature of the Hythe Beds is the sandy layers found within the Using this approach, variations in ground conditions should be
geological sequences. The LHA material has up to ten per cent anticipated by the designer, with predesigned modifications to
sand layers, and the Upper Hythe C/D (UHC/D) material has up the design documented as contingency measures. There has
to 20 per cent sand layers. The site investigation program has always been a strong link between tunnel design and the
also identified one area with a 1.2 m thick sand layer. The impact construction process, but the successful adoption of formalised
of sandy layers beneath the elephant’s feet would be settlement risk management means designers must be involved during the
of the arch lining, resulting in overstress. This was a major risk to construction phase to evaluate any changes to the assumed
the performance of the tunnel support system and it needed to be construction sequence and methodology. This integration is
addressed as part of the design. already embodied contractually for design and construct
The solution was to excavate inspection trenches 600 mm contracts; however, an increased role for the designer during the
below the elephant’s feet to allow inspection by geologists for construction phase is required for traditional construct only
each advance. Predetermined contingency measures were contracts.
included in the design documentation. Depending on the depth of The requirement by project insurers to comply with the TCoP
the sandy layers, the elephant’s feet could be lowered to be for all future projects will lead to the widespread adoption of
founded on solid material, or they could be buried to provide formalised risk management, and a risk-based approach to
enhanced foundation bearing capacity. The last resort was to design.
grout stabilise the bearing zone. Refer to Figure 3 for details of
the documented contingency measures. ACKNOWLEDGEMENTS
The authors wish to thank Paul Arnold of Highways Agency for
his constructive comments and Mott MacDonald who were
responsible for the design of the A3 Hindhead project, including
Tony Rock the Project Director, who had a large influence on the
implementation of the risk-based design approach.
REFERENCES
British Tunnelling Society and Association of British Insurers, 2003.
Joint Code of Practice for Risk Management of Tunnel Works in the
UK (British Tunnelling Society and Association of British Insurers:
London).
Heading
Eskesen, S D, Tenborg, P, Kampmann, J and Veicherts, T H, 2004.
Guidelines for tunnelling risk management: International Tunnelling
Association, Working Group No 2, in Proceedings Tunnelling
Bench and Underground Space Technology, pp 217-237 (International
Foundation Tunnelling Association).
Elephant’s feet
inspection Her Majesty’s Stationery Office, 1994. The Construction (Design and
extended
trenches Management) Regulations (amended 2007) (Her Majesty’s
Stationery Office: London).
Her Majesty’s Stationery Office, 1995. Designing for Health and Safety
in Construction – A Guide for Designers on Construction (Design
and Management) Regulations 1994 (HSE Books: London).
International Tunnelling Insurance Group, 2006. Code of Practice for
FIG 3 - Contingency measures for sandy material beneath Risk Management of Tunnel Works (The International Tunnelling
elephant•s feet. Insurance Group).

T IRELAND
Ireland, T and Rock, T, 2008. Recent advances from the United Kingdom Wannick, H P, 2006. The Code of Practice for Risk Management of
tunnelling industry – The A3 Hindhead Project, in Proceedings 13th Tunnel Works – Future tunnelling insurance from the insurers’ point
Australian Tunnelling Conference, pp 231-238 (The Australasian of view, presented to ITA Conference Risk Management
Institute of Mining and Metallurgy: Melbourne). Open Session presentation (International Tunnelling Association).
Silverton, T R, Thomas, A H and Powell, D B, 2004. Risk-based design
using numerical modelling, in Proceedings World Tunnelling
Conference, Singapore.

The Code of Practice for Risk Management of Tunnel Works –
Future Tunnelling Insurance from the Insurer’s Point of View
H Moll1
ABSTRACT As a consequence of the poor loss history, insurers have

reacted not only by jacking up premium rates and deductibles,
The objectives of this paper are to introduce the International Code of
Practice for Risk Management of Tunnel Works and to illustrate to the but also developing a professional risk management tool in close
participants of the 13th Australian Tunnelling Conference 2008 how the cooperation with the construction industry: the Joint Code of
insurance industry would like to see the future of tunnelling insurance. Practice for Risk Management of Tunnel Works.
Tunnel construction projects have suffered large losses over the years The paper then introduces the content and objectives of this
as can be shown from various loss examples and a list of major losses code of practice and will draw some conclusions for its practical
over the last ten to 15 years. implementation.
Since the consequences of insufficient risk control had to be borne by
No other segment of the construction industry has been plagued
insurers, these losses have heightened the need for improved and
adequate risk management measures so that insurance cover can also in by more serious losses in recent years than the tunnelling business.
future be provided for this hazardous industry sector.
Observations are made as regards to the prevailing trends in the WHAT ARE THE PROBLEMS IN THE INDUSTRY?
tunnelling industry, which contribute to the increase in risk and have
adverse consequences for the insurance industry. Most tunnelling projects nowadays involve a variety of high-risk
To find a solution to this dilemma various options are examined with construction methods, for example (to name a few of them):
the suggestion of a Joint Code of Practice for Tunnel Works being agreed • New Austrian Tunnelling Method (NATM) in urban soft
by all stakeholders, which would become essential to secure future
insurance protection for such project work.
ground,
The British Tunnelling Society has, in cooperation with the • drill and blast tunnelling in unstable rock conditions,
Association of British Insurers, developed such a code, which the
International Tunnelling Insurance Group has now adopted for global
• tunnel boring machine (TBM) tunnelling with risky launch
application in international markets. and arrival situations,
The content and concept of this code is explained to establish a • cross passage construction for twin tube tunnels, and
framework of understanding and applied risk management principles for
tunnel works.
• immersed tube tunnels under high water pressure.
This initiative also has the support of the International Tunnelling In order to save time and money, an increasing number of
Association and the International Association of Engineering Insurers. infrastructure projects nowadays are built under ‘design and
The international application of this new code is demonstrated with a build’ conditions. That means that the project owner only
few examples, which also includes Australian projects. provides a very basic initial design concept. The contractor and
It is the aim that this code forms in future part of the insurance his appointed designer are fully responsible for final design as
coverage for tunnelling works in order to put this risk segment on a more well as the execution of the works.
sustainable basis.
As a consequence of this ‘value engineering’ process some
For that reason the insurance industry is seeking the support of all
contractors come up with sophisticated design concepts or
stakeholders of tunnelling construction projects.
construction methods which are, in some cases, unproven or with
which they do not have practical experience.
INTRODUCTION Insurance underwriters are facing the problem that during the
The objectives of this paper are to introduce to the reader the underwriting period the final design is not yet known to them.
International Code of Practice for Risk Management of Tunnel Therefore, an accurate risk assessment including estimation of
Works and to illustrate how the insurance industry would like to the ‘possible maximum loss’ amount is in many cases impossible.
see the future of tunnelling insurance. This evaluation, however, is essential for insurers since the
The importance of managing risks often becomes obvious only amount of capacity an insurance company can provide to a
when things go badly wrong. Deficiencies in proper risk project largely depends on accurate knowledge of this figure.
management and the consequences thereof have often to be The development of design and built contracts goes in line
borne by the insurance industry. with a trend towards more and more unbalanced and one-sided
This also applies to a large extent to tunnelling projects. Those contract conditions. An increasing number of risks formerly
works are prone to a number of hazards and large losses have retained by the project owner are now shifted to the contractor.
been suffered by the industry over the years. Here, among others, the ownership of the ‘ground risk’ has to be
Many of those losses could have been avoided if risks had not taken up by the contractor. A large deal of uncertainty therefore
been ignored and professional risk management practices had remains with the contractor, which often leads to financial
been applied. problems during the construction period.
This paper provides an overview of industry experience with Consequently, serious compromises are often made on the
tunnelling insurance since the early 1990s and outlines insurance safety side. Another critical trend in infrastructure construction is
underwriters’ perception of the current situation in the tunnel the lack of sufficient time. In other words: the time schedules are
construction industry. getting tighter and tighter. Turnkey metro schemes, for example,
including final design, all civil works, all electro-mechanical
1. Business Development Manager, Munich Holdings of Australasia installations, delivery of rolling stock as well as all testing and
Pty Ltd, 143 Macquarie Street, Sydney NSW 2000. commissioning activities are to be carried out within five or six
Email: hmoll@munichre.com years in some cases.

H MOLL
These extremely tight schedules constitute an enormous The second big loss in 1994 occurred at Heathrow Airport in
challenge to contractors, their designers and subcontractors, but London. Again, a tunnel driven by NATM in soft ground
also to their insurers. There is hardly any time buffer as most collapsed and caused not only substantial damage to the other
activities are on the critical path. completed tunnels, but particularly to property at the surface (see
A small individual delay, for whatever reasons, will trigger a Figure 2). In this case, fortunately, all workers and other
delay to the entire project. Usually, contractors have to accept employees were evacuated prior to the disaster.
heavy penalties in case of project delays and therefore do
everything to finish their contract on time.
It is quite natural that this attitude often requires compromises
on site safety and work performance. Other aspects also intensify
this problem; nowadays, the budgets for infrastructure projects
are extremely low.
Due to the critical financial situations in many countries the
spending abilities of governmental institutions are limited. On
the other side, the construction industries in many countries are
suffering from recessions, overcapacities and mismanagement.
Many, even reputable construction companies, have been forced
into liquidation and bankruptcy in recent times. Philip Holzmann
and Walter Bau in Germany are just two examples from the
author’s home country.
The survivors are fighting a ruinous battle for the few business
opportunities, often bidding for projects for less than production
costs without any profit and overhead margins. Again, this
significant lack of funds goes at the expense of site safety and FIG 2 - Loss example: Heathrow Express Link (UK), 1994.
work performance.
All these facts and shortcomings create a tremendous risk The loss was caused by a combination of faulty design and
exposure for tunnel projects, which can potentially lead to poor workmanship. Due to the enormously high repair cost, this
catastrophic losses. accident was the biggest loss insurers suffered from tunnelling
projects to that time.
PRESENT EXAMPLES Other countries, including Australia, have not been free from
These problems can be ideally illustrated by loss examples. The losses either. Figure 3 shows the collapse of a cut-and-cover
following figures show large tunnel losses which have occurred station box in the Korean city of Taegu back in 2000. The cause
all over the world in recent years. of the loss was a defective diaphragm wall. As one can see, also
in this case a public bus fell into the collapsed construction pit.
Figure 1 shows the collapse of a metro tunnel driven by New Fortunately, there were no casualties. After the accident, large
Austrian Tunnelling Method, which occurred in Munich in 1994. parts of the open cut excavation pit had to be backfilled and
Apart from the sizable material damage loss, two persons lost re-excavated.
their lives when the public bus (as shown on the left) fell into the
crater that opened at the surface after the tunnel collapsed.
FIG 3 - Loss example: Taegu Metro (South Korea), 2000.
The SOCATOP Project in Paris includes a large diameter,

TBM-driven road tunnel. After the tunnel had seen considerable
FIG 1 - Loss example: Munich Metro (Germany), 1994.
progress without problems, one of the diesel-driven segment cars
caught fire and gradually ignited the entire tunnel at this section.
The fire burnt for several hours and was extremely difficult to
The loss was mainly caused by insufficient ground extinguish. The concrete lining was severely damaged and the
investigation in the planning stage. However, the tragic repair was a very costly exercise. Fortunately, the workers inside
consequences could have been avoided, if more skillful the tunnel were able to rescue themselves by taking shelter inside
supervisors and workers had been on site at the time of the the tunnel boring machine. This machine was equipped with a
accident. This, unfortunately, was not the case. sprinkler system at the rear of the backup train.

THE CODE OF PRACTICE FOR RISK MANAGEMENT OF TUNNEL WORKS
On 1 July 2003, a tunnel for the Metro Line Number 4 in

Shanghai collapsed (refer Figure 4). More precisely, it was a
cross-passage tunnel linking the two already completed railway
tubes. Being aware of the high risk exposure as a result of this
tunnel being located below the Huangpu River, the contractor
chose the freezing method to support the cross passage
excavation. However, the freezing equipment broke down and the
protecting frozen ground was thawing. Nevertheless, the
contractor continued the excavation in view of the considerable
delay in his construction program. Both tunnel tubes were
flooded and suffered considerable damage. On the surface,
several buildings collapsed and others had to be demolished. The
repair works are still undergoing. The technically challenging
repair works were successfully completed in 2007..
FIG 5 - Loss example: Singapore MRT, 30 April 2004, 3.15 pm.
Table 1 is a summary of all the major tunnel losses that

occurred worldwide during the last ten years. The biggest one so
far was the collapse in Heathrow Airport with a loss of US$141
million.
Since 2005 other major tunnelling losses occurred in
Barcelona, Lausanne, Kaohsiung (Taiwan) and São Paulo. Loss
amounts for insurers are yet to be established.
It is important to note that the figures in Table 1 are merely the
loss amounts paid out by the insurance industry.
The total loss figure including the uninsured portion was
definitely much higher than US$600 million. Extra cost to
principals, contractors, subcontractors like unpaid repair cost,
FIG 4 - Loss example: Shanghai Metro (People’s Republic penalties, loss of revenue, debt payments might have incurred
of China), 2003. another couple of hundreds of millions.
This should also include money which was lost due to loss of
contractor’s reputation.
Figure 5 shows how the scene looked at 3.15 pm on 30 April
on Phase 1 of the Circle Line Projects in Singapore. The
cut-and-cover construction pit collapsed and buried four workers CONSEQUENCES FOR THE INSURANCE
in the debris. The adjacent six-lane Nicoll Highway caved in and INDUSTRY
had to be closed for eight months.
The consequences for the insurance industry were severe and can
During the course of investigation it was revealed that the
be summarised as follows:
design of the cut-and-cover box was defective and both the project
owner and the contractor were negligent or even reckless in their • Obviously, there was and still is an extremely high frequency
supervision duties. Senior contractor’s representatives were found of major tunnel losses. In addition, tunnelling projects in
guilty and a hefty penalty was imposed on the contractor. urban areas are usually affected by a large number of third
TABLE 1
Insurance payouts and project delays after losses.
Year Project Cause Loss Delay

1994 Munich Metro, Germany Collapse US$4 million 10 months
1994 Heathrow Airport, UK Collapse US$141 million 14 months
1999 Hull Sewage Tunnel, UK Collapse US$55 million 26 months
1999 Bolu Tunnel, Turkey Earthquake US$115 million 36 months
2000 Taegu Metro, South Korea Collapse US$24 million 9 months
2002 Autoroute A86, France Fire US$8 million 6 months
2003 Shanghai Metro, China Collapse US$80 million 47 months†
2004 Circle Line, Singapore Collapse US$75 million 36 months†
1994 Metro Taipei, Taiwan Collapse US$12 million N/A†
1995 Metro Taipei, Taiwan Collapse US$29 million N/A†
1994 Great Belt Link, Denmark Fire US$33 million
† Estimate.

H MOLL
party liability claims, which often substantially exceed the In May 2004, the International Tunnel Insurance Group (ITIG)
deductible level. They have a strong negative influence on was founded in London. This informal group of construction
the loss ratios even if no major material damage loss occurs. underwriters is promoting the Tunnel Code of Practice in the
• Over years, insurers and reinsurers did not generate sufficient worldwide markets.
premium income. This applied particularly to the soft market The international version of the code has been prepared and
period between 1995 and 2001. Only after the September 11 was released by ITIG in 2005 and is now ready for use. The most
incident in 2001, the markets hardened significantly. updated international version of the code can be downloaded
However, even today the premium income does not from the web page of the International Association of
compensate sufficiently for the losses. Engineering Insurers (IMIA) at http://www.imia.com.
• Several tunnelling projects underwritten after 2001 still have
a negative loss ratio. To everyone’s surprise though, rates and OBJECTIVES OF THE INTERNATIONAL CODE
deductibles for tunnelling projects are declining in some The main objectives of the code and the results which should be
markets. achieved can be summarised as follows:
• The wide scope of cover which insurers were willing to • the code of practice sets minimum standards for risk
accept in the past indemnified the insured far beyond the assessment and ongoing risk management procedures for
repair costs. Usually, large amounts for removal of debris, tunnelling projects, and
professional fees, loss mitigation expenses, extra charges for
• the code defines clear responsibilities to all parties involved
overtime, airfreight, etc had to be paid. Furthermore, the loss
in tunnel projects.
adjuster and expert fees for difficult tunnelling claims are
extraordinarily high. The results should be as follows:
• One of the characteristics of tunnelling claims is that the • the probability of losses shall be reduced,
repair costs always exceed the original construction costs. • the size of the losses shall be reduced,
For instance, whilst a collapsed building can be reconstructed
for almost exactly the same price, serious tunnelling losses
• insurer’s confidence to continue underwriting tunnelling
projects should be reinstated, and
have usually several times higher repairs costs than the
original construction costs. • ‘best practice’ should be introduced into worldwide
tunnelling markets.
• In view of the reliable payments from insurers, many
employers and their contractors considered Construction All The structure of the code of practice is quite simple. In the first
Risk insurance as the cheapest available risk management two chapters, the general objectives are defined and insurer’s
tool. expectations in terms of compliance with the code are specified.
In the introductory section, Section 3, it is stated that hazard
• Consequently, tunnelling insurance became and still is a
identification and the management of risk to ensure their
notoriously unprofitable business for insurers.
reduction to a level ‘as low as reasonably practicable’ (ALARP)
shall be integral with considerations made in the planning,
OPTIONS AND THE WAY FORWARD design, procurement and construction phases of tunnel works.
What are the insurance industry’s options and what is the Chapter 4 gives a description of the entire risk management
solution for the problem? Firstly, the industry can stop offering process. Special emphasis is given on preparation and continuous
insurance and reinsurance for tunnelling projects. Many major review of risk registers.
players have done this. However, by doing that, those contractors An important element of the code in Section 5 is the definition
and employers who have a good track record in their projects and of the responsibilities borne by the client, the project owner.
who by their own objectives have a sound risk management Chapters 6 to 9 cover the respective risk management
culture are punished. requirements during the project development stage, the contract
Once the markets hardened, the insurance industry reacted in procurement stage, the design stage and the construction stage
the typical way: premium rates and deductibles were increased until the final handover.
and the cover was restricted. Consequently, some projects
remained uninsured because contractors were unable or THE WAY FORWARD
unwilling to pay the high insurance premium.
From the very beginning, it was clear to the authors of the code
What is the alternative though? The problems need to be that it can only become a success if it is widely recognised by all
tackled with a professional approach which is sustainable for all parties involved in tunnelling projects. Therefore, ITIG was
involved parties. Construction and insurance industries jointly seeking support from ITA and IMIA once the draft international
need to find a way to implement better risk management and by version was available.
that better loss mitigation strategies. In that respect, the Joint
Code of Practice for Risk Management of Tunnel Works is a Both ITA and ITIG worked hard and provided significant
contributions to the document. By December 2005 an agreed
professional approach.
version was reached. As in most difficult negotiations,
The initial version of the Code of Practice was developed in the compromises were made on both sides, but the parties have
London Market. It was a joint initiative of London-based insurers agreed to continue to discuss the code and other important risk
and reinsurers and the British construction industry with the management methodologies that would benefit all parties. The
ultimate target to impose best practice into the tunnelling industry. main differences between the draft and the final version is that
The United Kingdom version of the code was officially now the code is intended as a framework to be followed by the
released by the British Tunnelling Society (BTS) in September insured and insurers and a different perspective on compliance
2003. After that, the code has been applied on a number of tunnel was adopted. It was also acknowledged that it is difficult for one
projects in the UK. The level of acceptance in this key tunnelling document to be uniformly applied to all geographical and work
market is remarkably high, both project owners and contractors situations.
know that without the code it is practically impossible to procure For each particular tunnel project the code would allow
insurance cover. specific editing depending on national regulations, etc in force in

THE CODE OF PRACTICE FOR RISK MANAGEMENT OF TUNNEL WORKS
the country where the project was being constructed. Some of the Another example is the Marmaray Project in the Turkish city
wording was also changed to reflect the intention to use the of Istanbul. It can be considered one of the most technically
international code as a framework. challenging infrastructure projects currently under construction.
The foreword of the current published version acknowledges The project is funded by Japanese banks and the civil works
the contribution made by ITA during the preparation of the contract has been awarded to a Japanese-Turkish joint venture.
international code. ITIG will maintain regular dialogue with ITA The estimated total investment is US$2.6 billion.
to update the code as appropriate based on current and future For this project, the lead reinsurer has appointed a most
experience in applying the code on tunnel projects. In turn, ITA experienced tunnelling consultant as the insurance risk manager.
has acknowledged the initiative of ITIG in promoting risk His main task is to monitor all the requirements the tunnel code
management for tunnel projects and is asking all of its working
of practice imposes on owner, designer and contractors. He is
groups and members to address risk management issues in all
visiting the project in regular intervals (up to four times a year).
their work and to do everything possible to minimise accidents in
He will be joined regularly by the lead reinsurer’s own tunnelling
the future.
specialist.
Likewise, the document has been fully endorsed by the
International Association of Engineering Insurers, being the After the catastrophic loss at Nicoll Highway, a risk
equivalent head organisation of the insurance industry. management system in line with the code has been introduced
into all subsequent phases of the Circle Line Project and will also
At the moment, ITIG is in the process of introducing the code
be applied for the realignment project. Again, an experienced
into the international markets. Meanwhile, the code has been
tunnelling specialist will monitor the tunnel code of practice
translated into Spanish, German, Portugese, Russian and
requirements and respective compliance.
Chinese; a French translation is under preparation.
The Shanghai Chongming Crossing is currently one of the
The author is proud to say that within ITIG, Munich Re has
largest infrastructure projects in China. It features construction of
taken the responsibility to promote the code in the Asia-Pacific
9 km long, twin-tube tunnels and a 10 km long bridge which is
markets. Opportunities such as the Australian Tunnelling partly cable-stayed. The project is deploying two slurry tunnel
Conference are most welcome and highly appreciated. boring machines with a diameter of 15.5 m, the biggest ever
Some examples of projects in which the code has been used.
implemented recently are given below. All projects are well For this project, the tunnel code of practice has been
progressed and tunnelling works so far have been very
introduced for the first time in Mainland China. However, the
successful. Therefore, it cannot be said yet whether the
code will not only apply to the tunnel works, but rather to the
application was successful. However, it can be observed that the
entire project.
contractors have introduced a comprehensive risk management
program in accordance with the code. At the same time, insurers
have installed an active monitoring program in order to check the CONCLUSIONS
insured’s compliance with the code.
The conclusions of the paper can be summarised as follows:
The Kowloon Canton Railway Corporation in Hong Kong can
be considered one of the most professional and proactive • The risk exposure in tunnelling projects is extremely high
employers in Asia. Consequently, its management agreed at a due to various factors.
very early stage of the project to implement the code. • The tunnelling industry has been affected by catastrophic
This project is a connection between the existing east and west losses since the early 1990s.
trail networks in South Kowloon. It consists of 3.6 km of tunnel • This led to a situation when procurement of construction all
built by TBM and cut-and-cover methods. The TBM contract is risk insurance became almost impossible because several
carried out by a joint venture led by Australian contractors. insurers and reinsurers withdraw from the market.
In terms of risk management, insurers have nominated a most
experienced risk engineer who previously held senior positions • Construction and insurance industries reacted by introducing
within KCRC and other top construction organisations. He is the Joint Code of Practice for Risk Management of
closely monitoring the requirements of the tunnel code of Tunnelling Works, which is considered to be a most suitable
practice, especially the risk registers and risk mitigation risk management framework for tunnelling projects.
measures. Together with two risk engineers from the lead • This code shall become compulsory to procure insurance
insurers, he will conduct regular site inspections to check the cover for tunnelling projects. By that, it should introduce
conditions on site and will work out recommendations for risk ‘best practice’ and consequently highest possible risk
improvement and follow up their implementation. management standards into worldwide tunnel projects.

Recent Developments in Tunnel Fire and Life Safety Standards
and Guidance
J Munro1
ABSTRACT Formation of the Standards Australia Tunnel Fire

Currently an Australian Standard for tunnel fire safety is being developed Safety Technical Committee
for road and rail tunnels. Other local guidance relating to tunnel fire safety The essential characteristic of the tunnel fire safety standards
that has recently become available includes publications by both the Roads technical committee is that membership is balanced and that it
and Traffic Authority and RailCorp of New South Wales. represents the broadest possible spectrum of interests. Each
Internationally, the World Road Congress has completed its 2004 - committee has an unpaid external chairperson. Standards
2007 cycle, which has resulted in a number of publications. Australia nominates one of its staff project managers to be
International developments in rail guidance include a new European committee secretary, responsible for coordinating committee
Standard regarding fire safety in railway tunnels that will come into effect work and ensuring the draft’s standard, which emerges from the
in July 2008. In addition, the National Fire Protection Association committee work, follows the basic principles of standardisation.
committee NFPA 130 are in the process of revising their standard for fixed
guideway transit and passenger rail systems, which is due for publication in The make up of the Standards Australia Tunnel Fire Safety
late 2009. Committee includes:
This paper outlines the status of these and other recently published • regulatory and controlling bodies,
relevant local and international fire safety guidelines and their implications
for tunnel projects in Australia. • user and purchasing bodies,
• independent professional and technical bodies,
STANDARDS AUSTRALIA TUNNEL FIRE SAFETY • manufacturers/suppliers, and
• research and academic organisations.
Background The organisations represented include:
Standards Australia was established in 1922 and is recognised • Roads and Traffic Authority (RTA) (regulator),
through a Memorandum of Understanding with the • Australian Tunnel Operators Association (independent),
Commonwealth Government as the peak non-government
standards development body in Australia. They develop and • Queensland Main Roads (regulator),
maintain around 7000 Australian Standards and related • Main Roads Western Australia (regulator),
publications, which are prepared by over 1500 committees • Austroads (regulator),
involving more than 8000 committee members.
The process of developing an Australian Standard is based on
• Transport Infrastructure Development Corporation (regulator),
transparency, consensus and stakeholder representation from • Rail Corp New South Wales (regulator),
interest groups including governments, industry bodies, trade and • Engineers Australia (user),
professional associations, academia and consumer groups.
• Australasian Fire Authorities Council (regulator),
In February 2007 the first meeting of the newly formed Tunnel
Fire Safety Committee was held. • Society of Fire Safety (independent),
• Warrington Fire Research (research),
Development process • Australian Automobile Association (user),
The development process for the tunnel fire safety Australian • Risk Management Institute Australia (independent),
Standard is defined in order to ensure that the standard will: • CSIRO (research), and
• be a credible document, • Fire Protection Association Australia (independent).
• have the support of the community, and Contact has also been made with representatives from the
• be developed in an open and transparent manner. World Road Congress (PIARC) and the National Fire Protection
Association to receive input from those organisations.
Research was undertaken to address the issues:
• Is there genuine community support for the standard? Terms of reference
• Will it improve economic efficiency? The terms of reference was agreed at the first meeting of the
Standards Australia Tunnel Fire Safety Committee members as:
• Can it show a cost benefit?
Standardisation relating to fire safety measures
• Is it in our national interest?
to provide safety for the public, operators and
Once research had established support for these issues the emergency services of road, bus and rail tunnels,
tunnel fire safety standard development project was approved by including tunnel design, construction,
a Technical Committee and Standards Sector Board. commissioning, maintenance and emergency
management and response.
It was confirmed that there would be three different parts of
the proposed standard(s):
1. Tunnels Systems Executive, Parsons Brinckerhoff, GPO Box 5394,
Sydney NSW 2001. Email: jmunro@pb.com.au • tunnel fire safety, part 1 – road tunnel;

J MUNRO
• tunnel fire safety, part 2 – rail tunnel; and The committee will then vote on the final draft. For the
standard to be published, the ballot must demonstrate substantial
• tunnel fire safety, part 3 – bus tunnel. agreement with no major dissenting interests.
Preliminary draft The published standards
The Tunnel Fire Safety Committee is obliged to ensure that the
A final process approval is then given by the relevant Standards
proposed standard will in no way act as a barrier to trade,
Sector Board on behalf of the Council of Standards Australia,
competition or innovative development, before any drafting work
and the standard will then be ready for publication. It is
is undertaken. It is also strict policy to adopt international
anticipated that it will be mid 2009 before the tunnel fire safety
standards to the maximum possible extent. In the absence of an
standard is published.
appropriate international standard existing, and after verification
that the proposed standard will in no way be anti-competitive, the Consensus in standardisation is the process through which a
committee proceeds to prepare a draft for a new Australian technical committee, consisting of many different and sometimes
standard. opposed interests, arrives at a general agreement on the content
and requirements of a standard.
Review was undertaken of relevant local and international
standards including: The technical committees are under an obligation to work
towards consensus. This distils opinions from many different
• National Fire Protection Association Standards, points of view and allows a broad-based agreement to emerge. In
• Australasian Fire Authorities Council Guidelines, turn, this produces a standard which best matches the needs and
• World Road Congress (PIARC) Standards, values of our society as a whole, and due to representation of a
range of parties, broad community acceptance is assured.
• International Fire Engineering Guidelines, and
• Roads and Traffic Authority Tunnel Guidelines. The legal status of Australian standards
It was agreed by the committee that although the above Standards Australia is an independent organisation and their
standards and guidelines were relevant they did not provide standards are not legal documents. However, because of their
consolidated national guidance for Australian conditions. convenience and the willingness of all parties to adopt them,
The drafting of the Standards Australia Tunnel Fire Safety many of the documents are called up in federal or state
Standard is well underway. The committee members agreed the legislation, with the result that they then become mandatory.
following draft framework of proposed tunnel standard(s) that Currently about 2400 of their 8000 standards are mandatory;
should be considered by the working groups while drafting the however, most are used voluntarily.
standards:
• section 1 – scope and application, RECENT AUSTRALIAN ROAD AND RAIL TUNNEL
• section 2 – fire safety objectives, GUIDELINES
• section 3 – tunnel design features, Roads and Traffic Authority road tunnel design
• section 4 – performance/operational/functional and safety guideline
requirements,
The Roads and Traffic Authority (RTA) is developing a road
• section 5 – fire risk management, tunnel design guideline for road tunnels in New South Wales.
• section 6 – fire safety measures, This guideline is to be divided into a number of sections based
• section 7 – fire protection system design/system integration on physical tunnel structure and tunnel systems. One of these
human-machine/component interface, sections is ‘fire safety design’ and was published in 2007. The
fire safety design component of the guideline is further divided
• section 8 – installation and construction, into three parts:
• section 9 – commissioning and testing, • part 1 – concept design,
• section 10 – maintenance, and • part 2 – development of a scope of work and technical
• section 11 – emergency management and fire brigade criteria, and
intervention. • part 3 – design development.
Working groups were established to produce the above Part 1, ‘concept design’, provides guidance for the
sections. Five committee meetings have taken place from development of a concept design for a fire safety system for the
February 2007 to March 2008. Outside of those committee tunnel. The fire safety concept design is then used as a basis to
meetings the working groups and subcommittees have also been develop relevant documentation for the regulatory planning
meeting to progress drafting of the standard. approval process. The concept design is also used to prepare
contract documentation such as the scope of work and technical
Draft for public comment criteria (SWTC).
Once the draft is complete it will be published and made Part 2, ‘development of a scope of work and technical criteria’
available to the public for comment for two or three months. It is (SWTC), provides guidance for the development of the relevant
anticipated that the draft will be complete and issued for public components of the SWTC, which documents RTA’s requirements
comment late 2008. in terms of a scope of work and associated performance
standards for the fire safety aspects of the tunnel.
Consideration of comments Part 3, ‘design development’, provides guidance on the
process to be followed by the appointed contractor following
Following receipt of comments from the public they (the contract award to develop a fire engineering design. The defined
comments) will be considered in detail by the committee and, if process follows the International Fire Engineering Guidelines.
necessary, further drafting will be undertaken. The fire engineering design, which is required to meet with the

RECENT DEVELOPMENTS IN TUNNEL FIRE AND LIFE SAFETY STANDARDS AND GUIDANCE
agreement of the stakeholders, provides the basis for the WORLD ROAD CONGRESS (PIARC)
subsequent development of detailed design documentation to be
produced by the contractor in accordance with the project deed. Tunnel Operations Committee
RailCorp Infrastructure Engineering Standard – The Tunnel Operations Committee was founded in 1957 for the
Congress of Rio de Janeiro. It was called ‘Committee of the Road
Tunnels Tunnels’ until 1999. Since this date, this technical committee is
In late 2007 RailCorp published RailCorp Infrastructure called ‘Tunnel Operation Committee’. Until 2003, this committee
Engineering Standard – Structures, Tunnels, ESC 340. The carried the C5 number. Since 2004, it is indicated by the C3.3
standard specifies the design requirements for tunnels on the initials. In the 2008 - 2011 cycle the committee will be known as
RailCorp network. It includes requirements for structural design of C.4.
tunnels and for fire safety. The fire safety requirements apply to
construction of new tunnels using electric passenger rolling stock. Tunnel Operations Committee 2004 - 2007 cycle
From a fire safety perspective the standard requires that tunnels The C3.3 committee is attached to strategic topic ST3, safety and
shall be designed, built, operated and maintained in order to: road operation. The goal of ST3 is to improve the safe and
• ensure acceptable levels of fire safety are achieved for train efficient use of the road system, including the movement of
crews, rail passengers, other RailCorp staff and contractors, people and goods on the road network, while effectively
the public and emergency services personnel; managing the risks associated with road transport operations and
the natural environment.
• ensure the safety of people outside the tunnel or at connecting The terms of references of the activities of the committee for
stations or other buildings shall not be compromised in order
cycle 2004 - 2007 were:
to achieve the required level of tunnel fire safety; and
• provide safer tunnels,
• minimise the impact of fire on rail infrastructure including
tunnels and stations, and other buildings or rail rolling stock, • improve tunnel operation and maintenance,
and on the continuity of operations of railway operators. • ventilation and fire suppression, and
The standard states that the process outlined in the International • take in consideration of human factors for tunnel safety.
Fire Engineering Guidelines shall generally be followed when
developing, establishing, documenting and agreeing the fire safety See Table 1 for an outline of the strategies and outputs
design for new tunnels or extensions to existing tunnels. associated with the terms of reference.
In addition to designs being required to follow a fire The outputs of PIARC during the 2004 - 2007 cycle were
engineering process the RailCorp standard provides a set of preparation and publication of a number of documents. This
specific requirements relating to tunnel fire safety. These include output included publication of a special issue of the PIARC
guidance on; design fires, fire resistance requirements, fire journal Routes/Roads devoted to ‘fire safety in tunnels’ (No 324
detection and suppressions, emergency lighting and ventilation. – October 2004). This issue included the following articles:
The standard also provides guidance on tunnel access and egress • a comparative analysis of the Mont Blanc, Tauern and
arrangements including the use of walkways. Gotthard tunnel fires;
TABLE 1
Strategies and outputs of PIARC Tunnel Operations Committee 2004 - 2007.
Strategies Outputs
Provide safer tunnels
Investigate an integrated approach to road tunnel safety Guidance on principles and organisation of tunnel safety
Study the application of risk analysis Recommendations for use of risk analyses
Study international harmonisation of safety facilities and signage Proposals for harmonised national practices
Review improved means to detect incidents, alert and guide users Recommendations on measures and equipment
Improve tunnel operation and maintenance

Review tunnel management systems Guidance to help operators to implement a management system and the
corresponding tools
Analyse operation of urban tunnels with high traffic Recommendations to operators including maintenance works and selection
of equipment
Promote and follow-up policy on dangerous goods in tunnels Better use of the quantitative risk assessment and decision support model
softwares
Ventilation and fire suppression
Investigate pollution inside tunnels and at portals Guidance on management of tunnel pollution
Study operation strategy for tunnel ventilation Recommendations on ventilation control during normal operation and
during fires
Assess fixed fire extinguishing systems
Take in consideration human factors for tunnel safety
Better understanding of user behaviour in tunnels Lessons for tunnel design and operation
Improving user behaviour Teaching guide for driving schools
Guide for training operators and information document for intervention Improving behaviour of operators and emergency teams
teams

J MUNRO
• the latest PIARC road tunnel fire and smoke control • issue C.4.3 – optimise tunnel ventilation and mitigate fires;
publication; and and
• PIARC design criteria for resistance to fire for road tunnel • issue C.4.4 – evaluate, organise and communicate knowledge
structures. on tunnel operation and safety.
Articles were also published on behalf of C3.3 by members of See Table 2 for an outline of the strategies and outputs
its working groups in other issues of Routes/Roads including: associated with the terms of reference.
• quantitative risk assessment model for dangerous goods
transport through road tunnels (No 329 – January 2006), and RECENT INTERNATIONAL ROAD AND RAIL
• effect of pavement on fires in road tunnels (2007). TUNNEL GUIDELINES
Five technical reports were published during the cycle 2004 -
2007: European technical specification of
interoperability, safety in railway tunnels
• traffic incident management systems used in road tunnels
(WG 4 - 2004), The Commission of the European Communities has agreed to
adopt a technical specification of interoperability (TSI) relating
• cross-section design for bi-directional road tunnels (WG 4 - to ‘safety in railway tunnels’ in the trans-European conventional
2004),
and high-speed railway system. (The full title of the TSI is:
• road tunnels: emissions and air demand for ventilation Directive 2001/16/EC – Interoperability of the trans-European
(WG 6 - 2004), Conventional Rail System, directive 96/48/EC on the
• good practice for the operation and maintenance of road interoperability of the trans-European high speed rail system,
tunnels (WG 1 - 2005), and technical specification for interoperability, subsystems:
‘infrastructure’, ‘energy’, ‘operations and traffic management’,
• systems and equipment for fire and smoke control in road ‘control-command and signalling’, ‘rolling stock’, aspect: ‘safety
tunnels (WG 6 - 2007). in railway tunnels’.)
Seven new technical reports were drafted by the working From 1 July 2008 a technical specification for interoperability
groups, discussed and approved by C3.3 and submitted for (‘TSI’) relating to safety in railway tunnels comes into effect in
publication prior to the Paris World Congress: Europe. The TSI applies to all European Union member states. It
• guide for organising, recruiting and training road tunnels’ covers the prevention and mitigation of accidents in tunnels,
operating staff (WG 1); especially those originated by fire hazards.
• integrated approach to road tunnel safety (WG 2); The objectives of the TSI are to:
• risk analysis for road tunnels (WG 2); • harmonise the currently practiced safety measures and
technical rules in order to permit interoperability and to offer
• human factors and road tunnel safety regarding users (WG 3 a similar approach for safety and safety measures to
and 4); passengers all over Europe, and
• direction signing on a route incorporating tunnels (WG 4); • guide the technical progress in tunnel safety towards
• road tunnels: a guide to optimising the air quality impact harmonised and cost-effective measures.
upon the environment (WG 6); and The TSI applies to:
• road tunnels: an assessment of fixed fire fighting systems • new, renewed and upgraded railway systems; and
(WG 6).
• tunnels with small or large traffic volumes.
Tunnel Operations Committee 2008 - 2011 cycle The TSI prescribes minimum requirements and TSI conformity
does not constitute per se a guarantee of safe operation.
The PIARC strategic plan for 2008 - 2011 sets the organisation
structure of the technical committees according to four strategic Application of the TSI assumes that the pure railway risks are
themes: covered by appropriate measures, derived generally from the
safety standards applying in the rail industry, and reinforced by
• strategic theme A – sustainability of the road transport other TSIs which are being finalised or will be mandated to the
system, European Railway Agency.
• strategic theme B – improving provision of services, European Member states must verify, whenever they open a
• strategic theme C – safety of the road system, and new tunnel, or when interoperable trains are running into
existing tunnels, whether the local circumstances require
• strategic theme D – quality of road infrastructure. additional measures to those specified in the TSI.
The C3.3 Tunnel Operations Committee has been renamed C.4 Deviation from the TSI requires input from the European Rail
in the new 2008 - 2011 cycle. The C.4 committee is attached to Agency who will finalise the appropriate functional and interface
the strategic theme C ‘safety of the road system’. The goal of specifications.
strategic theme C is to:
The TSI prescribes design provisions for both rolling stock
improve the safety and efficiency of the road and tunnel infrastructure. The following is a summary of the
system, including the movement of people and infrastructure:
goods on the network, while effectively managing
• For the installation of safety equipment in tunnels, allowance
the risks associated with road transport
shall be made for the actions of aerodynamic effects produced
operations and the natural environment.
by passing trains.
The terms of reference of the C.4 are: • Minimise number of switches and crossing layouts.
• issue C.4.1 – manage and improve tunnel safety; • Prevent unauthorised access to emergency exits and
• issue C.4.2 – improve tunnel operation and maintenance; equipment rooms.

TABLE 2
Strategies and outputs of PIARC Tunnel Operations Committee 2008 - 2011.
Strategies Outputs
Manage and improve tunnel safety
Identify priorities and methods for improving safety in existing tunnels, Report summarising the priority areas on the basis of cost-effectiveness and
including infrastructure, prevention and operation. describing the practicalities of delivering improvements.
Finalise the study of responsibilities in tunnel safety management, Recommendations on organisation and procedures for tunnel safety
including organisation of tasks and necessary skills. management, including role and skills of players.
Develop recommendations for risk analysis and investigate strategies for Guidelines for risk analysis and state-of-the art risk acceptability.
risk evaluation. Investigate harmonised means to influence users’
behaviour in tunnels.
Guidelines on drivers’ education and real-time communication with tunnel
users.
Improve tunnel operation and maintenance
Develop procedures to improve tunnel operation based on training, Guidelines on tunnel staff and emergency team training, exercises and
exercises and analysis of incidents, traffic and maintenance. feedback from operation and incidents.
Benchmark experience on tunnel inspection and maintenance organisation. Recommendations on management of maintenance and inspections.
Optimise tunnel ventilation and mitigate fires
Update the demands for ventilation in response to new reductions of New data on vehicle pollutant emissions, including new pollutants and
pollutant emissions and consideration of new pollutants. recommendations on ventilation systems.
Investigate fire test data and new regulations in order to finalise the update Updated recommendations on design fires for road tunnel ventilation.
of design fires.
Follow up new developments of fixed fire fighting systems and their Guidelines on applicability, cost-effectiveness and operation of fixed fire
application. fighting systems.
Evaluate, organise and communicate knowledge on tunnel operation and safety
Identify needed information and scrutinise contents of existing World Road Produce a general table of contents, links to relevant documents and needs
Association reports and other reports. for future work.
Organise the document(s) produced by the Committee (eg tunnel manual Develop a document presenting in a systematic way, eg available
for practitioners or guide for non-specialists). knowledge for specialists or practical information for non-specialists.
• Fire performance of the finished tunnel surface shall • For tunnels more than 100 m in length escape signage
withstand the temperature of a fire according to the specified indicating emergency exits, position of safety equipment and
EUREKA-curve for a particular duration of time. distance and direction to a safe area shall be installed on
sidewalls at 50 m intervals and designed to requirements of
• Material for the tunnel substructure shall fulfil the Directive92/58/EC of 24 June 1992 and ISO 3864-1.
requirements of classification A2 of EN 13501-1:2002,
non-structural panels and other equipment shall fulfil the • Radio communication between train and control centre be
requirements of Classification B of EN 13501-1:2002. provided with GSM-R and continuity be provided permitting
rescue services to communicate with their command
• Technical rooms shall be equipped with detectors which alert facilities.
the infrastructure manager in case of fire.
• Rescue services shall be able to enter the tunnel via access
• Provision of facilities to allow for self-rescue and evacuation routes at least 2.25 m high and wide.
of people and allow rescue services to rescue people.
• Rescue areas of minimum 500 m2 shall be provided near
• Lateral and/or vertical emergency exits to the surface – 1.5 m tunnel at access roads; existing roads can be considered as
wide emergency exits to the surface shall be provided at least rescue areas.
every 1000 m and be equipped with lighting and signs.
• Water supply with minimum capacity of 800 litres per
• 1.5 m wide cross passages between adjacent independent minute for two hours shall be provided at access points via
tunnels shall be provided at least every 500 m and be any water source of minimum 100 m3.
equipped with lighting and signs.
• For tunnels more than 5 km in length, traction energy supply
• Alternative technical solutions providing a safe area with a systems shall be divided into sections not exceeding 5 km.
minimum equivalent safety level are permitted if agreed with Remote control and switching of each ‘switching section’
by the relevant national authority. shall be provided with a means of communication and
lighting provided at the switching location.
• For tunnels more than 500 m in length, 0.75 m wide
walkways with handrails leading to a safe area shall be • Earthing devices either fitted manually or by remote
constructed in single track tunnels on at least one side, and in controlled fixed installations shall be provided at tunnel
double track tunnels on both sides. access points and close to separation points between sections.
• For tunnels more than 500 m in length emergency lighting • Electricity power distribution systems shall be suitable for
with a luminance of at least one lux at walkway level and rescue services’ equipment in accordance with the tunnel’s
availability for at least 90 minutes shall be provided to guide emergency plan.
people to a safe area. It shall be possible to switch on • Exposed cable requirements are fulfilled by compatibility
manually at 250 m intervals inside the tunnel and by the with EN 50267-2-1 (1998), EN 50267-2-2 (1998) and EN
tunnel operator using remote control. 50268-2 (1999).

J MUNRO
• Electrical installations relevant for safety shall be protected NFPA 130 task groups
against damage due to impact or heat. Electrical supply shall
There are several task groups within NFPA 130 considering a
be capable of full operation in event of the loss of any one
major element. Emergency lights and communication range of issues. The following lists a number of those issues
systems be provided with 90 minutes backup. under consideration for the next update to NFPA 130.
• Hot axle box detection shall be installed on networks with
tunnels at strategic positions for high probability to detect a
Emergency exiting
hot axel box before a train enters the tunnel. • Exiting calculations will be allowed to take credit for
• Rolling stock design depends on the length of the tunnel. For upwards moving escalators;
tunnels that are required to operate in tunnels greater than • engineering analysis will be allowed to revise time and travel
5 km in length fire barriers are to be provided to facilitate the distance;
protection of passengers from the effects of heat and smoke
on board a burning train for 15 minutes. • width of walkway clarified:
• 610 mm at floor,
PIARC fire and smoke control in road tunnels • 760 mm at 1420 mm, and
As referred to above the PIARC Tunnel Operations Committee • 610 mm at 2050 mm;
was active in its 2004 - 2007 cycle publishing a number of
• allow elevators to account for 25 per cent of emergency
documents. From a fire and life safety perspective the relevant
exiting, special features required; and
technical report published was; ‘Systems and Equipment for Fire
and Smoke Control in Road Tunnels’, 2007. This technical report • clarified that cross passages are not required to have doors
was drafted as a companion to the 1999 PIARC technical report wider than 1120 mm.
‘Fire and Smoke Control in Road Tunnels’. The technical report
contains: Ventilation
• basic principles of smoke and heat progress at the beginning • Many changes in wire and cable testing standards to conform
of a fire; with latest test procedures. These changes were added to
• safety concepts for tunnel fires; Chapter 5 (Stations), Chapter 6 (Trainways), Chapter 7
• lessons learned from recent tunnel fires, which include: (Ventilation) and Chapter 8 (Vehicles).
• the impact of tunnel geometry, • Use of point extract (semi-transverse) ventilation systems
similar to Bay Area Rapid Transit permitted.
• traffic flow implications,
• Added wording clarifying air velocity criteria and the fact it
• safety facilities, does not apply to spaces not used by people during
• management of fires, emergencies.
• ventilation operation, and • Reworded definitions of open, partially enclosed and
• user behaviour; enclosed stations to better explain intent and to allow easier
interpretation of CFD analysis.
• ventilation;
• Added language requiring special provisions must be made if
• emergency exits; freight trains are to operate through rail passenger tunnels.
• fire specific equipment design criteria for structure resistance • Added language to recognise effect of low ceilings on smoke
to fire; and layers.
• operational responsibilities for emergencies. • Added language allowing pocket and storage tracks to not
The technical report also includes a list of proposals for meet emergency ventilation requirements if an engineering
potential future work relating to fire and smoke control in road analysis demonstrates no decrease in passenger safety.
tunnels including:
• Added language clarifying that a time of tenability must be
• documentation of how the fan system is regulated and how established.
the control equipment functions during a fire,
• Added language stating the ventilation system must operate
• consideration of how much backlayering of smoke can be at its design capacity for the time of tenability or one hour,
tolerated by escaping motorists, whichever is greater.
• standardisation of in situ fire tests for all tunnel ventilation • Added language acknowledging there may be tenability
system types to permit easy comparison of results, violations prior to fan activation.
• evaluation and ability to control and measure tunnel airflow
velocity and direction during a fire, and Vehicles
• establishment of safety performance standards to use in risk
assessment methods. • Car floor fire burn-through times are increased to a minimum
of 30 minutes, and
NFPA 130 standard for fixed guideway transit and • it is recommended car floor burn-through test be carried out
passenger rail systems, 2010 edition until failure.
In January 2008 the NFPA 130 committee met to consider 250 Emergency response
changes proposed to the current 2007 edition of NFPA 130. In
June 2008 the draft of the next edition will be open for public • A proposal to add sprinklers to stations rejected 29-1 because
comment. The next committee meeting to consider the comments no substantiation was provided. The author of the proposal
received will be in October 2008. can try again in October 2008 meeting.

Controls systems reliability Internationally, the World Road Congress has been active in
their 2004 - 2007 cycle in publishing guidance on road tunnel
• Language has been added concerning reliability and fire safety. The 2008 - 2011 cycle is currently underway.
availability of:
Also internationally, regarding rail tunnel fire safety, the
• equipment control systems, Commission of the European Communities has an agreement to
• train control systems, and adopt a Technical Specification of Interoperability (TSI) relating
• communications systems. to ‘safety in railway tunnels’ and will come into effect on 1 July
2008. In addition the National Fire Protection Association in the
United States is concluding their 2010 edition of NFPA 130
Fire heat and smoke release rates standard for fixed Guideway transit and passenger rail systems.
• Two proposals were made for NFPA 130 to provide guidance The 2010 edition of NFPA 130 is anticipated to be published in
for estimating train and wayside fire heat and smoke release September 2009.
rates. Both were rejected. Each of the above guidelines carries with it an implication for
Australian tunnel projects. The recently published standards
CONCLUSIONS provide designers with an insight into processes and measures
that specific regulators or professional organisations consider
There have been several recent developments both locally and appropriate for their circumstances. They are useful documents
internationally in tunnel fire safety standards and guidance. Of to inform designers but they are not a substitute for the first
local significance is the Australian Standard currently being
principles design approach that is currently necessary when
drafted for tunnel fire safety of road, rail and bus tunnels and is
designing tunnels for fire safety.
expected to be published in late 2009.
Other local developments regarding tunnel fire safety
standards in New South Wales include publications by the Roads
and Traffic Authority (RTA) and RailCorp.

The Use of Risk Analysis to Achieve Consistency in the Fire and
Life Safety Design of Road Tunnels
L Poon1
ABSTRACT performance-based design approach for tunnels. However, there

are a number of important design differences between buildings
According to the Australian Bureau of Statistics, fatalities from road
transport accidents represented an average of over 97 per cent of all and tunnels.
transport related accidents between 1997 and 2002. With increasing The fire safety engineering design requirements for road
traffic density, tunnels are becoming a more viable means of providing tunnels differ significantly from those of buildings. In building
alternative travel routes to ease areas of congestion in the road transport fire safety engineering design, analytical methods are employed
network. However, unlike open road conditions, a fire incident in the to determine the impact of the fire to the environment, which are
confined space of a tunnel environment may impact upon many users that then usually assessed against the time required to evacuate the
are remote from the incident location. In this context, designing for an building in what is usually known as the ‘ASET>RSET’
appropriate level of safety in tunnels is therefore an important
approach, where ASET and RSET stand for Available and
consideration for achieving consistency in the life safety measures for
users of the road transport network. Unfortunately, like fire safety Required Safe Egress Time respectively. Although the analytical
engineering design for buildings, there are presently no clear measures in methods may be reasonably well established, there still exists a
the design processes to assess the adequacy of the design in terms of significant variation in the determination of the relevant input
attaining the level of safety implicated in the design objectives. This is design parameters as well as the acceptable margin of safety that
partly due to the indeterminate nature in which the design objective or the determines the adequacy of the design towards achieving its
level of performance measure is stated – the intent of the objective is intended objective. As a consequence, building designs have a
relatively clear but the measure of it is not. Another reason is the lack of a relatively high degree of variation in its inherent level of safety.
standardised procedure for determining the critical design variables In addition, although the demonstration of ASET>RSET in
affecting life safety. This is important to ascertain consistency in the use building design is usually sufficient to indicate acceptance of the
or adoption of the important parameters for design.
validity of the Alternative Solution approach using fire
This paper looks at the processes involved in the fire engineering engineering techniques that is permitted in the Building Code of
design of road tunnels that are currently practised. A review of the design
processes for fire safety in road tunnels is provided, which includes the
Australia (BCA) (Australian Building Codes Board, 2007), such
range of fire scenarios in a tunnel environment, the traffic flow and an approach may not be readily considered sufficient or adequate
composition, the relevant fire protection systems, the ventilation and when designing for fire safety in road tunnels.
smoke control system, the egress provisions and the benefits of
incorporating fire brigade intervention. A simplified risk assessment REGULATORY PROCESS
approach is developed for a typical road tunnel to assess and evaluate the
impact of a range of design parameters on life safety. Using a sensitivity The main sources of design standards for road tunnels include
technique, the important variables are then identified and means of the NFPA 502 (2004), BD 78/99 (1999) and the EU Directive
reducing design variations associated with them are recommended. The (2004). There are also authoritative guidelines such as those
technique may be further refined for use in the development of codes or released by AFAC (2005), PIARC (1999) and those issued by
guidelines in order to develop a suitable means of deriving more
consistent design values, and hence achieve better consistency in the various European countries.
overall level of safety in the design. The objectives stated in these standards and guidelines are
generally consistent, for example:
BACKGROUND • establish minimum criteria that provide protection from fire
and its related hazards (NFPA 502), and
There are a number of guidelines for the design of tunnels for
fire safety. However, much of the available documentation for the • save lives by making evacuation of users possible (PIARC).
design of tunnel fire safety is still largely prescriptive-based, ie To achieve its objective, NFPA 502 establishes minimum
safety requirements are specified. A truly performance-based requirements, whilst PIARC provides suitable design
design methodology for tunnels (where safety requirements are recommendations. However, both are effectively a prescriptive
designed to meet a set of performance requirements), particularly approach such that by meeting the design provisions or
to achieve adequate levels of fire safety, does not yet exist. The recommendations, the stated objectives are considered to have
tools and methodology for the assessment are available to a large been achieved. There are no processes by which a particular
degree, but there is no consensus for which the set of design strategy can be directly assessed to demonstrate that the
performance criteria is to be established. Hence, without a clear intended level of safety has been achieved.
design goal, it is unclear what level of fire safety current design This is a similar approach to the one adopted for building
solutions for tunnels actually provide to the community. codes. For example, in the BCA, the design objective for fire
This issue is not unique to tunnels. Whilst performance-based resistance is couched as ‘safeguard people from illness and
fire safety engineering design for buildings has been relatively injury due to a fire in a building’. Hence, while the intent of the
active over the past decade, it has managed with just a qualitative design objective is clear, the measure of its achievement is
set of performance requirements. In addition, because the subject to interpretation.
performance-based design approach for fire safety has been
The BCA also permits a performance-based approach to the
practiced much more widely for buildings, the design approach
design provided it achieves the Performance Requirement
has recently been adopted for tunnels as a means of applying a
Provisions of the code. Guidance to providing a performance-
based fire safety engineering solution is provided in the
1. National Manager – Fire Performance Engineering, Meinhardt International Fire Engineering Guidelines (Australian Building
Australia Pty Ltd, Level 12, 501 Swanston Street, Melbourne Vic Codes Board, 2005). However, it still lacks specifications for
3000. Email: Leong.Poon@meinhardtgroup.com acceptance criteria and recommends that these be determined

L POON
from discussions with stakeholders. Hence engineers are required DESIGN FRAMEWORK
to make critical decisions on the appropriate design criteria, or
critical design variables affecting performance levels, in order to The important components of the design framework are discussed.
demonstrate that the proposed design has achieved a satisfactory
level of safety. Inevitably, the resulting safety levels from various Fire characteristics
designs achieved through this process will lack consistency.
The fire characteristics in a road tunnel are uniquely different
from those in buildings. The main fire load in a road tunnel is the
Design processes component of the traffic itself and there is likelihood for the fire
The major factors influencing life safety in road tunnels were to spread along the vehicles due to the effects of fire in the
expressed by the United Nations Economic Commission for confined space. Unlike building fires, a vehicle fire may still be
in motion within a tunnel and the air in the tunnel may also be
Europe (UNECE) (Pesut and Smith, 2004) to be categorised by
flowing due to the operation of the mechanical ventilation
four main groups as shown in Figure 1. system. The dynamic nature of the fire and its severity therefore
needs to be carefully considered.
In a building fire safety system, the provision of sprinklers is
Road users Operation usually mandated in configurations considered to be of a
relatively high risk. For example, buildings higher than 25 m are
required to be sprinkler protected. In road tunnels, access
Safety in Road difficulties faced with a potentially severe fire have effectively
Tunnels mandated a requirement for a suppression system to be installed.
However, due to its confined space, sprinklers have not always
been considered to be entirely beneficial. Concerns on the
Infrastructure Vehicles drawdown of the hot layer on the evacuating occupants,
facilitating the spread of fuel fire and the increase in mixing of
the smoke layer have been expressed as arguments against its
FIG 1 - Factors influencing safety in road tunnels (UNECE, 2004).
use. Australia and Japan are presently the two countries where an
automatic suppression system is required in longer tunnels.
However, interests are beginning to be shown in other countries.
The main design components for tunnel fire safety include the
following: Fire protection systems
• ventilation system design incorporating smoke control in an The smoke from a fire in the confined space of a tunnel is
emergency; capable of filling out the tunnel relatively quickly and may be
aided by the longitudinal flow of air in the tunnel. Motorists are
• exit points at various intervals along the tunnel, which may therefore potentially subjected to exposure to the rapid
comprise cross passages, stairs and refuge areas; dispersion of smoke in the tunnel. Effective systems must
• a traffic incident and fire detection systems; therefore be put in place to provide adequate time for people to
• a suppression and drainage system; safely evacuate from the tunnel. These essentially include a
number of fire safety systems that are similar to building
• communication systems such as emergency telephones, radio systems, such as those described earlier in the IFEG. Whilst the
rebroadcasting; and design principals of the IFEG are reasonably universal, they were
• emergency lighting system. developed principally to address building fires. However, when
applied to tunnels, they will need to be extended to include
The design processes for fire safety in buildings are specific considerations of a fire in a tunnel environment.
categorised into six fire safety subsystems, described in the An important design prerequisite for a tunnel is the ventilation
International Fire Engineering Guidelines (IFEG) (Australian system for maintaining a safe level of pollutant concentration in
Building Codes Board, 2005) as follows: the air from the traffic exhaust fumes. A smoke control system is
A fire-initiation, development and control; usually an integral component of the ventilation system to
provide safe conditions for evacuation in the event of a fire. This
B smoke development, spread and control; often leads to a number of ventilation and smoke control strategies
C fire spread, impact and control; available from which to achieve a cost-effective solution.
D fire detection, warning and suppression;
Design processes
E occupant evacuation and control; and
The factors that have an impact on life safety in road tunnel
F fire brigade intervention. design include the tunnel length, traffic composition and flow
As design guidelines for buildings, the IFEG lacks mention of rate, fire detection and warning systems, ventilation and smoke
traffic or issues related to transport or tunnels in particular. control, fire protection systems, egress strategy and provisions
Nonetheless, the IFEG is being used widely in Australia as a for fire brigade access and intervention. Incidental factors that
basis for developing a performance-based fire engineering may also have an influence and therefore require consideration
solution for tunnels. As a result, the Road Traffic Authority include traffic management, emergency operations and
(RTA) (Callander and Munro, 2006) of New South Wales has maintenance requirements.
initiated an effort to develop a set of performance-based From a design perspective, the key input parameters and
guidelines for the design of road tunnels based on the approach system components are illustrated schematically in Figure 2.
outlined in the IFEG. The guidelines were written in an attempt The three key input parameters are:
to streamline the design process in relation to fire safety • traffic (flow rate and composition);
requirements for tunnels. This has subsequently been taken up by
Standards Australia to draft a new code on tunnel fire safety • tunnel configuration (size, length and cross-section); and
through the formation of Committee FP 023. • design fire (intensity, duration).

THE USE OF RISK ANALYSIS TO ACHIEVE CONSISTENCY IN THE FIRE AND LIFE SAFETY DESIGN OF ROAD TUNNELS
The design fire is dependent upon the traffic (fuel source), achieve consistency associated with their use are recommended.
tunnel configuration (fire environment) and potential Preliminary results from this study may also be further refined to
modifications from fire suppression means. These input derive design recommendations with suitable checks in place that
parameters largely account for the determination of the design will provide a more consistent design outcome in terms of
requirements for the fire safety systems. The three main system achieving a suitable level of performance.
design components may be categorised as follows:
• ventilation and smoke control system; Case study
• detection, warning and egress systems; and The demonstration study is based on a level two-lane
• active and passive fire protection systems. unidirectional tunnel of 1.5 km length with emergency exits
spaced at every 120 m. The traffic composition is assumed to be
These design processes primarily account for the determination a bus or truck for every 20 cars and each bus will be carrying 30
of the performance levels necessary to comply with the design passengers. Important parameters will be delineated from their
objectives, which are effectively expressed as achieving an relative impact on the overall level of life safety. The assessment
adequate level of life safety and to limit damage to the tunnel will be largely based on the indicative range of variables for the
infrastructure. However, to date, quantitative means of three main system design components. Consideration of the three
demonstrating acceptance are not available in a regulatory format. key input parameters will be accounted for by their impact on the
system design components. For example, consideration of a
severe design fire is accounted for with a corresponding lower
RISK DEMONSTRATION STUDY performance of the fire protection system.
The above design considerations are applied to a typical tunnel A simple risk event tree for a road tunnel fire resulting in
configuration to demonstrate the significance of a number of potential fatalities is shown in Figure 3. The END represents the
design variables in their impact on tunnel safety using a expected number of deaths given that a potentially significant
simplified risk assessment approach. The important variables are fire occurred in the tunnel. In this example, the default events
then identified and means of reducing design variations to and the corresponding default values are as shown in Table 1.
Tunnel
Configuration
Traffic Design Fire Pa
ss
iv
e
Ventilation
System
Ac
tiv
e
Detection &
Air Quality
Warning
Smoke Control
Fire Protection
Egress
Systems
Property
Key Input Life Safety
Protection
System Design Component Fire Brigade
Fire Safety objective Intervention
FIG 2 - Key input parameters and system design components for road tunnels.
0.005 0.005 0.25 0.00125 60 0.075

E2
Fire is not Passengers
Fire is not detected
controlled threatened
1
E1 0.95 0.94525
Fire starts in tunnel
E3
Fire is controlled
0.995 0.995 0.8 0.0398
E4
Smoke control is
Fire is detected effective (<5MW)
0.05 0.04975 0.5 0.00498 15 0.14925
Fire is not E5 Proportion threat Pass. threatened
controlled 0.2 0.00995 when FB arrives before FB arrives
Smoke control is
ineffective (>5MW) 0.5 0.00498 7.5 0.03731
E6 Fire is controlled by Passengers
0.5 0.00498 FB threatened
Proportion remain
complementary events when FB arrives 0.5 0.00498 15 0.07463
Fire is not Passengers
controlled by FB threatened
END 0.33619
FIG 3 - Simplified event-tree-based life safety risk assessment for road tunnels.

L POON
TABLE 1
Default events and values for risk event tree for road tunnel demonstration study.
Event Value Comment

E1 Fire starts in tunnel 1 A fire is assumed to occur initially
E2 Fire is not detected 0.005 Fire not detected, no warning, not controlled and overwhelms the
tunnel users unexpectedly
E3 Fire is controlled by automatic suppression system 0.95 High reliability due to minimal changes to system
E4 Smoke control is effective/fire is not controlled (<5 MW) 0.80 Considered for the period required for egress
E5 Proportion of passengers threatened when fire brigade arrives 0.50 Proportion of exposed passengers at risk to fire before fire brigade
arrives
E6 Fire brigade controls fire 0.50 Assumes that fire is well developed when fire brigade arrives
The above evaluation suggests that the risk to users of the road As with many engineering design capabilities, it is possible
tunnel (END) is estimated to be in the order of 0.336 for a fire to design the ventilation system to a prescribed specification.
occurring in a tunnel that has the potential to develop into a However, it is the ability to specify accurately what those
severe fire. The results also suggest that the least favourable specifications are that is usually the most challenging.
scenario is a combined failure of the fire (failure of suppression
system) and smoke (failure of smoke control) leading to an END
of 0.149. Using this as a relative benchmark level for safety, the
Detection, warning and egress management systems
impact of the various design processes outlined above is The emergency operation of the ventilation and smoke
evaluated. management system is initiated through a fire detection system.
A deluge system, if provided, is usually manually activated due
Evaluation of system design components to the lack of precision in the detection system in a moving air
environment.
The visibility conditions in a tunnel can deteriorate relatively
Ventilation and smoke control system rapidly and suitably effective warning and egress systems need to
The main types of ventilation system are the longitudinal, be provided. The provisions of walkways and exit points are key
transverse and semi-transverse. Longitudinal systems are often design decisions that affect the overall cost of the tunnel.
an economic solution option for uni-directional tunnels using
the concept of pushing the smoke out of the downstream end Active and passive fire protection systems
(Figure 4) assisted by the flow of traffic. A design criterion for a
longitudinal system is that ‘back-layering’ should not occur A manually operated deluge system is normally provided in
towards the upstream end of the stalled traffic. The ‘back- Australian designed tunnels. The cost-effectiveness of the system
layering’ phenomenon is the case where the smoke moves is a function of the deluge zone to be provided (typically 30 m).
against the direction of the longitudinal exhaust velocity If more zones than the design provision get activated, the water
upstream of the fire, potentially exposing the tunnel users delivery may become inadequate.
trapped behind the fire location. Where this approach is not Passive protection is provided through a fire rated lining to
feasible (eg in long tunnels), a transverse system is adopted protect the structural wall of the tunnel. The extent of the
(Figure 5). A semi-transverse system is where the ventilation is protection required will depend primarily upon the duration of
achieved through either a supply or exhaust mode. the fire exposure in the tunnel.
Upstream traffic Jet-fan in No back -layering of Downstream traffic

stalled operation smoke continues journey
Vehicle catches fire
FIG 4 - Longitudinal ventilation system using jet fans.
Upstream traffic Downstream traffic

stalled Smoke stack continues journey
Ceiling duct
Vehicle catches fire
FIG 5 - Transverse ventilation system using distributed fans.

THE USE OF RISK ANALYSIS TO ACHIEVE CONSISTENCY IN THE FIRE AND LIFE SAFETY DESIGN OF ROAD TUNNELS
Summary of system design components such an approach has been found to result in conservative
recommendations which usually result in costly design
The variation to the default values on the event probabilities are outcomes. In addition, a prescriptive approach tends to inhibit
shown in bidirectional. design flexibility and restrict innovative solutions that may be
able to achieve similar levels of safety at lower costs.
Results Alternatively, a performance-based approach is gaining greater
Based on the results shown in Table 2, the important road tunnel acceptance due to the relatively unrestricted means of
design variables for life safety, ranked in order of significance demonstrating achievement of safety level. It has been practiced
are as follows: on building design solutions for nearly ten years through the
performance-based option adopted in the BCA since 1996.
• design fire – HGV with DG (#4), However, the lack of definitive design criteria has made it
• no active suppression system (#11), difficult to verify design compliance against the required level of
• traffic flow – congestion (2×) (#2), and safety. In addition, the lack of a more regulated determination of
important design variables has also meant that the resulting
• tunnel configuration – bidirectional (#3). safety levels in design may vary significantly.
The results are not unexpected as they all represent significant A performance-based design approach for road tunnels is
road tunnel design parameters. The finding that the design fire is preferable but will require a more definitive or quantitatively
the most significant variable is corroborated by a similar finding based design criterion as a means of demonstrating compliance
for buildings where it was determined that the heat release rate, and a more regulated means of determining important design
the property characterising the design fire, is the single most variables to assure greater consistency in the design outcomes.
important variable in fire hazard (Babrauskas and Peacock, Although not formally documented, the former may be adapted
1992). from conventional criteria used in building solutions. The latter,
The quantification of the impact of these variables, achieved however, is a less established process and part of the objective of
using a simplified risk approach, has enabled them to be this paper is to provide preliminary recommendations on better
delineated and ranked. The analysis can be further refined to means of achieving consistency in determining important design
undertake a more detailed evaluation within each of these design variables. This may involve some prescriptive measures but it
parameters in order to develop a suitable means of deriving more should be formed in a manner which does not severely restrict
consistent values for design. alternative solutions. Means of reducing design variations for the
selected variables are discussed below.
DISCUSSION AND RECOMMENDATIONS
The above results have identified the variables that have a Design fire
significant bearing on the fire safety design of road tunnels. It is Similar to building design, design fires represent an important
therefore important that the determination of these design design parameter that significantly affects the level of life safety
variables be accomplished in a consistent manner, in order to but currently lack a consistent means for its determination. Fires
achieve a corresponding level of consistency in the resulting have a relatively high degree of variation due to their dynamic
level of safety in the design. characteristics, making them difficult to determine accurately.
Design consistency has conventionally been achieved to a An appropriate means of taking into account the relatively wide
large degree by legislating prescriptive provisions. However, range of possible fires is to consider a suitable range of fire
TABLE 2
Variation in system design components.
# Variation E1 E2 E3 E4 E5 E6 E7• E8• E9• END‚

1 Default 1 0.005 0.95 0.8 0.5 0.5 60 30 15 0.336
2‡ Traffic flow – congestion (2×) 2 0.9 0.6 0.6 0.4 120 60 30 4.69
3 Tunnel config – bidirectional 3 0.8 0.8 3.36
4 Design fire – HGV with DG 0.2 0.1 0.75 0.25 20.9
5 Smoke control – poor installation 0.4 0.4 0.836
6 Smoke control – good installation 0.9 0.206
7 Detection – add CCTV 0.001 0.277
8 Warning – add operator 0.25 0.318
9‡ Egress – double exit spacing 180 150 75 1.53
10‡ Egress – no walkway 0.6 90 45 23 0.516
11 No active suppression system 0 0.4 0.6 16.2
12 No passive protection system 0.6 0.4 0.350
Note: Values not shown assume the default values.

† E7 People exposed if all systems fail.
† E8 People exposed if active (smoke exhaust and sprinklers) systems fail.
† E9 People fire brigade can rescue upon arrival.
‡ END Values exceeding 2.0 are shown in bold.

L POON
scenarios. The extent of this, in terms of the magnitude and CONCLUSIONS

relative frequency, will need to be better elucidated in a more
regulated means through codes or guidelines, as a means of The fire safety design of road tunnels was reviewed with some
attaining greater consistency in the resulting design. comparisons made to building design. The issues associated with
a prescriptive or a performance-based approach in regulating
road tunnel design was discussed. An outline of the key input
Suppression system
parameters and system design components for road tunnels were
The effectiveness of a suppression system in terms of its derived. Using a simplified risk assessment approach, important
beneficial impact on life safety is well recognised in building tunnel design variables that had a significant impact on life
solutions and is also demonstrated in this study for tunnels. It safety were delineated. The results from the risk analysis suggest
would be relatively straightforward to prescribe the requirements that the design fire was identified to be the most important
of a suppression system for road tunnels. The exception may be variable considered, and a means of assuring design consistency
in relatively short tunnels and this can be evaluated on a through providing a more prescriptive approach towards
performance basis if the design fire scenarios and acceptance determining the design fire was recommended. The evaluation
criteria can be clearly expressed. may be further refined for developing design procedures suitable
for use in the development of codes or guidelines for road tunnel
Tunnel configuration design that will result in greater design consistency towards
achieving the required level of life safety.
The impact of tunnel configuration is evaluated by considering
the traffic to be bidirectional and hence increasing the risk of
accidents threefold. Tunnels with bidirectional traffic should REFERENCES
provide adequate means of separating the traffic within the tunnel Australasian Fire Authorities Council, 2001. Fire Safety Guidelines for
to reduce the likelihood of accidents. Tunnel configurations can Road Tunnels (Australasian Fire Authorities Council: Melbourne).
be prescribed for specific traffic and road layout situations to be Australian Building Codes Board, 2005. International Fire Engineering
easily incorporated into the tunnel safety assessment and design. Guidelines (Australian Building Codes Board: Canberra).
Australian Building Codes Board, 2007. Building Code of Australia
Traffic congestion (Australian Building Codes Board: Canberra).
Babrauskas, V and Peacock, R D, 1992. Heat release rate: The single
Traffic congestion has a dual impact on life safety. For most important variable in fire hazard, Fire Safety Journal,
longitudinal ventilation systems, the motorists in the traffic 18:255-272.
downstream of the fire are affected because they are unable to Callander, M and Munro, J, 2006. Development of road tunnel fire safety
move out of the tunnel. In addition, the stationary state of the guidelines, in Proceedings FSE2006 – The Future of Fire Safety
traffic increases the vehicle density and therefore the number of Engineering, Fire Safety Engineering Conference (Society of Fire
motorists that are trapped in the tunnel. If traffic congestion is an Safety, Engineers Australia: Gold Coast).
issue that would be difficult to avert through better traffic National Fire Protection Association, 2004. NFPA 502 Standard for Road
management, then allowance must be provided in the design to Tunnels, Bridges, and Other Limited Access Highways (National Fire
alleviate the hazard in the event of a fire. These may be in the Protection Association: Massachusetts).
form of providing refuge areas, closer exit spacing or emergency Pesut, A and Smith, C, 2004. Activities of the United Nations Economic
cross-over passageways. Commission for Europe to promote safety in tunnels, Routes-Roads
on Fire Safety in Tunnels, 324:82-89 (Joint Issue ITA/PIARC).
Summary PIARC, 1999. Committee on Road Tunnels (C5), Fire and Smoke Control
in Road Tunnels, 05.05.B (World Road Association: France)
The above discussion suggests that of the important variables PIARC, 2004. Directive 2004/54/EC of the European Parliament and of
identified, the design fire appears to be the most difficult to the Council of 29 April 2004 on Minimum Safety Requirements for
determine due to its varied nature. However, if it can be reasonably Tunnels in the Trans-European Road Network (World Road
prescribed to an extent, it will potentially remove a significant Association: France).
degree of design variation associated with the effectively arbitrary Poon, L and Slatter, D, 2006. Fire safety engineering in Australia – A
approach that they are currently being determined. critical review and preliminary recommendations for design
consistency, in Proceedings Sixth International Conference on
However, fires in tunnels are a function of many variables, Performance-Based Codes and Fire Safety Design Methods 2006
which include the vehicle type and its content, the tunnel size (Society of Fire Protection Engineers: Tokyo).
and configuration, the presence of suppression systems and the Road Traffic Authority, 2006. Road Tunnel Design Guideline (Road
ventilation flow. Being dynamic in nature, fires are also a Traffic Authority: New South Wales).
function of how they may potentially develop and spread during The Highways Agency, 1999. Design manual for roads and bridges,
a fire, eg how many vehicles become involved and at what rate? Volume 2 highway structures design (substructures and special
These factors affecting the design fire will need to be accounted structures) materials section 2 special structures, Part 9 BD 78/99
for in any effort to prescribe them. design of road tunnels (The Highways Agency: London).

Managing Underground Risks in Singapore Through
Geotechnical Interpretative Baseline Reports
J Rozek1 and L N Loganathan2
ABSTRACT The objective of this paper is three-fold; namely to describe:

Risk exposure in tunnel projects is extremely high due to various factors 1. traditional practice in contracting and risk allocation
such as variability of subsurface conditions, selection of inappropriate practices in tunnelling industry,
design and tunnelling methods, improper risk assessment on adjacent
surface and subsurface structures and utilities, and inadequate 2. currently evolving risk management procedures between
contractual practices. The risks in tunnelling must be borne by the various parties involved in the project, and
contractor, designer and the owner of a tunnelling project. There have
3. lessons learnt from the Deep Tunnel Sewerage System
been a number of improvements in the last ten to 15 years in the manner
in which tunnel projects are developed and implemented in terms of (DTSS) and the Marina Coastal Expressway (MCE) project
their design, construction, financing and operations. One significant advance consultancy work.
improvement has been the manner in which underground conditions and
their risks are being managed. Owners are less willing to transfer the TRADITIONAL RISK MANAGEMENT IN
full responsibility to the contractor for managing the underground
conditions, although this is a familiar manner in which underground TUNNELLING
major urban projects have been previously contracted and managed. For many years, geotechnical information gathered during the
The owners of tunnel projects in Singapore have advanced the risk preliminary and final design phases of projects was made
management process for their projects through geotechnical available to bidders, but the construction documents typically
interpretative baseline reports (GIBRs), geotechnical data reports
(GDRs) and project specifications (PSs). This paper discusses industry
disclaimed any responsibility for the risk of interpreting the data.
practice and its development as well as the application during the Bidders didn’t have time to undertake further geotechnical site
preparation and use in Singapore on the Deep Tunnel Sewerage System investigation and testing. Bidders, in a competitive market,
(DTSS) and the Marina Coastal Expressway (MCE) project in frequently made optimistic interpretation of data, which resulted
Singapore. The DTSS trunk sewer is 48 km and ranges from 3.3 m to in significant claims when conditions were adversely different to
6 m finished diameter up to 50 m below the ground. The underground the interpretation they made at the time of their bid. Over time,
conditions ranged from Old Alluvium, strengths of about 1 MPa to owners have recognised the need and value in presenting a
competent Bukit Tima granite, with strengths of over 230 MPa. The designer’s interpretation of underground conditions and make it
total route length of the MCE is about 5 km. About 3.6 km will be part of the contract documents.
constructed underground, consisting of dual five-lane carriageways. The
underground construction will be cut-and-cover, and 2.6 km will be
constructed about 13 m underground, and 1 km of tunnel will range Practice in the United States
from 13 m to 24 m as the tunnel passes under a 420 m wide reach of
Marina Bay, whose crossing will be constructed as a two-phase
Since the early 1970s, there have been several forms of
cofferdam. geotechnical reports that have been incorporated in contract
documents. In 1972 the Washington Metropolitan Area Transit
Authority (WMATA) transit project in Washington recognised
INTRODUCTION the importance of communicating underground conditions
Tunnelling has become a familiar manner of providing to bidders and initiated the ‘geotechnical report’. In 1974,
transportation facilities in today’s urban areas. There have been a the Committee on Tunnelling Technology published Better
number of improvements in the last ten to 15 years in the manner Contracting for Underground Construction, which said:
in which these projects are developed and implemented in Contracting practices in the United States are
terms of their design, construction, financing and operations. inadequate for even past methods and constitute
One significant improvement has been the manner in which a serious barrier to new technology and to the
underground conditions and their risks are being managed. most economical tunnelling.
Underground urban infrastructure projects present many risks, It made some 17 recommendations, including importantly
and they must be allocated to the owner or to the contractor. The disclosing all information; it recommended eliminating
greatest risks are associated with the materials encountered and disclaimers, it recognised differing site conditions and
their behaviour during excavation, and installation of temporary distinguished responsibilities for tunnel ground support.
and permanent support. Extensive and comprehensive soil In 1975, the first geotechnical design summary report (GDSR)
investigation and the proper interpretation and usage of the was utilised, and in 1984, the US National Committee on
results is the most important factor in developing appropriate Tunnelling Technology (USNCTT) published its Geotechnical
construction techniques and minimising risks associated with Site Investigation for Underground Structures, which suggested
deep excavation and tunnelling works and to adjacent structures that more exploration and site investigation would result in lower
and buildings. cost. It provided an outline for interpretive geotechnical reports
and a checklist of items to be addressed.
Further, in the 1980s and 1990s the American Society of Civil
1. Senior Vice President, Parsons Brinckerhoff Australia, Level 27, Engineers (ASCE) and the Underground Technology Research
Ernst and Young Centre, 680 George Street, Sydney NSW 2000. Council (UTRC) encouraged the use of dispute review boards,
Email: rozekj@pbworld.com escrow bid documents, GDSRs, and differing site condition
2. Principal Tunnel Engineer, Parsons Brinckerhoff Australia, Level 27, clauses in the contract documents, the 1989 UTRC Avoiding and
Ernst and Young Centre, 680 George Street, Sydney NSW 2000. Resolving Disputes in Underground Conditions and 1991 update
Email: nloganathan@pb.com.au of the document. In the 1990s, there was the first suggestion to

J ROZEK and L N LOGANATHAN
rename the GDSR to GBR (geotechnical baseline report). The behaviour. The project specification is a tool to set minimum
UTRC published its 1997 follow-on booklet Geotechnical standards for the designers who can provide a safe product to
Baseline Reports for Underground Construction (Yellow Book), the public and the owner of the project. In Singapore,
and recommended that GBRs be made part of the contract temporary works are now subjected to the same rigors of the
documentation. UTRC’s technical committee has issued the permanent works and have requirements for jurisdictional
Geotechnical Baseline Reports for Construction (suggested authorities to approve these designs as well as the owner.
guidelines) in 2007. ASCE (2007) has published guidelines for Risk assessment must also consider major hazard events, in
geotechnical baseline reports for construction. spite of their low probability, which could affect the public, in
addition to the risk to individuals at work. Identifying risks can
Practice in Singapore be communicated to others by preparing and making available
Most of the tunnels in Singapore have been built along heavily the risk register. The risk register is a ‘live’ document that is best
used if continuously reviewed and revised as appropriate and
developed corridor through mixed and highly variable soil
available for scrutiny at any time. Risk registers identify hazards,
conditions. Right from the concept stage, risk associated with
consequent risks, mitigation and contingency measures, proposed
each stage of the project as it affects safety, program, quality and
actions and responsibilities, and provide an auditable trail though
cost were identified and measures are put in place in managing the life of the project to demonstrate compliance.
the project so as to minimise or mitigate risk.
The process of risk assessment and the subsequent preparation
Singapore provides an interesting and important study in the of a risk register are required to identify and clarify ownership of
manner in which they have contracted the sharing of information risks and concisely how risks are to be allocated, controlled,
relative to underground projects. The Public Utility Board’s mitigated and managed. The system used to track risk must
(PUB) Deep Tunnel Sewerage System (DTSS) utilised GDRs, enable the management and mitigation of risks through
and the contractor provided geotechnical interpretive reports contingency measures and controls to be monitored through all
included in the contract documents, in 1999 and 2000, and a stages of project.
number of Land Transport Authority (LTA) projects are now
employing GIBRs. The International Tunnelling Insurance Group published A
Code of Practice for Risk Management of Tunnel Works (ITIG,
2006). Similarly, Eskesen et al (2004) has published Guidelines
EVOLVING RISK MANAGEMENT PROCEDURE for tunnelling Risk Management as part of the working group for
The International Tunnelling Association (ITA) has recognised International Tunnelling Association (ITA).
the importance of risk management procedure in tunnelling and
developed guidelines for risk management at various stages of Risk management
the project including early design phase, tendering and contract
Major accident hazards can happen in events that have a low
negotiation phase and construction phase. These guidelines are
probability of occurring. But when they do, they have
based on current international practices including US and
considerable consequences for those affected. The accidents
Singapore.
must be prevented through effective risk management. The
owner, contractor and operators must honour and respect their
Risk assessment own risk analysis, assessment and reports. Singapore’s Ministry
Risk is the potential occurrence of a hazardous event that harms of Manpower (MOM) have said the risk management principle to
the public and the infrastructure. The degree of risk is measured be applied is based on the saying that ‘those who create the risk
by the potential damage to the public with respect to the will be held responsible for reducing it’, following the collapse
occurrence of the hazardous event. Risk exposure in tunnel of the Nicole Highway deep excavation.
projects is extremely high due to various factors: The potential for major accidents, whether due to construction
process or deficiencies in design, must be recognised and
• Unforeseen ground conditions – ground conditions vary expeditiously controlled. It is inappropriate to leave the control
inevitably depends on its deposition parent, history and due of risk wholly to the contractor. In terms of practical risk
to the stress changes during construction. Geotechnical management, this duty means reducing the risk to a level which
conditions are in general, interpolated or extrapolated in is as low as is reasonably practicable. It cannot be determined by
between two boreholes. Tunnelling methods are chosen the contract value of the project.
based on the assumed ground conditions. When the ground The risk control principle requires that health and safety is
conditions deviate from the assumed conditions, there are given due prominence. Such decisions should be made using a
possibilities of excess ground movements and delay in tunnel structural approach to risk identification, avoidance, elimination,
excavation rates. It is not appropriate to force the contractor mitigation and control. A positive and consistent safety culture is
to accept the entire risk associated with the unforseen ground a must. Adequate staffing, good teamwork and interface,
conditions. The GIBR is a tool to manage the risk between adequate supervision and clear instructions are critical features in
the owner and the contractor effectively. risk management.
• Tunnelling methods – tunnelling methods are chosen by the In terms of practical risk management, the risk should be
contractor based on the geotechnical information provided reduced to a level which is as low as is reasonably practicable. In
with the contract document. Contractors often choose a a design and build contract, it is essential that the owner sets out
method that paves the way to the early completion of the its expectation of risk management by the contractor. However,
project. In this process, contractors can overlook in current practice the risk sharing is carried out effectively by
geotechnical conditions and it may lead to a major risk. The adopting meaningful risk management processes.
geotechnical design reports (GDR) and GIBR provided by The assessment and evaluation of project options must be
the owner outline the risk sharing between the contractor and carried out during project development by the owner (or their
the owner. appointed representative) that takes account of the following:
• Inadequate design – due to the increased competitive nature • the geology,
of the engineering industry, design engineers tender for job
with competitive design fees. This can lead to design practice • tunnelling methodologies,
which minimises the risks of the potential adverse ground • temporary and permanent ground support systems,

MANAGING UNDERGROUND RISKS IN SINGAPORE
• ground movements and impact on adjacent properties, The particular conditions of contract recognised unforeseen
ground conditions (UGC) and made allowances for additional cost
• environmental considerations, and and time. However, the contractor was required to demonstrate the
• appropriate contracting methods. actual conditions encountered were ‘unforeseeable’.
The construction risk must be assessed and reviewed at each The range of bid prices received as well as the content of the
stage of the project and updated during the development of the PGIR demonstrated that many of the bidders put significant
project. effort into the development of the PGIR for their bid, and this
resulted in more competitive prices.
The geotechnical baseline is set for a given project based on an
aggregation of geotechnical data. Where the baseline is set
determines the respective levels of risk allocated to the owner Advances in Singapore practice
and contractor. During the preparation of the GIBR, meetings The collapse of the Nicole Highway in April 2004 has resulted in
must be conducted with the owner to discuss the baseline much greater concerns and requirements in the design and
principles and the owner must be advised of the consequences of construction of temporary works in Singapore. In recent years,
an adverse presentation of the anticipated surface conditions and the LTA of Singapore has utilised GIBRs, with an owner-
need for staying within a reasonable limit. provided geotechnical baseline utilised in the contracting process
The interpretations and baseline statements contained in the of major infrastructures projects. On the soon to be bid Marina
GIBR should reflect the risk allocation attitude and preferences Coastal Expressway, GIBRs will be utilised in all six major
of the owner. The rationale and potential consequences of design-build civil structure contracts, to provide geotechnical
establishing conservative baseline should be clearly explained. information, design parameters and other information on the
The geotechnical baseline report should be the soul existing underground conditions.
geotechnical interpretive document upon which the contractor
can rely. The GIBR should be limited to interpretive discussions MARINA COASTAL EXPRESSWAY PROJECT
and baseline statements, and should make reference to
information contained in the GDR, drawings or specifications. The entire alignment will be constructed in reclaimed land
constructed between 1975 and 1984, underlain by thick lenses of
marine clay or the Kalang Formation, up to 30 m thick. This will
Geotechnical data report make the construction of the Marina Coastal Expressway (MCE)
A GDR presents all factual data that has been collected. It one of the largest tunnels ever constructed in some of the most
provides the results of field and laboratory tests, and becomes difficult ground. Singapore’s LTA will go out for tender in
part of the contract document. GDRs were utilised in Singapore December 2007, for six design-construct civil contracts to
in the delivery of 48 km of large diameter tunnel as part of the perform the excavation, provide the temporary earth retaining
DTSS. The 48 km of tunnelling was broken into six contracts system (TERS) and construct the structural concrete tunnel
based on the size of the finished diameter (3.3 m to 6 m) of boxes.
tunnel, the function of the system, and the ground through which Extensive site investigation, in situ and laboratory testing have
the TBM excavate (Rozek, 2002). The ground varied and the been performed, including over 160 boreholes. One important
strengths ranged from about 1 MPa in the Old Alluvium in the element of the project is the geotechnical interpretive baseline
east, to over 230 MPa in the interior in the Bukit Tima granite. report (GIBR). The report is an evaluation and interpretation of
Risk management was an important aspect of the contracting the geological conditions along the MCE, and represents the
as all six design-build contracts were out for tender available knowledge of the geotechnical, geological and
simultaneously, because of the ambitious program. As part of the hydrogeological conditions.
risk management, the government undertook an extensive site This GIBR will be utilised throughout the project in managing
investigation program, as well as laboratory testing. An risks, including the influence of the notional temporary earth
important identification of the material properties, the high retaining system, the tendering process and during execution of
abrasive qualities of the Old Alluvium, was made in the GDRs. the work and administration of contracts.
Bidders for any of the six DTSS design-build contracts were
required to interpret the factual information provided, and Geotechnical interpretative baseline report
provide a PGIR (preliminary geotechnical interpretive report) as (GIBR)
part of their bid. A comprehensive tender evaluation was made of
the bids submitted. The evaluation was based on best value. The In the very recent past, Singapore is utilising a GIBR in its road
PIGR was important in the tender evaluation to determine how and rail projects, including the 3.6 km cut-and-cover ten lane
expressway for the 5 km Marina Coastal Expressway (MCE),
well the bidders understood the ground conditions in the
which is being tendered under six major civil structural
corridor, as well as what equipment the contractor selected and
design-build contracts. This GIBR presents an evaluation and
his means and methods, which he was required to provide with
interpretation of the geological conditions along the proposed
his bid. The tunnel-boring machines (TBMs) were one of the MCE. From 2005 to 2007, the LTA conducted site investigations
most important considerations as there would be up to eight and laboratory testing along various preliminary alignments for
TBMs operating simultaneously on the project, as well as the the project. The MCE project will be one of the world’s largest
length of the runs, up to 12.6 km and the required advance rates, tunnels (ten lanes) in some of the most challenging ground
which represented substantial risks to timely completions. The conditions, as its entire length will be constructed in reclaimed
PGIR was a key document in assessing whether actual land, some 13 m thick, over some 30 to 40 m under consolidated
encountered ground conditions differed from those anticipated marine clay. The project is further complicated by the presence
by the successful contractor (Marshal and Flanagan, 2007). of a number of existing structures that require consideration in
The successful contractors were also required to perform the geotechnical design, including old sea walls, and a ‘detached
additional site investigation and provide a final geotechnical mole’, a form of sea wall comprised of stones of 1 to 2 m in
interpretive report, which also proved valuable as the contractors diameter, placed some 60 m wide.
were better able to manage the excavation with the benefit of the A GIBR was prepared for each of the six contracts, and is
additional information, analysis and interpretation. The developed to present the knowledge of the geotechnical,
contractor was allocated all the risks within his control. geological and hydrogeological conditions of that specific

J ROZEK and L N LOGANATHAN
segment of the MCE. The GIBR includes statements with respect All bidders are required to submit their own geotechnical
to subsurface and site conditions that are expected during the interpretation and submit their own GIBR at the time of tender
performance of the works. It includes discussion of geologic and submission. The tenderers are instructed to highlight any
man-made features of engineering and construction significance significant geotechnical interpretation of the ground conditions
along the alignment. The subsurface and site conditions to be that they consider differ from or are not included in this GIBR.
encountered during the performance of the works are derived The successful bidder’s soil profile is to be agreed with the
from geotechnical information and data gathered from site owner and the LTA prior to the award of this contract.
investigations. The GIBR will be made part of the contract document and will
To manage risks, the GIBR presents the minimum requirement be legally binding upon both the LTA and the successful
of geotechnical design parameters for temporary works design. contractors. In the event of apparent conflicts, discrepancies, or
The GIBR preparation was directly influenced by the notional inconsistencies with any other geotechnical data made available
to the contractor, the GIBR takes precedence in reconciliation of
temporary earth retaining systems (TERS) developed as part of
the conflict.
the design and reflected in the drawings and particular
specification in the tender documents. The contractor was
advised not rely upon the GIBR in isolation for the planning or CONCLUSIONS
performance of any aspects of his work, without limitation as to Tunnel constructions are inevitably associated with risks,
the means, methods, techniques, sequences and procedures of especially due to the variability of the ground conditions.
construction and safety precautions to be employed by the Providing a baseline for geotechnical design and the
contractor. The bidders were instructed to undertake their own performance to accommodate the ground variability associated
independent review of the entire set of contract documents to with risk sharing is an appropriate mechanism between the
arrive at decisions concerning the planning of the works and the owner and the contractor. The role of GIBRs is important in
means, methods, techniques, sequences and procedures of allocating risk associated with subsurface conditions. Where the
construction to be used. The tender documents require that the baseline is set determines risk allocation and has a great
final design process must incorporate additional exploration and influence in risk acceptance, bid price and quality of change
geotechnical evaluation as required by the contractor to further orders and the final cost of the project. Owners must participate
delineate subsurface conditions for preparation of his final in setting up the baseline and should have the clear
design. understanding of the risk level associated with the level at which
the baseline is set. Owners and the engineers who prepare
While the descriptions of the subsurface conditions provided baselines must set realistic baselines. To effectively identify and
in the GIBR were based on substantial investigations and allocate risks, the baseline reports must be prepared by capable
analyses, bidders were instructed that they should not be and experienced geotechnical engineers with geotechnical
interpreted as a guarantee or warranty that the conditions design knowledge and appropriate experience in geotechnical
encountered during construction will be exactly as described, as constructions.
no amount of investigation or analysis can precisely predict the
characteristics, quality or quantity of anticipated subsurface and REFERENCES
site conditions and/or the behaviour of such conditions during
construction. Such behaviour will vary and will also significantly ASCE, 2007. Geotechnical Baseline Reports for Construction, Suggested
Guidelines (ed: R Essex) (American Society of Civil Engineers).
depend upon and be influenced by the construction means and
Eskesen, S D, 2004. Guidelines for Tunnelling Risk Management,
methods selected and used by the contractor.
Working Group No 2 (International Tunnelling Association).
The main objectives of the MCE GIBR was to share available ITIG, 2006. A Code of Practice for Risk Management of Tunnel Works
information with the tenderers, reduce uncertainty in the bidding (The International Tunnelling Insurance Group).
process, establish a baseline with the successful tenderer prior to Marshal, B and Flanagan, R, 2007. Lessons Learned on Singapore’s
award of this contract and enable contract risk allocation and DTSS, Tunnels and Tunnelling International, October.
administration of contractual disputes (if any) to be more Rozek, J, 2002. Singapore’s deep tunnel sewerage system: risk
equitable. management from concept design to construction, PB Network).

Management of Hydrogeological Risk in Tunnelling Projects
K Srivastava1
ABSTRACT comprehensively understanding the causes of failure and

collapse of tunnels, to improve tunnel performance, including
A key driver to the success of a tunnelling project (the project) is the
management of hydrogeological risk. The hydrogeological risk, if not
environmental quality surrounding the tunnel site.
managed, may cause significant impacts on the overall performance of Rail tunnel incidences are well documented (Health and Safety
the project. Impacts may include groundwater quality impairment due to Executive, 2000), including the collapse of rail tunnels at
contaminant transport and acid drainage from disturbed geology to London’s Heathrow airport in 1994, the collapse of a section
groundwater, and groundwater lowering. The groundwater lowering and wastewater tunnel in Kingston Upon Hull, United Kingdom, in
quality impairment may cause tunnel failure, with consequences such as 1999 and a failure during construction of the tram tunnel in The
injury to humans, as well as reduced property and environmental values, Hague, Netherlands in 1996. The documentation on these
potentially costing millions of dollars to sponsors of the project. incidences provides an opportunity to comprehensively
Depending on the nature of the contaminants and level of hydraulic understand the causes of collapse and failure.
connection of bedrock fracture along the length of tunnel, the
contaminant transport may reduce structural strength of the tunnel due to There are multiple causes of failure; however, the majority of
corrosive action of contaminants such as acid drainage. The groundwater the analysis results available in the literature, including the
lowering can lead to varying degrees of ground settlement, posing threat results presented in the publication by the Health and Safety
of tunnel collapse. Executive (2000), found the following major causes:
The management of hydrogeological risk includes: • a lack of awareness of risks during the whole of life cycle of
• detection of potential pathways for contaminants into and around the tunnel;
tunnel,
• identification of factors responsible for the lowering of groundwater, • a lack of awareness of several hydrogeological and
and contaminant transport issues linked with geotechnical
• development of strategic measures to control groundwater lowering processes including:
and contaminant transport. • change in creep resistance,
The paper presents an in-house hydrogeological risk management model
named Vedanta-THRM (tunnel hydrogeological risk management). The • internal friction angle and joint shear stiffness with
model uses Risk Management Standard AS/NZS 4360:2004 (Standards disturbed soil and rock matric suction, and
Australia, 2004), Pressure State Response framework developed by • acid drainage from acid producing material in disturbed
Organisation of Economic Cooperation and Development, and Interaction soil and rocks;
Matrices.
The Vedanta-THRM identifies important characteristics, processes and • a lack of consideration of linked hydrogeological and
events of potential hydrogeological risk and develops control measures for geotechnical processes occurring away from the tunnel site,
managing hydrogeological risk throughout the life cycle of the project. which has several impacts including, land slip and land slide
The Vedanta-THRM was applied for a project in the early stages of impact on the tunnel due to lowering of the groundwater
planning and found to be useful in assessing, evaluating and reducing the level, and corrosion of supporting tunnel formations and
hydrogeological risk in a managed approach that potentially increased the structures due to acid drainage and heavy metal release from
performance of the project. The application results also provided disturbed soft ground and hard rock geological materials;
management options for use by project sponsors and insurance industry,
which included tunnel risk financing options and options for equity • not considering third party and due diligence audit during
investors to choose among various returns under different tunnel credit planning, design and construction and excessive reliance on
ratings. ‘self certification’ procedure;
• a lack of appreciation of the differences between hard rock
INTRODUCTION and soft clay saturated and unsaturated behaviour under
varying degrees of groundwater levels during the tunnel’s life
Tunnelling is a common civil work in any infrastructure project cycle;
including transport, water and mining infrastructure projects, and
has been carried out from the dawn of civilisation in some form • the monitoring regime is unsatisfactory and does not include
or another. Over time, the tunnel construction methods and groundwater level and total potential (matric, hydraulic and
enforcement of rigorous regulatory requirements and safety osmotic potential) induced point and diffuse sources of mass
standards have changed. movement including mud and acid movement through
preferential flow paths (fracture, fissures and slips, etc) in
There are several new tunnelling methods and standards
soils and rock; and
including, the New Austrian Tunnelling Method (NATM) and
Tunnelling Code of Practice (Workplace Health and Safety • a lack of integration in planning and construction activities.
Queensland, 2007), which have improved the efficiency and Of all the major causes of failure presented above, the failure
quality of tunnel planning and construction. due to lack of hydrogeological understanding and risk
In spite of new and improved tunnelling methods and rigorous management is critical and requires detailed assessment,
enforcement of regulations, tunnel failures and collapses are especially from the perspective of project sponsors who would
continuing to occur, posing threat to human life, property and like to value the potential failure and failure mitigation in
environmental values, costing millions of dollars to sponsors of financial terms.
tunnelling projects. This raises the importance of revisiting The need to value failure in financial terms can not be over-
the whole tunnelling planning and design processes and
emphasised because in the planning and procurement phases, the
sponsors have to take numerous decisions regarding tender price
1. Director, Vedanta Engineers Pty Ltd, 13 Furlong Street, Indooroopilly and budget, and for being competitive in the market, demand the
Qld 4068. Email: director@vedantaengineers.com.au comprehensive assessment of the potential cause of failure, failure

K SRIVASTAVA
mitigation strategies, evaluation of risk control measures and

technologies in terms of revenue, public image and tunnel credit
rating.
This paper describes an in-house model Vedanta-THRM
(tunnel hydrogeological risk management), which considers all
the major causes of failure and uses various linked
hydrogeological, geotechnical and financial processes, and
develops procedures for the management of hydrogeological risk
throughout the life cycle of a tunnel.
By using data and information from a tunnel, the paper
presents some of the application results, such as contamination,
tunnel failure and groundwater lowering risks.
For the benefit of the sponsors of tunnelling projects and the
tunnel insurance industry, the paper also presents risk financing
options and tunnel credit rating.
DESCRIPTION OF VEDANTA-THRM
Conceptual framework, standard and model

The Vedanta-THRM uses Risk Management Standard AS/NZS
4360:2004 (Standards Australia, 2004) and its various processes
including risk register and risk control measure and technologies, FIG 1 - Conceptual model used in Vedanta-THRM.
Pressure State Response (PSR) framework developed by the
Organisation of Economic Cooperation and Development and
adopted by European Geotechnical Thematic Network (EGTN) Governing equations and boundary conditions
(2002), and a conceptual model of the whole of life cycle The Vedanta-THRM uses a first order differential equation,
hydrogeological risk management for a tunnel (refer Figure 1). which is described below. The equation is analytically solved for
The PSR framework (refer Figure 2) provides logical basis for different initial and boundary conditions associated with
the identification of the impact of a tunnel construction. The risk contamination, groundwater lowering and failure risk domains of
management standard provides the application procedures for a tunnel.
risk-based control measures and technologies in mitigating the The input to the model is data and information on
impact. The conceptual model (refer Figure 2) provides scientific contamination transport pathways, contamination retention,
basis for the Vedanta-THRM. transformation and transport under fractured soft and hard rock
The conceptual model develops a procedure for risk materials of tunnel environment, hydraulic gradient, pore
quantification in which hydrogeological risks in each phase are pressure, cone of depression, hydraulic conductivity, Young’s
algebraically and sequentially cumulated throughout the life modulus, Poisson’s ratio, internal friction angles, joint cohesion,
cycle of the tunnelling project, ie the residual hydrogeological joint shear stiffness and plane of failure (refer Figure 3). The
risk from one phase is added to the next phase and so on. In this input to the model also includes data on financial, economic,
manner, Vedanta-THRM begins calculating risk with the tunnel social and environmental risks associated with the tunnel. These
life cycle in the mind, and considers the ‘bigger picture’ of tunnel inputs are individually allocated for each of the contamination,
planning, design, construction, operation and long-term care. groundwater lowering and failure risk predictions.
DRIVING FORCES PRESSURE STATE IMPACT

-Surface
Physical- Biological- and ground
Geotech -Emissions hydrology diversity water
Works: to soil landscape species
Transport, contamination
and waters resources
Mine, and -Settlements
•Groundwater -Noise
Water lowering Vibrations
Infrastructure •Grouting -Use of
Development •Piling Eco-
•Stabilisation natural
Chemical- systems
•Dredging resources Expenditure
•Soil sealing
Air, water forests
and soil on water
etc. and soil
quality
treatment
Macroeconomic Specific
RISK MANAGEMENT Proritising
policies policies Setting of
Targets
RESPONSE
FIG 2 - Pressure State Response (PSR) Framework used in Vedanta-THRM (modified from European Geotechnical Thematic
Network, 2002).

MANAGEMENT OF HYDROGEOLOGICAL RISK IN TUNNELLING PROJECTS
FIG 3 - Various input and parameter requirements in Vedanta-THRM.
For example, at the planning stage of a tunnel, the time is CGF = level of contamination, groundwater lowering and
taken as zero (ie at t = 0). At t = 0 the potential contamination, failure control measures and technology met and
groundwater lowering and failure risks are known and quantified reported
based on a scale of one to 100 risk units (dimensionless), which
is calculated by using value engineering and fault tree analysis2. SGC = level of standard, guideline and code of practice on
For a given threshold value, the risk unit is a ratio of the dollar tunnel hydrogeology followed
value of risk that a tunnelling project can sustain and service CGFA = frequency and extent of the contamination,
during the equity creation in a particular phase of the project, and groundwater lowering and safety audits
the dollar value of the equity in that phase. The threshold value is
a value above which the project profitability is affected:
MODEL APPLICATIONS
d(∇H ) / dt = −rh (∇H )
The model was applied to a tunnel project at its planning stage in
∇H = change in hydrogeological risk (measured by Asia. The tunnelling was a part of several civil construction works
quantitative risk assessment using ‘value engineering’ for a hydroelectric project, including a 61 m high concrete gravity
‘PSR Framework’ and ‘fault tree’ analysis) dam, an underground desilting arrangement and a 300 m deep
rh = rate of change in contamination risk, groundwater surge shaft. The required tunnel was a 28 km long headrace
lowering risk, tunnel failure risk; with time (t) using tunnel. The groundwater at the tunnel site was used for municipal
whole life cycle of the tunnel supply and there was a potential for groundwater contamination.
rh = f(HRM,CGF, SGC,CGFA) The sponsors of the project required complete costing
including the hydrogeologically induced tunnel failure risk and
HRM = Hydrogeological Risk Management Policy contamination risk to soils and water. The insurance industry
required risk financing options for the project. The financial
institution required potential tunnel credit rating for inviting
2. Fault tree analysis (FTA) is a failure analysis in which an undesired equity investors before and during the construction of the project.
state of a system is analysed using boolean logic to combine a series
For this project the Vedanta-THRM was applied. The
of lower-level events. This analysis method is mainly used in the
field of safety engineering (http://en.wikipedia.org/wiki/Safety_ calculated threshold value for the tunnel is 30 risk unit. This
engineering) to quantitatively determine the probability of a safety means that for the tunnel in the example, the tunnel profitability
hazard. is affected when risk value goes above 30 risk units.

K SRIVASTAVA
The predicted contamination, groundwater lowering and

failure risk during the designed 45 years of the tunnel life is
presented in Figure 4. The prediction is based on the following
initial conditions, at t = 0:
Potential contamination risk = 60 risk units
Potential groundwater lowering risk = 75 risk units
Potential failure risk = 70 risk units
Figure 4 shows risk reduction by using several risk control
measures and technologies, including use of ‘seepage trench’ and
‘passive reactive barriers’ near the tunnel and municipal water
supply sources.
Vedanta THRM Prediction of Potential Tunnel Failure,

Contamination and Groundwater Lowering Risks with the Time
FIG 6 - Predicted cumulated overall risk, premium and claim for the
tunnel.
From Figure 6, it is seen that the gap between the cumulated

overall risk and cumulated premium is large, which may prompt
the project sponsor to consider retaining and serving the risk
internally through internal audit, rather than financing the risk
through insurance. Figure 6 also provides a negotiating tool
for the project sponsor and insurance industry for mutually
aggreable value for the insurance premium.
Figure 7 demonstrates the predicted variation in annualised
return and risk retention at different tunnel credit rating. The
tunnel credit rating is potentially an important marketing tool for
inviting equity investors before, during and after the tunnel
FIG 4 - Predicted potential contamination, groundwater lowering construction. It is dependent upon the probability of keeping the
and failure risk thorughout the tunnel designed life of 45 years at overall risk below the threshold value, which is 30 risk unit for
a hydroelectric power station site. the tunnel.
Figure 5 demonstrates that risk reduction values of 92 per cent,

86 per cent and 83.5 per cent in failure, contamination and
groundwater lowering risks, respectively, can be potentially
achieved considering the designed 45 years life of the tunnel.
Vedanta THRM Prediction of Potential Risk Reduction in 45 years
FIG 5 - Potential percentage risk reduction in the designed

45 years of tunnel life.
Figure 6 shows the prediction of overall cumulated risk (R), FIG 7 - Predicted annualised return and risk retention at different
which is the algebraic sum of risks in each phase of the tunnel credit rating.
tunnelling project (refer Figure 1), the insurance premium and
claim for the tunnel. This prediction was carried out for use by The threshold value for the tunnel is 30 risk unit. If the tunnel
the insurance industry and project sponsor. The overall risk retains 30 risk unit throughout its life cycle, which is 45 years,
associated with the tunnel can either be retained or financed the tunnel can bring 18 per cent of annualised return when tunnel
through insurance. If retained, it requires continuous expenditure credit rating is 40 (in a scale of one to 100). This may attract
to keep the risk within the threshold value, which is 30 risk unit equity investors who are moderate to high risk takers. In a certain
for the tunnel. If financed, it requires determination of premium market economy, only a few investors may be available to invest
and expenses to serve the insurance. when the tunnel credit rating is 40, which is a low rating.

MANAGEMENT OF HYDROGEOLOGICAL RISK IN TUNNELLING PROJECTS
If the tunnel retains ten risk unit throughout its life cycle, the The Vedanta-THRM is developed by linking hydrogeological
tunnel can bring nine per cent of annualised return at 100 per and geotechnical processes. The model integrates effectively the
cent tunnel credit rating. In a certain market economy, such as a planning, design, construction, operation and long-term care of a
developing country where risk bearing capacity of investors is tunnel. The model is linked with social, financial, environmental
considered to be low, this may attract a large number of equity and economic processes associated with the tunnelling projects,
investors, which can potentially bring a large amount of financial which makes it a unique model capable of linking hydrogeological
resources to sponsors of the tunnelling project in the example. risk in financial terms and providing several important results,
The results from Figures 4 to 7 were further used (but not including results related to the development of risk financing
option and options for equity investors to choose from various
presented in this paper), to provide economic and financial
tunnel credit ratings and percentage annualised return.
resources and equity conditions and trends throughout the life
cycle of the tunnelling project.
The results presented in Figures 4 to 7 also provides ACKNOWLEDGEMENT
performance measures suitable for quantitative reporting of the The author is thankful to Yasharth Krishna, Director of the
project performance in financial terms to key stakeholders of the company Five Faces Pty Ltd (www.fivefaces.com.au) for
project, including project sponsors, financial institutions and assistance in the development of Vedanta-THRM model and
insurance industry. allowing the author use of computing, programming and
compiling facilities.
SUMMARY AND CONCLUSIONS
REFERENCES
The tunnel failures arise from multiple causes. The major causes
include a lack of understanding of linked hydrogeological and European Geotechnical Thematic Network, 2002. European Geotechnical
geotechnical processes and assessment and management of Thematic Network (EGTN) work package 5: Geotechnical working
hydrogeological risk throughout the life cycle of the tunnel. methods versus environmental impact with specific reference to the
Water Framework Directive, Report 2: Evaluation of pressures and
The Vedanta-THRM is based on a robust scientific framework, impact.
conceptual model and risk management standards. Its application Health and Safety Executive, 2000. The collapse of NATM tunnels at
results for a tunnelling project in Asia demonstrates that it is a Heathrow Airport in 1994 (Health and Safety Executive: Suffolk).
useful model in predicting and managing contamination, tunnel Standards Australia, 2004. AS/NZS 4360:2004, Risk Management.
failure and groundwater lowering risk throughout the life cycle Workplace Health and Safety Queensland (Queensland Government),
of the tunnelling project. 2007. Tunnelling Code of Practice.

Risk ‘Thinking’ for Australian Tunnelling
P Standish1
ABSTRACT Physical studies gather information and data on the potential

A paper presenting an overview of legislative and best practice
tunnel site(s). This data is compiled in a manner that suits
approaches to the management of OHS&E and business risk for subsequent technical analysis – as well as allowing for the early
Australian tunnelling operations. Best practice can be achieved in recognition of site-related physical hazards.
Australian tunnelling through ‘risk awareness’ by decision-makers and Technical study applies the outputs of the physical analysis to
line personnel. This will identify problems before they occur and lead to producing information that can be used to refine or significantly
implementing controls appropriate to avoiding loss throughout the life change opening designs. A constructability assessment – with
cycle of the underground opening.
detailed drawings of the intended openings provides information
The author draws on legislative approaches from all Australian states
on potential site threats from surrounding (or affected) buildings
together with practical experience from risk management and risk
engineering work from six recent tunnelling projects. This describes a or infrastructure. The drawings also form an input to subsequent
process that: engineering and scientific studies on geotechnical and other
• commences with concept risk assessment, ‘major threat’ related issues.
• involves quantification of major hazards, The assessment and communication of operational risks is
• conducts assessments of operating risks, and achieved through a combination of team-based reviews and
• leads to implementation of an integrated management system that direct communication of the outputs from the physical and
keeps construction activities connected with the controls identified in technical studies.
the design and planning phases and minimises the losses sustained as Information on required controls gathered from both these
a result. phases of analysis – technical and operational – are to be
Key points addressed include: included in a documentation suite that forms the safety (and
• where the industry is going with respect to risk – methods and environmental) management plan for the project.
considerations,
In the author’s opinion, pushing to best practice will involve:
• how tunnelling risks are perceived by the industry and legislation,
• how tunnel constructors and owners can minimise exposure by using • adding in more linkages between the phases of operation – so
proper risk engineering ‘tools’, and that design and execution are strongly linked; construction
• reflections on best practice methods for transferring knowledge from and operation merge seamlessly, etc;
designers to contractors/operators. • achieving better conformance with internal systems –
including broader involvement of operations personnel with
BEST PRACTICE DEFINED analysis so that knowledge accompanies skills in being able
to manage risks (by applying controls);
Best practice is a management idea which asserts that there is a
technique, method, process, activity, incentive or reward that is • more embedding of life cycle systems – so that
more effective at delivering a particular outcome than any other concept, design, construction, operation/maintenance and
technique, method, process, etc. The idea is that with proper decommissioning are all managed – ideally achieved through
processes, checks and testing, a desired outcome can be delivered implementing a ‘living’ integrated management system
with fewer problems and unforeseen complications. Best (IMS);
practices can also be defined as the most efficient (least amount • more thinking of implications of outcomes – particularly
of effort) and effective (best results) way of accomplishing a with respect to impacts on stakeholders and the potential to
task, based on repeatable procedures that have proven themselves influence the perceived levels of risk being faced in
over time for large numbers of people (after Stutz et al, 2007). tunnelling operations (which will lead to additional controls
What does this mean for tunnelling practitioners in the 21st and responses during incidents/accidents);
century? It means adopting a process that actively explores how • better implementation and execution of change management
and why we are doing what we are doing – and actively manages systems;
the outcomes from this work.
• collection and storage of evidence to increase the quality of
controls being executed (inspections, etc); and
Best practice in risk management
• continuous improvement/feedback systems being strongly
Risk management involves rigorously identifying all potential embedded into the IMS.
problems and putting in place controls to prevent the unwanted
events occurring. The remainder of this paper addresses life cycle risk
management in tunnelling.
Workplace Health and Safety Queensland (2007) and
Workcover New South Wales (2006) provide some guidance on
conformance, which should underpin a base model for achieving LIFE CYCLE RISK MANAGEMENT IN
best practice. The model on which these recommendations rely TUNNELLING
involves identification of hazards combined with assessment and
communication of operational risks. Hazards are identified Figure 1 shows the typical life cycle of activity phases in a
through physical and technical study. tunnelling project. The key risk management activities which can
occur at each phase are concept analysis, detailed design review,
construction/operational assessments and decommissioning
1. MAusIMM, Director, SP Solutions, 155 Birch Avenue, Dubbo NSW guidance. Each of these phases is discussed in the following
2830. Email: peter.standish@spsolutions.com.au sections.

P STANDISH
To hurdle these limitations of larger teams, a process which

combines the strengths of qualified designers and team reviews
can be deployed.
The technical experts and designers, at the front end
engineering design (FEED) phase of the engineering works,
conduct a suite of studies that are included in the feasibility
study. This feasibility study should:
• quantify the level of threat from the identified risks;
• confirm basic design assumptions will be valid for
construction/operation;
• refine business model – costs, revenues, etc to nominated
accuracy (typically ±5 per cent); and
• develop a project plan.
Conducting a series of risk analyses at the same time as the
FEED process is occurring can benefit the ongoing project
execution – by providing inputs to management plans. The types
of analysis which can be conducted are either qualitative or
quantitative in nature.
FIG 1 - Life cycle for a typical project. Quantitative studies can be conducted to gain a more
significant understanding on the actions of controls for the
project. The logic applied is one of removing each control
consecutively and noting the change in risk level. The largest
Concept analysis change (increase) in risk calculated will point to the most
This stage of the project should have some ‘broad brush’ risk significant control, etc.
analysis applied. After Butcher (2007) and general industry Qualitative studies typically use teams to review design and
approaches typically the first analysis step is a very high level execution, conduct maintainability/operability studies and gap
‘think tank’ to identify a suite of opportunities that could be analyses (to standards and statutes) in order to identify potential
pursued by an organisation. threats and develop strategies to avoid these threats.
Filtering these normally involves a simple cost/revenue
comparison based on broad estimates by experienced personnel. Construction
With more sophistication the relative impacts of safety,
During construction management plans and systems need to be
environmental damage and community impact can also be
deployed. These typically involve day-to-day activities, risk
included – typically providing a ‘best to worst’ ranking in each
studies and reactions to incidents/accidents.
dimension.
The most attractive options can then be pursued with more
rigour.
Day-to-day
The prefeasibility study extends the desktop (and typically The day-to-day activities that are documented (and executed)
brief) project filtering step by gathering additional data and should include communication, leadership and procedural
trying to achieve an estimate of project outcomes to some level guidance. Communication is achieved through regular meetings,
of accuracy (typically quoted as ±30 per cent). It is advisable at notice boards, suggestion systems and other written means
this stage to involve a team of personnel within a facilitated (monthly newsletters, etc).
environment (NSW DPI MDG1010, 1997). A team session Leadership is achieved through the implementation of a
which identifies project ‘gates’ (critical key performance management hierarchy (ideally with roles linked to control of
requirements of the project) and tests the options being analysed project risks) and supervision/auditing of people, plant and
against a range of qualitative criteria can help to give a preferred processes on the project.
order of project options for senior decision-makers. Procedural guidance includes training in general and site-
Still at the concept stage a project-wide analysis can be specific procedures and standards (which are developed to
conducted. This process will typically involve a team of address common and high-risk activities). Permit systems serve
personnel and look at the broad phases of the project (without to increase the level of rigour for work on heavy equipment or in
exploring the minutiae of specific project options). The purpose hazardous locations.
of this team is to identify areas where additional study is required
in order to address the ‘top level’ risks identified. This Risk studies
identification process will apply appropriate methods from the
The identification and management of risk should draw on
risk engineering and quality management ‘tool kits’ to identify
earlier work (conducted during design), other projects and
all potential major loss scenarios – and offer some guidance on
external guidance to continue the process of controlling risks
controls that should be in place to address them.
during construction.
Team-based studies involving line and supervisory personnel –
Detailed design processes when conducted on intended operating approaches – can serve to
A trap for all organisations using team-based methods is to avoid increase the level of understanding of personnel in the
Issigonis’ dilemma of ‘A camel is a horse designed by a procedures and method statements which are developed to
committee’. Teams are excellent for identifying potential manage the identified risks.
problems, generating new ideas and reviewing approaches and More technical analyses can also be conducted during
concepts put forward by engineers and designers. Teams are not construction to validate any design assumptions that have been
great at developing approaches and designs – particularly made and confirm the practicality of controls that have been
detailed designs. proposed by designers – before (and during) execution.

RISK ‘THINKING’ FOR AUSTRALIAN TUNNELLING
Non-conformance responses These controls can be presented as trigger action response

plans (TARPs), which provide accessible measures for operating
Non-conformances and unexpected outcomes/situations can be personnel to react to. Examples of these measures are reactions
addressed systematically. The types of system response include to monitored water inflow rates, minor damage rates in screening
accident/incident investigation, emergency response plans, plant systems and the presence of flammable material.
breakdown plans/contingency strategies and discipline systems. Typically TARPs lead to an immediate notification to higher
Of these, accident/incident investigation systems can yield the level decision-makers (with ready access to underground opening
most significant improvements in project outcomes, by reacting design/risk assessment information) and/or withdrawal of people
to potentially minor outcomes to avoid any repeat of an incident. or plant which may be affected by any escalation of threat.
Another dimension is the proactive identification of non-
conformances. Achieving this involves formal audits and Decommissioning
inspections of the project and the integrated management system
The final phase in the life cycle is one of decommissioning the
which drives outcomes.
underground space. Historically (and the author would suggest
Audits act to compare the project and management system to currently) this aspect of the life cycle is not well considered.
predefined standards and can benefit from both internal and Typically the best time to consider decommissioning is during
external review. Internal audits allow for involvement of line the design phase, where logic such as providing ‘high points’ (eg
personnel in confirming that processes are being applied (and it at ventilation shaft accesses) for allowing tight backfilling or
serves to deepen their understanding of these systems). External strategies for isolating the spaces without impact on proximate
audits challenge the acceptability of controls within the project areas can be drafted and executed.
and should serve to validate that controls are appropriate and in
The time frames involved – which may extend over hundreds of
place. years – will not obviate the requirement for decommissioning in
Inspections are less formal reviews of the project. These the future. Systems which allow designer’s information to survive
should lead to reports or completed forms which identify are important to consider – and this analysis, when included in
strengths and opportunities for improvement in the project’s team-based risk assessments, can avoid injuring our grandchildren.
IMS.
CASE STUDY
Operation
An underground mine is considering the establishment of a new
The operating life cycle phase for many tunnelling projects is operation adjacent to their current working area. The
relatively quiescent – being largely focused on using the geotechnical considerations of this project were analysed
underground spaces created and conducting maintenance tasks following the ‘first step’ of a desktop review of the concept to
(largely centred on inspection). broadly confirm a credible reason for undertaking the work. The
There are basically three facets to the control of threats concept is tested by running a team-based (ideally with senior
through this phase – operational, maintenance and emergency decision-makers) risk analysis.
response focused.
Concept level risk analysis/risk-based
Operational controls decision-making
The control of activities which occur within the underground This analysis involved identifying a range of possible approaches
space should reflect the designs for the opening. A sound – to meet the key design parameters that remained after the
approach is to have conducted an operational risk assessment desktop study. Selecting the best of these approaches involved
(typically team based, using the activities which occur and a applying a risk-based decision-making method.
‘prompt word’ analysis system) to generate control information This process helped to quantify the differences between the
for application. options by allowing a clear description of the exposure to a range
While this will largely lead to procedural controls, it may also of threats and the ability to control these to be compared. Typical
highlight plant requirements (eg equipment which should not be threats which can be treated in this way are geotechnical loss,
deployed or key assumptions made on flammable material fire/explosion, traffic, plant-related losses, inrush, chronic health
quantities, etc) and serve to set standards for the operational exposures and control failures.
phase of the underground space. The control failures are considered by analysing the frequency
and level of reliance upon which they are intended to be relied.
The controls should generate the collection of ongoing
This involves applying a logic of uniform failure propensity
records, which track the status of the underlying threats and the
between options – so the system which has the greatest reliance
execution of required controls. on a control will represent the higher risk. Controls considered in
this way are human error, emergency response vulnerability
Maintenance (escape and survivability type analyses), work environment
(ventilation, etc) and supervisory or monitoring type systems.
The risk assessment mentioned for operational controls may also
This analysis also provides valuable ‘downstream’ information
cover maintenance-related activities. Typically the controls
on the most important and/or vulnerable controls which can be
generated for maintenance will include: highlighted in subsequent risk assessment. This highlighting
• inspection and testing frequencies linked to an action improves the connection to the management systems which will
tracking system, be ultimately applied to the project.
• training and supervision for activities, and Another useful output from this approach were matters which
required further analysis or study in subsequent phases of the
• permit and higher level supervisory controls for high risk project’s risk management process.
tasks.
Geotechnical study
Emergency or trigger responses
‘Walking through’ one of these detailed studies – the geotechnical
A suite of controls are required to be put in place to react to study that follows the initial high level review used a rigorous
changing levels of threat or control reliability. process.

P STANDISH
The first step was a risk engineering independent review which options (where many risks will have the same low frequency,
identified available internal and external standards for high consequence ranking, yet be quite different in terms of
geotechnical management – as well as reviewing technical actual threat). Where comparisons are required some quantitative
reports on potential threats for the project area. The external analysis could have been used (although this was not done at any
standards provided information on the general approach which point in the projects worked on to date).
should be adopted for managing geotechnical outcomes on site. The outputs from both the technical and team-based analyses
Internal standards provided more detail – and set requirements were combined and vetted through the geotechnical steering
for geotechnical skills required, analyses and classifications of committee before being issued for execution. Quality and
rock types and considerations for hydrogeology/seismicity. conformance of this execution was achieved through the use of
Follow up to the ‘desktop’ type analysis involved inspection and test plans, which validated that the required
establishment of a steering committee for the geotechnical area. controls were implemented.
This provides a way to formally review ideas and plans and, by An additional tool was also developed, which links to the
allocating tasks across all the members of the steering project’s emergency response strategy – TARPs. Trigger action
committee, improves the level of execution of the identified response plans (TARPs) used identified failure modes (from the
controls. This committee also reviewed and inputted to the technical and team studies) to act as trigger points for a range of
business processes for Geotech and translated their inclusion into immediate and decision-making outcomes.
the integrated management system.
The types of business processes which were identified as
relating to geotechnical issues included stability assessment, QUANTIFYING MAJOR RISKS
support planning and ‘squad checks’, which acted as a gating To address the shortcoming of qualitative ranking, a risk
process for opening designs. management approach that is extending from the petro-chemical
As a precursor to the development of standards, management industries is that of safety case. After the Guidelines for Safety
plans and procedures for giving effect to geotechnical controls Case (Department of Industry, Science and Resources, 2000) –
some team sessions were run. These involved the use of failure and crystallised to a few words – safety cases involve:
mode and effect analysis and a layer of protection analysis on
geotechnical controls and domains. This type of analysis helped • documenting a full understanding of a facility’s designs and
to identify potential loss scenarios that were not identified from threats,
the higher level analysis (or the construction level risk • identifying and analysing all major accident events (MAEs),
assessment/JS(E)A processes) and led to identifying some
additional controls. A modified ‘bow tie’ model was developed, • developing and implementing control management systems
which helped to improve the level of understanding of the matching the major and general accident events, and
causes, controls, incidents and their interactions. • designing and implementing emergency response capabilities
In the risk analysis step the losses would typically be ranked – matched to MAEs.
using a qualitative/matrix-based risk ranking. This technique
provided information on which issue(s) were seen as being most Bow tie analysis of a major accident event (MAE)
important by the team. This approach is also aligned with the
intent of the developers of ranking matrices in the mid 1980s A typical bow tie diagram is presented in Figure 2. The general
(NTSB 2002 – referencing Haddon 1985), where they were structure of the diagram is one where causes of incidents – or
looking to determine a method for consistently comparing within threats – are presented on the left-hand side of the diagram.
teams the seriousness of various causal factors for transportation Between the causes and an incident lie the preventative controls.
accidents. If successful no incident will result.
While this approach produces a result which is quite consistent However, if the preventative controls are overcome then a loss
for any given team it is not valid to compare these matrix results of control – or incident – occurs. The final outcome of an incident
between teams and is difficult to use them to compare between is determined by the success or failure of the reactive controls.
FIG 2 - Typical bow tie diagram.

A successful first line of defence will lead to a relatively A tool such as Palisade’s (2007) @Risk can be used to assist in
benign outcome (eg small fall of ground distant from personnel the generation of these ‘what if’ analyses and quite useful
and machinery), whilst the failure of successive reactive layers of information can be gathered. Knowing which controls have the
control can lead to a worst-case outcome (multiple people biggest impact on the level of risk can alert decision-makers on
trapped and killed due to a ground fall). where to apply more resources. The corollary of course is in
knowing where controls have a lesser impact and so resources
Bow ties for quantitative analysis can be withheld without suffering a significant increase in the
level of risk.
Bedford and Cooke (2001) present a range of approaches and
provide much guidance on the mathematics behind determining
the level of risk with limited or missing input data – and this Consequence studies
approach can be extended through the use of expert teams to An extension (needed for quantitative studies) that can provide
generate information on risk levels that is more likely to represent significant input to any study of tunnelling risk is that of more
reality than where a single individual conducts an analysis. deeply understanding the consequences of an outcome occurring.
Applying this approach, bow tie diagrams allow for the This technology has been adopted by regulators (National
quantitative calculation of risk. Each cause will have a frequency Occupational Health and Safety Commission, 2002) involved in
of occurrence. All controls (both preventative and reactive) will major hazardous facilities – where storages of dangerous goods
have a reliability in the range 0 < ρc < 1. The frequency of above certain holdings trigger a requirement for a detailed study
occurrence of an incident will be the sum of all cause frequencies of contaminant make from fire, explosion size impacts and extent
multiplied by their unreliability (1 - ρc). of impacts on and off the subject site.
The level of risk from the incident will be the frequency of an This approach yields much value for understanding the risks in
outcome (the frequency of the incident multiplied by the any tunnelling operation.
reliability of the reactive control which precedes it and the
‘unreliability’ path that led to the control being ‘activated’) For example, where the maximum extent of a fall is
multiplied by the consequence of that outcome. This typically determined in a geotechnical study this should be included in the
will give figures such as probability of loss of life per annum, risk level calculated. Inrush analysis in particular is markedly
dollar cost of environmental harm or production/business impact improved where the quantum of nearby flowing materials is
per year for each incident. clearly understood. This can be combined with the calculation of
transmission paths to give much more readily used information
These quantitative risk figures can be summed and compared
and where the uncertainty is also provided, this helps to clearly
using actuarial techniques.
see whether the worst possible level of risk is tolerable or not.
Bow ties for qualitative and quantitative analysis
INDUSTRY AND GOVERNMENT POSITIONS
For the case of encountering unexpected conditions during
tunnelling, the bow tie shown in Figure 3 can be developed. The As a general comment all regulators in Australia are moving
basic frequency of the causes of an unexpected condition are towards (or are already at) a position of performance-based
shown on the left under the specific element to which they refer. regulation.
As a specific instance – based on historical mining – the Table 1 (with input from Karwowski, 2006) provides a brief
number of dykes, sills and alterations expected to be encountered overview of the differences between prescriptive and performance-
per year was 0.6 (ie less than two every three years). The control based legislation.
reliability, presented in Figure 4, is the logical ‘OR’ combination One of the most significant impacts of the change in
of drilling (very unreliable); geophysical techniques (fairly legislation is a requirement for a different application of
reliable); underground mapping (fairly reliable) and RIM surveys resources. Performance-based regulation requires significantly
(very reliable). This gives a combined reliability of 88 per cent, more analysis, design and control by industry than does
which means that the number of incidents expected is 12 per cent prescriptive regulation. The ‘payback’ for doing this is that
of 0.6 – or 0.089 events per year. All of these causes combine improved equipment, methods and arrangements can be
with their respective preventative controls to give a total number implemented by organisations without a requirement for
of expected incidents per year. exemptions to regulations or statute being gazetted.
The figure determined in Figure 3 is a credible 0.095 (or about A latent failure pathway (after Reason, 1990) is indicated by
one event every ten years). The reactive controls are then the author – where individuals in industry are expecting the
presented in an event tree – or layers of protection type format. regulator to offer advice/issue instructions and the regulators are
These arrange so that if the first control, feature not significant, turning to industry, expecting them to have a greater
occurs (unreliable at ten per cent) then the outcome will be a understanding of their hazards and controls. This difference may
relatively benign brief change in mining conditions. With a cost lead to major threats/causes being insufficiently controlled and
impact of $500 000 this means that the risk – in dollars lost per subsequent accidents resulting.
year terms – is $4777.
This type of analysis is conducted for each control layer CONCLUSIONS
(noting that a particular layer, in more complex analyses, will be
a logical combination of a number of controls) and so the This paper intended to discuss the benefits and challenges of
frequency of loss per year is determined for each outcome. The applying risk engineering principles to tunnelling operations. An
major loss, with significant rework and loss of a major section of end result of this application is helping tunnelling projects
the mineable reserve, is reached least frequently and all controls achieve ‘best practice’ outcomes (minimal losses and maximum
fail to allow this to occur. stakeholder returns).
A benefit of quantitative analysis is that it lends itself more Some of the hallmarks of best practice were also highlighted,
readily to answering ‘what if’ type questions. The addition, particularly the use of ‘life cycle’ analysis, integrated
improvement or removal of a control can all be added to the mix management systems and rigorous – ideally quantified – risk
and the impact on the total $RISK value calculated. analysis.

P STANDISH
FIG 3 - Bow tie diagram – unexpected conditions encountered during tunnelling.
FIG 4 - Controls for detecting geological conditions.
TABLE 1
Comparison between prescriptive and performance-based legislation.
Dimension Prescriptive approach Performance-based approach

General Rules based – with clear requirements detailed. Requirements based – generally describes the
Statute tends to be longer – with limited reference to required standard and leaves latitude for variable
external information sources. compliance approaches.
May be developed using a tri-partite approach with Statute is typically brief with more extensive
involvement from employer groups, employee reference to external information sources and
groups and regulators. standards.
Typically will reference a requirement for an
owner/controller to understand the risks of their
facility and control appropriately.
More likely to be developed on a tri-partite basis.
Equipment and machinery Complete equipment specifications included in General guidance on the considerations for
regulations. equipment.
Contraband items detailed. May reference external guidelines or other
information.
Communication Limited guidance – apart from references to Requirements for communication with stakeholders.
workers’ representatives. Generally requires involvement in broad range of
decision-making by line personnel.
May reference specific requirements for workforce
involvement.
Work organisation Small number of statutory roles nominated. May (but less likely) reference specific roles in an
Typically personnel outside these roles have no organisation – but requires reporting lines to exist.
clear link to outcomes (ie would not be prosecuted Responsibilities held by a larger number of
in the event of an incident). personnel within an organisation.
Procedures Limited guidance. Normally provides guidance on some specific
Normally requires statutory roles to generate and procedures to be developed – may also reference
enforce rules for specified risks. external groups.
Generally will require some level of team
involvement/risk analysis as part of the development
of the procedures.
Procedures may be given the same weight as
organisational rules.
Employee related – selection and training Minimum ages and maximum hours of work stated. General guidance on matching employees to the
Training to meet the requirements of regulator tasks within the facility.
administered certificates. Reference may be made to external training and
competency metrics to be achieved.
Guidance material may be referenced – and this is
more clearly linked to national or state training
boards.
Enforcement Documented requirement for regular intervention by Intervention not typically documented – but powers
regulators to confirm compliance with statute. are detailed.
Regulator’s powers clearly documented. Normally sees regulator hold a training/guidance
role as well as an enforcement/prosecution one.

P STANDISH
‘Life cycle’ analysis pushes project decision-makers to expand REFERENCES

their mind set beyond just the underground space required and its
development – but also to consider how it will be used, and Bedford, T and Cooke, R, 2001. Probabilistic Risk Analysis (Cambridge
University Press: Port Melbourne).
ultimately abandoned. Applying this type of technique in early
phases of tunnelling projects will lead to improved outcomes in Bultitude, R, 2007. Personal communication.
the operating and decommissioning phases of projects. Butcher, R, 2007. Personal communication.
Department of Industry, Science and Resources, 2000. Petroleum and
Integrated management systems – which are developed from a Electricity Division. Guidelines for the Preparation and Submission
clear understanding of the project risks (as well as the project of Facility Safety Cases (Commonwealth of Australia: Melbourne).
requirements) – need to be ‘kept alive’ during the full life cycle Issigonis, A, c1956. Quoted commentary on committee behaviour.
of a tunnelling project. Techniques which use readily available
Karwowski, W, 2006. Handbook on Standards and Guidelines in
technology can allow multiple parties to enter data and track Ergonomics and Human Factors (Routledge Press: Oxfordshire).
information on risk management activities as well as project MDG1010, 1997. Risk Management Handbook for the Mining Industry
execution. When these types of systems are implemented the (New South Wales Department of Primary Industries).
losses related to changes in design during construction, varying National Occupational Health and Safety Commission, 2002. Control of
levels of threat and lack of ‘ownership’ of critical controls are Major Hazard Facilities (Australian Government Printing Service:
much less likely to occur. Parkes).
Applying quantitative methods and achieving a greater level of National Transportation Safety Bureau, 2002. Safety report,
understanding of the interaction of causes – preventative controls transportation safety databases, NTSB/SR-02/02, PB2002-917004
– incident – reactive controls – outcomes, will achieve a better [online]. Available from: <http://www.ntsb.gov/publictn/2002/SR02
standard of control and a greater connection between designers, 02.pdf>.
constructors, operators and stakeholders during the complete life Palisade, 2007. @Risk Information [online]. Available from:
cycle of a tunnel. <http://www.palisade.com. au/risk>.
Reason, J, 1990. Human Error (Cambridge University Press: Port
Finally the author found that a dichotomy of positions between Melbourne).
industry and regulators may exist. The regulators are looking to
Stutz, M F (et al), 2007. Wikipedia – Best practice article [online].
industry for technical competence – and the practitioners are Available from: <http://en.wikipedia.org/wiki/Best_practice>
expecting some guidance and parameter setting by the regulators. [Accessed: December 2007].
It is likely that the gap will close with a greater understanding Workcover New South Wales, 2006. Tunnels under construction, Code of
of performance-based regulation by both practitioners and Practice [online]. Available from: <http://www.workcover.nsw.gov.
regulators, but the threats that exist now should be thought au/NR/rdonlyres/A2A69186-5F9C-4D2E-9ED1-A9F66C3B5CC9/0/
through by decision-makers in tunnel construction and operation. tunnels_under_construction_code_of_practice_0010.pdf>.
Workplace Health and Safety Queensland, 2007. Tunnelling Code
of Practice 2007 (Queensland Government Printers) [online].
ACKNOWLEDGEMENTS Available from:
The author would like to acknowledge the willing input to the <http://www.deir.qld.gov.au/pdf/whs/tunnelling_ code2007.pdf>.
research for this paper to decision-makers and regulators –
particularly Workcover New South Wales, Department of
Primary Industries Mine Safety Branch, Queensland Workplace
Health and Safety, Xstrata, NML, Barrick and Pybar Mining and
Civil. The author would like to generally thank other SP
Solutions clients whose commitment to risk analysis has given
this work a greater practical dimension.

Urban Tunnelling Challenges – Mechanised Tunnelling to
Improve Life Quality in Cities
M Herrenknecht1 and U Rehm2
ABSTRACT large-scale TBMs have successfully proven their economic and

The biggest hard rock double-shield tunnel boring machine (TBM) in the innovative potential to create the underground infrastructure
world, with a diameter of 12.4 m, is currently excavating the North-South required for mega-cities.
Bypass, which includes a crossing under the Brisbane River, Brisbane,
Australia, to relieve the often congested road traffic in the city centre. Ten SOUTHERN RAILWAY PROJECT –
years ago a 10.7 m Mixshield giant helped to handle the Olympic Games AIRPORT LINK IN SYDNEY
in Sydney linking the airport with the city centre for an improved
transportation of fascinated visitors. In Shanghai, currently the biggest
The great success of the Olympic Games of 2000 in Sydney was
TBM in the world with 15.43 m diameter presents excellent performance
rates; and in Paris a convertible Mixshield could be quickly changed from
based on great organisation and great sporting achievements as
earth pressure balanced (EPB) to slurry type in order to handle the very witnessed by millions. An important contributor to this huge
heterogeneous ground conditions. In Madrid a 15.2 m EPB giant finished event, which could not be seen by everybody, was the tunnel for
its tunnel job four months ahead of schedule. Large-scale TBMs have the Southern Railway and the Airport Link that was required for
proved their economic and innovative potential to create the current and transporting the huge crowds to the competitions. It provides
future underground architecture of mega-cities. a fast rail link to the airport (see Figure 1) and expands the
TBM technology has made further large innovative steps in the last capacity of the existing City Rail network. In addition to this it
decade. State-of-the-art is a TBM for very heterogeneous ground provides new public transport options for people on the Illawarra
conditions comprising hard and soft rock with additional high groundwater and East Hills lines and for those living in the inner south of the
pressure. The machine concept is adapted to the various ground conditions city and working around the airport.
and allows for a quick and flexible application. Ground treatment by means
of additives developed to a helpful tool in this connection.
To meet the special challenges of urban tunnel projects of nowadays it
is of very high importance, beside applying highest developed technology
of TBM, to have a comprehensive technical support during the project
phase and to develop positive relationships between all participants of the
project which last longer than only for one project.
INTRODUCTION
Tunnel boring machine (TBM) technology made further big
innovative steps in the last decade. State-of-the-art is a TBM for
very heterogeneous ground conditions, comprising hard and soft
rock with high groundwater pressure. The TBM design is
adaptable to a range of ground conditions and allows for quick
and flexible tunnel construction. Ground treatment by means of
additives has further extended the range of ground conditions
that can be handled by a single TBM.
To meet the special challenges of urban tunnel projects, in
addition to applying the highest developed technology for the
FIG 1 - Site plan of New Southern Railway Project … Airport Link
TBM it is very important to have comprehensive technical support in Sydney.
during the project phase and to develop positive relationships
between all participants of the project.
The TBM for this project had a diameter of 10.71 m and
Currently in China approximately 100 TBMs are excavating produced a finished high standard tunnel at its rear end at a
tunnels under cities for new metro and water supplying systems. maximum weekly advance of 148 m. The Mixshield TBM with its
In Brisbane, Australia, the biggest hard rock double-shield TBMs double chamber system (see Figure 2) is the most convenient
in the world, with a diameter of 12.4 m are excavating the system for inner city tunnelling in order to keep settlements as low
North-South Bypass tunnels under the Brisbane River to improve as possible. Despite some geotechnical challenges of sticky shaly
traffic conditions in the often congested city centre. Ten years ground conditions, which demanded special solutions, this project
previously, a 11 m diameter Mixshield TBM helped to handle the was, for Australia, a big step forward in mechanised tunnelling.
Olympic Games in Sydney by linking the airport with the city
centre, providing improved transportation links for the large BRISBANE NORTH-SOUTH BYPASS TUNNEL
number of fascinated visitors. In many more tunnel projects all
over the world from Paris, Rome, Berlin to Kuala Lumpur, The city of Brisbane is Queensland’s largest city and state
Beijing, Los Angeles, São Paulo, Mexico City and Caracas, capital. The Brisbane River has created a natural barrier to
transport, because it divides the city of Brisbane into two parts,
the northern and the southern part of the city. In total there are
six road bridges, mostly concentrated in the inner city area,
1. Chairman of the Board of Directors, Herrenknecht AG, Schlehenweg which are now, and particularly with a view to the near future
2, Schwanau 77963, Germany.
predicted traffic development, limited in capacity. This factor has
2. Head of Geotechnics and Consulting, Herrenknecht AG, Schlehenweg added the need for development of new transport routes to focus
2, Schwanau 77963, Germany. Email: Rehm.Ulrich@herrenknecht.de on the inner city.

M HERRENKNECHT and U REHM
A B
FIG 2 - (A) Double chamber Mixshield technology; and (B) Mixshield Airport Link Sydney.
The new North-South Bypass Tunnel is part of Brisbane’s The bored tunnels are approximately 4020 m in length with a
Transport Plan, which is aimed at solving the future transport double tube alignment and an excavation diameter of 12.4 m.
problems within the inner city area of Brisbane. The tunnel is The minimum radius of the tunnels is 550 m and the gradient is
6.8 km long and the essential role of the North-South Bypass typically ±3.5 per cent. The depth of overburden ranges from a
Tunnel project (see Figure 3) is to link five major motorways and minimum of 10 m up to a maximum of 85 m.
arterial roads on the north and south sides of the Brisbane River
that together carry some 350 000 motorists per day. The aim is to The project includes several challenges, which demand well-
construct and operate a state-of-the-art tollway that provides balanced project management and experience-based, high quality
faster, easier, safer and more reliable travel for Brisbane tunnelling operations. One of the main challenges of this project
motorists. The North-South Bypass Tunnel will be the longest is the urban tunnelling conditions including tunnelling beneath
road tunnel in Australia and is planned to start operation by existing city infrastructures.
October 2010. The executing partners of this project are the Leighton
Contractors, Baulderstone Hornibrook and Bilfinger Berger Joint
Venture (LBB JV).
The geological conditions under the city of Brisbane are
described as hard rock conditions – Brisbane Tuff, Neranleigh
Fernvale Formation (arenites, phyllites with quartz veins, high to
very high strength) with weak rock at the uniformity at the
contact between Brisbane Tuff and Neranleigh Fernvale
Formation (see Figure 4).
The geological and hydrogeological aspects of this project
demand a highly sophisticated tunnelling solution, particularly
with regard to the passing under the Brisbane River (see
Figure 4). A first view of the geological conditions suggests that
the tunnelling works should be mainly under dry conditions. But
in case of fractured rock conditions or especially at the contact
zones between the formations, there might be the risk of a
hydraulic contact between the tunnel route and the riverbed. For
this possible incident, the Brisbane double-shield TBM is the
first machine of this type which can be sealed for static pressures
up to six bar. The two TBMs have been designed and
FIG 3 - Site plan of North-South Bypass Tunnel. manufactured to meet this specific requirement of the project,
FIG 4 - Geological longitudinal cross-section plan, Brisbane North-South Bypass Tunnel.

URBAN TUNNELLING CHALLENGES – MECHANISED TUNNELLING TO IMPROVE LIFE QUALITY IN CITIES
and the challenging geological conditions along the tunnel route. Due to a diameter of more than 15 m, the TBM comprises two
In principle, double-shield TBMs are amongst the most concentrically arranged cutting wheels. The inner cutting wheel
technically sophisticated tunnel boring machines in use. is installed in the free centre of the outer cutting wheel and is
Combining the gripper principle and the installation of the designed as flat disc-type wheel (see Figure 7). It is installed in
segments in one coordinated process, double-shield TBMs can the working surface of the outer cutting wheel, and contrary to
be adapted to the particular changing geological conditions along the outer cutting wheel it is longitudinally moveable. The
the tunnel route. Depending on the geological conditions rotational drives of both cutting wheels are completely
encountered, the double shield allows the TBM to be excavating independent with different rotational speeds in both directions of
continuously without interrupting ring building (see Figure 5). rotation.
EPB machines in the range of large and very large diameters
MADRID, SPAIN require a very high cutting wheel torque. This torque is partly
consumed in the mixing chamber. The mixing chamber is neutral
With the 12 m diameter EPB-shield in use for construction of the with respect to the machine roll. Part of the torque is consumed
Metro tunnel in Barcelona, the maximum limit for machine between the cutting wheel and the tunnel face and can be
diameter and torque for soft ground shields with a ground supported in loose soil by means of the shell friction or the
supported tunnel face is still not reached. This record belongs to introduction into the tunnel lining (concrete segments). This part
the world’s biggest EPB machine, which was used for the is active regarding rolling of the TBM.
3600 m long highway tunnel project M30 around Madrid/Spain The main effect and advantage of the double cutting wheel
(see Figure 6). With a cut diameter of 15.2 m, this tunnel was design with regard to the excavation process and soil
successfully constructed in 2006 with a maximum daily conditioning will be discussed below.
performance of 36 m a day, a best week of 188 m a week and a The extensive compensation of the differences of the
best month of 758 m, which led to completion four months ahead peripheral speeds can also be applied to the cutter tools. The
of schedule. material excavation in the outer and inner area of the tunnel face
The M30 project is located in a densely populated area of can to a large extent be carried out at an optimised cutting tool
Madrid. The tunnel alignment passes below three metro lines and speed. The design of the outer area allows the equipment of
railway tracks with minimum clearance at one location of only multiple cutter dresses, which is hardly or not possible at all in
6.5 m. The geology at tunnel level is characterised by cohesive soil the inner area as a favourable opening ratio must be maintained.
conditions (clay and gypsum) of stiff to hard consistency. The The possibility of a higher rotational speed in the inner area
TBM was designed for six bar face pressure. The tunnel has an reduces the great differences of the cutter penetration depth
inner diameter of 13.37 m, consisting of nine reinforced concrete between the outer and the inner area. This has a wear-reducing
segments with a key. A segment ring has a length of 2.0 m. effect.
A B
FIG 5 - (A) Double-shield tunnel boring machine (TBM) technology; and (B) double-shield TBM Brisbane North-South Bypass Tunnel.
FIG 6 - Biggest earth pressure balanced (EPB)-shield in the world FIG 7 - Two converse rotating cutterheads for the biggest earth
(∅ 15.20 m) for Madrid. pressure balanced (EPB) machine in the world.

The mixing chamber can be divided into two areas, which can
be handled differently with respect to the material removal and
kneading or mixing effect. The areas of the inner and outer
chamber are in direct contact. A material exchange between
these areas is possible (radial material flow) but not necessary.
Due to the individual handling of the outer and inner mixing
chamber areas a homogenous consistency of the material in the
chamber can be reached.
The cutterhead is equipped to inject plasticising agents such as
foam. The system is designed to inject a quantity of foam
injection rate (FIR) 100 into the excavation chamber via the
cutting wheel openings. Thirty six per cent of the total volume
will be injected through eight independent injection points
provided on the front face of the centre cutting wheel. The
remaining 64 per cent will be injected in the outer ring section by
14 independent foam lances installed in the outer cutting wheel.
The start-up procedure for the largest EPB-shield is as follows.
The inner cutting wheel starts turning. At the same time the soil
is conditioned with foam in order to improve the friction on the FIG 9 - Changxing road tunnel (7.2 km long) being excavated with
inside. The foam will be added through the rotary union attached biggest tunnel boring machine (TBM) in the world.
to the centre cutting wheel and over the stators in the centre area
behind the cutting wheel (see Figure 8). The displacement
cylinders will be slowly extended to increase the mixing effect in upper level will contain three lanes for motor traffic and the
the centre zone. It can be supposed that the soil will be lower level is planned to include a rescue lane in the centre and a
well-conditioned up to a diameter of approximately 9 m. This safety passage.
will considerably reduce the starting torque of the outer cutting The planned construction period of the Chongming Yangtze
wheel. When the centre area is conditioned the outer cutting River Crossing Tunnel near Shanghai amounts to four years.
wheel starts turning. By turning the outer cutting wheel and Excavation with the first Mixshield commenced in September
adding foam simultaneously, the complete excavation area will 2006, with the second TBM commencing in December 2006.
be conditioned homogeneously and the advance will be started. The second Mixshield started with a time-delay of three months
and will run parallel to the first tunnel tube.
The challenges for the design of the two largest Mixshields for
the river crossing were on the one hand the large shield diameter
of 15.43 m and on the other hand the predicted geological and
hydrological conditions. Each tunnel will have a total length of
approximately 7170 m with a gradient of ±2.9 per cent.
The two Mixshields are designed for the local geological and
hydrological conditions, which feature clayey formations and
very high groundwater pressures. The entire tunnel will be built
in very weak, clayey soils below the groundwater table.
Characteristic of the expected geology are local intercalations of
silty and sandy layers and shell residues. Due to a groundwater
level of up to 47 m above the centre of the tunnel, the TBMs are
designed for a maximum working pressure of 6.5 bar. At the
FIG 8 - Triple conveyor system to handle huge amount of muck deepest point the tunnel will run about 65 m below the surface.
(Madrid, Spain).
The tunnel lining consists of precast reinforced concrete
segments with an internal diameter of 13.7 m. One tunnel ring
SHANGHAI, CHINA consists of nine segments plus a key and has a length of 2 m. For
With the construction of the gigantic project ‘Shanghai both tunnels altogether 7500 segment rings are needed. They will
Changxing Under River Tunnel’ the region of the Yangtze delta be delivered with two special trucks from the segment fabrication
near Shanghai will be further developed. The Yangtze is China’s yard, which is about 1.5 km away, to the job site.
biggest river. Its yearly flow of 951.3 billion cubic metres of A feature of the cutting wheel design is six accessible main
water amounts to approximately 52 per cent of the total yearly spokes, which are sealed against the water pressure (see
quantity of all Chinese rivers. Figure 11). To avoid adhesion of sticky clay at the cutting wheel,
The greatest challenge of this project is the connection of the the centre area is equipped with its own slurry circuit. Large
two river banks from the Pudong mainland with the island of openings in the cutting wheel optimise the flow of material and
Chongming. Two parallel motorway tunnels with a length of reduce the risk of blockage of material in the centre.
8950 m each will be built between the mainland Pudong and the In order to get reliable information about the condition of the
island of Changxing (see Figure 9). A bridge will connect the soft ground tools and buckets, especially in the loaded outer area
island of Changxing with the island of Chongming. of the cutting wheel, ten cutting tools (two buckets and eight soft
Since the waterway between the mainland Pudong and the ground tools) are equipped with an electronic wear detection
island Changxing is a very busy main shipping route, the tunnel system. The system generates online data on the state of the
solution was preferred instead of a bridge construction. selected cutting tools and gives early warning of possible wear to
The two parallel tunnels will run beneath the largest river in the TBM staff. With this electronic wear detection system
China, excavated by the largest two tunnel boring machines (see maintenance works can be planned and the service life of the
Figure 9). The Mixshields have a shield diameter of 15.43 m. tools can be optimised, thereby minimising costly chamber
Each of the tunnel tubes will include two levels, of which the accesses under compressed air.

URBAN TUNNELLING CHALLENGES – MECHANISED TUNNELLING TO IMPROVE LIFE QUALITY IN CITIES
A B
FIG 10 - (A) Biggest tunnel boring machine (TBM) in the world (∅ 15.43 m); and (B) the two tubes three-lane Changxiang road tunnel under
the Yangstze River.
FIG 11 - Innovative cutterhead concept with accessible spokes (right) for tool change.
The design of the cutting wheel was conceived in order to A further feature, which has to be mentioned, is the
allow man access to its interior space under atmospheric air installation of road elements by the backup of the Mixshield. The
pressure, sealed from the groundwater pressure outside. Tool backup is composed of three trailers. The first one contains all
change devices, which are integrated in the cutting wheel, allow necessary equipment and supply material for the functioning of
the personnel to replace tools under atmospheric conditions from the excavation process. The second trailer is a bridge
the interior of the cutting wheel. construction to allow free space of ±20 m for placing the road
The tool change device has two functions: elements, which are precast concrete parts of 2 m length in
dimension, 4.30 m in width and 4.56 m in height. Each element
• to serve as receptacle for the tools, and has a weight of approximately 3.5 t.
• to allow the outward and inward airlock transit of the tools. Supplies will be delivered to the TBM with trucks. They will
drive along these rectangular road elements, which are placed
In order to flush the devices there are flushing connections along the centre of the bottom of the tunnel. The trucks will be
installed on the rear case. unloaded in the backup trailer number three. Backup number one
This tool change device consists of the following main will run on invert slabs. These are placed on the already built
components: segment ring and will be taken out and moved to the front as
• front case – this forms the connection to the steel structure of soon as the first back-up trailer passes this section. Backup trailer
the cutterhead and is circumferentially welded to it, number three runs on auxiliary rails.
The tunnel excavation for the 7170 m per tunnel tube is
• rear case – it is flange-mounted to the front case and assumes expected to take about 34 months. The commissioning of the
in connection with the front case the guidance of the slider BOT-tunnels is planned for 2010. So far progress has been very
and of the sliding pipe, good works with weekly performance rates between 100 and
• slider, and 130 m.
• sliding pipe – the sliding pipe receives the cutting tool.
The sliders are opened in the working position. In this position
PARIS, FRANCE
the cutting wheel is made watertight by the front seal. In case of In Paris, a 10.12 km double deck road tunnel has just been
damage to this seal, the circumferential profile seal located constructed to complete the A86 motorway. The convertible
around the slider and the rear seal would assure the leak Mixshield with a diameter of 11.57 m used for these tunnels was
tightness. designed for slurry and EPB-mode (see Figure 12).

A B
FIG 12 - (A) Mixshield Paris/Socatop (slurry mode); and (B) Mixshield Paris/Socatop (earth pressure balanced mode).
In addition to the large diameter of the machine for the hard rock discs both installed. If necessary cutters can be, and
Socatop tunnel, named after the joint venture, which consists of have been, removed in the longer soft ground sections in order to
Vinci, Eiffage and Colas, it is important to note the consequent accomplish a better material flow. However, the application of
use of the circular profile, which is designed as a two-storey road the Mixshield in plastic clay has resulted in poor tunnelling
tunnel. With the additional ventilation ducts and safety passages performance. The soil in combination with the bentonite caused
the entire tunnel cross-section is used economically. clogging of the cutterhead. Time-consuming cleaning resulted in
The safety concept of this machine is highly sophisticated and a large reduction in performance. However, the lost time could be
this saved workers’ lives on the TBM during a tunnel fire. made up once operation was switched over to EPB mode. The
Geological conditions of this area consist of heterogeneous installed torque of the hydraulic drive amounts to 3500 kNm
soils typical for the Paris region, which cover the entire spectrum with an installed thrust capacity of roughly 150 000 kN. The
of cohesive and grainy soil to hard rock. Apart from plastic clay, TBM weighs 1.400 t and is almost 200 m long. After
which is very suitable for EPB technology, is the occurrence of approximately 11 km of tunnelling in different modes it can be
running sand (so-called Fontainebleau sand), which is known to stated that the concept of a convertible TBM was the key to
be critical concerning stability at the face. In addition, marl, success. The maximum weekly (4.5 working days) performance
chalk and limestone were encountered. rate was 112 m.
Full face tunnelling is able to excavate the heterogeneous
ground formations mentioned above with only one machine. The OUTLOOK
machine concept for these difficult geological conditions Continued worldwide economic growth requires adequate
provides a combination of Mix- and EPB-shield that has both infrastructure to handle overcrowded cities and to protect the
spoil transportation systems at the same time – a screw conveyor current standard of living. Metro, railway, road, sewage and
in addition to the pipes for the slurry operation. The conversion water systems have to be built efficiently to service ongoing
between the two tunnelling methods EPB and slurry can be done developments. Today, in many mega-cities the movement of
within an eight-hour shift. people and goods cannot be guaranteed within certain time
For this, a movable stone crusher was specially designed. The frames, and it would be irresponsible to produce additional
screw is adjustable and can be quickly mounted to the submerged traffic jams due to construction measures. Thus highly efficient
wall with a connecting flange. Thus, the rear chamber is and quick tunnelling technologies have to be chosen in order to
separated completely from the pressurised face chamber and can meet all the project requirements.
be used for maintenance works. Mechanised tunnelling has developed rapidly within the last
For the Mixshield mode, the screw is retracted and completely decade, with improvements to the speed of tunnelling improving
removed. The stone crusher is moved down and the machine is the quality of the tunnel structure itself. The TBM of today can
ready for the slurry operation within the unstable Fontainebleau be adapted to various heterogeneous ground conditions which are
sands. This is a very innovative machine concept, which has typically encountered during sensitive inner city tunnelling
proven itself on this project. projects. In addition to the technical improvements of TBMs, to
Due to the steep incline of the tunnel (+4.5 per cent), the gain the best of this innovative technology, the comprehensive
separation plant used when operating in Mixshield is at a lower and professional support of the TBM manufacturer is needed.
level than the TBM, which required a special flow control It can be seen all over the world that this technology is the
concept in order to control the face pressure, which was most convenient solution to handle the tremendous economic
calculated as up to four bar. The design of the cutterhead suits growth and to improve the unacceptable traffic congestion within
the mixed geological conditions with soft ground bits as well as cities.

Twin Stacked Tunnels – KDB200, Kowloon Southern Link, Hong
Kong
D R Hake1 and I P W Chau2
ABSTRACT Alignment – minimising impacts

Construction of twin stacked railway tunnels through mixed ground Due to the building density in the premier shopping area of Tsim
conditions in the heavily populated urban environment of Hong Kong, Sha Tsui, the available reservation for the alignment was
including tunnelling in poor ground conditions, with low cover and under generally beneath public roads; however, a tight radius curve was
or adjacent to sensitive structures with minimal impact was the challenge also required to turn the 90 degrees from southbound to
presented by the tunnelling section of the Kowloon Southern Link
project.
eastbound for the tunnel drives and this required a reservation
beneath the Former Marine Police Headquarters (FMPHQ)
This paper details how twin 1.1 km tunnels of 7.0 m internal diameter
were driven by Mixshield tunnel boring machine (TBM) in mixed ground
development. The location key plan and alignment are shown in
through one of the exclusive shopping and hotel districts in Kowloon. The Figure 1.
paper addresses the challenges required to be considered and managed for The alignment was effectively defined by the constraints of the
the success of the project, including ground conditions, TBM selection, area available for TBM launch adjacent to the station at the
Mixshield TBM operation, settlement monitoring and control, ground- northern end of the alignment, the limitations of the width of the
borne noise and vibration, proximity to utilities, buildings, roads and road reservation in Canton Road, the existing basements and
operating railways. piles adjacent to the FMPHQ and the connection to the existing
railway station at ETST.
INTRODUCTION The further detailed constraints for the alignment included:
Kowloon Southern Link contract KDB200 is part of a 3.8 km • design depth of West Kowloon Station and northern
railway connection project linking the operational East Rail Line alignment,
and West Rail Line projects for the MTR Corporation in Hong • clearance to the existing foundations of Kowloon Park Drive
Kong. The KDB200 Contract includes the TBM driven tunnels, flyover,
West Kowloon Station, two emergency access and egress shafts,
northern cut-and-cover tunnels connecting to an adjacent • proximity to Canton Road emergency access point (CREAP)
contract and southern cut-and-cover tunnels connecting to the shaft,
existing railway station at East Tsim Sha Tsui (ETST). • maximising clearance to the buildings with sensitive shallow
The HKD2.018 billion KDB200 contract is carried out under a foundations on the east side of Canton Road (north of
design and build contract by Link 200 Joint Venture, comprising Haiphong Road and north of Peking Road),
Leighton Asia Ltd, Balfour Beatty, Kumagai Gumi and John • basement and foundation of No 1 Peking Road,
Holland Pty Ltd. • foundations of Ocean Centre on the west side of Canton
The successful Link200 Joint Venture (JV) bid proposed a Road,
slurry type TBM for the project. The JV also presented an
extended tunnel proposal, crossing the existing MTR • proximity to Peking Road emergency egress point (PREEP)
shaft,
Corporation (MTRC) tunnels, which was accepted by the
corporation post award. The scope of work for consideration in • cover beneath Kowloon Park Drive Subway No 1,
this paper is the construction of the twin 1.1 km tunnels of 7.0 m • clearance to the caisson foundation of YMCA building,
internal diameter through mixed ground conditions beneath the
congested shopping, hotel and tourist area of Tsim Sha Tsui in • clear separation between the tunnels along Canton Road
Kowloon. (approximately 6.4 m horizontally and 6.25 m vertically in
soft ground) and Salisbury Road (approximately 3 m
horizontally),
DESIGN CONSIDERATIONS
• clearance over the MTRC Tsuen Wan Line tunnels and
The project was awarded under a design and build contract and beneath the Nathan Road DSD drainage culvert,
the JV selected Mott Connell – Meinhardt Joint Venture as the • tie-in to existing railway at East Tsim Sha Tsui, and
designer for the project. The key design considerations for the
tunnel construction were: • rail track design grades.
• alignment, The grades required to achieve the design clearances between
the tunnels during construction required TBM drive down grades
• anticipated impacts and proximity to existing structures, of three per cent and driving up grades of 3.2 per cent in
• ground conditions, and conjunction with the horizontal curve of 225 m radius beneath
• segmental lining design. the FMPHQ.
As a result, the two tunnel drives start at the launch shaft
effectively side by side and at similar elevation but at steep grade
1. TBM Manager, Link200 Joint Venture, John Holland Pty Ltd, to achieve depth along Canton Road beneath the flyover, then
70 Trenerry Crescent, Abbotsford Vic 3067. climb over to achieve the vertically twin stacked tunnel
Email: david.hake@jhg.com.au configuration to fit within the road reserve and minimise the plan
2. Senior Construction Engineer, MTR Corporation, Canton Road width of the tunnel corridor, then turn through a 225 m radius
Government Offices, Level 12, 393 Canton Road, Hong Kong, curve whilst unstacking to return to a side by side configuration
China. Email: ipwchau@mtr.com.hk with shallow cover in Salisbury Road.

D R HAKE and I P W CHAU
Kowloon
Hong Kong Island
FIG 1 - Key plan and alignment.
FIG 2 - Geological profile.
Ground conditions abrasive material. The reported Cerchar abrasivity values were
high and the wear on steel components was correspondingly
The tunnels encountered varying ground conditions, all below high. The interfaces encountered blocky ground and there were
the groundwater table and within close proximity to the Hong extensive areas of corestones, slightly weathered to fresh granite
Kong Harbour. Both tunnels encountered a full range of ground blocks, within the CDG matrix.
conditions including completely decomposed granite (CDG),
mixed face of CDG and fresh granite, full face of granite, faulted
zones and mixed face of CDG, alluvium and marine deposits. Anticipated impacts and proximity to existing
structures
Both tunnels were launched (right to left as shown in Figure 2)
with shallow cover of CDG and alluvium overlain by marine As the tunnel construction was required beneath the public roads,
placed reclamation granular fill and encountered the marine congested utilities and in close proximity to existing structures, a
deposits with shallow cover in Salisbury Road when side by side key design consideration was the ability of the TBM to ensure
at the end of the drive. the settlement performance was satisfactory to limit impacts on
As the two tunnels passed beneath Canton Road in their twin those third party assets.
stacked tunnels configuration the ground conditions experienced The corridor for the TBM along Canton Road was also narrow
by each drive were different. The first drive experienced more with basements and foundations on each side. The anticipated
rock and increased water pressure whereas the second drive effect of this was a potential for greater settlement above the
experienced more shallow cover and mixed ground (CDG and TBM as the full distribution of the design settlement trough
granite interface and CDG with corestones). The second drive could not be realised due to the constraints of the buildings. In
encountered marine deposit and alluvium with shallow cover at part owing to this, it was decided to excavate the lower tunnel
the junction of Canton Road and Haiphong Road at the first and the upper tunnel second. Although the settlement
mid-point of the drive. realised would be cumulative, this sequence minimised the risk
The granite in this part of Hong Kong is typically made up of to the completed tunnel from any effects of the second drive. The
30 per cent of medium-grained quartz and is considered a highly twin stacked arrangement is shown in Figure 3.

TWIN STACKED TUNNELS – KDB200, KOWLOON SOUTHERN LINK, HONG KONG
• a nominally 1500 mm long ring for the general tunnel with a

taper of ±12 mm to achieve a 500 m radius curve, and
• a nominally 1200 mm long ring for use at the 225 m radius
curve with a taper of ±25 mm.
The concrete mix specified for the lining was a grade 50:10
mix. Due to the extensive experience in Hong Kong with
reinforced concrete and the high TBM design loads, traditionally
reinforced concrete segments were designed for the project.
Consideration for the durability of the lining and the potential
presence of chlorides from the influence of sea water was
incorporated using a corrosion inhibitor additive in the concrete
mix. Further consideration was given to the four-hour fire rating
required for the lining and polypropylene fibre was also used in
the concrete mix.
The water tightness requirement had been addressed through a
two-part hydrophilic and EPDM rubber gasket. The EPDM
gasket was installed at the precast yard and the hydrophilic
gasket installed on site prior to sending into the tunnel.
The precast segmental lining was manufactured in mainland
China and shipped by barge to a Hong Kong cargo basin, then
trucked to site in half-ring stacks.
TUNNEL CONSTRUCTION
TBM selection and operation, ensuring minimal settlement and
impact on the surface activities, is paramount to the success of
this type of project through difficult ground conditions in such a
high profile area.
FIG 3 - Twin stacked tunnels, showing mixed conditions and
poximity to existing foundations. Tunnel boring machine (TBM) selection
The twin tunnels are both approximately 1100 m in length and
An analysis of each key area was undertaken with appropriate one TBM was used for the project to complete both tunnel
risk mitigation measures implemented. As a result, a general drives. The TBM was planned to excavate the up track (lower)
contingency plan was developed with the following risk tunnel first from the launch shaft, then recovered and relaunched
mitigations: to complete the down track (upper) tunnel. It was also planned
• Kowloon Park Drive flyover – contingency deck jacking that the delivery of the TBM would be by barge directly to site
plan; and therefore the backup trailers would not be required to be
transported on public roads.
• CREAP and PREEP shaft and connection adit passing – The key TBM selection criteria were:
temporary lining;
• control of face pressure in soft ground, mixed face conditions
• Kowloon Park Drive Subway – reduced operating pressure; and shallow cover to minimise surface settlement;
• MTRC TWL crossing and DSD culvert passing – ground • groundwater inflow control at faults and interfaces;
treatment and isolation horizontal pipe piles; and
• hard rock production rates;
• emergency temporary traffic management schemes (TTMS),
with standby crew, standby grab lorry and water bowser. • excavation through corestone and blocky ground;
Consideration was given to extensive ground treatment at • spoil handling systems;
interfaces; however, this was considered a construction risk to be • TBM shutdown and maintenance periods;
addressed through selection of excavation methodology. • wear and abrasivity, and
• ground-borne noise impacts.
Segmental tunnel lining
A mixshield type TBM was considered superior to an earth
The tunnel lining internal dimension was determined using pressure balance (EPB) TBM as it is able to maintain more
consideration of the design alignment and the rail track accurate and reliable face control, particularly at the soil/rock
kinematic envelope. Due to the 225 m radius curve, the tunnel interface zones and by the use of a rock crusher when excavating
lining was required to be 7.0 m internal diameter to allow for corestones. The issue of rock excavation performance was
evacuation and maintenance walkways, M&E provisions and indistinguishable between either slurry or EPB type TBMs as the
kinematic envelope. TBM was designed for the anticipated rock conditions. The
The 350 mm thickness of the lining was developed based on a further important issues for TBM selection, such as groundwater
range of loading conditions including ground, surcharge, control, managing wear of the cutters and cutterhead and coping
handling, TBM operation loads and critically on the TBM thrust with blocks or boulders were also considered superior with the
mixshield TBM.
loads due to steering for the 225 m radius horizontal curve in
hard rock. Therefore the lining outside diameter was 7700 mm.
The tunnel ring was a ‘universal taper’ lining, which can be
Mixshield tunnel boring machine (TBM) design
rotated to achieve the desired alignment. considerations
Two ring types, both six segments plus one key, were used for The TBM selected was a 7.99 m diameter Herrenknecht
the alignment: Mixshield TBM. The TBM was designed by Herrenknecht in

Schwanau, Germany. The key components of the TBM, such The tunnels both encountered corestones within the CDG over
as the main drive, cutterhead, motors and pumps, were the first 100 m of tunnel until the first interface was reached. The
manufactured in Europe, whilst the steel structure of the TBM damage experienced by the cutters was limited in the first drive
and associated backup equipment were manufactured in and more extensive in the second drive. Although the tunnels
Shanghai and Guangzhou, China. All TBM structure and were only 6 m apart, the second tunnel experienced boulders
components were transported to Herrenknecht’s Guangzhou within a non-cohesive matrix, which impacted the cutters to a
factory for assembly, testing and commissioning as shown in greater extent.
Figure 4. The TBM encountered hard rock, in the order of
110 - 185 MPa beneath the flyover section. During the up track
drive with the cutterhead rotation speed and thrust loadings
maximised, advance rates of 10 - 12.5 mm per minute were
achieved compared to a designed rate of 15 - 20 mm per minute.
During the second drive in similar rock conditions and loadings,
the TBM achieved 20 - 25 mm per minute as the extent of
fracturing was greater than the first drive.
The advance rates in the soft ground conditions, such as full
face CDG or marine deposits, were in the range 40 - 55 mm per
minute. The advance rates were governed by the annulus
grouting rates and spoil handling at the slurry treatment plant.
The 225 m radius curve presented design issues for the TBM,
backup trailers and segmental lining. To provide the additional
clearance required around the shield for the tight curve, the outer
cutter positions were offset using 5 mm and 10 mm packer
plates. The additional over-cut enabled the TBM to negotiate the
curve successfully in hard rock.
FIG 4 - Tunnel boring machine (TBM) in Guangzhou factory.
The TBM used a guidance system supplied from VMT GmbH
with ring selection software for the operation. The survey
The TBM cutterhead was designed to satisfy both rock cutting operation was undertaken directly by the JV to ensure
performance and satisfy the soft ground excavation performance coordination between the tie-in structures and as a tight tolerance
and had the following features: was required on breakthrough at the reception shaft.
• 8.05 m cutterhead excavated diameter;
• bidirectional (left and right) cutterhead; MTR Corporation (MTRC) TWL crossing
• cutting tools 41 × 17" single disc cutters, 4 × twin 17" disc The final section of both tunnel drives included shallow cover
centre cutters (and overcutter), face spacing 100 mm; tunnelling beneath public roads in soft ground. The MTRC TWL
• 108 soft ground scrapers; crossing with less than 2 m of clearance and tunnelling with
2 m of clearance beneath the DSD drainage culvert, which is
• 2400 kW installed for cutterhead main drive with 14 connected to the harbour, were additional constraints in this
hydraulic motors; and section.
• single articulation to suit 225 m radius curve. For this critical final 40 m of tunnelling, where the cover
To maximise the performance during rock excavation, the reduces to less than one diameter and the clearance between the
design of the TBM incorporated a 4 m diameter main drive with tunnels reduced from 3 m to less than 1 m, ground treatment by
excess thrust on the displaceable drive. This was maximised to jet grouting in advance of the tunnel drive was employed.
just fit together with the 19 × 300 tonne capacity thrust rams, The MTRC tunnels were constructed using compressed air
provision of the rock crusher and the in-line compressed air lock within an open shield in the mid-1970s and have subsequently
for man access to the cutterhead for maintenance. been refurbished using shotcrete due to deterioration of the
The site constraints at the TBM reception shaft in Salisbury tunnel lining. The refurbishment removed the inner face of the
Road and the craneage limitations in Hong Kong, meant the rings and reinforcement and replaced these with steel fibre
TBM components were designed for shaft removal and transport reinforced shotcrete (SFRS). The crowns of the tunnels built
on the public roads, whilst the backup was designed for removal through this area were in mixed rock and corestone. Therefore as
through the completed tunnel and handling within the TBM site. an additional mitigation measure, 273 mm outside diameter
The backup trailers were also designed as an open structure,
horizontal pipe piles have been installed above the MTRC
without rail ramps, to minimise the risk of derailments during
segment delivery due to the grades within the tunnel. tunnels as a separation deck to prevent any point loading onto the
existing lining.
The crossing of the MTRC commenced at 22:00 hours on a
Tunnel boring machine (TBM) operation Saturday evening and continued until completion of the crossing
The TBM drive was launched from a 22 m deep diaphragm wall on Monday morning. The passing of the cutterhead of the TBM
box structure with approximately 14 m of cover. The end wall of above the crown of the MTRC tunnels occurred outside of
the shaft was constructed using fibreglass reinforcement in the normal traffic hours. During weekend passage and throughout
panels. Outside the diaphragm wall was a zone of jet grouted traffic hours, the trains could be reduced in speed to allow cabin
columns to enable the secondary seal on the launch wall to be inspections to be undertaken and during non-traffic hours manual
installed. The fibreglass reinforcement caused minor expected survey and inspection was undertaken. The real-time monitoring
delays due to blockages within the rock crusher grill and also at within the tunnel, together with CCTV, was linked to a control
the slurry treatment plant (STP) during the launch. Cleaning to centre, which included the TBM operational data such that full
remove the jet grout and GRP from the slurry was required prior monitoring could be undertaken and the TBM notified of any
to moving into the natural ground. changes in the conditions.

Annulus grouting The tunnelling passed through soft ground and mixed ground
conditions at shallow cover along both Canton Road and
The TBM was designed with tail shield grouting using a Salisbury Road and the design face loss for the settlement
traditional grouting system and grout excluder plates on the tail performance using the mixshield was estimated as:
shield. This was effective in soft ground and it was recognised
that accelerator would be required with the grout in the rock • CDG: 0.3 per cent face loss,
section. During launch of the TBM the grout excluder plates • mixed face of soil and rock: 0.5 per cent face loss, and
became entrapped in the launch seal and thereafter it became
difficult to contain the grout within the annulus surrounding the
• marine deposit: 0.7 per cent face loss.
rings in the hard rock conditions. As a result some ring flotation It was envisaged that the settlement measured for the second
was experienced during free air interventions in rock for cutter tunnel, when in the twin stacked tunnels configuration, may
changes when the grout was no longer contained. produce higher than anticipated settlements. The actual
A two-component grouting system was sourced to replace the settlement measured over a length of 400 m has been less than
traditional grouting system and counter the containment problem the equivalent of 0.1 per cent face loss for the TBM travelling
caused by the loss of the grout excluders. The cement-bentonite parallel beneath the road at one diameter of cover. Some minimal
and sodium silicate grouting system with a batch plant on site heave was also evident along the alignment due to annulus
also eliminated the need for ready-mixed grout deliveries to site grouting pressures and volumes.
outside of normal hours. The grout was mixed and pumped from Monitoring within the MTRC tunnel crossing similarly
the surface batch plant to the TBM via two 50 mm lines for the revealed negligible movements due to the passage of the TBM
grout and two 25 mm lines for the accelerator. The grouting above.
system was changed over during the up track drive and required In addition to the surface monitoring, in-tunnel monitoring
grouting through the segments. using arrays of prisms was installed in the completed up track
tunnel in three areas:
Interventions
• tunnels side-by-side in close proximity in CDG,
Compressed air interventions were required to complete • tunnels stacked vertically in close proximity in CDG, and
maintenance on the cutterhead in mixed ground conditions using
the Hong Kong regulation tables. An emergency medical lock • tunnels side-by-side in close proximity in marine deposit.
was provided on the site surface during the project in accordance The in-tunnel monitoring did not reveal any significant
with the Hong Kong regulations. movement in the first tunnel as a result of the driving of the
There was only a short exposure of soft ground at the start of second tunnel.
the drives and at the low point of the first drive. The maximum During the commencement of the second tunnel drive, a tower
compressed air pressure used in the lower section of tunnel was crane was erected above the tunnel alignment within the plan of
two bar gauge pressure. Therefore a single in-line air lock was the railway reservation at the FMPHQ development site.
provided on the TBM for man access.
Analysis of the foundation and reported ground conditions,
Owing to the proximity of adjacent structures, a number of ‘no together with additional monitoring, allowed the tunnel to
planned intervention zones’ were identified. In these zones it was proceed beneath the tower crane during the Lunar New Year
preferred to tunnel without undertaking maintenance on the shutdown of the FMPHQ site. Monitoring of the tower crane
cutterhead to reduce the risk of slurry or compressed air losses base revealed minor heave and tilt of the crane base due to the
during the intervention. Interventions in full face rock were passage of the TBM, but well inside the permitted design criteria.
undertaken in free air conditions.
Ground-borne noise, vibration and site noise
Settlement monitoring and control
The tunnel alignment passes numerous noise sensitive receivers
The main risk was over-excavation through either poor or (NSRs), including schools, shops and hotels. The most
incorrect excavation chamber pressure control or due to prominent NSR is the Hong Kong Cultural Centre (HKCC)
preferential excavation in mixed face conditions. The presence of facility, including the concert hall, studio theatre and recording
groundwater in a mixed face condition was also a concern. If the studio.
TBM was unable to control the groundwater pressure then water
inflow could transport soil and possibly result in settlement due Based on previous project information, the ground-borne noise
to either loss of ground or consolidation due to lowering of the (GBN) effects were estimated and then a detailed GBN
water table. Groundwater control was important as the alignment monitoring plan was prepared. Early monitoring was undertaken
to determine the impacts and validate the initial modelling. The
is close to the harbour and due to the presence of faults in the
GBN levels were generally as predicted within the buildings
area.
monitored; however, the impact or nuisance of the +3 dB
An internet-based monitoring system was selected for use on increase in a building such as HKCC was negligible. The HKCC
the project, which provided both SMS and email notifications in studio theatre levels reached +7 dB. For the closer but less
the event of exceeding the preset alert, action or alarm (AAA) sensitive buildings, such as the retail stores and restaurants along
values. The monitoring system utilised information from over Canton Road, the impacts were limited to relatively short
1300 monitoring points, 300 real time and 1000 manually input, exposures, measured in days. The TBM excavation was only
including: delayed on two occasions to reduce GBN impact within the
• surface and utility settlement markers; restaurants during their evening peak time.
• vibrating wire piezometers, piezometers and standpipes; Vibration monitoring was undertaken in conjunction with
settlement monitoring along the alignment. The vibration impact
• tilt meters and inclinometers; of the TBM in the lower up track tunnel was minor due to the
• automatic deformation monitoring systems (ADMS); and greater depth and extent of full face rock tunnelling. In the
shallower down track tunnel drive, with more interfaces and
• CCTV cameras in MTRC tunnels. corestones, the vibrations were measured in the range 3 - 5 mm
The pressure parameters used for the TBM operation were per second. These figures were within the acceptable range;
defined based on ground and groundwater conditions along the however, were inconvenient to the adjacent building users for a
alignment and were prepared on a daily basis prior to excavation. limited period whilst the TBM passed by.

Public relations officers from both the JV and client liaised deposits available at the time of tender. However, it became
closely with the affected parties in advance to minimise any evident during operation in the up track drive that delays
project delays and to ensure their concerns were addressed with between excavation cycles could be further reduced by the
current information on the project status. addition of another centrifuge to increase the plant’s fine particle
The working site for the tunnel operation is located at the and waste slurry processing capacity. An additional centrifuge
northern extent of the hotel and retail area of TST. Two sides of and flocculation system was mobilised for the second drive.
the site are bound by a 70 storey residential tower development The spoil discharged from the slurry treatment plant was
and the 15 storey fire services department residential quarters. transported by fixed conveyor to the adjacent spoil handling area
The other two sides of the site face an expansive open area and where it was loaded into trucks by excavator. The loaded spoil
the station construction. trucks transported the spoil along the internal haul road to a
The site operates under Government Environmental Protection barge loading facility for disposal at both marine dumping and
Department issued construction noise permit (CNP) with strict land-based filling areas.
requirements for operation during the periods:
• 19:00 - 23:00 <65 dB, and Tunnel boring machine (TBM) disassembly and
• 23:00 - 07:00 <55 dB. recovery
Further, under the environmental conditions, plant must satisfy The TBM reception shaft is located at the corner of Salisbury
strict sound power level criteria to reduce the impact at the Road and Nathan Road, outside the Sheraton Hotel and
NSRs. diagonally opposite the Peninsula Hotel in TST. The reception
As a result of the CNP and requirements to undertake shaft site is bound by three traffic lanes on two sides and a major
tunnelling operations on a 24 hour basis (such as the MTRC intersection on the third side. Therefore road closures and traffic
crossing), all fixed equipment had noise enclosures erected and diversions were required to mobilise the 500 t mobile crane and
the tunnel portal area enclosed for operation. trailers for the removal process as shown in Figure 6.
Spoil handling
The spoil excavated by the TBM was transported in a slurry
suspension through wall-mounted 350 mm diameter pipes to the
slurry treatment plant (STP) to separate the spoil from the slurry.
The spoil was then disposed of and the slurry re-used in the
excavation process.
The STP, provided by Pigott Shaft Drilling (PSD) of the UK,
was a 1350 m3 per hour flow capacity plant. The STP is a
modular unit consisting of a primary screening unit, three
desander units, two centrifuges with a flocculation system,
bentonite mixing system and storage tanks. The primary screen
had a steeply declined deck which separates all material greater
than gravel size such as rock and clay balls. The three desander
units are two-stage, each incorporating a single 660 mm
hydrocyclone and a bank of 18 × 5" hydrocyclones. The two
centrifuges are located in parallel in the system to separate the
fine clay-sized particles. A flocculation unit is operated with the FIG 6 - 500 t crane set-up and road closures for disassembly at
centrifuges to remove fine particles and process waste slurry for reception shaft.
disposal. The STP arrangement is shown in Figure 5.
The ten main TBM components were planned for removal
from the shaft over a 14 night period. The operational window at
the site was from 00:00 (midnight) through to 06:00 each
morning. Each night the road closure commenced at midnight,
then the crane and counterweight was set up, the lifts completed,
load secured to the trailer, transported under police escort to site
whilst the crane was demobilised and the road re-opened.
The transport route for the oversized and overweight TBM
components required road closure for reverse flow back to site
under police escort.
Due to the congestion of the utilities at the reception shaft,
there was no direct lifting available for the up track TBM
recovery. To enable the components to be placed beneath the
crane hook, the shaft floor was plated with steel and the cradle
fitted with Teflon plates prior to the TBM being pushed into the
shaft. The TBM disassembly was undertaken using a series of
movements within the shaft base.
CONCLUSIONS
FIG 5 - Slurry treatment plant layout showing active tanks and
modular units (prenoise enclosure). The Kowloon Southern Link KDB200 TBM tunnels were
constructed through the congested urban area of Tsim Sha Tsui
The slurry treatment plant system, particularly the desilting in Kowloon. Owing to the development in the area and the
and centrifuging, was sized to suit the maximum advance rate of available reservation between buildings, the alignment required
the TBM, based on the grading curves for CDG and marine steep grades, a twin stacked tunnel configuration and a tight

radius curve to achieve the rail track design. The ground and above the MTRC TWL tunnels. Through appropriate
conditions encountered were variable and contained a full range mixshield TBM selection and close control of the slurry
of conditions, from weak marine deposits, alluvium, CDG parameters, low settlement figures were achieved in all areas
through to competent fresh granite. The cover was variable along the alignment. Ground-borne noise impacts were also
between the two drives but was shallow in difficult ground minimal and short term.
conditions beneath public roads for the majority of the second Based on the above, it is considered that the impact of the
drive. A number of instances of close proximity TBM passing TBM driven tunnels on the public has been minimal and
were required, including adjacent to shafts, existing buildings therefore the outcome of the tunnelling has been successful.

Tunnelling for Bogong Hydropower Development
R Rooney1 and A Kindred2
ABSTRACT capacity to deliver 140 MW of fast response peak electricity,

The Bogong Hydropower Development is a 140 MW high head power
capable of meeting the sharp spikes in demand that characterise
project currently under construction in Northern Victoria. The project is the Victorian electricity market.
the final link in the Kiewa hydroelectricity scheme, which was originally Serious investigation into the viability of the Bogong
constructed in the 1950s. Due to its location in the Alpine National Park, Hydropower Development was undertaken by Southern Hydro
the waterway for the Bogong project must be located entirely Pty Ltd after the year 2000, and sufficient preliminary
underground. A series of shafts and tunnels is being constructed to investigations were completed by early 2006 for the project to go
transfer the water from the headworks at McKay Creek to the new power
station located on the shores of Lake Guy in Bogong village.
out for tender. The civil works associated with the headworks,
water conveyance system, power station structure and tailrace
The difference in elevation between the headworks and the power
station is greater than 420 m, which poses particular issues for the design was tendered on a design and construct basis. In October 2006,
and construction of the waterway. The purpose of this paper is to describe McConnell Dowell Constructors were selected as the successful
the design and construction planning aspects of the tunnelling and shaft tenderer, with Halcrow as their designers.
excavation and lining works for the waterway. The tunnelling works Due to the location of the Bogong Hydropower Development
includes 5.7 km of hard rock tunnel boring machine (TBM) driven tunnel, within the Alpine National Park, one of the requirements of the
1.1 km of drill and blast tunnel and two deep shafts. The tunnels and
scheme was for the entire water conveyance system between the
shafts are lined with a mixture of permanent rock bolts and shotcrete,
concrete lining and steel lining. tailrace for McKay Creek Power Station and the new Bogong
The viability of the Bogong Hydropower Development relies heavily
Power Station to be underground. This paper describes the design
on the ability of the TBM to excavate at high speed through the East and construction planning aspects of the tunnels and shafts that
Kiewa Grandiorites. Particular attention was given during the construction comprise the underground water conveyance system.
planning stage to understanding the excavation characteristics of this
material, and designing a suitable hard rock TBM that would be capable SCHEME COMPONENTS
of meeting the program requirements of the project.
The underground waterway system for the Bogong Hydropower
PROJECT BACKGROUND Development consists of the following components:
• 5 m diameter, 140 m deep headpond drop shaft at the
The Bogong Hydropower Development is the ‘final link’ in the headworks end;
Kiewa hydroelectricity scheme located in north-eastern
Victoria. The original Kiewa hydroelectricity scheme was • 5 m diameter, 6500 m long main headrace tunnel;
developed in the 1950s by the State Electricity Commission of • 4 m diameter, 100 m deep downstream drop shaft;
Victoria; however, the final link was never constructed.
Following privatisation of the Victorian power industry in the
• 3.5 m/3.0 m diameter, 1300 m long high pressure headrace
tunnel; and
1990s, Southern Hydro Pty Ltd acquired the state’s
hydroelectricity assets, which include the Kiewa scheme. • rock traps, concrete plug and bulkhead.
In 2006, Southern Hydro Pty Ltd became AGL Southern Hydro The scheme arrangement is shown in Figure 2.
Pty Ltd. AGL Southern Hydro is the current developer of the The tunnel alignment follows the ridgeline on the west side of
Bogong Hydropower Development. Pretty Valley Creek. This alignment was selected from more
The original Kiewa scheme development included water direct alignments in order to maximise the rock cover over the
storages at Rocky Valley Dam and Pretty Valley Storage adjacent tunnel, and provide greater resistance to the internal water
to the Falls Creek ski resort in the Alpine National Park. A tunnel pressures.
and pipeline system connects these storages to the McKay Creek The size and shape of the waterway components were selected
Power Station. Tailwater from McKay Creek Power Station to minimise the excavation requirements, while at the same time
discharges into Pretty Valley Creek. Further downstream of the achieve the project objectives for flow velocity and headloss.
tailwater discharge point, Pretty Valley Creek joins with Rocky Under the project contract, McConnell Dowell is required to
Valley Creek and another storage was constructed, Lake Guy, provide a guarantee for the maximum headloss in the waterway.
adjacent to Bogong Village, to divert water through Clover
Power Station.
CONSTRUCTION PLANNING
The difference in elevation between the tailwater level at
McKay Creek Power Station and the storage level in Lake Guy is
approximately 420 m. Harnessing the energy inherent in this Concept design and tender process
difference in elevation is the ‘final link’, and this is the basis for To develop the concept and establish the geological baseline and
the Bogong Hydropower Development. Energy studies have parameters for the project, AGL Southern Hydro engaged
shown that a power station on the shores of Lake Guy has the consultants GHD and SKM, who produced a concept design and
carried out geotechnical investigation works. These documents
formed the basis for the call for tenders. The proposed
1. Operations Manager, Tunnels and Underground, McConnell Dowell framework for delivery of the Bogong Power Development was a
Constructors (Aust) Pty Ltd, Tally Ho Business Park, 16 Lakeside two contractor proposal. Contractor 1 was responsible for
Drive, Burwood East Vic 3151. delivering a design and construct solution for the civil works and
Email: russell_rooney@macdow.com.au waterway (headpond works, shafts, tunnels, penstocks, power
2. Principal Engineer, Halcrow Pacific Pty Ltd, Level 1, 542 Station station and tailrace). Contractor 2 was responsible for design,
Street, Box Hill Vic 3128. Email: kindredan@halcrow.com manufacture and installation of the turbine generators.

R ROONEY and A KINDRED
FIG 1 - Bogong site location plan.
FIG 2 - Tunnel alignment plan.

TUNNELLING FOR BOGONG HYDROPOWER DEVELOPMENT
Following the call for tenders and the evaluation process, the basalts, dolerites, pegmatite and mafic varieties. The bulk of the
following contracting entities were appointed: underground excavations are expected to be within the East
• civil works and waterway contractor: McConnell Dowell Kiewa Granodiorite, and dykes containing altered granitic rocks,
with Halcrow as lead designer. basalt and diorite are expected to be encountered on a regular
basis.
• turbine and generator contractor: Toshiba International. Several large faults are known to exist in the project area,
generally trending in a NE direction, although none of these
Pre-award design workshops known faults intersect the tunnel alignment. However, the tunnel
alignment crosses beneath several deeply eroded and/or strongly
Prior to final contract award, McConnell Dowell and AGL
linear valleys, which are generally aligned with the direction of
Southern Hydro conducted a number of design and
regional faulting. It is possible that the strong linear features are
constructability workshops. These workshops achieved a review
associated with altered zones associated with minor faulting and
of the basic design assumptions, focused on value for money and
shearing.
net benefit to the project, and introduced options for innovation
and sustainability. The key areas addressed were: The primary aquifer system is the fractured rock aquifer
system of the granites and granodiorite. Groundwater flows
• optimisation of the waterway conduit and associated primarily through the fissures and jointing in the rock.
hydraulic modelling; Preconstruction groundwater levels are generally within 50 m of
• penstock alignment review and removal of power station the existing ground surface.
bypass requirement; A very limited number of boreholes were drilled in the project
• power station layout, size and orientation; area, generally in the portal zones. The majority of the main
headrace tunnel alignment was not investigated by boreholes due
• headpond and tailrace structure optimisation; and to restrictions to surface access. The boreholes showed that
• spoil management and potential for sustainable solutions. weathering extends up to 40 m below ground surface, and
identified a persistent orthogonal joint set of widely spaced
joints.
Construction phase
The majority of the underground waterway will be constructed
The project construction consists of several discrete but inter- in fresh East Kiewa Granodiorite. This rock has a compressive
connected elements forming the waterway from the upper level strength of 120 to 200 MPa and a density of 2.7 t/m3.
of the scheme at RL 1060 to the power station and tailrace at RL Approximately five per cent of the underground structures are
638 (refer Figure 2). The methods (and relevant construction expected to be excavated in poor quality material associated with
restraints) adopted for each of the elements of the project are minor faults and shear zones. Extensive rock property testing was
described below. undertaken on granodiorite samples taken from the boreholes
The 140 m deep 5.0 m diameter drop shaft will be constructed during the site investigation stage in order to assess the
by raise bore. The headpond structure and bell mouth entry suitability of this material for excavation by TBM.
works were constructed ahead of the shaft excavation to As part of the site investigation a series of hydraulic fracture
eliminate any requirement to work over the open shaft stress measurements were undertaken in selected boreholes to
excavation. The final connection of the headpond structure to the determine the magnitude and direction of the horizontal in situ
existing waterway will be completed over one week shutdown. stress field. The results of the tests generally showed that the
The 6.5 km long 5.0 m diameter main headrace tunnel is being major principal stress is orientated in the east/west direction,
constructed using a hard rock TBM. The tunnel muck is removed although the ratio of this stress to the vertical stress varied
with a continuously advancing conveyor. The TBM is serviced significantly between tests. Estimates of the near vertical stress
(personnel and materials) by rail-mounted transport methods. suggested that the vertical stress at any location can be
determined from the depth of rock cover assuming an average
Excavation of launch and recovery chambers for the
specific gravity of the overburden of 2.5. In some of the tests, the
downstream dropshaft will be undertaken without disruption
measured horizontal stress was found to be less than the vertical
to the TBM works. The concrete lining will be placed
stress.
simultaneously with the excavation of the main headrace tunnel.
During excavation of the tunnels, further in situ stress
The 1.3 km long 4.5 m high pressure headrace tunnel diameter
measurements will be undertaken. These are required in order to
tunnel was excavated by a rail bound drill jumbo with tunnel
confirm the location of the tunnel plug (and start of the main
spoil removed by rail bound equipment (Haagloader and train of
headrace tunnel), and the termination point of the steel lining in
interlinked Haagcars). The lining design for this tunnel requires
the high pressure headrace tunnel.
installation of approximately 700 m of 3.0 m diameter steel
lining.
At the power station site, a 25 m deep excavation was required SELECTION OF TUNNEL EXCAVATION METHODS
in very varied and challenging geological conditions to reach the
foundation level of the power station. Extensive temporary High pressure headrace tunnel (HPHT)
work was required to support the hydraulically conductive soils. The high pressure headrace tunnel (HPHT) was excavated by the
Construction of the power station and tailrace required a number use of rail bound drill and blast equipment. Principle reasons for
of major lifts of up to 80 tonne. this technology were:
• tunnel alignment was straight with a nominal grade (+0.2 per
TUNNEL GEOTECHNICAL CONDITIONS cent),
The geology in the tunnel area is mainly comprised of Devonian • tunnel size suited drill and blast methods,
Age East Kiewa Granodiorite and Silurian Age Cobungra
Granite, associated with the Omeo Metamorphic Complex. The • available portal space was limited due to the proximity of the
Cobungra Granite forms a large batholith over the project area, construction works for the power station, and
which has been intruded by the East Kiewa Granodiorite. Dykes • program benefit due to tunnel length and speed of tunnel
are common throughout the area and dyke rock types include commencement.

The straight horizontal and vertical alignment permitted the • efficiency and integration of the muck handling system,
use of high-speed rail bound mucking equipment. This was
achieved by the use of rail bound loading and transport systems • flexibility in the ground support installation,
(Haagloader and Haagcars – Figure 3). Diesel locomotives were • ventilation system for 6.5 km of single entry,
used to haul all plant and spoil and ground support was installed • integration with material transport systems, and
using the drilling jumbo. The use of the rail bound mucking
systems did not require time-consuming and costly passing and • data acquisition and monitoring.
loading bays normally required with conventional rubber tyred Cutterhead power was selected at 1800 kW supplied by six
methods in tunnels of this size. 300 kW electric motors operating on a planetary bullring. The
cutterhead was dressed with 33 475 mm cutters and the cutting
stroke was 1.8 m. Ground support was primarily achieved
through 2.4 m CT bolts installed from a dedicated installation
station located within 3 m of the cutterhead. The station was
indexed to the grippers so that a position ‘on station’ could be
maintained as the machine pushed through the stroke. A set
erector was installed immediately behind the cutterhead to cope
with shear zones and an indexing probe drill was installed to
provide continuous ability to probe in all conditions.
A continuously advancing conveyor of 600 m extension
capacity transferred all material to the portal where it was
transferred to a stacker conveyor that redirected material across
the site, and straddled the Alpine Highway for containment in a
dedicated stockpile for subsequent road hauling.
Positive tunnel ventilation was achieved with triple stage
1400 mm fans and continuous 1400 mm duct. Air was extracted
from the cutterhead via a scrubber and replaced with fresh air
from the air forced from the portal.
The TBM was sourced from Herrenknecht AG and was
FIG 3 - High pressure headrace tunnel (HPHT) mucking prepared in Italy prior to being shipped to Australia. The TBM
equipment. was stripped down to the 80 t main beam for transportation and
the balance of the components were containerised into 40 40 foot
and 20 foot containers.
Concrete lining of the HPHT will be undertaken with
conventional tunnel forms, and the 12 m long 3.0 m diameter Machine erection took place over an eight week period and the
steel liners will be transported in a purpose-built transporter 250 tonne unit was then ‘walked’ into position through the
hauled by diesel locomotive. launch chamber to allow commissioning works to commence. A
truncated loop take up of 200 m capacity was installed to allow
launch of the TBM in September 2007.
Main headrace tunnel (MHT) and headrace
access tunnel (HAT)
PORTAL ARRANGEMENTS
The MHT and HAT are the same tunnel tube, but are eventually
separated by the construction of a tunnel plug to divert flow Tunnel boring machine (TBM) site
down the downstream dropshaft. The HAT and MHT are
excavated by hard rock TBM. This required construction of a There was sufficient available space on the TBM site to enable
140 m long launch chamber in the highly weathered granodiorite installation of the main tunnel conveyor, stacker conveyor and
at the tunnel portal. This was excavated by the combination of a surface infrastructure. A major logistics issue was the removal of
S200 roadheader and a limited amount of drill and blast to attain the tunnel spoil from the site. This was achieved by redirecting
fresh rock for the launch of the TBM. The principle reasons for the tunnel spoil across the Alpine Highway, enabling all truck
the selection of a TBM as the methodology for the MHT and movements to remain off site.
HAT excavation were as follows: The soil and weathered rock batters created by the portal
• length of tunnel and program benefit over drill and blast, development works are supported by a combination of soil nails,
• improved hydraulic performance of the waterway, mesh and shotcrete. Where these batters are retained as part of
the permanent works due consideration has been given to the
• reduced ground support requirement as distinct from a drill durability of the support materials.
and blast tunnel,
• ability to convey the material directly from the TBM Power station site
cutterhead to a designated stockpile, and
The power station site presented a greater challenge to enable an
• reduced labour requirements. effective work site to be developed. The area is a frequently used
recreational bushwalking area and is accessed by a road through
TUNNEL BORING MACHINE (TBM) DESIGN the local village and outdoor education school. The site was
AND PROCUREMENT bounded on the eastern side by the Pretty Valley Creek and on
the southern and western side by steeply dipping decomposed
Some of the main aspects of the TBM design and technical
granodiorite and overlying soils.
requirements were as follows:
The site establishment and portal layout needed to
• TBM geologically matched to the anticipated ground accommodate the power station excavation temporary works, the
conditions, tunnel portal works and switching areas, workshops, laydown
• successful integration of other components in the excavation areas and design of a temporary berm to contain a one in 1000
system, year flood of the Pretty Valley River. The batters above the site

FIG 4 - Tunnel boring machine (TBM) site plan.
required stabilisation and there were several well-established scheme, including those due to starting loads, transient short
eucalyptus trees on the site that required preservation. The circuit and internal and external fault conditions.
proximity of the Bogong Village dictated the need for acoustic To comply with the above, the design of the tunnel support and
mitigation and monitoring of construction activities in the drill lining systems for the waterway is based upon the following
and blast tunnels. The successful conclusion is shown in Figure 5. considerations:
• the method of excavation and maintenance of the safety and
TUNNEL SUPPORT AND LINING stability of the excavation during the construction period;
The head contract for the project requires that the functional • resistance of the permanent loads imposed by the rock loads
requirements be met in a manner that provides for convenience and groundwater pressures;
of operation, maintainability and operational reliability. The • resistance to the internal pressures imposed by the static head
general design requirements specified are: of the waterway and transient loads during operation of the
• the design life is 100 years; power station;
• dewatering (for inspection and maintenance) shall be carried • hydraulic design requirements associated with flow
out at intervals of not less than ten years; velocities, head loss and protection of the turbines;
• the durability limit state shall comply with AS 3600 for 100 • resistance to seismic loading; and
year design life and exposure classification B1; • durability and design life requirements.
• all components of the waterway shall be importance level 3 These considerations led to a different support and lining
and designed for seismic loads generated by a design basis system design being adopted for each component of the
earthquake (DBE) with an annual exceedance probability of waterway. Each of these is discussed further below.
one in 2500; and
Headpond drop shaft
• the waterway support systems shall be designed for
satisfactory operation under variations of hydraulic flow, The 140 m deep, 5 m diameter, headpond drop shaft will be
environmental and structural loads as may be met by the excavated by raise bore, following an initial presink of 25 m. The

FIG 5 - Power station site plan.
presink is excavated through the weathered rocks at the surface The minimum principal stress of the rock at the drop shaft
and temporarily supported with steel rings. A permanent lining location is greater than the internal water pressure, so steel lining
of reinforced concrete, capable of resisting the internal water is not required. As the rock is able to resist the internal water
pressure, will then be installed. The presink and permanent lining pressure, the concrete lining is designed to resist the external
extends to a depth where the minimum principal stress in the loads only. The relevant external loads are the rock and external
rock exceeds the maximum internal water pressure. water pressure loads at the time of dewatering. Analysis has
The raise bore section will be nominally unlined. Localised shown that to resist these loads the circular concrete lining does
permanent rock support will be installed based upon an not require reinforcement. To satisfy strength and durability
inspection of the shaft, and will consist of combinations of CT requirements a concrete strength of 40 MPa has been specified.
rock bolts, 2400 m long and steel fibre reinforced shotcrete.
High pressure headrace tunnel – steel lining
Main headrace tunnel The 1090 m long high pressure headrace tunnel has been
The 6500 m long, 5 m diameter, main headrace tunnel will be constructed by drill and blast using rail-mounted tunnelling
excavated by TBM. The main headrace tunnel will be nominally equipment as detailed above. The excavated tunnel is a horseshoe
unlined, with permanent rock bolts installed as the TBM shape, 4 m wide and 4 m high. Temporary support is provided by
advances. A series of rock support classes have been developed standard 2.1 m rock bolts and mesh, with shotcrete and steel sets
which utilise the rock mass quality Q-value developed by Barton for sections of poor ground.
(2002) and Barton, Lien and Lunde (1974) to classify the rock The high pressure headrace tunnel is to be fully lined. Where
mass. The permanent rock bolts are CT rock bolts, 2400 m long, the maximum internal water pressure exceeds the minimum
tensioned and grouted on the TBM. Permanent steel fibre principal stress of the rock, a steel lining is required to prevent
reinforced shotcrete will be installed after completion of the hydraulic jacking or fracturing of the surrounding rock mass. The
TBM excavation. Steel rings can be installed if rock conditions maximum internal water pressures are defined as:
are unsuitable for rock bolting. The permanent lining
requirements for these areas, if they exist, will be determined • design transient pressure head under the permanent (normal
after excavation is completed. operation) load case of 457.5 m, and
• design transient pressure head under the exceptional
Downstream drop shaft (accidental) load case of 552.5 m.
The 96 m deep, 4 m diameter, downstream drop shaft will be The steel liners will be designed, manufactured and tested in
excavated by raise bore and fully concrete lined. The lining is accordance with the January 1979 edition (and subsequent 1980
required because the shaft is downstream of the rock trap. and 1984 amendments) of the ‘Recommendations for the Design,

Manufacture and Erection of Steel Penstocks of Welded TABLE 2

Construction for Hydroelectric Installations’ published by
Case F, load share between steel, concrete and rock.
Comite Europeen de la Chaudronerie et de la Tolerie (CECT).
This standard provides different factors of safety to the Loading case Loading Steel liner Required safety
permanent and exceptional load cases, meaning that for this condition factor
project normal operation is the governing load condition.
Permanent Cylindrical pipe Full 2.0
The steel plate selected for the steel liner is AS1548-7- forces under internal
460TL20, in accordance with AS1548: steel plates for pressure pressure
equipment. Intermittent External Internal pressure 1.6
The steel lining has an internal diameter of 3 m. The liner forces overpressure < external
segments are to be rolled from a single plate with a single pressure
longitudinal double butt weld in the fabrication shop. The tubular Exceptional or Pressure test Full 1.8
sections are then installed in the tunnel, and joined in situ with a accidental after erection
circumferential single-sided butt weld. Each liner segment is forces
Grouting Empty 2.0
fitted with a backing ring for this purpose.
This is followed by backfilling of the annulus between the
The presence of the steel liner leads to undrained groundwater
rock and the liner with concrete. Temporary internal bracing is
conditions in the joints within the rock mass surrounding the
required to maintain circularity, and tie downs required to
tunnel, and full groundwater pressures can develop in the steel
prevent flotation of the liner during concreting. Contact grouting,
liner/concrete backfill interface. This can become the governing
via grout holes in the liner, is then used to fill any gaps at the load case when the tunnel is dewatered, particularly in very deep
rock/concrete and concrete/steel interfaces as required. The tunnels where the groundwater level is taken as equivalent to the
concrete backfill is designed to resist the permanent rock loads in ground surface level. This is the case for this project, where it
the dewatered load condition, so that no rock loads are imposed was soon recognised that designing the lining for a full external
on the steel lining when the liner is empty. pressure event that may occur only ten times during the design
The steel liner is designed to resist the most onerous internal life, and even then under controlled conditions, would result in
and external pressure conditions as described in Table 1 of the an uneconomic project outcome.
CECT standard. Towards the tunnel portal, there is insufficient It was also recognised that the location of the headrace access
rock cover to provide reliable contribution to the resistance tunnel approximately 100 m above the alignment of the high
against the internal pressure acting on the liner. Therefore, for pressure headrace tunnel would provide a degree of control over
design purposes, the liner is split into two sections: regional groundwater levels. Consideration of these issues has
• liner in a concrete tunnel without collaboration of rock, and led to the development of a maximum design external water
pressure of not more than 180 m greater than the static internal
• liner in a concrete tunnel in collaboration with rock. water pressure at any time. This requires the dewatering process
to be controlled and the groundwater levels to be monitored to
TABLE 1 ensure that this criteria is not exceeded.
Case E, steel lining only. Thermal effects are included in the lining analysis. As
recommended in CECT, Appendix II B, the effects of a variation
Loading case Loading Steel liner Required safety of ±10°C in the steel temperature are included in the analysis, as
condition factor the steel liner is buried in a tunnel. Under internal pressure
Permanent Cylindrical pipe Full 1.1 loading, thermal effects are included in the determination of the
forces under internal longitudinal pipe wall stresses and the gap width between liner
pressure and concrete for the liner/rock load share condition.
Intermittent Filling or Half-full 1.0 The effects of temperature difference are included in the
forces emptying buckling analysis under external pressure. The radial gap
External Internal pressure 1.6 between the steel liner and the concrete backfill includes the
overpressure < external effects of a temperature change of 29°C. This will be derived
pressure from a difference between a maximum assumed concrete backfill
temperature of +30°C and a minimum water temperature of
Exceptional or Pressure test Full 1.0
accidental after erection +1°C.
forces Seepage rings are included at the upstream end of the steel
Concreting Empty 1.5
liner. These rings are to prevent the water from the waterway
Grouting Empty 2.0 getting in behind the steel liner and causing erosion/liner
damage.
Assessment of the rock encountered during tunnel excavation The internal steel surface of the steel liner will be coated with
has determined that competent rock, suitable for resistance of an epoxy paint system. Periodic inspection and maintenance of
the paint system will be necessary to prevent steel corrosion. The
internal water pressure exists 72 m from the tunnel portal.
paint system will be robust enough to last at least the ten years
When considering collaboration of the rock, CECT requires between dewatering periods. A 1.5 mm lifetime corrosion
two cases to be considered: allowance is also included in the wall thickness. The corrosion
• for steel liner in concreted tunnel with collaboration of the rate of external surfaces is likely to be very low due to the
rock, but with steel lining only considered (CECT Table 1, encasement in concrete and lack of oxygen.
Case E); and Consideration of all the above requirements has led to the
selection of a steel lining thickness of 30 to 34 mm.
• for steel liner in concreted tunnel with collaboration of the
rock, with load share between steel, concrete and rock
(CECT Table 1, Case F). High pressure headrace tunnel – concrete lining
For design, the required liner thickness must satisfy both these The steel lining in the high pressure headrace tunnel can be
cases. These load cases are summarised in Tables 1 and 2. terminated when minimum principal stress of the rock exceeds

the maximum internal water pressure. Thereafter, a concrete The headrace access tunnel is 650 m long and 5 m diameter.
lining designed to the same approach as for the downstream drop Support requirements are similar to the main headrace tunnel
shaft is adopted. support requirements.
During excavation of the high pressure headrace tunnel, in situ
stress testing was undertaken using both overcoring and ACKNOWLEDGEMENTS
hydrofracturing techniques. The locations for testing were
selected based on consideration of the Norwegian and Snowy McConnell Dowell and Halcrow Pacific would like to thank John
Mountains confinement criteria as described by Brekke and Arnold, Project Manager for AGL Southern Hydro Pty Ltd for
Ripley (1987). The termination point of the steel lining (and the the Bogong Hydropower Development for permission to publish
start point of the concrete lining) was selected to be 686 m from and present this paper.
the tunnel portal. At this location, the requirements of both the The authors also wish to thank their colleagues Richard
Norwegian and Snowy Mountains criteria were satisfied, a Dinsdale-Young (Principal Engineer, Special Structures, Halcrow)
successful in situ stress test was completed, and the design was and McConnell Dowell’s construction team for their support in
shown to be consistent with precedent practice in other properly producing this paper.
functioning projects.
Additional in situ rock stress measurements are planned to be REFERENCES
carried out in the main headrace tunnel to confirm the suitability
of the plug location and the support design in the main headrace Barton, N, 2002. Some new Q-value correlations to assist in site
characterisation and tunnel design, International Journal of Rock
tunnel. Mechanics and Mining Sciences, 39:185-216.
Barton, N, Lien, R and Lunde, J, 1974. Engineering classification of
Headrace access tunnel rockmasses for the design of tunnel support, Rock Mechanics,
6(4):189-236.
The headrace access tunnel provides permanent access to the
Brekke, T L and Ripley, B D, 1987. Design guidelines for pressure
plug and bulkhead for the purposes of cleaning the rock trap, and tunnels and shafts, AP-5273 research project 1745-17, University of
inspection of the unlined main headrace tunnel. The headrace California at Berkeley, Electric Power Research Institute.
access tunnel is aligned with the main headrace tunnel so that
both tunnels can be excavated by the TBM.

Design of Steel Fibre Reinforced Segmental Lining for the Gold
Coast Desalination Tunnels
W Angerer1 and M Chappell2
ABSTRACT ALIGNMENT
This paper describes the design of the steel fibre reinforced precast The alignment of the tunnels (see Figure 1) starts at the
concrete (SFRC) segmental lining for the intake and discharge tunnels for desalination plant site adjacent to the Gold Coast Airport. Two
the Gold Coast desalination plant in Queensland. In addition, the key shafts, 9.6 m internal diameter, of 70 m (intake) and 65 m
design requirements and design methods for the lining of these 2 km (discharge) depth provide the access to the tunnels including the
long, 2.8 m internal diameter tunnels, including structural, durability and
TBM launch chambers. The tunnels have a constantly rising
maintenance requirements are discussed. Details of the segment
configuration and erection process are presented along with information grade of 0.1 per cent. The intake tunnel had to be lowered due to
on the manufacture and trial testing of the concrete for the segments. The the expected poor rock conditions at the intake riser location.
paper also gives a brief introduction to steel fibre reinforced concrete Initially the tunnels have a 15 m spacing, which continuously
behaviour. reduces to one diameter at the crossing of the Gold Coast
Construction of the tunnels commenced in April 2007, and the authors Highway. After passing underneath Short Street the alignment
believe this is the first application of this technology in Australia. diverges to the riser locations. The first 900 m are onshore with
the remainder under the Pacific Ocean. The minimum curve
THE PROJECT BACKGROUND radius is 400 m and the maximum 500 m. About 75 per cent of
the tunnels are driven on a straight alignment.
The Gold Coast desalination plant is to provide additional water
to the Gold Coast and South East Queensland and is currently GEOLOGY
under construction. Located in Tugun, adjacent to the Gold Coast
Airport, the 125 mL/day facility is being constructed by the GCD The geology at the location of the plant is dominated by two
Alliance comprising John Holland contractors, Veolia Water stratigraphic successions, one from the Paleozoic Age, known as
Australia, Sinclair Knight Merz and Cardno. The Alliance will Neranleigh-Fernvale Formation, and the other from the Quaternary
also operate the plant for ten years following commissioning in Age, which comprises estuarine deposits and marine alluvium.
November 2008. Owned by the Queensland State Government The Neranleigh Fernvale Formation comprises sedimentary
and Gold Coast City Council, the plant will provide an rocks that were folded and slightly re-crystallised (or meta-
emergency bulk water supply for South East Queensland. The morphosed) to form steeply inclined strata of ‘meta-sedimentary’
tunnelling and marine riser detailed design was carried out by rocks. Its main rock types are Argillites and Arenites.
Halcrow Pacific Pty Ltd. Argillites (or phyllites) are hardened and slightly re-crystallised
The plant includes two tunnels; the intake tunnel of 2.2 km mudstone or shale, dark grey to black in colour, very fine grained
length and the discharge tunnel of 2.0 km length, which are with the bedding planes generally visible.
being constructed with Herrenknecht slurry-shield tunnel-boring Arenites are hardened and slightly re-crystallised greywacke
machines (TBMs). The internal diameter of the tunnels is 2.8 m rocks, fine- to coarse-grained sediments of mixed composition
and they are lined with steel fibre reinforced segments. (moderately metamorphosed clayey sandstones).
Connection to the ocean is achieved via a 2.1 m internal diameter In the Quaternary Age these rocks were gradually overlain by
offshore riser for each tunnel. estuarine deposits and marine alluvium. These materials, which
The intake tunnel will draw sea water to the plant, where it can reach thicknesses of up to 35 m, derive from several sources,
will undergo reverse osmosis. The brine, product of this process, including former offshore river bar deposits, beach sands,
is then returned to the ocean via the discharge tunnel and riser. windblown dunes – also known as dune sands, plus estuarine
deposits and marine alluvium with moderately over consolidated
The discharge riser is located approximately 230 m north of the
partly cemented silts, clays and sands.
intake riser. The distance between the two, as well as the seabed
depth and existing currents is designed to allow for the brine to
be dispersed efficiently without affecting the quality of the intake OPERATION AND MAINTENANCE REGIME
water or the marine environment. The maintenance regime requires the intake tunnel to be
The combination of high water pressures, severe exposure available for inspections and cleaning. Accordingly the tunnel
conditions, onerous durability requirements and tight construction needs to be sealed at the ocean end and fully dewatered to gain
program was a major challenge to the tunnel design. The SFRC access. At the time of writing this paper the operation and
segmental lining solution adopted required both advanced maintenance program has not been finalised but guidelines and
durability modelling and innovative temporary works design limits have been defined.
to meet the client requirements, which included a demanding It is expected that access to the tunnel will be needed every
erection time. five years for inspection and maintenance. There are operational
Halcrow was chosen as detailed designer due to their extensive limits on the desalination plant shutdown time and these drive
experience in SFRC segmental lining design in the United the program and time for the tunnel dewatering. Currently the
Kingdom and United States of America. program provides for a five-day period where the tunnel will be
fully dewatered.
During this period the tunnel will be fully ventilated to allow
1. Senior Tunnel Engineer, Halcrow Pacific Pty Ltd, Level 22, 68 Pitt entry. These periods have a significant impact on the durability
Street, Sydney NSW 2000. Email: angererw@halcrow.com of the tunnel, as installing ventilation will cause drying of the
2. General Manager Tunnelling, Halcrow Pacific Pty Ltd, Level 1, 542 tunnel walls. Consequently, every effort will be made during
Station Street, Box Hill Vic 3128. Email: chappellm@halcrow.com these periods to prevent the tunnel walls from drying.

W ANGERER and M CHAPPELL
FIG 1 - Horizontal alignment.
Consultation is ongoing to undertake these works by alternative • ability to be erected with a vacuum erector;
means that remove the requirement for the tunnel to be dewatered.
• ‘one-pass’ lining to reduce the tunnel construction program;
SEGMENTAL LINING • minimisation of the number of moulds required to meet the
alignment design of the tunnels; and
Design criteria • to provide a watertight structure during construction.
The design of the segmental lining for the intake and outlet
tunnels had to meet the following criteria: Lining type
Client contractual requirements:
To meet the above criteria various types of lining were
• 100 year design life, investigated but eventually a trapezoidal lining was chosen as it
• severe exposure condition due to the environment and the was the best suited for this application. Trapezoidal linings have
tunnel maintenance requirements, been used for small diameter tunnels since the 1990s and offer
• to provide support to the rock loads and hydrostatic pressures particular advantages:
(both internal and external), and • erection of the lining is much quicker than traditional
• to provide a watertight structure during maintenance periods. rectangular segmental linings;
Additional requirements specified by the Alliance tunnelling • the trapezoidal lining can accommodate an elastomeric
contractor, John Holland Tunnelling: gasket, which is necessary to meet the external groundwater
pressures;
• erection times for construction of the lining had to be
minimised; • this type of lining eliminates ‘star’ joints, which are potential
weak points in the waterproofing system;
• the lining had to be capable of withstanding the temporary
loads which are created during the manufacturing, handling, • the lining can be designed and manufactured with a taper to
erection of segments and shoving of the TBM; suit the tunnel alignment;

DESIGN OF STEEL FIBRE REINFORCED SEGMENTAL LINING FOR THE GOLD COAST DESALINATION TUNNELS
• the lining can be erected in several orientations to meet the eccentricity of load. The eccentricity of load is then used to
alignment requirements, ie left- and right-hand curves and calculate resultant bending moments in the concrete section and
straight alignments; compare them against the section capacity envelope. This
analysis is undertaken for both the maximum axial load
• the smooth internal finish is conducive to vacuum erection; condition and the maximum deflection condition as predicted
• can be used with either bar reinforcement or fibre from the Muir-Wood/Curtis analysis.
reinforcement; and The ultimate limit state load combinations are then assessed
• the design of these linings creates high accuracy in the against a steel fibre reinforced concrete moment – thrust capacity
erection of the lining, thus giving additional margins in curve derived in accordance with the principles of AS5100 (see
meeting the required criteria. Figure 2). The design moment of resistance is calculated in terms
of residual tensile strength derived from standard beam tests,
The extensive experience Halcrow has in designing and using the Japanese beam test value of Re,3, where dosage
working closely with contractors on projects utilising trapezoidal recommendations are available from steel fibre suppliers.
linings was a significant factor in choosing the lining type
outlined above. To account for serviceability limit state, a calculation of the
maximum tensile stresses in the concrete section for the SLS
load combinations is carried out.
Structural design
Generally, it is impossible to reliably predict crack width in
The structural design of segmental lining distinguishes between SFRC structures without conventional reinforcement since the
the construction loading and loadings for the serviceability such crack widths are not related to stresses given by elastic analysis
as rock load and water pressure. The construction loads comprise once the section capacity is exceeded and softening develops. In
all load situations from the production of the segments until the spite of this, crack width can be estimated using the method
installation in the tunnel and passing of all TBM trailers and train given in the RILEM σ-ε design guideline (2000).
loads. It includes demoulding, trailer loads, stacking, handling, The results of the maximum serviceability stress analysis
ram loads and annulus grouting. reveal a realistic flexural first crack strength limit in comparison
The construction loads are not combined with the serviceability to the ultimate limit state residual stresses. The first crack
loads, as the load cases do not occur at the same time. strength is therefore defined to keep the segments within its
The loading of the rock mass onto the segmental lining is elastic boundaries and to avoid occurrence of cracking. This
considered using three different approaches: approach is also consistent with the durability requirement to not
allow cracks bigger than 0.1 mm.
1. The rock load is determined using a convergence-
confinement approach. A ground reaction curve was
established for the dominating rock conditions. The rock STEEL FIBRE REINFORCED CONCRETE
mass lining interaction is taken into account by calculating Concrete is a brittle material with a low tensile strength. Adding
a support characteristic curve of the segmental lining at steel fibres to concrete enhances its toughness, ductility and
1.2 m advance rate. The intersection of the ground reaction energy absorption capacity under impact. Steel fibres can reduce
curve with the support characteristic curve defines the the formation and development of cracks due to early-age plastic
equilibrium of the rock mass liner system. This reduced settlement and drying shrinkage. They also provide a degree of
in situ stress is then transferred into a closed form solution
post-cracking load-carrying capacity.
using the method proposed by Sir Alan Muir-Wood and
modified by John Curtis (1976) to determine the maximum Tunnel linings (non-segmental) have been unreinforced as an
bending moments and maximum radial deflections. industry standard on many projects, as a well-designed tunnel
profile predominantly acts in compression. Reinforcement in
2. A further rock load is determined using Terzaghi’s rock nearly perfectly circular TBM tunnels is mainly required to
load principles as a possible development of this failure due achieve capacity for construction loading. Steel fibres add
to the grouting annulus could not be disregarded. This is considerable strength to concrete against bursting and spalling,
included in the design as a long geological failure zone was which are the main concrete failure mechanisms that occur
identified during the geotechnical investigations. during TBM tunnel construction. The simplified manufacturing
3. To represent local failure, a series of wedge load cases are process also leads to a potential cost saving in comparison to
developed to provide potential load scenarios, as the conventionally reinforced segments. SFRC is also considered to
geotechnical investigation did not provide joint set be at least as durable as normal concrete but in general to be
information to determine critical rock wedges by superior. These advantages have to be balanced against the
intersection of major joint set planes. necessity for advanced concrete technology, increased testing
requirements and a potential for surface discoloration.
The rock loading is analysed in combination with the
hydrostatic loads.
Behaviour of steel fibre reinforced concrete
The above methods do not explicitly take into account ring (Technical Report No 63, 2007)
build shape tolerances and other potential deformations. In order
to account for these deformations an analysis of the concrete The residual flexural strength after cracking depends on the fibre
section is undertaken by assuming that the segment acts as short type and dosage. The type of load deflection response shown in
columns. For this analysis, the axial loads and deflection results Figure 3 is known as strain softening since flexural resistance
are taken from the rock load calculation and the additional reduces with increased deformation after cracking. This
imposed deflections are added to these results. The new total ring behaviour type differs from that of reinforced concrete where the
deformation is then applied to the circular lining, assuming the flexural resistance increases after cracking, provided that the
lining deforms into an approximate ellipse. minimum amount of reinforcement specified in structural design
Following this geometric deformation, it is assumed that the codes is provided.
segment body is stiff compared to the joint, and all deformation The effect of the reduction in flexural capacity of SFRC after
occurs at the joints. Angular rotations are calculated and the axial cracking can be seen by considering the behaviour of a simply
loads are then applied. The elastic deformation of the concrete is supported beam loaded at its third points. The beam cracks at the
calculated to give a resultant bearing area, stress distribution and weakest section within its central third where the moment is

FIG 2 - Moment … thrust curve.
FIG 3 - Characteristic load-deflection diagram for ASTM 1609 beam test.
uniform. Subsequently, the load reduces as in Figure 3, if the sheets, but these cannot be expected to be specific to each
loading is displacement controlled and no further cracks form. individual concrete mix. Testing of the SFRC is required to
This response is similar to the response of concrete with less confirm that the design parameters are met and also allows for
reinforcement than the minimum prescribed by design codes. optimisation of the fibre content during production. Design by
No significant difference in behaviour would be noted in a performance testing, or proof testing, is an approved method
load-controlled test between a plain concrete and a SFRC simply contained in all structural codes. It is applicable to repetitive
supported beam. The tensile capacity of the concrete is the main units, where a large number of items are required for a particular
factor for the beam behaviour up to the first peak crack. The purpose and therefore fit for the purpose of segment
benefit of steel fibres arises solely from the ductility they add manufacture.
after cracking. The steel fibres therefore have a major impact on The target fibre content is determined on the basis of
the brittleness of a failure. experience and supplier’s guidelines. Representative completed
units are then tested during trial testing to demonstrate the ability
Performance specification to achieve the specified flexural and tensile strength of the
concrete. The production fibre content should be chosen with
The best available guidance for the performance of SFRC is care, to avoid considerable changes in quantities, which would
supplied by fibre manufacturers in the form of published data lead to the necessity of re-approval of the mix with all the

specified testing. Changes of ±5 kg or less are considered to not production or transportation would lead to rejection of the
have sufficient impact on the concrete mix to warrant re-testing segment. Cracks occurring after ring build are repaired with
and re-approval. materials that provide similar durability resistance to the segment
The flexural strength test on this project is defined as the concrete.
ASTM C1609 beam test. First crack strength is defined as Furthermore, in order to assess the potential of hammer
4.6 MPa and a residual flexural strength of 3.2 MPa is required. drilling to induce cracks bigger than the recommended 0.1 mm,
In addition, the tensile strength is defined as 4.2 MPa. drill tests were carried out. The specimens were petrographically
The design parameters were achieved by using 35 kg/m3 of examined for cracks and the results allowed hammer drilling of
Dramix 80/60 fibres with a concrete mix using 480 kg/m3 up to 16 mm drill size to be approved.
cementitious material. Silica fume, fly ash and Portland Cement
are required as cementitious materials in the specification. Durability modelling
From a corrosion propagation point of view, SFRC is at least as
Durability durable as normal reinforced concrete and unlike conventional
The minimum design life for the permanent tunnelling and concrete, spalling due to reinforcement corrosion is considered
marine riser structures is 100 years. unlikely. However, it is prudent to make provision for possible
There is limited information available on the long-term corrosion of the fibres in the long term. The durability modelling
durability of SFRC due to its lesser incidence of use and the time must consider the boundaries derived from the maintenance
over which it has been used. The limited availability of data has regime and the construction program.
tended to confine the application of SFRC to less adverse Deterministic modelling of carbonation and chloride ingress
environmental conditions outside the tunnelling industry. by diffusion and under a pressure head was undertaken, and the
However, there is considerable evidence of satisfactory, durable effect of the different conditions upon corrosion of the fibres was
performance of SFRC from short to medium term and accelerated assessed.
testing. As the tunnel will be full of water in service, carbonation is
A general review of the properties of SFRC relative to considered to be largely confined to the construction period.
conventionally reinforced concrete is given in Table 1. Corrosion should be very slow due to the low availability of
oxygen to the intrados during operation and the extrados during
construction and operation. This was accounted for in the
TABLE 1
carbonation modelling.
Summary of properties of steel fibre reinforced concrete.
Chloride modelling is based on a diffusion coefficient
acknowledging an ageing effect. The different levels of chloride
Issue Steel fibre reinforced concrete compared to
reinforced concrete exposure in the intake and discharge tunnels are taken into
account. Temperature effects during the service life were
Abrasion Improved due to reduced bleeding considered.
Carbonation Fibres in the immediate surface layer corrode It should be pointed out that outages are extremely important,
Chloride ingress Reduction of chloride levels at surface as these will permit much higher rates of corrosion due to the
Corrosion No galvanic corrosion or spalling higher availability of oxygen in concrete containing levels of
chloride above the corrosion threshold. Corrosion can be
Cracking Corrosion of fibres for width >0.1 mm
controlled by specifying a minimum frequency and duration of
Handling damage Improved those maintenance periods. Outages at a later time during the
Impact Improved due to control of crack propagation structure life have a higher impact on corrosion than outages at a
Shrinkage Cracking reduced young age.
Based on this modelling, a loss of fibres of 25 mm on the
intrados and 15 mm on the extrados is considered for design.
For a long-term view for use in tunnels, it is appropriate to This reduces the lining thickness considerably in comparison to
extrapolate performance from its use in aggressive conditions the 40 to 50 mm to each exposed face as industry standard
such as marine environments. without advanced durability modelling.
The oxygen diffusion coefficient and the chloride diffusion
Crack control coefficient are main features of the concrete specifications to
Where cracking intercepts fibres then some corrosion of the allow for this thickness reduction.
fibres is expected. Reviews by others of a number of durability
studies concluded that steel fibre reinforced concrete will be as Testing regime as per specification
durable as conventionally reinforced concrete and that a
restriction in crack widths to that normally specified for The testing regime is divided into three phases to allow for
conventional reinforced concrete will lead to a satisfactory smooth production with a minimum of non-conformances. These
design with much of the flexural strength retained. However, phases are:
field exposure of cracked specimens reinforced with steel fibre • laboratory trial testing,
has identified corrosion and performance loss with cracks greater • production trial testing, and
than 0.1 mm width leading to significant rates of corrosion.
Previous experience suggests that crack widths over 0.2 mm • production testing.
should be avoided, and show that the depth of the crack has a The concrete mix is to be developed during the laboratory trial
considerable impact. testing. The influence of the mix plant and the production
In view of the long design life and severe service conditions it environment on the mix is then to be assessed during the
is recommended for this project that crack width should be production trial testing. The performance during segment
restricted to 0.1 mm. manufacture is then determined with the production testing.
The SLS design aims to provide a first crack limit above the A combination of rapid testing together with long duration
design scenarios, and that cracks occurring during segment testing for durability testing is specified to ensure no hold up of

the production due to absence of test data. Overall, it is The lining is equipped with a gasket groove for an
considered that at least three months are required to establish a elastomeric gasket towards the extrados of the joint contact
mix design that allows for efficient production. area. The rings are designed for the use of Phoenix gasket
As problems with concrete mixes generally arise from the profile M 385 41a. The working pressure is defined as seven
choice of aggregate, a comprehensive pre-approval program for bar. Two different gasket grooves are provided on the radial
the fine and coarse aggregates is established. The program is circumferential joints due to the gasket pressure limitation. The
based upon the AS2758.1 requirements. The coarse aggregate is use of a packer on the circumferential joint influences the gap
defined to be basalt. The main hardened concrete tests are parameter, which is counterbalanced by an adapted groove
summarised in Table 2. depth. The lining joint detail is further equipped with a caulking
groove on the intrados. The caulking groove and gasket groove
are designed to provide a symmetric contact area at the joints.
TABLE 2
This reduces the bearing and bursting stresses at the joint and
Hardened concrete testing as per specification. centralises the line of thrust.
Test Standard Twelve circumferential dowels are arranged in six pairs spaced
Drying shrinkage AS1012.13 on a 30 degree angle around the centre to provide the drifting
system for the ring build. The dowels are arranged to suit the
Flexural testing ASTM1609
TBM rams. They have been designed to provide tensile
Tensile splitting strength AS1012.10 resistance to the potential opening pressures imposed by gasket
Compressive strength AS1012.9 compression as well as shear resistance for installed segments
Long-term strength gain AS1012
with no ram load applied and prior to the ring being completed.
The high groundwater pressures of up to seven bar necessitate
Chlorides and chloride AS1012, AASHTO T277-83, AASHTO
penetration T259 (replaced with NTB 492)
high gasket compression. This leads to restrictions in the choice
of the drifting system, as the compressive forces lead to
Oxygen diffusion test Test procedure as defined in specification considerable pull-out resistance being required on the
circumferential dowels. The Sofrasar Sof-fix system provides
this capacity but is geometrically more suited to a rectangular
SEGMENTAL LINING LAYOUT ring layout.
Following the deliberations which ensued from the initial The length of the dowels leads to restrictions on the ring build.
decision to adopt a segmental lining, of which only part is To minimise this effect, a number of circumferential dowels were
described in this paper, the following precast segmental lining shortened in length. Although this locally reduces the pull-out
was adopted. capacity, the compression forces are distributed over all 12
The tunnel lining arrangement for this project is a six plate dowels to achieve the necessary capacity. No increased
trapezoidal segment configuration, which is manufactured as a circumferential joint openings at the location of the shortened
uniformly tapered ring. The trapezoidal layout (see Figure 4) dowels have been registered during construction to date.
avoids cruciform joints with many combinations of ring rotations
Primary grouting of the segments is carried out through the
and allows building all rings from the invert upwards at any time,
thus providing good leakage control and ring build safety. grout socket in the segments. The grout socket is also designed to
act as a shear cone for the vacuum erector, together with a
A drawback is that a relatively long ram stroke is required to
second recess provided symmetrically around the centre of
push the final key segment into position. However, the advances
on the tailskin articulation joints of TBMs permit the lining to be gravity of the segment. The grout sockets are carried out without
built without hindrance. concrete cover on the extrados to reduce grouting drill times and
potential cracking of the SFRC concrete during the drilling
The internal diameter is 2800 mm and the ring length is
works. The grout system type ZU by Sofrasar was applied with a
1200 mm. A taper allows a theoretical minimum bend radius of
275 m, with the alignment having a minimum radius of 400 m. non-return valve on the extrados and a grout plug with O-ring
The alignment is designed with transition curves, which is not seal on the intrados.
general practice in water tunnels. However, it eases the The choice of ring layout is confirmed during construction
navigation of the 3.44 m diameter TBM with a 12 m long shield. with ring build times of constantly below 15 min being achieved.
FIG 4 - Developed elevation of ring on intrados.

LESSONS LEARNED The testing for this project was finally carried out in
Queensland, New South Wales, Victoria and Western Australia
in order to provide all the testing required. The contractor was
Flexural testing
faced with a major challenge in finding laboratories that had the
Technical Report No 63 (2007), Chapter 6, compares two capacity and know-how to carry out testing with the frequencies
uniformly loaded geometrically identical concrete beams, one and limits as required. Also, the test results are required to be
made from SFRC and the other from plain concrete, to determine fed back into the production as soon as possible to reduce the
basic design criteria for SFRC concrete. It concludes that the risk of non-conformances and provide the feedback required for
strength and ductility of a beam, in comparison to plain concrete, the manufacture of the segments. These market restraints were
is only predicted to increase if Re,3 is greater than 0.5. Re,3 is not known of prior to the project and this restraint needs to be
defined as the equivalent flexural ratio as per Japanese Concrete taken on board for any potential future application of a similar
Institute standard test JCI-SF4. design.
The design addresses this issue by defining a maximum Also, it has been suggested at recent Concrete Technology
cement content in order to avoid concrete compressive and Conferences (eg Merretz, Smith and Borgert, n/d) that designers
tensile strength from becoming too high and to achieve the are ‘over-designing’ the testing regime for concrete similar to
required ductility of the segments. that used on this project and that testing should be based on
compressive strength testing only.
The segment manufacturer utilised the maximum cement
content on the project. After months of initial compressive It is true that correlations between the compressive strength
strength test results of around 60 MPa after 28 days, an increase with the majority of hardened concrete properties exist. The
in results with production time was noted due to several factors, authors believe these correlations are not adequately reliable to
but mainly due to a change in outside temperature. As a result, satisfy current client durability requirements. Also optimisations
the flexural test results increased compared to the first crack in lining thicknesses, such as were achieved with the application
strength, but stayed constantly low, but above the design value of chloride and carbonation modelling cannot be validated in this
for the residual flexural strength. This experience showed that way.
care should be taken when choosing the cement content of the
concrete mix for SFRC concrete, as too much cement can be ACKNOWLEDGEMENTS
counterproductive.
Halcrow would like to take this opportunity to thank the Gold
An alternative for better production control would be to Coast Alliance, and in particular the John Holland Marine and
consider a definition and monitoring of first crack strength and Tunnelling Team led by Tony Bermingham, for the very
Re,3. This defines the ratio between first crack and residual productive and open-minded working environment. During this
strength, which directly relates to brittleness of the concrete mix project, the team has focused on delivering safe, technically
which controls the failure of the segments. A control of the sound and innovative engineering solutions to ensure that the
concrete mix by these values reflects the SFRC properties in a final product achieved the client requirements in a high
better way for interpretation and development of production performance construction environment. We believe that meeting
trends. and surpassing all the major milestones of the project so far is a
result of this successful teamwork.
Chloride diffusion testing The authors wish also to thank their colleagues Don Wimpenny
AASTHO T277-83 rapid chloride penetration in conjunction (Durability Consultant), Christian Goritschnig (Geologist) and
James Garnier (Project Manager), all part of the Halcrow Gold
with an AASTHO T259 immersion test was chosen to determine
Coast design and site team, for their support in producing this
the chloride penetration of the concrete. The rapid test was
paper.
intended to be used for mix design development and the
immersion test to confirm that the durability model parameters
are satisfied. The tight production program did not allow for the REFERENCES
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Design of a Steel Fibre Reinforced Concrete Segmental Tunnel
Lining – City West Cable Tunnel Project, Sydney, Australia
L Drowley1 and A Kuras2
ABSTRACT Most of the City West Cable Tunnel will be fully lined with a
precast concrete trapezoidal type segmental lining. The main
Segmental tunnel linings are becoming more common in Australia. One
current project employing a segmental lining is the City West Cable
functions of the lining will be to provide a stable support opening
Tunnel (CWCT) in Sydney. The project has been commissioned by and ensure a dry environment for housed cables. The tunnel is
Energy Australia and is currently being constructed by Thiess Pty Ltd. being excavated using a single shielded TBM that will
The project includes 1.6 km of tunnel boring machine (TBM) driven, predominately drive through Hawkesbury Sandstone. The TBM
segmentally lined tunnel. The majority of the CWCT will be excavated has recently been launched from a shaft adjacent to Mary Ann
through Hawkesbury Sandstone. The tunnel is required to carry a 132 kV Street in Haymarket.
electrical circuit under Sydney’s central business district (CBD), between The CWCT segmental lining comprises a 200 mm thick
Haymarket and Energy Australia’s City North Substation on Sussex universal ring with six trapezoidal segments. In line with current
Street. technology, the decision was made by the lining designer SMEC
The segmental lining has been designed as a 3.2 m internal diameter, and the constructor to use steel fibres in lieu of conventional steel
200 mm thick universal ring with six trapezoidal segments. The design reinforcement. A further design challenge for this project was the
and detailing of this segmental lining presents some noteworthy presence of saline groundwater within the tunnelled rock mass.
challenges, including exposure to saline groundwater, and the exclusive
use of steel fibres for flexural and tensile concrete reinforcement. This paper will concentrate on the key design elements of the
CWCT lining and in so doing will also describe some of the
This paper describes some of the key elements of the segmental lining
design. These include:
main challenges surrounding the design of this type of lining. In
particular the paper will focus on the following:
• the case for choosing segmental linings over other forms of tunnel
construction; • The case for choosing segmental linings over other forms of
• the major design checks required of a segmental lining including tunnel construction.
ground loading, hydrostatic loading, joint bearing, joint rotation, ram • The derivation of worst credible loading assumptions
loading and the early strength lifting case; imposed during segment casting, installation and by the
• the benefits of using steel fibres over conventional steel ground in the longer term. Emphasis will be placed on
reinforcement; describing the assumed predicted response of the lining to
• the design approach used for steel fibre reinforced concrete; these loads.
• the application of 3D computer modelling in the design;
• The application of structural numerical modelling to fully
• the provision for components including connector dowels and understand the three-dimensional behaviour of the trapezoidal
gaskets; lining under load.
• the design for passive fire resistance; and
• the design for durability of steel fibre reinforced concrete in a saline
• The benefits of using steel fibres over conventional steel
environment. reinforcement, including the methods applied to quantify
flexural strength gain of the reinforced concrete lining.
Segmental lining design requires the application of specialist design
approaches. Input is required by the construction team, as the methods of • The provision for propriety components such as connectors,
demoulding, handling, transportation and installation impact on the lining lifting/grouting sockets and sealing gaskets.
design.
• The design for passive fire resistance.
As the segmental lining is functioning as immediate ground support
and also a permanent lining, high standards of manufacture and • The design for durability in a saline environment.
construction quality control are required to ensure that the 100-year
design life is met. The requirement for a watertight tunnel means that
detailing and installation of the EPDM gaskets is of importance.
THE CASE FOR SEGMENTAL LININGS
Hawkesbury Sandstone is known to be an excellent tunnelling
INTRODUCTION medium and the behaviour of this rock is well documented.
Using rock bolts and shotcrete as ground support has been the
The use of precast concrete segmental linings to support and method of choice when tunnelling in this rock mass. Segmental
waterproof tunnels is becoming more common in Australia. A linings have not previously been applied as a means of
number of projects are currently under construction using this excavation support in Hawkesbury Sandstone, with the exception
form of construction. One current project is the City West Cable of some sections of the New Southern Railway Airport Link.
Tunnel (CWCT) in Sydney, which will carry a 132 kV electrical However, the CWCT is one of two tunnel projects underway in
circuit under Sydney’s central business district (CBD). Sydney that is being constructed with a segmental lining, the
Commissioned by Energy Australia and currently being built by other being the Sydney desalination project. Following is a list of
Thiess Pty Ltd, this project includes the construction of a 3.2 m notable advantages and disadvantages of choosing a segmental
internal diameter, 1.6 km length of tunnel boring machine (TBM) lining. Understanding these factors is important when approaching
the design.
driven tunnel. The CWCT alignment will begin at Haymarket
Substation and end at the City North Substation on Sussex Street.
Advantages
1. Tunnel Engineer, SMEC Australia Pty Ltd, Level 6, 76 Berry Street,
North Sydney NSW 2060. Email: Luke.Drowley@smec.com.au Groundwater control
2. Senior Tunnel Engineer, SMEC Australia Pty Ltd, Level 6, 76 Berry Geotechnical investigation, and knowledge of other tunnels in
Street, North Sydney NSW 2060. Email: antoni.kuras@smec.com.au the vicinity of the CWCT alignment, highlighted the possibility

L DROWLEY and A KURAS
of encountering direct water connection to Darling Harbour. • application of closed form mathematical solutions and
Dealing with constant groundwater recharge into a drained tunnel two-dimensional ‘bedded-beam’ modelling techniques to
can be a significant operational cost for a tunnel owner. quantify the response of the lining under assumed
Experience of drained tunnels in the Sydney region shows that the combinations of load;
accumulation of iron-oxide can also be a problem. Water ingress
issues are avoided by the provision a fully waterproof (tanked) • creation of three-dimensional numerical models to assess the
tunnel lining. Precast segmental linings are made watertight by influence of longitudinal joint taper on the behaviour of the
incorporating a suitable gasket system around segments. installed ring;
• detailing of segmental lining features including connector
Immediate and permanent ground support dowels, spear bolts, grout/lifting points and watertight
gaskets considering preferred construction practices and
The CWCT is being constructed using a shielded TBM, and
therefore the segmental lining provides immediate and project specific conditions; and
permanent ground support behind the advancing face. By • establishment of a performance-based steel fibre reinforced
comparison, tunnels excavated by roadheader or drill and blast concrete segmental lining specification.
techniques require a watertight lining to be installed in a number
of successive stages. These stages may include excavation, Development of design load
primary support installation, membrane installation and
secondary lining installation.
Ground and hydrostatic loading
Safety in construction The development of ground and groundwater loading for the
The provision of immediate ground support is advantageous in design of tunnels is well understood in Hawkesbury Sandstone.
terms of occupational health and safety. As the segmental lining During the course of the lining design, various combinations of
is being installed within the TBM tailskin, protection is provided loosened rock loading and groundwater loading were assessed.
to construction personnel. This is unlike other tunnelling The CWCT lining will be relied upon to provide resistance to
techniques where it may be necessary for personnel to work in full groundwater pressure. When considering loading, it is
close vicinity to unsupported ground. critical to account for tunnel ovality during ring build.
Consequential joint rotation due to ground loading can cause
flexural stresses within the lining. Other contributory loading
Disadvantages such as annulus grouting pressures and cable bracket loading
were also considered. A full spectrum of construction and
Cost outlays in-service load combinations were modelled, to ensure that the
Procurement of TBMs and the associated plant is expensive lining will support all plausible load conditions. It was found that
when compared to the cost of other tunnelling machinery. a combination of full rock loading pressure and maximum
Because of the significant mobilisation costs, segmentally lined hydrostatic loading produced the most critical conditions and
TBM tunnels are generally not the most cost-effective solution was the controlling load case.
for short lengths of tunnel. For the CWCT, the TBM will be
driven off-line and buried at the end of the tunnel drive. Demoulding load case
For the CWCT, segments are being cast horizontally. Upon
Tunnel boring machine (TBM) delivery lead times reaching the necessary strength segments can be demoulded; an
operation which imposes bending moments and shear forces to
Due to the current worldwide demand for TBMs, there are long the segments. The capacity of the segment to resist the
lead times for their delivery. The time taken from order to demoulding loads was checked at the estimated concrete strength
delivery can be in excess of 12 months. attained at the time of demoulding. To help minimise stresses
imposed, a vacuum lifting device is being used for demoulding,
Long lead times for segment manufacture and supply rather than lifting from a centrally placed socket. Steam curing is
Production of concrete segments requires the establishment of being used to accelerate concrete strength gain, and reduce the
purpose-built factories or significant modifications to existing time segments occupy the moulds.
precast facilities. There is also the requirement to produce a large
number of segments prior to TBM launching to ensure a ready Handling, stacking and transportation load cases
supply of rings during construction. Once demoulded, handling of the segments is done by multiple
point lifting. This includes lifting by forklifts with tines, or by
Circular profile lifting slings. A purpose-built lifting cage is being used to lower
segments into the shaft. Design checks were completed to ensure
The use of segmental linings is limited to a circular tunnel profile. that the segments have adequate capacity to support their own
weight during lifting activities. These checks included increased
DESIGN STAGES loading factors to account for dynamic loading affects.
In undertaking the structural design of the CWCT segmental The lining design also makes allowance for segments to be
lining, the following basic stages were followed: stacked as complete rings, with wooden blocks providing support
and separation. The weight taken by the bottom segment,
• development of geotechnical and hydrostatic models, assuming correct block alignment, is one of the governing design
followed by the establishment of credible ground loading cases for the segments.
scenarios;
• establishment of construction stage loading, such as segment Tunnel boring machine (TBM) features affecting
demoulding, stacking, transport and application of TBM ram segment and ring design
loading;
Features of the TBM that have been considered for design of the
• evaluation of geometric constraints of installing the segmental lining include the segment erector configuration,
segmental lining within the confines of the TBM tailskin; jacking loads and machine stroke lengths.

DESIGN OF A STEEL FIBRE REINFORCED CONCRETE SEGMENTAL TUNNEL LINING
Segments are installed using a mechanical erector, which projects in the United Kingdom (Moyson, 1998). Both of these
handles the segment from a central lifting socket. During ring projects required a steel fibre dosage of 30 kg/m3.
installation jacking rams push each segment ‘home’, engaging The tensile splitting strength of concrete improves in
ring connector dowels and compressing the gaskets between proportion with increased fibre content. Based on the
adjacent rings. Design checks were done to ensure that these requirements of residual flexural strength and tensile splitting
activities do not induce excessive bending in the segments. strength, concrete performance criteria were set that could be
Once ring installation is complete, the TBM jacks against the achieved by adding 35 kg/m3 of a specified type of steel fibre.
face of the last installed ring in order to further advance This dosage was estimated from product literature provided by
excavation. The longitudinal forces applied through rams the fibre manufacturer. Confirmation that the concrete design
generate tensile loads normal to this jacking force. Calculation of mix could provide the necessary performance is being provided
these stresses was determined based on theory proposed by by flexural beam testing.
Leonhardt (1964). In this way, the segments have been checked
to ensure that they provide adequate tensile capacity to prevent Structural design of the segmental lining
splitting.
In deciding the length of segments and the trapezoidal angle of Closed-form calculations
longitudinal joints, an understanding of the maximum draw
length of the TBM shove rams was required. A geometry check Structural design of the segmental lining for the CWCT first
involved the application of closed-form solutions. These were
was completed to ensure that there was sufficient room between
used to determine the extent of bending moments and axial loads
the retracted TBM jacks and the last installed ring. The generated in the lining for assumed ground loading. These
governing case is the last installed segment, which acts as a closed-form solutions are mathematical formulae based on
‘key’. equilibrium equations for a hole in a prestressed plate. Such
formulae included those developed from the successive work of
Structural capacity of steel fibre reinforced Morgan (1971), Muirwood (1975) and Curtis (1976).
concrete The bending moments and axial forces produced from
closed-form calculations have been compared with the
The decision was made early to pursue the use of steel fibres to moment-axial thrust (M-N) capacity envelope for the fibre
reinforce the segmental lining. Internationally, steel fibre reinforced concrete segment. This capacity profile is governed
reinforcement is commonly used for segmental linings. Such mainly by section geometry and concrete strength characteristics.
projects include the Channel Tunnel Rail Link (UK), Trasvases When steel fibres are included in concrete, the residual
Manabi water transfer project (Ecuador), Gas Transit Tunnel at characteristic flexural strength of the composite material is also
Sorenberg (Switzerland), London Underground Jubilee Line controlling. This residual strength value is in part dependent
Extension (United Kingdom) and the Heathrow Transfer upon steel fibre type and dosage, and accounts for the ability of
Baggage System (United Kingdom) (Vandewalle, 2005). Within steel fibres to bridge fine cracks as concrete deforms under
Australia, steel fibre reinforced concrete is used to reinforce road bending loads. For the CWCT these M-N capacity envelopes
speed humps and roundabouts and factory floors. In these were developed in accordance with the guidelines laid down in
applications, steel fibres improve concrete toughness and reduce DVB Merblatter Faserbeton (2001) and King (2005). Figure 1
cracking and spalling. However, using steel fibre reinforced shows the M-N capacity envelope of a 200 mm thick segment.
concrete in the production of precast concrete elements is a Moment and axial force capacity envelopes are compared for
relatively new application in Australia. plain concrete and concrete containing 35 kg/m3 of steel fibres.
Concerns of using conventionally reinforced segments for The increase in moment capacity for any given axial force can
tunnels relate to durability, manufacture and handling. Fitting clearly be seen.
conventional steel reinforcing within a relatively thin concrete The segment design accounts for joint behaviour as a
segment and maintaining sufficient concrete cover is a challenge. consequence of lining deformation. To understand the influence
Also, there is considerable effort required in fabricating steel of tunnel deformation in combination with ring ovality,
reinforcement cages to be placed in segments. Deciding to use calculations were prepared to model this behaviour. Elliptical
steel fibres over conventional reinforcement eliminates these distortion equations were used to assess rotation of the lining
potential problems. at joints. The segmental lining has been checked against a
Demoulding, storage, transportation and installation are all maximum lining deformation of one per cent of the lining radius,
activities that can cause impact damage to segments. Steel fibres taking account of worst-case deformation from ground loading.
offer better resistance to this type of damage. Even distribution This allowance is a well-established figure that is in accordance
with the British Tunnelling Society’s Specification for
of fibres within the concrete matrix increases the edge spalling
Tunnelling (2000).
resistance of concrete. When damage does occur, the durability
of fibre reinforced segments will not be compromised to the A check was completed to assess joint opening due to rotation,
same extent as for conventionally reinforced concrete segments. an effect commonly termed bird mouthing. Calculations based
Improved robustness is also important in resisting the bursting on the designed geometry of the joints indicated that while some
stresses caused by the contact pressure generated between bird mouthing may occur, worst-case joint rotations could be
segments and those imposed by TBM jacking pads. accommodated. The combination of joint rotation and axial load
causes an asymmetric strain profile across the joint face, with the
In past segmental lining projects, steel fibres have been used to greatest strain at the point of rotation. This eccentric loading
either replace or supplement conventional reinforcement. Fibres results in the development of bending moments within segments.
can improve the structural performance of plain concrete; Segments have been designed to ensure that they have sufficient
however, they cannot contribute significantly to concrete’s ability capacity to resist this combination of eccentricity, bending
to withstand bending moments. Where significant moments are moments and axial load.
not expected, as has been found for the CWCT, steel fibres are a Joints have been checked to ensure that consequential tensile
good solution. ‘bursting stresses’, which develop immediately behind joint
For recent tunnelling projects where fibre reinforced segments faces, can be resisted. This was done by estimating the concrete’s
have been used, fibre dosages range from 30 kg/m3 to 60 kg/m3. characteristic splitting strength. Joints have also been checked to
Examples of this are the Channel Tunnel Rail Link (Davies, ensure bearing stresses do not exceed the calculated compressive
Woods and Shuttleworth, 2006) and the Heathrow Airport capacity.

Axial Force
(kN/m)
7000
'Plain Concrete ENV 92-1-1
35kg/m3 RC80/60 BN SFRC ENV 92/DVB 92.

6000
5000
4000
3000
2000
1000
0 20 40 60 80 100 120 140 160 180 200

Bending Moment (kNm/m)
FIG 1 - Moment-axial thrust (M-N) interaction curve for a 200 mm thick section 50 MPa concrete.
Bedded beam modelling BASIC SEGMENTAL LINING CONFIGURATION

Following the application of closed-form calculations, computer- AND FEATURES
based ‘bedded beam modelling’ was undertaken. This design A tapered trapezoidal configuration comprising six segments has
approach also calculates bending moments and axial force been chosen (see Figure 3). This arrangement allows any one of
imposed on the lining, and provides a comparison with the segments to be used as a key, and therefore only one tapered
previously mentioned closed form calculations. Using this ring type is required. A trapezoidal arrangement also results in
second design approach allows more complex loading scenarios
avoidance of cruciform joints between segments. This improves
to be assessed, including non-symmetric rock wedge loading.
the quality of the waterproof seal provided by gaskets, as
Bedded beam modelling is the computer-based approximation compared with other segmental lining systems.
of a tunnel lining by a system of connected beams. These beams
To facilitate the casting and installation of the segmental lining,
are restrained in position by a series of ‘compression only
springs’, whose stiffness is adjusted to replicate the restraint a number of proprietary products are incorporated. Described
provided by the surrounding annulus grout and rock mass. The components and features used for the CWCT include the type of
stiffness of these springs was calculated using established linear sealing system and connector used, as well as the universal ring
load-deformation relationships according to Duddeck and taper provided to negotiate the curved tunnel alignment.
Erdman (1985). These calculations require the rock mass
parameters of deformation modulus and Poisson’s ratio, as well Waterproofing gaskets
as lining geometry.
Groundwater infiltrates segmental linings primarily through
joints, and careful detailing of the gasket system is required.
Three-dimensional modelling Gasket effectiveness can be affected by segment misalignment at
The use of two-dimensional modelling techniques makes installation, stress relief across joints and long-term creep of the
simplified assumptions regarding joint behaviour. As the concrete lining.
segmental lining contains trapezoidal segments, the longitudinal There are two main types of gaskets that are commonly used
joints have a taper. This taper results in longitudinal joint faces for segmental linings. Ethylene Polythene Diene Monomer
that are slightly curved, which can attract torsional moments (EPDM) gaskets rely on the development of a compressive
when the lining is loaded. Using Strand7, a three-dimensional preload across segment joints. Hydrophilic gaskets expand upon
structural model was developed to accurately reproduce a full exposure to water to create a seal.
ring, and to model the described tapered joint behaviour under Groundwater in the vicinity of the CWCT is likely to produce
load. saline groundwater conditions and cyclic wetting and drying due
The complete ring was modelled as a series of discrete to fluctuating groundwater levels. Hydrophilic material is known
elements representing each of the six segments. Rigid links and to lose its effectiveness through cyclic wetting and drying, and is
contact elements were used to model the pivoting action of joint known to be adversely affected by saline conditions (British
bearing. A face support feature of the program was used to Tunnelling Society, 2004). For these reasons EPDM gaskets have
replicate the confinement provided by the surrounding rock and been chosen for use. EPDM gaskets have also been chosen due to
annulus grout. An output of this modelling is shown in Figure 2. their long-term durability characteristics. No EPDM gaskets
Assessment of the results demonstrated that the tunnel lining is installed in segmental tunnel lining projects are yet to see 100
structurally adequate to support the various assumed ground years of service, but many projects have specified EPDM gaskets
loading combinations. for a 100 year design life.

FIG 2 - Three-dimensional modelling of segmental lining using Strand7.
FIG 3 - Developed view of the internal face of the segmental lining ring.
In Europe and North America, many projects have accepted dowel connectors in each face of each segment. As with the spear
the exclusive use of EPDM gaskets to provide a 100 year bolt arrangement, the dowels have been designed to provide
watertight seal. One example of this is the Channel Tunnel necessary compression force to close the adjoining sealing
connecting England and France. For this project, the EPDM gaskets. The connectors have no ferrous components, and are
gaskets were designed for a life of 120 years and a working produced entirely from a high strength plastic. Similarly to the
pressure of ten bar above atmospheric. EPDM gaskets, while no plastic dowel connectors are yet to see
100 years of service, it is accepted that they will not experience
Segment connectors significant deterioration over the 100 year design life.
Spear bolts are used to maintain compression across longitudinal
Alignment and ring taper
segment joints. Segments include two cast-in plastic bolt ferrules
for each joint, one in each face of adjacent segments. The The segmental lining has been designed with a taper on the rings.
opposite face is cast with a hole through which a bolt can be This taper enables the lining to accommodate horizontal and
inserted into the ferrule and then tightened. The design of bolt vertical curves in the alignment. The extent of taper required is
pockets ensures that the arrangement provides sufficient force to governed by the minimum turning radius required for the tunnel
compress the EPDM sealing gaskets. alignment. During installation, each ring is rotated from the
As the bolts are set at an angle to the plane of the segments, installed position of the last ring, to ensure that the lining can be
the anchorage length on the adjacent segment is limited by the kept within acceptable limits to the tunnel control line. The TBM
cover that can be provided to the outside face of the segments at used for construction of the CWCT makes use of automatic ring
bolt ends. For the CWCT, shortened ferrules were detailed. selection software, to assist with ring sequencing.
These were checked to ensure that they could still provide the
necessary pull-out resistance. Recesses have been included to DESIGN FOR PASSIVE FIRE RESISTANCE
help with spear bolt insertion during installation. See Figure 4 for
details. When considering a concrete segmental lining as ground support,
the key mechanism by which concrete fails during a fire event is
Connector dowels spalling. In a fire event, moisture trapped within pores of the
concrete matrix heats up and expands. If this pore water is
The joints between successive rings (called ‘circumferential constrained within the concrete matrix, the concrete will crack or
joints’) have been detailed to include a connector dowel system split, to make room for the expanding moisture. As a result of
(see Figures 5 and 6). The arrangement comprises two cast-in spalling, the effective thickness of a concrete member is reduced,

FIG 4 - Spear bolt and ferrule connection details.
FIG 5 - •Dowelock 30•connector details.
FIG 6 - •Dowelock 30•connector exploded view.

which in turn reduces its ability to carry load. A requirement of Monofilament fibres aid in the prevention of spalling by
concrete used in segmental linings is to have low permeability melting as a fire develops and heats up concrete. This melting
for reasons of watertightness and durability. However, this creates voids in the concrete matrix where water vapour can
characteristic increases the likelihood of spalling, as low escape. Including monofilament fibres in the design mix
permeability concrete does not have additional voids where contributes significantly to the fire resistance properties of the
pressurised water vapour can be released. segments. The fire hardening provided by monofilament fibres is
There are other factors that influence the likelihood and considered sufficient to provide residual structural strength
against ground loading. For the CWCT this will only be critical
severity of spalling. These include the presence of moisture,
where the tunnel passes through ground where it might not be
concrete strength and density, heating rate of the fire, aggregate self supporting, such as within very blocky ground or across
type and imposed loading conditions (Wetzig, 2000; Rail Link encountered dykes.
Engineering, 1997).
An added benefit of monofilament fibres is that they aid to
In addition to spalling, concrete begins to lose strength and decrease the formation of early age shrinkage cracks during the
stiffness properties at relatively low temperatures in a fire event. production of segments. This occurs as the monofilament fibres
At 600°C concrete can lose about 50 per cent of its original absorb tension that develops in the concrete during concrete
strength (Eurocode 2, 2004). hardening.
For the CWCT, a risk-based approach has been taken to design
for fire resistance. It was decided that based on the likelihood of DESIGN FOR DURABILITY
a major fire event, the lack of combustibles, and the limited
frequency of man access, the lining will provide a necessary The segmental lining is required to comply with durability and
level of structural capacity in a fire event. This decision was also design life requirements, as it is the tunnel’s permanent structural
based on the premise that for the most part the surrounding rock component. The CWCT requires a tunnel lining with a design
will be self supporting. Nonetheless, to minimise spalling as far life of 100 years, and a solution that considers reliability and
ongoing maintenance requirements. The design for durability
as possible in the event of a fire, polypropylene monofilament
involved the assessment of the potential deterioration mechanisms
fibres have been specified as part of the concrete mix. of the microenvironment, and consideration of durability
Testing for the Channel Tunnel Rail Link (Rail Link characteristics able to withstand this microenvironment. The
Engineering, 1997), and review of the recommendations durability of a segmental lining relies on the concrete mix
contained in Eurocode 2 (2004) indicate that appropriate passive design, the form of concrete reinforcement chosen, and the
fire characteristics could be provided for the CWCT by the waterproofing design.
inclusion of monofilament fibres. Experience indicates that a The exposure class required was B2 (refer to Table 1) as
dosage of 1.5 kg/m3 is suitable. Dosages in excess of this figure defined in the Australian Standard for Concrete Structures
are known to cause problems of concrete workability. (AS3600:2001). Groundwater present along sections of the
TABLE 1
Exposure classifications (taken from Australian Standard AS3600:2001 …Concrete Structures).
Exposure classifications
Surface and exposure environment Exposure classification
Reinforced or Plain concrete
prestressed members
concrete members (Note 2)
(Note 1)
1. Surface of members in contact with the ground
(a) Members protected by a damp-roof membrane A1 A1
(b) Residential footings in non-aggressive soils A1 A1
(c) Other members in non-aggressive soils A2 A1
(d) Members in aggressive soils (Note 2) U U
2. Surface of members in interior environments
(a) Fully enclosed within a building except for a brief period of weather exposure during construction A1 A1
(b) In industrial buildings, the member being subject to repeated wetting and drying B1 B1
3. Surfaces of members in above-ground exterior environments
In areas that are:
(a) Inland (>50 km from coastline) environment being –
(i) non-industrial and arid climatic zone (Notes 3 and 4) A1 A1
(ii) non-industrial and temperate climatic zone A2 A1
(iii) non-industrial and tropical climatic zone B1 A1
(iv) industrial and any climatic zone B1 A1
(b) Near-coastal (1 km to 50 km from coastline), any climatic zone B1 A1
(c) Coastal (up to 1 km from coastline but excluding tidal and splash zones) (Note 5), any climatic zone B2 A1
4. Surfaces of members in water
(a) In freshwater B1 A1
(b) In sea water –
(i) permanently submerged B2 U
(ii) in tidal or splash zones C U
(c) In soft or running water U U
5. Surfaces of members in other environments
Any exposure environment not otherwise described in Items 1 to 4 U U

tunnel could contain high concentrations of chloride and sulfate, Knowledge of the intended construction practices by the
which will come into direct contact with the outside face of the designer through consultation with the constructor is crucial. The
tunnel concrete lining. Information retrieved from boreholes and designer must be aware of such factors as the preferred segment
groundwater testing showed that there is the likelihood of handling, transportation and installation of the precast segments.
encountering saline and contaminated groundwater at the level of A reasonable and practical approach to the specification of
the bored tunnel. acceptable manufacture and construction tolerances is required.
The primary way of meeting durability requirements for These considerations are fundamental to the design and provision
segmental linings is through the adoption of suitable concrete of a lining with the necessary strength performance requirements.
characteristics. The main objective is to ensure that a high level This knowledge is equally important with respect to the inclusion
of impermeability is achieved. Low permeability reduces the of suitable features, such as connectors and the sealing gasket
system.
effects of carbonation and the ingress of sulfates and chlorides in
solution. To achieve low permeability, concrete mixes require a The CWCT segmental lining will be relied upon to provide
suitable cement blend, low water/cement ratios and high cement immediate ground support and act as the permanent tunnel
content. structure. Therefore, due attention has been given to the
provision of a lining with the necessary durability and passive
The use of steel fibre reinforced concrete has significant fire resistance characteristics.
benefits for the durability of the segmental concrete lining over
conventional reinforcement. A study of older marine structures
built with steel fibre reinforced concrete made the following REFERENCES
conclusion: British Standards Institution, 2004. BS EN 1992-1-2 2004 (Eurocode 2).
… fibres do corrode on the surface and the Curtis, 1976. The circular tunnel in elastic ground – Discussion,
fibres, due to the minimal dimensions, do not Geotechnique, 26:231-237.
cause corrosion products that induce expansion Davies, H, Woods, E and Shuttleworth, P, 2006. Focusing on fibres:
stresses. Thus, the deterioration process is much CTRL experience, Tunnels and Tunnelling International, pp 29-32.
slower than for concrete with normal Duddeck, H and Erdman, J, 1985. On structural design models for
tunnels, Soft Ground, Underground Space, 9:(5-6).
reinforcement (Malmberg, 1993).
German Concrete Association, 2001. DBV-Merkblatt Stahlfaserbeton –
Further, carbonation has been found not to be a significant Guideline to steel fibre concrete.
problem. This is due to the fact that fibres located close to King, M R, 2005. The design and use of steel fibre reinforced concrete
surface may corrode due to surface carbonation, but the segments, in Proceedings Rapid Excavation and Tunneling
remaining fibres within the segments are unaffected as a Conference (RETC), pp 936-946.
consequence of reduced electrical continuity. Leonhardt, 1964. Prestressed Concrete, p 184.
Factors that affect the corrosion of conventional steel Malmberg, B, 1993. Fibre Corrosion in Old Fibre Reinforced Structures.
reinforcement include cover, mix design, compaction, curing, Morgan, H, D, 1971. A contribution to the analysis of stress in a circular
tunnel, Geotechnique, pp 37-46.
storage and handling.
Moyson, D, The construction of a steel fibre reinforced concrete
For steel fibre reinforced segmental linings there is no need to segmental tunnel lining, in Forschung and Praxis (Research and
incorporate electrical continuity to deal with stray currents. Practice) New Trends in Underground Construction, No 36,
Unlike steel bar reinforced segments, steel fibre segments will pp 274-278 (Research Association for Underground Transportation
not support the galvanic corrosion cells. Hence for the CWCT Facilities (STUVA)).
electrical continuance between segments was deemed Muirwood, A M, 1975. The circular tunnel in elastic ground,
unnecessary. The fibres, being non-continuous and discrete Geotechnique, 25(1):115-127.
provide no mechanism for propagation of corrosion activity Rail Link Engineering (RLE), 1997. Channel Tunnel Rail Link technical
resulting from a build-up of chloride ions. If cracks develop in report – Fire performance of concrete for tunnel linings, technical
report No 000-RUG-RLEEX-00005-AB.
the segments, these cracks will be minimised due to the restraint
Standards Australia, 2001. AS 3600:2001. Concrete Structures (Standards
offered by steel fibres, which bridge cracks and hence restrain
Australia).
further crack widening.
The British Tunnelling Society, 2000. Specification for Tunnelling
(Thomas Telford Publishing: London).
CONCLUSIONS The British Tunnelling Society/Institution of Civil Engineers, 2004. Tunnel
Lining Design Guide (The Institute of Civil Engineers, London).
Segmental lining design and construction involving steel fibre Vandewalle, M, 2005. Tunnelling is an Art (NV Bekaert SA: Kortrijk).
reinforced concrete is a relatively new technology in Australia. Wetzig, V, 2000. Destruction mechanisms of concrete in the event of fire
Design of these linings requires the application of specialist and protective systems, Tunnel, 7 (Research Association for
approaches. Underground Transportation Facilities (STUVA)).

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13th Australian Tunnelling Conference Proceedings 2008

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13th Australian Tunnelling Conference Proceedings 2008

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13th Australian Tunnelling

The Australasian Institute of Mining and Metallurgy

THE AUSTRALASIAN INSTITUTE OF MINING AND METALLURGY

All papers published in this volume were refereed prior to publication.

ISBN 978 1 920806 80 4

Desktop published by:

Compiled on CD ROM by:

Shaping our Future K Mathers 3

Australian Tunnelling Projects

The Design and Construction of a ‘Batcave’ D Lees and D Dickson 51

Design and Development of Ground Support

Static Testing of Shotcrete E C Morton, A G Thompson, 83

Three-Dimensional Modelling of Construction Tolerance in G Swarbrick and R Bertuzzi 95

Predicting Carbonation of Concrete in Tunnels M L Berndt 101

Northern Sewerage Project – Liner Selection in a Corrosive G W Davidson, M E Trim, 115

Project Overview – EastLink Tunnel J Gardiner 137

Fire and Life Safety

Operational Management of Fire Suppression Systems A Dix 175

Road Tunnel Protection by Water Mist Systems – Implementation S Kratzmeir 181

Results and Experiences with Nitrogen Dioxide (NO2) C Seewald 187

Geotechnical and Hydrogeological Developments

Tunnel Groundwater Inflow Measurement W Meynink, R Witt and M Lowing 209

The Bosphorus Rail Tunnel Project V Tellioglu and A Unlutepe 265

New Zealand Focus

Risk Management in Tunnelling

Risk Management Through Design – Experiences from the T Ireland 393

Managing Underground Risks in Singapore Through J Rozek and L N Loganathan 419

Management of Hydrogeological Risk in Tunnelling Projects K Srivastava 423

Risk ‘Thinking’ for Australian Tunnelling P Standish 429

Tunnel Boring Machine (TMB) Tunnelling

Urban Tunnelling Challenges – Mechanised Tunnelling to M Herrenknecht and U Rehm 439

Tunnelling for Bogong Hydropower Development R Rooney and A Kindred 453

Workshop – Concrete Segmental Linings for Tunnels and Shafts

13th Australian Tunnelling Conference Melbourne, VIC, 4 - 7 May 2008 3

ABSTRACT 1.7 km long and is aligned approximately north-south along the

13th Australian Tunnelling Conference Melbourne, VIC, 4 - 7 May 2008 7

FIG 1 - Tunnel location.

FIG 2 - Geological features.

8 Melbourne, VIC, 4 - 7 May 2008 13th Australian Tunnelling Conference

13th Australian Tunnelling Conference Melbourne, VIC, 4 - 7 May 2008 9

FIG 5 - Typical roadheader tunnel.

10 Melbourne, VIC, 4 - 7 May 2008 13th Australian Tunnelling Conference

The overall depth of the shaft is about 22 m to finished floor

Mary Ann street shaft

FIG 7 - Typical tunnel boring machine (TBM) tunnel.

13th Australian Tunnelling Conference Melbourne, VIC, 4 - 7 May 2008 11

City central substation interface City North Substation interface

FIG 9 - Layout of the City Central Substation connection.

12 Melbourne, VIC, 4 - 7 May 2008 13th Australian Tunnelling Conference

• movement detection in the tunnel; CONSTRUCTION ISSUES

14 Melbourne, VIC, 4 - 7 May 2008 13th Australian Tunnelling Conference

13th Australian Tunnelling Conference Melbourne, VIC, 4 - 7 May 2008 15

Item Item description Unit Qty Rate Price Comments

16 Melbourne, VIC, 4 - 7 May 2008 13th Australian Tunnelling Conference

Actual conditions at 480 m 480 % of ground Comments/assumptions

13th Australian Tunnelling Conference Melbourne, VIC, 4 - 7 May 2008 17

Actual conditions at 960 m complete 960 % of Comments/assumptions

18 Melbourne, VIC, 4 - 7 May 2008 13th Australian Tunnelling Conference

Actual conditions at 1600 m complete 1600 % of ground Comments/assumptions

13th Australian Tunnelling Conference Melbourne, VIC, 4 - 7 May 2008 19

13th Australian Tunnelling Conference Melbourne, VIC, 4 - 7 May 2008 21

22 Melbourne, VIC, 4 - 7 May 2008 13th Australian Tunnelling Conference

DETAILED DESIGN OF THE DIFFERENT

Steel casing design